SEC Region,Organization CRD#,SEC#,Primary Business Name,Legal Name,Main Office Street Address 1,Main Office Street Address 2,Main Office City,Main Office State,Main Office Country,Main Office Postal Code,Main Office Telephone Number,Main Office Facsimile Number,Mail Office Street Address 1,Mail Office Street Address 2,Mail Office City,Mail Office State,Mail Office Country,Mail Office Postal Code,SEC Registration Status,Status Effective Date,Latest ADV Filing Date,1I,World Wide Web Site Address,1L,2A(1),2A(2),2A(3),2A(4),2A(5),2A(6),2A(7),2A(8),2A(9),2A(10),2A(11),2A(12),3A,3A-Other,3C-State,3C-Country,5A,"5A-If more than 1,000, how many",5B(1),"5B(1)-If more than 1,000, how many",5B(2),"5B(2)-If more than 1,000, how many",5B(3),"5B(3)-If more than 1,000, how many",5C,"5C-If more than 500, how many",5D(1),5D(2),5D(3),5D(4),5D(5),5D(6),5D(7),5D(8),5D(9),5D(10),5D(10)-Other,5E(1),5E(2),5E(3),5E(4),5E(5),5E(6),5E(7),5E(7)-Other,5F(1),5F(2)(a),5F(2)(b),5F(2)(c),5F(2)(d),5F(2)(e),5F(2)(f),5G(1),5G(2),5G(3),5G(4),5G(5),5G(6),5G(7),5G(8),5G(9),5G(10),5G(10)-Other,5H,"5H-If more than 500, how many",5I(1),5I(2),6A(1),6A(2),6A(3),6A(4),6A(5),6A(6),6A(7),6A(7)-Other,6B(1),6B(2),6B(3),7A(1),7A(2),7A(3),7A(4),7A(5),7A(6),7A(7),7A(8),7A(9),7A(10),7A(11),7B,8A(1),8A(2),8A(3),8B(1),8B(2),8B(3),8C(1),8C(2),8C(3),8C(4),8D,8E,8F,9A(1),9A(2),9B(1),9B(2),9C,10,11A(1),11A(2),11B(1),11B(2),11C(1),11C(2),11C(3),11C(4),11C(5),11D(1),11D(2),11D(3),11D(4),11D(5),11E(1),11E(2),11E(3),11E(4),11F,11G,11H(1)(a),11H(1)(b),11H(1)(c),11H(2)
PLRO,154643,801-71737,BROWN ADVISORY CAVANAUGH LLC,BROWN ADVISORY CAVANAUGH LLC,901 SOUTH BOND STREET,SUITE 400,BALTIMORE,MD,UNITED STATES,21231,410-537-5400,410-537-6350,,,,,,,Approved,7/1/2010,8/11/2010,Y,WWW.CAVCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,11-25 percent,Up to 10 percent,26-50 percent,FOUNDATIONS AND ENDOWMENTS,Y,N,N,Y,N,N,N,,Y,"1,220,338,722.00",0,"1,220,338,722.00",329,0,329,N,Y,N,Y,N,Y,N,N,N,Y,"PROVIDES FINANCIAL ADVISORY SERVICES TO CLIENTS ISSUING MUNICIPAL BONDS.  ALSO CONSOL. RPTS, RESEARCH & INVESTMENT CONSULTING.",,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110235,801-60080,"RUDNEY ASSOCIATES, INC.","RUDNEY ASSOCIATES, INC.","111 DEERWOOD ROAD, SUITE 130",,SAN RAMON,CA,UNITED STATES,94583,925-838-0696,925-838-9574,,,,,,,Approved,3/8/2001,8/11/2010,Y,RUDNEYASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"221,042,300.00","11,342,152.00","232,384,452.00",545,6,551,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105296,801-21205,PROFESSIONAL FINANCIAL ADVISORS INC,PROFESSIONAL FINANCIAL ADVISORS INC,30240 RANCHO VIEJO RD,SUITE A,SAN JUAN CAPISTRANO,CA,UNITED STATES,92675-1515,949-493-5900,949-493-4176,,,,,,,Approved,5/1/1984,8/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"70,000,000.00","70,000,000.00",0,180,180,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105768,801-32604,VAN CLEEF ASSET MANAGEMENT INC,VAN CLEEF ASSET MANAGEMENT INC,3201 ENTERPRISE PKWY,SUITE 140,BEACHWOOD,OH,UNITED STATES,44122,216-464-0253,216-464-3512,,,,,,,Approved,8/5/1988,8/12/2010,Y,WWW.VANCLEEFINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),SUB CHAPTER S CORPORATION,OH,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"184,000,000.00",0,"184,000,000.00",243,0,243,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,118883,801-61300,"FINANCIAL DECISIONS, INC.","FINANCIAL DECISIONS, INC.",5345 NORTH EL DORADO,SUITE 15,STOCKTON,CA,UNITED STATES,95207,209-957-7413,209-951-1609,,,,,,,Approved,7/5/2002,8/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"120,500,000.00",0,"120,500,000.00",592,0,592,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,147686,801-69385,MASECO FINANCIAL,MASECO LLP,10 CHARLES II STREET,,LONDON,,UNITED KINGDOM,SW1Y 4AA,+44 20 7043 0455,+44 20 7043 0456,,,,,,,Approved,8/18/2008,8/12/2010,Y,WWW.MASECOFINANCIAL.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,Nov-50,0,10-Jun,0,5-Jan,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,OTHER VEHICLES USED IN ESTATE PLANNING,Y,N,N,N,N,N,N,,Y,"26,800,000.00","4,800,000.00","31,600,000.00",48,29,77,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,Y,N,N,N,N,Y,FINANCIAL ADVISOR REGISTERED IN THE UK,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146332,801-68831,"ALEXANDRA & JAMES ADVISORY SERVICES, LLC","ALEXANDRA & JAMES ADVISORY SERVICES, LLC",521  FIFTH AVENUE,20TH FLOOR,NEW YORK,NY,UNITED STATES,10175,212-425-6006,212-981-6798,,,,,,,Approved,2/5/2008,8/12/2010,Y,HTTP://WWW.LEBENTHAL.COM/AJ,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,"284,993,503.00","23,541,341.00","308,534,844.00",285,109,394,Y,Y,N,Y,N,Y,Y,N,N,N,,0,,Y,Y,N,Y,N,N,Y,N,N,,Y,Y,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,133225,801-69608,"1ST WORLDWIDE ADVISORS, LLC.","1ST WORLDWIDE ADVISORS, LLC.",6030 BETHELVIEW ROAD,SUITE 102,CUMMING,GA,UNITED STATES,30040,732-924-4100,732-924-4111,6030 BETHELVIEW ROAD,SUITE 102,CUMMING,GA,UNITED STATES,30040,Approved,9/22/2008,8/12/2010,Y,HTTP://WWW.1WFP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"28,035,816.00","28,035,816.00",0,67,67,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,Y,N,Y,N,N,Y,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N
ARO,150419,801-70298,ATLANTA CAPITAL GROUP,ATLANTA CAPITAL GROUP,3340 PEACHTREE ROAD,SUITE 2320,ATLANTA,GA,UNITED STATES,30326-1000,404-893-4100,678-510-1340,,,,,,,Approved,6/1/2009,8/12/2010,Y,HTTP://WWW.ATLANTACAPITALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,10-Jun,0,10-Jun,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"114,847,905.00","42,399,919.00","157,247,824.00",561,42,603,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,Y,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,139665,801-67198,"BHK SECURITIES, LLC","BHK SECURITIES, LLC",2200 LAKESHORE DRIVE,SUITE 250,BIRMINGHAM,AL,USA,35209-8803,205-322-2025,205-322-9025,,,,,,,Approved,9/21/2006,8/12/2010,Y,HTTP://WWW.BHKLLC.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"25,500,000.00","243,000,000.00","268,500,000.00",76,501,577,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,Y,Y,Y,N,N,Y,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151046,801-70445,DLG WEALTH MANAGEMENT LLC,DLG WEALTH MANAGEMENT LLC,6 EXECUTIVE PARK ROAD,,CLIFTON PARK,NY,UNITED STATES,12065,518-348-0060,404-393-5577,,,,,,,Approved,7/24/2009,8/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"39,000,000.00",0,"39,000,000.00",232,0,232,N,Y,N,Y,N,Y,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109940,801-56653,MJB ASSET MANAGEMENT LLC,MJB ASSET MANAGEMENT LLC,900 THIRD AVENUE,12TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-333-3733,212-371-1084,,,,,,,Approved,7/7/1999,8/12/2010,Y,WWW.MJBASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,Y,Y,N,N,N,,Y,"40,842,741.00","48,875,289.00","89,718,030.00",83,19,102,Y,Y,N,Y,Y,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152117,801-70867,"BH ASSET MANAGEMENT, LLC","BH ASSET MANAGEMENT, LLC",104 WEST 40TH STREET,SUITE 10-20,NEW YORK,NY,UNITED STATES,10018,347-586-0030,347-586-0034,,,,,,,Approved,1/7/2010,8/12/2010,Y,WWW.BHASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"85,000,000.00",0,"85,000,000.00",34,0,34,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,18836,801-71234,"MID-ATLANTIC SECURITIES, INC.","MID-ATLANTIC SECURITIES, INC.",4001 BARRETT DRIVE,SUITE 100,RALEIGH,NC,UNITED STATES,27609,919-783-7787,919-783-8825,,,,,,,Approved,3/25/2010,8/12/2010,Y,HTTP://WWW.MASECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"30,780,503.00",0,"30,780,503.00",140,0,140,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,Y,N,Y,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,Y,N
FWRO,40418,801-63700,RIVERSTONE WEALTH MANAGEMENT,RIVERSTONE WEALTH MANAGEMENT,7801 CAPITAL OF TEXAS HWY,SUITE 310,AUSTIN,TX,USA,78731,512-476-5554,512-476-5754,,,,,,,Approved,3/14/2005,8/12/2010,Y,WWW.RIVERSTONEWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,500,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"28,377,427.00","83,952,193.00","112,329,620.00",139,513,652,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,Y,Y,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N
NYRO,152266,801-70823,RMR WEALTH MANAGEMENT,RMR WEALTH MANAGEMENT,ONE BATTERY PARK PLAZA,,NEW YORK,NY,UNITED STATES,10004,212-785-4377,212-202-6097,,,,,,,Approved,11/24/2009,8/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"18,000,000.00","18,000,000.00","36,000,000.00",62,62,124,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,104039,801-57718,"TRIANGLE SECURITIES, LLC","TRIANGLE SECURITIES, LLC",1301 ANNAPOLIS DRIVE,,RALEIGH,NC,USA,27608,919-838-3221,919-838-9081,,,,,,,Approved,7/7/2000,8/12/2010,Y,WWW.TRIANGLESECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,More than 500,500,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"342,555,505.00",0,"342,555,505.00",526,0,526,N,Y,N,Y,N,Y,N,N,N,N,,,,N,Y,Y,Y,N,N,Y,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,148156,801-69531,TRIANGLE SECURITIES WEALTH MANAGEMENT,TRIANGLE SECURITIES WEALTH MANAGEMENT,1301 ANNAPOLIS DRIVE,,RALEIGH,NC,UNITED STATES,27608,919-838-3221,919-838-9081,,,,,,,Approved,9/15/2008,8/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"55,832,987.00",0,"55,832,987.00",72,0,72,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,132230,801-64634,"YIELDQUEST ADVISORS, LLC","YIELDQUEST ADVISORS, LLC",3280 PEACHTREE ROAD,SUITE 2600,ATLANTA,GA,USA,30305,404-446-3370,404-446-3380,,,,,,,Approved,8/26/2005,8/12/2010,Y,HTTP://WWW.YIELDQUEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,OTHER REGISTERED INVESTMENT ADVISORS,Y,N,N,N,N,N,N,,Y,"173,825,000.00",0,"173,825,000.00",50,0,50,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,Y,Y,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,116726,801-66701,KIPLINGER WEALTH ADVISORS,"KIPLINGER INVESTMENT ADVISORS, LLC.",325 N. MAIN ST,SUITE 202,SPRINGBORO,OH,UNITED STATES,45066-9557,937-886-1442,937-886-1664,,,,,,,Approved,5/10/2006,8/12/2010,Y,WWW.KIPINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"53,036,481.00","2,765,986.00","55,802,467.00",441,13,454,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112266,801-62058,"ADVISORS CAPITAL MANAGEMENT, LLC","ADVISORS CAPITAL MANAGEMENT, LLC",777 TERRACE AVE,,HASBROUCK HEIGHTS,NJ,UNITED STATES,7604,(201) 426-0081,(201) 426-0086,,,,,,,Approved,5/16/2003,8/12/2010,Y,WWW.ADVISORSCENTER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,Nov-50,0,More than 500,"1,000",More than 75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"178,411,124.00","11,593,458.00","190,004,582.00",838,59,897,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,115046,801-61728,MASCAGNI WEALTH MANAGEMENT,MASCAGNI WEALTH MANAGEMENT,205 E. MAIN STREET,,CLINTON,MS,UNITED STATES,39056,601-925-8099,601-925-8066,,,,,,,Approved,1/24/2003,8/12/2010,Y,WWW.MASCAGNIWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MS,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,NON-PROFIT ORGANIZATIONS,Y,N,N,N,Y,N,N,,Y,0,"103,933,744.00","103,933,744.00",0,368,368,Y,N,N,N,Y,N,N,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,118205,801-64622,"COLLEGIATE CAPITAL MANAGEMENT, INC.","COLLEGIATE CAPITAL MANAGEMENT, INC.",214 NEW BERN PLACE,,RALEIGH,NC,UNITED STATES,27601,919-838-0101,919-838-0102,,,,,,,Approved,9/1/2005,8/12/2010,Y,HTTP://WWW.COLLEGIATECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"72,288,091.00","26,522,617.00","98,810,708.00",566,166,732,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106595,801-15908,"WELLINGTON MANAGEMENT COMPANY, LLP","WELLINGTON MANAGEMENT COMPANY, LLP",75 STATE STREET,,BOSTON,MA,USA,2109,617-951-5000,617-790-7760,,,,,,,Approved,10/30/1979,8/12/2010,Y,WWW.WELLINGTON.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Partnership,,MA,UNITED STATES,More than 1000,"1,000",251-500,0,Nov-50,0,5-Jan,0,More than 500,"1,500",0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,26-50 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,MISCELLANEOUS,Y,N,N,Y,N,Y,N,,Y,"1,573,509,277,607.00","34,078,565,719.00","1,607,587,843,326.00","1,366",222,"1,588",N,Y,Y,Y,N,Y,N,N,N,N,,,,N,Y,N,N,Y,N,N,N,N,,N,,N,Y,N,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,148826,801-70860,CITADEL ADVISORS LLC,CITADEL ADVISORS LLC,131 SOUTH DEARBORN STREET,,CHICAGO,IL,UNITED STATES,60603,312-395-2100,312-267-7300,,,,,,,Approved,1/5/2010,8/12/2010,Y,WWW.CITADELGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,More than 1000,"1,000",251-500,0,51-250,0,0,0,10-Jan,0,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,Y,Y,REIMBURSEMENT OF EXPENSES,Y,"10,332,832,181.00","46,609,320.00","10,379,441,501.00",11,1,12,N,N,N,Y,N,N,N,Y,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS; PORTFOLIO EVALUATION,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y
ARO,139887,801-66407,ELLIOTT DAVIS INVESTMENT ADVISORS,"ELLIOTT DAVIS INVESTMENT ADVISORY SERVICES, LLC",124 VERDAE BLVD,SUITE 504,GREENVILLE,SC,UNITED STATES,29607,864-288-2849,864-288-5218,,,,,,,Approved,3/31/2006,8/12/2010,Y,WWW.EDIADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"535,123,720.00",0,"535,123,720.00",713,0,713,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,Y,Y,N,Y,N,N,Y,N,N,,N,,N,Y,N,Y,N,N,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,144601,801-68633,"PORTFOLIO RESOURCES ADVISOR GROUP, INC.","PORTFOLIO RESOURCES ADVISOR GROUP, INC.","800 BRICKELL AVENUE, SUITE 903",,MIAMI,FL,UNITED STATES,33131,305-372-0299,305-372-0499,,,,,,,Approved,12/19/2007,8/12/2010,Y,WWW.PRG-GROUP.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,625,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"65,447,814.00",0,"65,447,814.00",622,0,622,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,Y,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112029,801-60189,ONE COMPASS ADVISORS,"NEW COVENANT TRUST COMPANY, NA",200 EAST 12TH STREET,SUITE B,JEFFERSONVILLE,IN,UNITED STATES,47130-3854,800-858-6127,502-805-0491,,,,,,,Approved,4/13/2001,8/12/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),"SID OF NEW COVENANT TRUST COMPANY, NA",IN,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,378,883,759.00",0,"1,378,883,759.00",4,0,4,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,Y,N,,N,,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,151381,801-70784,"CONTINUITY PARTNERS GROUP, LLC","CONTINUITY PARTNERS GROUP, LLC",1776 PLEASANT PLAIN ROAD,,FAIRFIELD,IA,UNITED STATES,52556,641-472-5100,641-470-1294,,,,,,,Approved,11/18/2009,8/12/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,IA,UNITED STATES,10-Jun,0,0,0,10-Jun,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,"SEE SCHEDULE D, MISCELLANEOUS FOR DETAILS.",N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,"SEE SCHEDULE D, MISCELLANEOUS FOR DETAILS.",0,,N,N,N,N,N,N,Y,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,145774,801-68598,"HEPWORTH EQUITY PARTNERS, LLC","HEPWORTH EQUITY PARTNERS, LLC","14 WALL ST,  20TH FLOOR",,NEW YORK,NY,UNITED STATES,10005,212-618-1588,888-505-3391,,,,,,,Approved,12/5/2007,8/12/2010,Y,WWW.HEPWORTHEP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"35,000,000.00",0,"35,000,000.00",200,0,200,N,Y,N,Y,N,N,N,N,N,N,,101-250,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,132300,801-64453,"BARTOLF WEALTH ADVISORS, INC.","BARTOLF WEALTH ADVISORS, INC.",,,,,,,561-799-0245,561-799-3687,,,,,,,Approved,6/24/2005,8/12/2010,Y,WWW. BARTOLFWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"3,023,665.00","29,237,058.00","32,260,723.00",10,94,104,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,Y,REGISTERED INVESTMENT ADVISOR,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110284,801-18512,MONETARY MANAGEMENT GROUP INC,MONETARY MANAGEMENT GROUP INC,13537 BARRETT PARKWAY DRIVE,SUITE 325,ST LOUIS,MO,USA,63021,314-909-0646,314-909-0962,,,,,,,Approved,2/1/1983,7/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"273,000,000.00","18,000,000.00","291,000,000.00",216,34,250,N,Y,N,Y,N,N,N,N,N,N,,,,Y,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106975,801-51795,"VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.","VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.","600 TRAVIS, SUITE 6300",,HOUSTON,TX,UNITED STATES,77002-3071,713-224-2545,713-247-9534,,,,,,,Approved,4/25/1996,7/8/2010,Y,WWW.VNSM.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,101-250,0,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,26-50 percent,11-25 percent,Up to 10 percent,Up to 10 percent,SUB-ADVISED WRAP PLATFORMS,Y,N,N,N,N,Y,N,,Y,"6,759,484,554.00","967,596,076.00","7,727,080,630.00",277,25,302,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110655,801-36898,VALU-TRAC RESEARCH,MILLAR ROBERT PETER WHARTON,MAINS OF ORTON,,"FOCHABERS MORAY, UK",,UNITED KINGDOM,IV32 7QE,+44 (0)1343-880217,+44 (0)1343-880267,,,,,,,Approved,11/5/1990,8/11/2010,Y,WWW.VALU-TRACRESEARCH.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,N,N,Y,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,Y,N,N,Y,INFORMATION SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,154644,801-71735,"GUIDANCE INVESTMENT ADVISORS, LLC","GUIDANCE INVESTMENT ADVISORS, LLC",3140 WINDSOR COURT,ATTN:  DAVID R. BREUER,ELKHART,IN,UNITED STATES,46514,574-295-1509,574-293-7273,,,,,,,Approved,8/27/2010,8/11/2010,Y,WWW.GUIDANCEWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"126,139,310.00",0,"126,139,310.00",420,0,420,Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107021,801-30754,PROVIDENT WEALTH MANAGEMENT INC,PROVIDENT WEALTH MANAGEMENT INC,3527 WEST 26TH STREET,,ERIE,PA,UNITED STATES,16506,814-455-7523,814-456-1353,,,,,,,Approved,10/26/1987,8/11/2010,Y,PROVIDENTWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,5-Jan,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,"ESTATES,TRUSTS",Y,Y,N,N,Y,N,N,,Y,"18,426,772.00","6,647,804.00","25,074,576.00",191,81,272,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,149898,801-70519,LOVETT ADVISORS,LOVETT FINANCIAL ADVISORS LLC,3711 KENNETT PIKE,SUITE 130,WILMINGTON,DE,UNITED STATES,19807,302-442-6208,302 380 3334,,,,,,,Approved,9/9/2009,8/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"45,419,989.00","928,919.00","46,348,908.00",201,45,246,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109581,801-57283,ASSET MANAGEMENT GROUP LTD,ASSET MANAGEMENT CORPORATION,3400 DUNDEE RD,SUITE 145,NORTHBROOK,IL,USA,60062,847-291-7909,847-291-1362,,,,,,,Approved,2/18/2000,8/11/2010,Y,ASSETMGNT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"132,229,995.00",0,"132,229,995.00",335,0,335,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107363,801-46723,SCHOLTZ & CO,"SCHOLTZ & COMPANY, L.L.C.",32 HAVILAND STREET,SUITE 3,NORWALK,CT,UNITED STATES,6854,2036360941,2032867985,,,,,,,Approved,7/5/1994,8/11/2010,Y,WWW.SCHOLTZANDCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"65,203,167.00","685,000.00","65,888,167.00",92,2,94,N,Y,N,N,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,144177,801-70025,"FABIAN WEALTH STRATEGIES, INC.","FABIAN WEALTH STRATEGIES, INC.",260 EAST BAKER STREET,SUITE 200,COSTA MESA,CA,USA,92626,800-391-1118,714-668-9813,,,,,,,Approved,4/8/2009,8/11/2010,Y,WWW.FABIANWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,SEMINARS,Y,"89,531,091.00",0,"89,531,091.00",413,0,413,N,Y,N,N,N,N,N,N,N,Y,SEMINARS,,,N,N,N,N,N,N,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,131808,801-68519,"BRADLEY WEALTH MANAGEMENT, LLC","BRADLEY WEALTH MANAGEMENT, LLC",402 WEST BROADWAY,4TH FLOOR,SAN DIEGO,CA,UNITED STATES,92101,(619) 512-4100,(619) 512-4101,,,,,,,Approved,11/20/2007,8/11/2010,Y,HTTP://WWW.BRADLEYWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"27,382,251.00",0,"27,382,251.00",101,0,101,Y,Y,N,N,N,N,Y,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N
BRO,10409,801-44264,"MML INVESTORS SERVICES, INC.","MML INVESTORS SERVICES, INC.",1295 STATE STREET,,SPRINGFIELD,MA,UNITED STATES,01111-0001,(413)737-8400,(413)744-1295,,,,,,,Approved,7/13/1993,8/11/2010,Y,WWW.MMLISI.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,MA,UNITED STATES,More than 1000,"6,000",More than 1000,"3,000",More than 1000,"6,000",Nov-50,0,More than 500,"29,500",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SOLICITORS FEES,Y,"553,591,591.00","462,546,245.00","1,016,137,836.00","2,614","1,908","4,522",Y,Y,N,Y,N,Y,N,N,N,Y,SEMINARS & ASSET ALLOCATION PROGRAMS,More than 500,2000,Y,N,Y,N,N,N,N,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,Y,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
CHRO,123658,801-71023,GALARIA CAPITAL MANAGEMENT INC,GALARIA CAPITAL MANAGEMENT INC,,,,,,,248-851-7733,248-851-3573,,,,,,,Approved,2/2/2010,8/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"33,000,000.00","33,000,000.00",0,230,230,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,150900,801-71201,THL CREDIT ADVISORS LLC,THL CREDIT ADVISORS LLC,100 FEDERAL STREET,31ST FLOOR,BOSTON,MA,UNITED STATES,2110,800-450-4424,877-494-9096,,,,,,,Approved,4/21/2010,8/11/2010,Y,WWW.THLCREDIT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,BUSINESS DEVELOPMENT COMPANY,Y,N,N,N,N,Y,N,,Y,"259,734,435.00",0,"259,734,435.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT TO A BUSINESS DEVELOPMENT COMPANY,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137172,801-66068,"HAWKSHAW CAPITAL MANAGEMENT, LLC","HAWKSHAW CAPITAL MANAGEMENT, LLC",400 MADISON AVENUE,14TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-207-3909,,,,,,,,Approved,1/19/2006,8/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,UNIVERSITY ENDOWMENT,Y,N,N,N,N,Y,N,,Y,"132,000,000.00",0,"132,000,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,126520,801-64380,"WESTOVER CAPITAL ADVISORS, LLC","WESTOVER CAPITAL ADVISORS, LLC",1220 N. MARKET STREET,SUITE 800,WILMINGTON,DE,UNITED STATES,19801,302-427-9600,302-472-8900,,,,,,,Approved,6/3/2005,8/11/2010,Y,WWW.WESTOVERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"102,100,336.00","24,091,529.00","126,191,865.00",253,1,254,N,Y,N,N,N,N,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105617,801-32424,CREATIVE FINANCIAL GROUP LTD,CREATIVE FINANCIAL GROUP LTD,1000 ABERNATHY ROAD,SUITE 1500,ATLANTA,GA,UNITED STATES,30328,770-913-9704,770-913-9619,,,,,,,Approved,7/11/1988,8/11/2010,Y,WWW.CFGLTD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,500,26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"388,857,201.00","269,294,514.00","658,151,715.00",820,469,"1,289",Y,Y,N,Y,N,Y,N,N,N,Y,"TAX RETURN PREP, FAMILY OFC",More than 500,1000,N,N,N,Y,N,Y,Y,N,Y,"FINANCIAL PLANNING, TAX PREP",N,N,Y,Y,N,Y,N,Y,Y,N,Y,N,Y,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,146452,801-71059,NORTHLAND CAPITAL MANAGEMENT,"NORTHLAND CAPITAL MANAGEMENT, LLC",4815 WEST ARROWHEAD ROAD,SUITE 220,DULUTH,MN,UNITED STATES,55811,218-722-0559,218-722-2654,,,,,,,Approved,2/12/2010,8/11/2010,Y,WWW.NORTHLANDCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"19,657,911.00","10,405,652.00","30,063,563.00",114,140,254,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104659,801-24250,EMERSON INVESTMENT MANAGEMENT INC,EMERSON INVESTMENT MANAGEMENT INC,30 FEDERAL STREET,5TH FLOOR,BOSTON,MA,USA,2110,(617)695-1516,(617)695-1551,,,,,,,Approved,5/6/1985,8/11/2010,Y,WWW.EMERSONIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,Nov-50,0,More than 500,500,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,AN OPEN-ENDED INVESTMENT COMPANY REGISTERED IN GUERNSEY,Y,N,N,Y,N,N,N,,Y,"445,163,258.00",0,"445,163,258.00",817,0,817,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110631,801-20841,"PINNACLE ASSOCIATES, LTD.","PINNACLE ASSOCIATES, LTD.",335 MADISON AVENUE,SUITE 1100,NEW YORK,NY,UNITED STATES,10017,212-652-3200,212-949-2029,,,,,,,Approved,3/16/1984,8/11/2010,Y,WWW.PINNACLE-NY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,51-250,0,51-250,0,5-Jan,0,Nov-50,0,More than 500,"2,610",11-25 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,"ENDOWMENTS, FOUNDATIONS",Y,N,N,N,N,Y,N,,Y,"4,366,000,000.00",0,"4,366,000,000.00","3,823",0,"3,823",N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR INVESTMENT-RELATED LIMITED PARTNERSHIPS.,,,N,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,48,801-63856,"ANDERSON & STRUDWICK, INCORPORATED","ANDERSON & STRUDWICK, INCORPORATED",707 E. MAIN ST,20TH FLOOR,RICHMOND,VA,UNITED STATES,23219,804-643-2400,804-343-3308,P.O. BOX 1459,,RICHMOND,VA,UNITED STATES,23218-1459,Approved,1/31/2005,8/11/2010,Y,WWW.ANDERSONSTRUDWICK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"37,889,049.00","26,929,909.00","64,818,958.00",120,108,228,Y,Y,N,Y,Y,Y,N,N,N,Y,INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS,10-Jan,,Y,Y,Y,N,N,N,N,N,Y,INSURANCE PRODUCT SALES,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N
FWRO,114822,801-66675,FINANCIAL PLANNING SERVICES,STEPHEN LEWIS GRAY,"2202 TIMBERLOCH PL., STE. 200",,THE WOODLANDS,TX,UNITED STATES,77380,281-363-1680,281-296-5777,,,,,,,Approved,5/19/2006,8/11/2010,Y,SGRAY@ABBY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"33,000,000.00",0,"33,000,000.00",180,0,180,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104525,801-42061,MORGAN STANLEY INVESTMENT ADVISORS INC.,MORGAN STANLEY INVESTMENT ADVISORS INC.,522 FIFTH AVENUE,,NEW YORK,NY,UNITED STATES,10036,(212) 296-6600,(646) 452-0390,,,,,,,Approved,8/6/1992,8/11/2010,Y,WWW.MORGANSTANLEY.COM/IM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,251-500,0,51-250,0,51-250,0,0,0,More than 500,"1,000",0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"42,699,250,397.00",0,"42,699,250,397.00",837,0,837,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,146540,801-70010,"PIEDMONT INDEPENDENT FIDUCIARIES, INC.","PIEDMONT INDEPENDENT FIDUCIARIES, INC.",19455 DEERFIELD AVENUE,STE 307,LANSDOWNE,VA,UNITED STATES,20176,703-729-8333,703-729-8355,,,,,,,Approved,3/19/2009,8/11/2010,Y,WWW.ISYOUR401KOKAY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"51,500,000.00","51,500,000.00",0,40,40,N,N,N,Y,N,N,N,N,N,Y,DUE DILGENCE REPORTS FOR PLAN SPONSORS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106081,801-11095,WASATCH ADVISORS INC,WASATCH ADVISORS INC,"150 SOCIAL HALL AVENUE, 4TH FLOOR",,SALT LAKE CITY,UT,USA,84111,801-533-0777,801-533-9828,,,,,,,Approved,10/23/1975,8/11/2010,Y,WWW.WASATCHADVISORS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,101-250,0,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"6,945,612,829.00",0,"6,945,612,829.00",154,0,154,N,Y,Y,Y,N,N,N,N,N,Y,PROVIDE MODEL PORTFOLIO DATA TO CLIENTS,0,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,139143,801-65917,"MERRION INVESTMENT MANAGEMENT CO, LLC","MERRION INVESTMENT MANAGEMENT CO, LLC",210 ELMER STREET,,WESTFIELD,NJ,UNITED STATES,07090-2128,908-654-0033,908-654-4405,,,,,,,Approved,1/27/2006,8/11/2010,Y,WWW.MERRIONGROUP.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"58,106,754.00","2,429,452.00","60,536,206.00",92,4,96,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,122777,801-62044,"BENCHMARK ASSET MANAGERS, LLC","BENCHMARK ASSET MANAGERS, LLC",1700 SANSOM STREET,11TH FLOOR,PHILADELPHIA,PA,UNITED STATES,19103,215-525-4857,215-557-0912,,,,,,,Approved,5/9/2003,4/14/2010,Y,WWW.BENCHMARKAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"123,000,000.00","4,000,000.00","127,000,000.00",75,1,76,N,Y,N,Y,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES AND CONSULTING RE: ASSET ALLOCATION AND SUBADVISORY SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
SFRO,106785,801-45724,STACK FINANCIAL MANAGEMENT INC,STACK FINANCIAL MANAGEMENT INC,"2472 BIRCH GLEN, SUITE A",,WHITEFISH,MT,UNITED STATES,59937-3349,406-862-8000,406-862-7707,,,,,,,Approved,2/15/1994,4/14/2010,Y,WWW.STACKFINANCIALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MT,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"498,795,159.00",0,"498,795,159.00",743,0,743,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108595,801-55830,CHARLES RAVEN CAPITAL MANAGEMENT CO,CHARLES RAVEN CAPITAL MANAGEMENT CO,580 CALIFORNIA STREET,SUITE 1420,SAN FRANCISCO,CA,UNITED STATES,94104,(415)217-3261,(415)217-3240,,,,,,,Approved,8/26/1998,4/14/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"253,653,024.00",0,"253,653,024.00",13,0,13,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,127402,801-62196,"THREE PEAKS CAPITAL MANAGEMENT, LLC","THREE PEAKS CAPITAL MANAGEMENT, LLC",3750 DACORO LANE,SUITE 100,CASTLE ROCK,CO,UNITED STATES,80109,303-221-9480,303-221-4065,,,,,,,Approved,7/3/2003,4/14/2010,Y,WWW.THREEPEAKS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,26-100,0,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"904,397,413.00",0,"904,397,413.00",32,0,32,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106462,801-21562,"DENVER MONEY MANAGER, LLC","DENVER MONEY MANAGER, LLC",,,,,,,303-675-6771,303-374-5615,,,,,,,Approved,6/27/1984,4/14/2010,Y,WWW.DENVERMONEYMANAGER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,OTHER MONEY MANAGERS,Y,N,N,N,N,N,N,,Y,"47,705,204.00",0,"47,705,204.00",168,0,168,Y,Y,N,Y,N,N,N,N,Y,Y,OTHER MONEY MANAGERS,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,150843,801-70419,"HHM WEALTH ADVISORS, LLC","HHM WEALTH ADVISORS, LLC",1200 MARKET STREET,,CHATTANOOGA,TN,UNITED STATES,37402,423-826-1670,423-265-8125,,,,,,,Approved,8/7/2009,4/14/2010,Y,WWW.HHMWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"121,004,000.00",0,"121,004,000.00","1,057",0,"1,057",Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,153130,801-71222,"AERO ASSET MANAGEMENT, LLC.","AERO ASSET MANAGEMENT, LLC.",402 WEST BROADWAY,SUITE 2800,SAN DIEGO,CA,UNITED STATES,92101,619-481-3400,619-481-3411,,,,,,,Approved,3/16/2010,4/14/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"200,000.00",0,"200,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105161,801-23386,CONGRESS ASSET MANAGEMENT CO,CONGRESS ASSET MANAGEMENT CO,2 SEAPORT LANE,,BOSTON,MA,USA,02210-2001,617-737-1566,617-737-4333,,,,,,,Approved,1/31/1985,4/14/2010,Y,HTTP://WWW.CONGRESSASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,More than 500,"1,000",Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,RELIGIOUS,Y,N,N,N,N,Y,N,,Y,"6,491,041,714.00","218,196,848.00","6,709,238,562.00","8,629",11,"8,640",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,Y,N,N,N,N,N,,N,,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,107967,801-55633,CAPLINGER MANAGEMENT,CAPLINGER GARY BERLIN,10625 N MILITARY TRAIL,SUITE 105,PALM BEACH GARDENS,FL,USA,33410-6548,561-627-4601,561-627-8558,,,,,,,Approved,6/15/1998,4/14/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"10,000,000.00","18,000,000.00","28,000,000.00",18,60,78,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153584,801-71362,"SCIENS INVESTMENT MANAGEMENT, LLC","SCIENS INVESTMENT MANAGEMENT, LLC",667 MADISON AVENUE,5TH FLOOR,NEW YORK,NY,UNITED STATES,10065,(212) 471-6100,(212) 471-6199,,,,,,,Approved,4/23/2010,4/14/2010,Y,WWW.SCIENSAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,10-Jun,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,OTHER ADVISORY ENTITIES,Y,N,N,N,N,Y,N,,Y,"97,000,000.00",0,"97,000,000.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER FOR MANAGED ACCOUNTS AND OTHER ADVISORY ENTITIES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111410,801-56823,VIOLICH CAPITAL MANAGEMENT,VIOLICH CAPITAL MANAGEMENT,580 CALIFORNIA STREET,SUITE 1420,SAN FRANCISCO,CA,UNITED STATES,94104,415-217-4444,415-217-3240,,,,,,,Approved,9/3/1999,4/14/2010,Y,VIOLICHCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"533,546,383.00",0,"533,546,383.00",281,0,281,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,104547,801-57420,"OBERON FINANCIAL TECHNOLOGY, INC.","OBERON FINANCIAL TECHNOLOGY, INC.",150 MATHILDA PLACE,SUITE 306,SUNNYVALE,CA,UNITED STATES,94086,(408) 962-7878,(408) 962-7850,,,,,,,Approved,4/3/2000,4/14/2010,Y,WWW.OBERONFT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,"1,000",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"236,745,140.00",0,"236,745,140.00","1,472",0,"1,472",N,Y,N,Y,N,Y,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,148781,801-69908,"CAPWEALTH ADVISORS, LLC","CAPWEALTH ADVISORS, LLC",810 CRESCENT CENTRE DRIVE,SUITE 501,FRANKLIN,TN,UNITED STATES,37067-6251,615-778-0740,615-778-0750,,,,,,,Approved,1/29/2009,4/14/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"360,449,518.00","10,001,603.00","370,451,121.00",800,46,846,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,142910,801-67860,"PINNACLE INVESTMENTS, LLC","PINNACLE INVESTMENTS, LLC","507 PLUM ST, STE 120",,SYRACUSE,NY,UNITED STATES,13204,315-251-1101,315-251-1110,,,,,,,Approved,5/18/2007,4/14/2010,Y,WWW.PINNACLEINVESTMENTS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"85,674,310.00",0,"85,674,310.00",445,0,445,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,Y,Y,Y,Y,N,N,Y,N,N,,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,151635,801-70618,"ELEMENTUM ADVISORS, LLC","ELEMENTUM ADVISORS, LLC",10 S. LASALLE ST,SUITE 2525,CHICAGO,IL,UNITED STATES,60603,312-281-4688,312-281-4648,,,,,,,Approved,9/30/2009,4/14/2010,Y,WWW.ELEMENTUMADVISORS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,INVESTMENT ADVISERS,Y,N,N,N,N,Y,N,,Y,"339,198,514.00",0,"339,198,514.00",6,0,6,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HEDGE FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,118745,801-61083,R.N. CROFT FINANCIAL GROUP INC.,R.N. CROFT FINANCIAL GROUP INC.,1315 LAWRENCE AVENUE EAST,SUITE 408,"TORONTO, ONTARIO",,CANADA,M3A 3R3,416-752-7991,416-752-4895,,,,,,,Approved,4/16/2002,10/4/2005,Y,WWW.CROFTGROUP.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,5-Jan,0,5-Jan,0,0,0,Nov-50,0,251-500,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"225,000,000.00",0,"225,000,000.00",300,0,300,Y,Y,Y,N,N,N,N,N,N,N,,101-250,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110645,801-18825,ISC FINANCIAL ADVISORS,INDEPENDENT SERVICE CO INC,"7760 FRANCE AVENUE SOUTH, #270",,MINNEAPOLIS,MN,UNITED STATES,55435-4484,952-835-1560,952-835-1745,,,,,,,Approved,7/8/1983,3/9/2010,Y,WWW.ISCFINANCIALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"172,423,752.00","175,832,218.00","348,255,970.00",752,207,959,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,133697,801-63790,SCHAEFFER FINANCIAL LLC,SCHAEFFER FINANCIAL LLC,ONE CHURCH STREET,SUITE 901,ROCKVILLE,MD,UNITED STATES,20850,301-933-5550,301-949-7034,,,,,,,Approved,1/3/2005,3/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,NEGOTIATED RATES BASED ON EST. TIME SPENT ON SPECIFIC PROJECT,Y,"81,438,772.00",0,"81,438,772.00",317,0,317,Y,Y,N,N,N,Y,N,N,N,Y,ADVR PROVIDES CONSULTING SERVICES IN RESPONSE TO SPECIFIC QUEST ASKED THRU A WEBSITE PLATFORM PROVIDING CONSUMERS WITH AN ONLINE,251-500,,N,N,N,N,N,N,N,N,N,,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108583,801-56181,VALLEY VIEW CONSULTING LLC,VALLEY VIEW CONSULTING LLC,,,,,,,(540)297-3419,(540)297-3758,,,,,,,Approved,1/8/1999,3/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,Y,N,Y,N,N,Y,PER TRANSACTION,Y,0,"707,397,962.00","707,397,962.00",0,16,16,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,133037,801-63743,"PERGAMON ADVISORS, LLC","PERGAMON ADVISORS, LLC",590 MADISON AVENUE,30TH FLOOR,NEW YORK,NY,USA,10022,212-838-7000,212-838-7594,,,,,,,Approved,1/3/2005,3/9/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"20,701,416.00",0,"20,701,416.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,122215,801-62574,"LENTZ+LENTZ STRATEGIC INVESTMENT ADVISORS, INC.","LENTZ+LENTZ STRATEGIC INVESTMENT ADVISORS, INC.",375 VASSAR ST,,RENO,NV,UNITED STATES,89502,775-323-1990,775-323-2481,,,,,,,Approved,1/2/2004,3/9/2010,Y,LENTZANDLENTZ.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"51,500,000.00","51,500,000.00",0,330,330,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,142367,801-67399,"AVIANCE CAPITAL MANAGEMENT, LLC","AVIANCE CAPITAL MANAGEMENT, LLC",2080 RINGLING BLVD,,SARASOTA,FL,UNITED STATES,34237,941-441-1635,941-441-1692,,,,,,,Approved,1/3/2007,3/9/2010,Y,WWW.AVIANCECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,10-Jan,0,Up to 10 percent,Up to 10 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,26-50 percent,OTHER REGISTERED INVESTMENT ADVISERS,Y,N,N,N,N,N,N,,Y,"280,978,000.00",0,"280,978,000.00",9,0,9,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109496,801-57911,THE JOSEPH GROUP CAPITAL MANAGEMENT,"THE JOSEPH GROUP, INC.",300 MARCONI BLVD.,SUITE 106,COLUMBUS,OH,UNITED STATES,43215,614-228-4300,614-629-0050,,,,,,,Approved,9/22/2000,3/9/2010,Y,WWW.JOSEPHGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"182,087,535.00","42,363,231.00","224,450,766.00",850,"1,280","2,130",Y,Y,N,Y,Y,Y,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,127826,801-62662,TRAJECTORY ASSET MANAGEMENT LLC,TRAJECTORY ASSET MANAGEMENT LLC,"150 EAST 52ND ST., 7TH FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-755-5070,212-755-0106,,,,,,,Approved,1/16/2004,3/9/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"281,044,059.00",0,"281,044,059.00",2,0,2,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108676,801-56452,HELLER CAPITAL RESOURCES,HELLER CAPITAL RESOURCES FINANCIAL & INSURANCE SERVICES INC.,"11835 OLYMPIC BLVD, SUITE 360",,LOS ANGELES,CA,USA,90064,310-473-5445,310-473-5775,,,,,,,Approved,4/16/1999,3/9/2010,Y,WWW.HELLERFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,Up to 10 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"314,108,458.00",0,"314,108,458.00","1,609",0,"1,609",Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,114699,801-60615,"IRI INVESTMENT, LLC","IRI INVESTMENT, LLC",8001 IRVINE CENTER DRIVE,SUITE 820,IRVINE,CA,USA,92618,949-910-1112,949-910-1117,,,,,,,Approved,10/11/2001,3/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"52,000,000.00",0,"52,000,000.00",10,0,10,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,130655,801-67616,KRISS INVESTMENT GROUP LLC,KRISS INVESTMENT GROUP LLC,,,,,,,415-289-0596,415-873-1562,BOX 7775 #20915,,SAN FRANCISCO,CA,UNITED STATES,94120-7775,Approved,3/7/2007,3/9/2010,Y,HTTP://WWW.KRISSINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"69,117,468.00",0,"69,117,468.00",29,0,29,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108740,801-55059,PACWEST FINANCIAL MANAGEMENT INC,"PACWEST FINANCIAL MANAGEMENT, INC.",1643 E. BETHANY HOME RD.,,PHOENIX,AZ,USA,85016,602-997-8882,602-997-8887,,,,,,,Approved,11/25/1997,3/9/2010,Y,WWW.PACWESTFN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"201,203,520.00",0,"201,203,520.00",439,0,439,Y,Y,N,Y,N,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,114093,801-62709,LIGHTHOUSE FINANCIAL PLANNING,"LIGHTHOUSE FINANCIAL PLANNING, LLC","101 PARK SHORE DRIVE, SUITE 100",,FOLSOM,CA,USA,95630,916-932-7200,916-932-7201,,,,,,,Approved,2/20/2004,3/9/2010,Y,WWW.FINANCIALDOC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"40,800,439.00",0,"40,800,439.00",359,0,359,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,130624,801-63002,FOSTER INVESTMENT CONSULTING LLC,FOSTER INVESTMENT CONSULTING LLC,801 S. FIGUEROA STREET,SUITE 2100,LOS ANGELES,CA,UNITED STATES,90017-2457,213-612-7667,213-612-0877,,,,,,,Approved,4/14/2004,3/9/2010,Y,WWW.FOSTERIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"20,586,461.00","117,661,854.00","138,248,315.00",148,226,374,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105888,801-36794,"EMPYRION WEALTH MANAGEMENT, INC.","EMPYRION WEALTH MANAGEMENT, INC.",3741 DOUGLAS BLVD STE 130,,ROSEVILLE,CA,USA,95661,916-786-7626,916-773-3287,,,,,,,Approved,7/13/1990,3/9/2010,Y,WWW.EMPYRIONWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"126,472,953.00","30,220.00","126,503,173.00",466,1,467,Y,Y,N,N,N,N,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106820,801-36972,CHIPCO ASSET MANAGEMENT,CHIPCO ASSET MANAGEMENT LLC,950 THIRD AVENUE,30TH FL,NEW YORK,NY,USA,10022,212-223-6500,212-223-2222,,,,,,,Approved,7/19/1990,3/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"91,685,973.00",0,"91,685,973.00",55,0,55,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106065,801-21385,"SIT INVESTMENT FIXED INCOME ADVISORS, INC.","SIT INVESTMENT FIXED INCOME ADVISORS, INC.",3300 IDS CENTER,80 SOUTH EIGHTH STREET,MINNEAPOLIS,MN,USA,55402,612-332-3223,612-344-1210,,,,,,,Approved,6/6/1984,3/9/2010,Y,WWW.SITINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"696,686,140.00",0,"696,686,140.00",16,0,16,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108271,801-55201,"SIT FIXED INCOME ADVISORS II, LLC","SIT FIXED INCOME ADVISORS II, LLC",3300 IDS CENTER,80 SOUTH 8TH STREET,MINNEAPOLIS,MN,USA,55402,612-332-3223,612-344-1210,,,,,,,Approved,1/27/1998,3/9/2010,Y,WWW.SITINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,0 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,Y,SEE RESPONSE TO PART II ITEM 1.D.,Y,"4,246,793,776.00","83,263,559.00","4,330,057,335.00",134,2,136,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107036,801-49692,LONG WHARF INVESTORS,LONG WHARF INVESTORS INC,12 POST OFFICE SQUARE,,BOSTON,MA,UNITED STATES,2109,617-338-9393,617-338-9394,,,,,,,Approved,7/1/1995,3/9/2010,Y,WWW.LONG-WHARF.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"183,741,831.00",0,"183,741,831.00",135,0,135,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,130567,801-62928,SWEENEY ASSET MANAGEMENT LLC,SWEENEY ASSET MANAGEMENT LLC,,,,,,,615-714-7264,,,,,,,,Approved,3/26/2004,3/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"88,765,184.00",0,"88,765,184.00",48,0,48,Y,Y,N,Y,N,Y,Y,N,Y,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105270,801-18765,"THE FAMILY FIRM, INC.","THE FAMILY FIRM, INC.",8120 WOODMONT AVENUE,SUITE 630,BETHESDA,MD,USA,20814,301-656-3999,301-656-0935,,,,,,,Approved,4/11/1983,3/9/2010,Y,WWW.FAMILYFIRM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"299,286,187.00","22,289,427.00","321,575,614.00","1,103",218,"1,321",Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,114949,801-60508,MADISON SCOTTSDALE,"MADISON SCOTTSDALE, LC",8777 N. GAINEY CENTER DRIVE,SUITE 220,SCOTTSDALE,AZ,UNITED STATES,85258,480-596-3338,480-596-3303,,,,,,,Approved,8/31/2001,3/9/2010,Y,WWW.MADISONSCOTTSDALE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,INSURANCE COMPANIES,Y,N,N,Y,N,N,N,,Y,"1,793,069,036.00","2,976,394.00","1,796,045,430.00",44,1,45,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR INSURANCE COMPANIES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,139673,801-66269,"WARD FINANCIAL ADVISORS, LTD.","WARD FINANCIAL ADVISORS, LTD.",1925 GADSDEN STREET,,COLUMBIA,SC,UNITED STATES,29201-2346,803-929-0720,803-929-0721,,,,,,,Approved,3/6/2006,3/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"67,144,045.00","4,321,094.00","71,465,139.00",68,4,72,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,112769,801-55989,CREDICORP SECURITIES INC,CREDICORP SECURITIES INC,CREDICORP BANK BLDG 50TH STREET,,PANAMA 0833,,PANAMA,,-8919,011(507) 210-0413,PO BOX 833-0125,,PANAMA 0833,,PANAMA,0,Approved,1/6/1999,8/10/2009,Y,WWW.CREDISEC.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,PANAMA,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"16,310,936.00","5,359,939.00","21,670,875.00",39,7,46,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,N,Y,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104585,801-55408,AMERITOR FINANCIAL CORP,AMERITOR FINANCIAL CORP,4400 MACARTHUR BLVD NW,SUITE 301,WASHINGTON,DC,UNITED STATES,20007-2521,202-625-6000,202-625-2555,,,,,,,Approved,4/21/1998,8/10/2009,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"376,023.00",0,"376,023.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,10489,801-66098,"CALDWELL SECURITIES, INCORPORATED","CALDWELL SECURITIES, INC.",30 LIBERTY SHIP WAY #3200,,SAUSALITO,CA,UNITED STATES,94965-1757,415-962-2526,415-332-1838,,,,,,,Approved,2/8/2006,8/2/2010,Y,HTTP://WWW.CALD.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"38,320,257.00","38,320,257.00",0,168,168,N,Y,N,N,N,N,N,N,N,Y,WE FURNISH NON-DISCRETIONARY ADVICE CONCERNING A LIMITED NUMBER OF SECURITIES TO INDIVIDUAL INVESTORS.,0,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,42803,801-54952,"VALIC FINANCIAL ADVISORS, INC.","VALIC FINANCIAL ADVISORS, INC.",2929 ALLEN PKWY; L4-01,,HOUSTON,TX,UNITED STATES,77019,877-737-2650,713-831-5931,PO BOX 3206,,HOUSTON,TX,UNITED STATES,77253,Approved,10/10/1997,8/2/2010,Y,WWW.VALIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,More than 1000,"2,000",More than 1000,"2,000",More than 1000,"2,000",0,0,More than 500,"15,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"7,876,683,194.00",0,"7,876,683,194.00","303,071",0,"303,071",Y,Y,N,N,Y,N,N,N,N,Y,RECOMMEND WRAP ACCOUNTS TO CLIENTS,More than 500,15000,Y,N,Y,N,N,N,Y,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,Y,Y,Y,N
ARO,110955,801-20842,CLARK FINANCIAL ADVISORS,"B, B, H, & B INC.",4128 CROSSHAVEN DRIVE,,BIRMINGHAM,AL,UNITED STATES,35243,205-298-8480,205-298-8470,P O BOX 43828,,BIRMINGHAM,AL,UNITED STATES,35243,Approved,3/16/1984,8/2/2010,Y,WWW.CLARKFINANCIALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"126,102,000.00",0,"126,102,000.00",600,0,600,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,15168,801-34964,"OPPENHEIMER & CLOSE, INC.","OPPENHEIMER & CLOSE, INC.",119 W 57TH STREET,SUITE 1515,NEW YORK,NY,UNITED STATES,10019-2303,212-489-7527,212-489-1626,,,,,,,Approved,8/10/1989,8/2/2010,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"222,491,768.00","6,358,405.00","228,850,173.00",202,4,206,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,Y,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,3767,801-37145,"WILEY BROS.-AINTREE CAPITAL, LLC","WILEY BROS.-AINTREE CAPITAL, LLC",40 BURTON HILLS BLVD.,SUITE 350,NASHVILLE,TN,UNITED STATES,37215,615-255-6431,615-782-4111,,,,,,,Approved,10/25/1990,8/2/2010,Y,WILEYBROS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,Y,Y,Y,Y,Y,PERFORMANCE FEE,Y,"95,701,570.00","118,485,835.00","214,187,405.00",182,250,432,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,Y,Y,Y,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
PLRO,114639,801-61027,"CAPES CAPITAL MANAGEMENT, INC.","CAPES CAPITAL MANAGEMENT, INC.",300 W. FREEMASON STREET,SUITE 200,NORFOLK,VA,UNITED STATES,23510,757-622-8514,757-622-8441,,,,,,,Approved,3/25/2002,8/2/2010,Y,WWW.CAPESCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"58,702,438.00","1,487,930.00","60,190,368.00",146,5,151,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,119086,801-64333,WILLIAMS PALMER,"WILLIAMS PALMER, LLC",777 108TH AVENUE NE,SUITE 2045,BELLEVUE,WA,UNITED STATES,98004,425-637-3037,425-635-5120,,,,,,,Approved,5/19/2005,8/2/2010,Y,WWW.WILLIAMSPALMER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"50,755,000.00",0,"50,755,000.00",280,0,280,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,151721,801-70663,"TRINITY PORTFOLIO ADVISORS, LLC","TRINITY PORTFOLIO ADVISORS, LLC",777 MAIN STREET,SUITE 2280,FORT WORTH,TX,UNITED STATES,76102,817-334-2344,817-336-5736,,,,,,,Approved,10/21/2009,8/2/2010,Y,WWW.TRINITYPORTFOLIO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"283,924,948.00",0,"283,924,948.00","1,170",0,"1,170",Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,Y,Y,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107502,801-53527,THE CYPRESS FUNDS LLC,THE CYPRESS FUNDS LLC,865 S. FIGUEROA STREET,SUITE 700,LOS ANGELES,CA,UNITED STATES,90017,213-891-6375,213-891-6343,,,,,,,Approved,12/26/1996,8/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"252,840,019.00",0,"252,840,019.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,112337,801-42175,OAKMONT CORPORATION,OAKMONT CORPORATION,865 S. FIGUEROA STREET,SUITE 700,LOS ANGELES,CA,UNITED STATES,90017,213-891-6300,213-891-6330,,,,,,,Approved,9/3/1992,8/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"458,782,763.00","1,114,237.00","459,897,000.00",21,2,23,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,44575,801-56355,"COMPREHENSIVE PROGRAMS, INC.","COMPREHENSIVE PROGRAMS, INC.",513 CENTENNIAL BLVD.,,VOORHEES,NJ,USA,8043,856-874-1250,856-874-1255,,,,,,,Approved,12/16/1999,8/2/2010,Y,WWW.CPICAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"45,077,353.00","45,077,353.00",0,119,119,Y,Y,N,N,Y,Y,N,N,N,N,,25-Nov,,N,N,Y,Y,N,N,Y,N,N,,Y,N,Y,Y,N,Y,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111264,801-54994,BAKER TILLY INVESTMENT ADVISORS,BAKER TILLY INVESTMENT ADVISORS,TEN TERRACE COURT,,MADISON,WI,UNITED STATES,53718,608-249-6622,608-249-0590,POST OFFICE BOX 7398,,MADISON,WI,UNITED STATES,53707-7398,Approved,10/23/1997,8/2/2010,Y,WWW.BAKERTILLY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,500,11-25 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,036,978,242.00","118,841,188.00","1,155,819,430.00","2,514",354,"2,868",Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,Y,N,Y,Y,Y,N,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,147381,801-69239,MILLER TABAK ASSET MANAGEMENT,"MT ASSET MANAGEMENT, LLC",331 MADISON AVE.,,NEW YORK,NY,USA,10017,212-370-0040,212-850-8102,,,,,,,Approved,6/23/2008,8/2/2010,Y,WWW.MILLERTABAKAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"250,000,000.00",0,"250,000,000.00",150,0,150,N,Y,N,Y,N,N,N,N,N,Y,STRATEGY RESEARCH,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N
MIRO,139781,801-71282,DUNAMIS INVESTMENT LLC,DUNAMIS INVESTMENT LLC,,,,,,,305-776-6986,305-365-0786,,,,,,,Approved,4/12/2010,8/2/2010,Y,WWW.DUNAMISLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"1,000,000.00","32,000,000.00","33,000,000.00",4,4,8,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,134641,801-64189,"COBB RETIREMENT SOLUTIONS, LLC","COBB RETIREMENT SOLUTIONS, LLC",1035 DAIRY ASHFORD,SUITE 340,HOUSTON,TX,USA,77079,713.660.9605,281.920.9920,1035 DAIRY ASHFORD,SUITE 340,HOUSTON,TX,USA,77079,Approved,4/21/2005,8/2/2010,Y,WWW.COBB-RETIREMENT.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,51-75 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"1,356,825,361.00","1,356,825,361.00",0,23,23,Y,N,N,N,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,112124,801-55004,"H. L. LICHSTRAHL & COMPANY, LLC","H. L. LICHSTRAHL & COMPANY, LLC",3976 CHAIN BRIDGE ROAD,,FAIRFAX,VA,USA,22030-3300,703-934-4777,703-934-5574,P.O. BOX 309,,FAIRFAX,VA,,22038-0309,Approved,11/13/1997,8/2/2010,Y,WWW.LICHSTRAHL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"37,506,339.00",0,"37,506,339.00",30,0,30,N,Y,N,Y,N,N,N,N,N,Y,CONSULTING,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126589,801-62111,"HAROLD C. BROWN & CO., LLC","HAROLD C. BROWN & CO., LLC",ONE HSBC CENTER,SUITE 3800,BUFFALO,NY,USA,14203,716-854-2500,716-847-6142,,,,,,,Approved,6/6/2003,8/2/2010,Y,WWW.HCB.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"2,000",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"672,313,445.00","66,957,779.00","739,271,224.00","1,821",153,"1,974",Y,Y,N,N,N,N,N,N,N,Y,EDUCATIONAL SERVICES,25-Nov,,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105846,801-47835,WEST CHESTER CAPITAL ADVISORS INC,WEST CHESTER CAPITAL ADVISORS INC,106 SOUTH CHURCH STREET,,WEST CHESTER,PA,UNITED STATES,19382-3231,610-692-4905,610-429-4559,,,,,,,Approved,11/14/1994,8/2/2010,Y,WWW.WCCADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"99,799,609.00","594,601.00","100,394,210.00",196,1,197,N,Y,N,Y,N,N,Y,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,113598,801-60349,ASSET ALLIANCE ADVISORS INC.,ASSET ALLIANCE ADVISORS INC.,"800 THIRD AVENUE, 22ND FL.",,NEW YORK,NY,USA,10022,212-207-8786,212-207-8785,,,,,,,Approved,6/13/2001,8/2/2010,Y,WWW.ASSETALLIANCE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"30,655,454.00",0,"30,655,454.00",3,0,3,N,N,N,Y,N,Y,N,N,N,Y,POOLED INVESTMENT VEHICLES,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109247,801-55696,PRIVATE ADVISORS LLC,PRIVATE ADVISORS LLC,1800 BAYBERRY COURT,SUITE 300,RICHMOND,VA,UNITED STATES,23226,804-289-6000,804-289-6001,,,,,,,Approved,7/6/1998,8/2/2010,Y,WWW.PRIVATEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,51-250,0,Nov-50,0,0,0,Nov-50,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,ENDOWMENTS,Y,N,N,Y,N,Y,N,,Y,"3,203,725,000.00","322,772,000.00","3,526,497,000.00",33,10,43,N,Y,N,Y,N,N,N,N,N,Y,PROVIDE INVESTMENT SUPERVISORY SERVICES AND FURNISH INVESTMENT ADVICE THROUGH CONSULTATIONS,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,10547,801-46287,PIM FINANCIAL SERVICES INC,"PIM FINANCIAL SERVICES, INC.",1282 PACIFIC OAKS PLACE,,ESCONDIDO,CA,UNITED STATES,92029,760-471-8536,760-471-0132,,,,,,,Approved,5/19/1994,8/2/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"5,000,000.00","5,000,000.00",0,25,25,Y,N,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,N,N,Y,N
ARO,154394,801-71648,MILLARD & CO.,MILLARD & CO.,69 OAK RIDGE CIRCLE,,COLUMBUS,NC,UNITED STATES,28722,828-817-2999,828-817-2999,,,,,,,120-Day Approval,7/6/2010,8/2/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,118006,801-60886,"SMART FINANCIAL ADVISORS, LLC","SMART FINANCIAL ADVISORS, LLC",80 LANCASTER AVENUE,SUITE 100,DEVON,PA,USA,19333,610-254-0700,610-947-1910,,,,,,,Approved,2/1/2002,6/27/2006,Y,WWW.SMARTFINLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"111,857,910.00","111,857,910.00",0,611,611,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,129027,801-62503,PRIVATE LINE LLC,PRIVATE LINE LLC,208 BEACON ST,,MARBLEHEAD,MA,USA,1945,781-631-1123,781-631-6692,PO BOX 40,,MARBLEHEAD,MA,USA,1945,Approved,11/21/2003,5/12/2004,Y,WWW.PRIVATELINELLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"50,000,000.00","50,000,000.00",0,18,18,Y,N,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,35800,801-63879,PHILLIPS & COMPANY,PHILLIPS & COMPANY SECURITIES INC.,1300 SW FIFTH AVE,SUITE 2100,PORTLAND,OR,USA,97201,503-224-0858,503-224-8207,,,,,,,Approved,2/18/2005,9/25/2009,Y,WWW.PHILLIPSANDCO.COM,N,N,N,N,N,N,N,N,N,Y,N,N,N,Corporation,,OR,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,500",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"260,000.00","23,640,000.00","23,900,000.00",2,374,376,N,Y,N,Y,Y,Y,N,N,N,Y,FOUNDATION AND ENDOWMENT CONSULTING,0,,N,N,Y,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,110921,801-48596,ERNST & YOUNG INVESTMENT ADVISERS LLP,ERNST & YOUNG INVESTMENT ADVISERS LLP,200 PLAZA DRIVE,SUITE 2222,SECAUCUS,NJ,USA,7094,201-872-6547,201-872-4200,,,,,,,Approved,4/7/1995,9/28/2009,Y,WWW.EY.COM,N,N,N,N,N,N,N,N,N,N,N,Y,N,Limited Liability Partnership,,DE,UNITED STATES,51-250,0,51-250,0,0,0,5-Jan,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,N,,More than 500,100000,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N
HQ,110822,801-57009,LEE OVERLAY PARTNERS LTD,LEE OVERLAY PARTNERS LTD,"GRAND MILL QUAY, BARROW STREET",,DUBLIN 4,,IRELAND,,+ 353 1 660 2852,+ 353 1 660 2948,,,,,,,Approved,12/23/1999,9/28/2009,Y,WWW.LEE-OVERLAY.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,IRELAND ,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,436,000,000.00",0,"4,436,000,000.00",9,0,9,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,144928,801-68290,GLUSKIN SHEFF + ASSOCIATES INC,GLUSKIN SHEFF + ASSOCIATES INC,181 BAY STREET,"SUITE 4600, BROOKFIELD PLACE",TORONTO        ON,,CANADA,M5J2T3,416-681-6000,416-681-6060,,,,,,,Approved,10/15/2007,9/28/2009,Y,WWW.GLUSKINSHEFF.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",51-250,0,Nov-50,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"65,471,000.00",0,"65,471,000.00",42,0,42,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,130324,801-62869,"MCGREGOR FINANCIAL ADVISORS, LLC","MCGREGOR FINANCIAL ADVISORS, LLC",3830 FOREST DR,,COLUMBIA,SC,UNITED STATES,29204,803-787-0003,803-787-2299,P O BOX 135,,COLUMBIA,SC,UNITED STATES,29202,Approved,3/4/2004,10/29/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"38,604,000.00",0,"38,604,000.00",90,0,90,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,133415,801-63862,"SCHENLEY CAPITAL, INC","SCHENLEY CAPITAL, INC",,,,,,,412-749-9256,412-774-1918,,,,,,,Approved,3/14/2005,10/30/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,Y,REFERRAL FEES,Y,"18,955,222.00","36,671,467.00","55,626,689.00",65,10,75,Y,Y,N,N,N,Y,N,N,N,Y,CONSULTING SERVICES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110737,801-58209,"NAVITAS, LTD.","NAVITAS, LTD.",100 MONTGOMERY ST. SUITE 1235,,SAN FRANCISCO,CA,UNITED STATES,94104,415-765-1778,415-834-1641,,,,,,,Approved,12/28/2000,10/30/2009,Y,WWW.NAVITASLTD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"69,460,292.00","10,817,609.00","80,277,901.00",40,28,68,Y,N,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,125371,801-66505,"THOMPSON CONSULTING, INC.","THOMPSON CONSULTING, INC.",6995 S UNION PARK CENTER,SUITE 320,COTTONWOOD HEIGHTS,UT,USA,84047-5503,801-255-4422,801-569-2273,,,,,,,Approved,5/15/2006,7/18/2007,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,Y,ADMINISTRATION FEE,Y,"63,056,324.00",0,"63,056,324.00",5,0,5,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108237,801-49079,MIDAS MANAGEMENT CORPORATION,MIDAS MANAGEMENT CORPORATION,11 HANOVER SQUARE,,NEW YORK,NY,USA,10005,212-480-6432,212-363-1102,,,,,,,Approved,5/9/1995,3/30/2010,Y,WWW.MIDASFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"172,340,964.00",0,"172,340,964.00",3,0,3,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,134289,801-63978,FAIRVIEW CONSTITUTION MANAGEMENT II LLC,FAIRVIEW CONSTITUTION MANAGEMENT II LLC,75 ISHAM ROAD,SUITE 200,WEST HARTFORD,CT,UNITED STATES,6107,860-674-8066,860-678-5108,,,,,,,Approved,3/9/2005,3/30/2010,Y,WWW.FAIRVIEWCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,FUND-OF-FUNDS,Y,N,N,N,N,Y,N,,Y,"201,000,000.00",0,"201,000,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,117892,801-60849,"VERATIS INSTITUTIONAL ADVISORS, INC.","VERATIS INVESTMENT GROUP, INC.",1400 CRESCENT GREEN,SUITE 110,CARY,NC,UNITED STATES,27518-8118,919-460-8875,919-460-9071,,,,,,,Approved,1/18/2002,3/30/2010,Y,WWW.VERATISADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"332,728,284.00","332,728,284.00",0,27,27,N,N,N,Y,Y,N,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,140070,801-66474,FAIRVIEW VENTURE MANAGEMENT III LLC,FAIRVIEW VENTURE MANAGEMENT III LLC,75 ISHAM ROAD,SUITE 200,WEST HARTFORD,CT,UNITED STATES,6107,860-674-8066,860-678-5108,,,,,,,Approved,4/18/2006,3/30/2010,Y,WWW.FAIRVIEWCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,FUND-OF-FUNDS,Y,N,N,N,N,Y,N,,Y,"209,743,500.00",0,"209,743,500.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106631,801-5097,"THE PUTNAM ADVISORY COMPANY, LLC","THE PUTNAM ADVISORY COMPANY, LLC",ONE POST OFFICE SQUARE,,BOSTON,MA,UNITED STATES,2109,617-292-1000,617-292-1625,,,,,,,Approved,10/7/1968,3/30/2010,Y,WWW.PUTNAM.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,251-500,0,51-250,0,Nov-50,0,0,0,101-250,0,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,51-75 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,"INCUBATED ACCOUNTS, FOREIGN GOVERNMENTS AND THEIR AGENCIES AND INSTRUMENTALITIES",Y,N,N,N,N,Y,N,,Y,"37,512,309,836.00","64,596,049.00","37,576,905,885.00",147,2,149,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107094,801-37885,MARKEL-GAYNER ASSET MANAGEMENT CORPORATION,MARKEL-GAYNER ASSET MANAGEMENT CORPORATION,4521 HIGHWOODS PKWY,,GLEN ALLEN,VA,UNITED STATES,23060,804-527-3806,804-527-3810,,,,,,,Approved,12/7/1990,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,491,271,618.00",0,"1,491,271,618.00",150,0,150,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107382,801-48599,ADELANTE CAPITAL MANAGEMENT LLC,ADELANTE CAPITAL MANAGEMENT LLC,555 12TH STREET,SUITE 2100,OAKLAND,CA,USA,94607-4046,510-986-2100,510-268-0663,,,,,,,Approved,3/3/1995,3/30/2010,Y,WWW.ADELANTE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,FOUNDATIONS,Y,N,N,Y,N,Y,N,,Y,"2,025,832,042.00","280,020,697.00","2,305,852,739.00",371,4,375,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,143217,801-67642,"FAIRVIEW CONSTITUTION MANAGEMENT III, LLC","FAIRVIEW CONSTITUTION MANAGEMENT III, LLC",75 ISHAM ROAD,SUITE 200,WEST HARTFORD,CT,UNITED STATES,6107,860-674-8066,860-678-5108,,,,,,,Approved,4/11/2007,3/30/2010,Y,WWW.FAIRVIEWCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,FUND-OF-FUNDS,Y,N,N,N,N,Y,N,,Y,"301,500,000.00",0,"301,500,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,132311,801-64130,"BASSO CAPITAL MANAGEMENT, L.P.","BASSO CAPITAL MANAGEMENT, L.P.",1266 EAST MAIN STREET,4TH FLOOR,STAMFORD,CT,UNITED STATES,6902,203 352-6100,203 352-6191,,,,,,,Approved,4/12/2005,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"556,578,602.00",0,"556,578,602.00",10,0,10,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES AND MANAGED ACCOUNTS,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106629,801-7974,"PUTNAM INVESTMENT MANAGEMENT, LLC","PUTNAM INVESTMENT MANAGEMENT, LLC",ONE POST OFFICE SQUARE,,BOSTON,MA,UNITED STATES,2109,617-292-1000,617-292-1625,,,,,,,Approved,11/19/1971,3/30/2010,Y,WWW.PUTNAM.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,251-500,0,51-250,0,5-Jan,0,0,0,101-250,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,INCUBATED ACCOUNTS,Y,N,N,N,N,Y,N,,Y,"66,532,975,032.00",0,"66,532,975,032.00",193,0,193,N,N,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
PLRO,104812,801-24702,QUAKER CAPITAL MANAGEMENT CORP,QUAKER CAPITAL MANAGEMENT CORP,601 TECHNOLOGY DRIVE,SUITE 310,CANONSBURG,PA,UNITED STATES,15317,412-281-1948,724-746-0174,,,,,,,Approved,6/27/1985,3/30/2010,Y,HTTP://WWW.QUAKERCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"709,800,000.00",0,"709,800,000.00",109,0,109,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,130346,801-62778,"RIVERSTONE ADVISORS, LLC","RIVERSTONE ADVISORS, LLC",700 WHITE PLAINS ROAD,SUITE 313,SCARSDALE,NY,USA,10583,914-722-1700,914-472-1840,,,,,,,Approved,2/12/2004,3/30/2010,Y,WWW.RIVERSTONEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"88,384,248.00",0,"88,384,248.00",101,0,101,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,142616,801-67357,"MTX WEALTH MANAGEMENT, LLC","MTX WEALTH MANAGEMENT, LLC",7475 WISCONSIN AVENUE,SUITE 600,BETHESDA,MD,UNITED STATES,20814,240-482-4180,240-482-4181,,,,,,,Approved,1/3/2007,3/30/2010,Y,WWW.MTXWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"343,778,524.00",0,"343,778,524.00",727,0,727,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107027,801-39950,FIRST TRUST ADVISORS LP,FIRST TRUST ADVISORS LP,120 E. LIBERTY DRIVE,SUITE 400,WHEATON,IL,UNITED STATES,60187,630-765-8000,630-765-8610,,,,,,,Approved,10/4/1991,3/30/2010,Y,WWW.FTPORTFOLIOS.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,IL,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"6,000",51-75 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,CERTAIN FIXED FEES PER UNIT PROVIDED TO UITS,Y,"9,683,569,920.00","17,543,966,000.00","27,227,535,920.00","4,396","1,315","5,711",N,Y,Y,Y,N,Y,Y,Y,N,N,,0,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,143495,801-67691,"FAIRVIEW CERES PARTNERS, LLC","FAIRVIEW CERES PARTNERS, LLC",75 ISHAM ROAD,SUITE 200,WEST HARTFORD,CT,UNITED STATES,6107,860-674-8066,860-678-5108,,,,,,,Approved,4/23/2007,3/30/2010,Y,WWW.FAIRVIEWCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,FUND-OF-FUNDS,Y,N,N,N,N,Y,N,,Y,"201,000,000.00",0,"201,000,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111224,801-54228,HENNESSEE HEDGE FUND ADVISORY GROUP,HENNESSEE GROUP LLC,500 FIFTH AVENUE SUITE 3130,,NEW YORK,NY,UNITED STATES,10110,212-857-4400,212-768-8190,,,,,,,Approved,4/15/1997,3/30/2010,Y,WWW.HENNESSEEGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,Y,N,N,N,N,,Y,0,"275,530,185.00","275,530,185.00",0,35,35,N,N,N,N,N,N,Y,N,N,Y,FURNISHES INVESTMENT ADVICE THROUGH CONSULTATIONS,,,N,N,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104962,801-28329,CEF ADVISERS INC,CEF ADVISERS INC,11 HANOVER SQ,,NEW YORK,NY,UNITED STATES,10005,212-344-6310,212-363-1102,,,,,,,Approved,10/31/1986,3/30/2010,Y,WWW.CLOSEDENDFUNDS.NET,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"39,268,424.00",0,"39,268,424.00",2,0,2,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,111748,801-57832,"COUNCILMARK ASSET MANAGEMENT, LLC","COUNCILMARK ASSET MANAGEMENT, LLC","DOME BUILDING, SUITE 401",736 GEORGIA AVENUE,CHATTANOOGA,TN,USA,37402,423-424-2299,423-267-4889,,,,,,,Approved,8/17/2000,3/30/2010,Y,WWW.COUNCILMARK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"100,008,201.00","20,062,916.00","120,071,117.00",67,3,70,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,130781,801-63065,"OAKLAND WEALTH MANAGEMENT, INC.","OAKLAND WEALTH MANAGEMENT, INC.",24800 DENSO DRIVE,SUITE 260,SOUTHFIELD,MI,USA,48033,800-914-3610,800-914-3610,,,,,,,Approved,4/29/2004,3/30/2010,Y,WWW.OAKLANDWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"51,547,732.00","408,530.00","51,956,262.00",464,4,468,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTATION SERVICES AND EDUCATIONAL WORKSHOPS AND SEMINARS,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,142949,801-67698,"LIBERTY STREET ADVISORS, INC.","LIBERTY STREET ADVISORS, INC.",125 MAIDEN LANE,6TH FLOOR,NEW YORK,NY,UNITED STATES,10038,212-240-9721,212-233-0497,,,,,,,Approved,3/23/2007,3/30/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"113,159,757.00",0,"113,159,757.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,122254,801-61441,PUTNAM INVESTMENTS LIMITED,PUTNAM INVESTMENTS LIMITED,CASSINI HOUSE,57-59 ST. JAMES STREET,LONDON,,UNITED KINGDOM,SW1A 1LD,011-44-20-7907-8200,011-44-20-7907-8210,ONE POST OFFICE SQUARE,,BOSTON,MA,UNITED STATES,2109,Approved,9/4/2002,3/30/2010,Y,WWW.PUTNAM.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,Nov-50,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,11-25 percent,26-50 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,FOREIGN GOVERNMENT AGENCY,Y,N,N,N,N,Y,N,,Y,"3,008,132,818.00",0,"3,008,132,818.00",21,0,21,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,DISTRIBUTOR OF INSTITUTIONAL INVESTMENT PRODUCTS,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107209,801-50212,OXFORD REAL ESTATE ADVISORS INC,OXFORD REAL ESTATE ADVISORS INC,ONE OXFORD CENTRE,SUITE 4500,PITTSBURGH,PA,UNITED STATES,15219-6401,412-261-1500,412-395-2173,,,,,,,Approved,9/29/1995,3/30/2010,Y,WWW.OREA-PGH.COM (NOT ACTIVE AT THIS TIME),N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,Y,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,Y,REAL ESTATE INVESTMENTS,10-Jan,,N,N,N,N,N,Y,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,108256,801-30781,BUDGE FINANCIAL INC,BUDGE FINANCIAL INC,4925 GREENVILLE AVE,STE 1220,DALLAS,TX,UNITED STATES,75206,214-692-7745,214-363-5734,,,,,,,Approved,1/7/1988,3/30/2010,Y,WWW.BUDGEFINANCIAL.COM AND WWW. BUDGEFINANCIALINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,TRUSTS,N,N,N,Y,N,N,Y,WORK OUTSIDE ENGAGEMENT SCOPE,Y,0,"102,806,359.00","102,806,359.00",0,13,13,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105535,801-16104,PEG CAPITAL MANAGEMENT INC,PEG CAPITAL MANAGEMENT INC,,,,,,,603-523-4303,603-523-9122,P.O. BOX 428,,CANAAN,NH,USA,03741-0428,Approved,5/26/1981,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"149,320,562.00",0,"149,320,562.00",114,0,114,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110049,801-29384,"APPLETON PARTNERS,INC.",APPLETON PARTNERS INC,"45 MILK STREET, 8TH FLOOR",,BOSTON,MA,UNITED STATES,2109,617-338-0700,617-338-2379,,,,,,,Approved,2/10/1987,3/30/2010,Y,WWW.APPLETONPARTNERS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"2,500",Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,"ADVISER TO CAMBRIDGE APPLETON TRUST, NA",Y,N,N,N,N,N,N,,Y,"3,859,000,000.00",0,"3,859,000,000.00","2,441",0,"2,441",N,Y,Y,Y,N,N,N,N,N,Y,"5.G3: SPECIFICALLY APPLETON EQUITY FUND. OTHER:INVESTMENT ADVISOR FOR CLIENTS OF CAMBRIDGE APPLETON TRUST, NA",0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104793,801-4565,"LEEB CAPITAL MANAGEMENT, INC.","LEEB CAPITAL MANAGEMENT, INC.",8 WEST 40 STREET,19TH FLOOR,NEW YORK,NY,USA,10018,212-653-1504,212-246-3696,,,,,,,Approved,10/30/1967,3/30/2010,Y,HTTP://WWW.LEEB.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,"MUTUAL FUND ""SUB-ADVISOR"" FEE",Y,"116,298,000.00","1,002,000.00","117,300,000.00",253,1,254,N,Y,Y,N,N,N,N,N,N,Y,MANAGEMENT FOR UNDERLYING ASSETS OF ANNUITIES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
NYRO,110495,801-43299,RASARA STRATEGIES INC,RASARA STRATEGIES INC,160 NORTH STATE ROAD,,BRIARCLIFF MANOR,NY,USA,10510-1403,914-762-8777,914-762-8111,,,,,,,Approved,2/9/1993,1/23/2008,Y,WWW.BANKSTOCKINVESTOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"152,000,000.00",0,"152,000,000.00",3,0,3,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,149231,801-69880,COXE ADVISORS LLP,COXE ADVISORS LLP,190 SOUTH LASALLE STREET,4TH FLOOR,CHICAGO,IL,UNITED STATES,60603,312-461-5365,312-293-5026,,,,,,,Approved,1/15/2009,3/30/2010,Y,WWW.COXEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,CANADIAN LISTED FUND,Y,N,N,Y,N,N,N,,Y,0,"224,366,692.00","224,366,692.00",0,1,1,N,N,N,Y,N,N,Y,N,N,Y,TELECONFERENCE ADVICE WITH BROKERS AND CLIENTS OF BANK OF MONTREAL,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,30177,801-42007,"HUNTER ASSOCIATES, INC.","HUNTER ASSOCIATES, INC.",436 SEVENTH AVENUE,"KOPPERS BUILDING, FIFTH FLOOR",PITTSBURGH,PA,UNITED STATES,15219-1818,412-471-4191,412-471-3842,,,,,,,Approved,7/27/1992,3/30/2010,Y,WWW.HUNTERASSOCIATESINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"464,109,652.00","32,149,566.00","496,259,218.00",615,24,639,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,Y,N,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,127313,801-68527,"SCHWAN FINANCIAL ADVISORS, LLC","SCHWAN FINANCIAL ADVISORS, LLC",320 - 6TH AVENUE SE,,ABERDEEN,SD,USA,57401,605-225-1047,605-225-6708,,,,,,,Approved,11/20/2007,3/30/2010,Y,WWW.SCHWANFG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SD,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,0,0,251-500,0,11-25 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"312,427,980.00","312,427,980.00",0,"2,085","2,085",Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104753,801-4158,FIDUCIARY COUNSELLING INC,FIDUCIARY COUNSELLING INC,2000 WELLS FARGO PLACE,30 EAST 7TH STREET,ST PAUL,MN,UNITED STATES,55101-4930,651-228-0935,651-215-4493,,,,,,,Approved,12/7/1966,3/30/2010,Y,HTTP://WWW.FIDCOUNS.NET/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,More than 500,"1,000",26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"2,096,074,147.00","1,661,681,653.00","3,757,755,800.00","1,009",251,"1,260",Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,147434,801-69314,"SUMMIT CAPITAL MANAGEMENT GROUP, LLC","SUMMIT CAPITAL MANAGEMENT GROUP, LLC",20283 STATE ROAD 7,STE. 300,BOCA RATON,FL,USA,33498,561-482-9390,561-431-3794,,,,,,,Approved,6/23/2008,3/30/2010,Y,WWW.SMCRIA.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,200,000.00",0,"2,200,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,113609,801-60423,DSM CAPITAL PARTNERS,DSM CAPITAL PARTNERS LLC,320 EAST MAIN STREET,,MT. KISCO,NY,UNITED STATES,10549,914.242.1900,914.242.1988,,,,,,,Approved,8/13/2001,3/30/2010,Y,WWW.DSMCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,10-Jun,0,251-500,0,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,11-25 percent,26-50 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,754,832,213.00",0,"2,754,832,213.00",392,0,392,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107449,801-14976,C.M.BIDWELL & ASSOCIATES LTD,C.M.BIDWELL & ASSOCIATES LTD,,,,,,,808-595-1099,808-595-1091,,,,,,,Approved,1/3/1980,3/30/2010,Y,WWW.CMBIDWELL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,HI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"268,464,519.00",0,"268,464,519.00",115,0,115,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111266,801-60136,"BOSTON TRUST INVESTMENT MANAGEMENT, INC.","BOSTON TRUST INVESTMENT MANAGEMENT, INC.",ONE BEACON STREET,33RD FLOOR,BOSTON,MA,UNITED STATES,2108,617-726-7150,617-726-7151,,,,,,,Approved,4/11/2001,3/30/2010,Y,WWW.BOSTONTRUST.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"538,173,841.00",0,"538,173,841.00",7,0,7,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,136540,801-64841,"PILOTROCK INVESTMENT PARTNERS GP, LLC","PILOTROCK INVESTMENT PARTNERS GP, LLC",1700 EAST PUTNAM AVENUE,,OLD GREENWICH,CT,UNITED STATES,6870,203-698-8812,203-698-3087,,,,,,,Approved,10/26/2005,8/10/2010,Y,WWW.PILOTROCKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"232,521,490.00",0,"232,521,490.00",7,0,7,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,151139,801-70517,HPO PARTNERS,HPOP LLC,600 CENTRAL AVENUE,STE. 325,HIGHLAND PARK,IL,UNITED STATES,60035,847-861-6256,847-266-7810,,,,,,,Approved,9/9/2009,8/10/2010,Y,WWW.HPOPLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"18,000,000.00","1,500,000,000.00","1,518,000,000.00",2,2,4,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,122214,801-69635,LOWE FS,LOWE & ASSOCIATES FINANCIAL SERVICES LTD.,6230 OLD DOBBIN LANE,SUITE 170,COLUMBIA,MD,USA,21045,443-766-7160,443-766-7198,,,,,,,Approved,10/3/2008,8/10/2010,Y,WWW.LOWEFS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"118,389,158.00","10,851,677.00","129,240,835.00",678,38,716,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,154136,801-71764,FMSA,FINANCIAL MANAGEMENT SERVICES OF AMERICA LLC.,111 STONEMONT RD.,,LAFAYETTE,LA,UNITED STATES,70508,337-289-5600,337-984-7745,,,,,,,Approved,8/23/2010,8/10/2010,Y,WWW.MYFMSA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"48,000,000.00",0,"48,000,000.00",105,0,105,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,149042,801-69830,"SOUTHWEST WEALTH ADVISORS, LLC","SOUTHWEST WEALTH ADVISORS, LLC",3011 NACOGDOCHES RD,BLDG 2,SAN ANTONIO,TX,UNITED STATES,78217,210-320-8672,210-320-8637,,,,,,,120-Day Approval,2/6/2009,8/10/2010,Y,WWW.SW-WEALTH.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"15,000,000.00",0,"15,000,000.00",148,0,148,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,250,801-3297,EDWARD JONES,"EDWARD D. JONES & CO., L.P.",12555 MANCHESTER RD,,ST. LOUIS,MO,UNITED STATES,63131,314-515-4916,314-515-5299,,,,,,,Approved,10/24/1963,8/10/2010,Y,WWW.EDWARDJONES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,MO,UNITED STATES,More than 1000,"18,000",More than 1000,"7,000",More than 1000,"7,000",0,0,More than 500,"140,500",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,"FLP, LLC, ETC.",Y,N,N,N,N,N,N,,Y,"25,560,334,569.00","3,161,668,377.00","28,722,002,946.00","144,596","11,018","155,614",N,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,Y,N,Y,N,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,Y,N,N,Y,N
CHRO,7524,801-67742,FIRST KENTUCKY SECURITIES CORP,FIRST KENTUCKY SECURITIES CORPORATION,305 ANN STREET,SUITE 400,FRANKFORT,KY,USA,40601,502-875-4611,502-227-2320,,,,,,,Approved,5/3/2007,8/10/2010,Y,FIRSTKY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KY,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"125,515,126.00",0,"125,515,126.00",310,0,310,Y,Y,N,Y,N,N,N,Y,N,N,,10-Jan,,N,N,Y,N,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124438,801-62819,CFG REGISTERED INVESTMENT ADVISORS,"CASCADE ASSET MANAGERS, LLC",607 CASCADE WEST PARKWAY,,GRAND RAPIDS,MI,UNITED STATES,49546-2158,616-575-2020,616-957-4142,,,,,,,Approved,3/5/2004,8/10/2010,Y,WWW.CFG2020.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"104,744,356.00",0,"104,744,356.00","1,599",0,"1,599",Y,Y,N,Y,N,N,N,N,N,Y,CONSULTATION AND INVESTMENT ADVICE NOT INVOLVING PORTFOLIO MANAGEMENT,More than 500,500,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107631,801-35190,COOPERATIVE FUNERAL FUND INC,COOPERATIVE FUNERAL FUND INC,74 BOSTON POST ROAD,,MADISON,CT,USA,6443,800-336-1102,800-340-0000,P.O. BOX 1036,,MADISON,CT,NEW HAVEN,6443,Approved,9/15/1989,8/10/2010,Y,CFFINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,More than 500,600,More than 75 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"320,000,000.00",0,"320,000,000.00",735,0,735,N,Y,N,N,N,N,N,N,N,Y,FUNERAL TRUST MANAGEMENT,,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153184,801-71457,"STRATOS WEALTH PARTNERS, LTD","STRATOS WEALTH PARTNERS, LTD",30575 BAINBRIDGE ROAD,SUITE 100,SOLON,OH,UNITED STATES,44139,440-519-2500,440-248-1943,,,,,,,120-Day Approval,6/4/2010,8/10/2010,Y,WWW.STRATOSWEALTHPARTNERS.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Other (specify),LIMITED COMPANY,OH,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE OF ASSETS UNDER MANAGEMENT WITH THIRD PARTY MANAGER,Y,0,0,0,0,0,0,Y,Y,N,N,N,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,127065,801-62103,AURORA INVESTMENT MANAGEMENT L.L.C.,AURORA INVESTMENT MANAGEMENT L.L.C.,300 N. LASALLE,52ND FLOOR,CHICAGO,IL,UNITED STATES,60654,312-762-6700,866-605-2191,,,,,,,Approved,6/24/2003,8/10/2010,Y,WWW.HARRISALTERNATIVES.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,Nov-50,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"9,520,358,268.00",0,"9,520,358,268.00",11,0,11,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109115,801-54883,CORRIGAN FINANCIAL INC,CORRIGAN FINANCIAL INC,747 AQUIDNECK AVE,,MIDDLETOWN,RI,UNITED STATES,02842-7223,401-849-9313,401-849-5508,,,,,,,Approved,9/1/1997,8/10/2010,Y,WWW.CORRIGANFINANCIALINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,RI,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,More than 500,"1,000",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"314,000,000.00",0,"314,000,000.00",800,0,800,Y,Y,N,Y,Y,Y,N,N,N,Y,TAX PLANNING AND PREPARATION,More than 500,500,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110958,801-24315,"CAPITAL FORMATION GROUP, INC.","CAPITAL FORMATION GROUP, INC.",34 WASHINGTON STREET,SUITE 230,WELLESLEY HILLS,MA,UNITED STATES,2481,781-237-0123,781-237-1696,,,,,,,Approved,5/22/1985,8/10/2010,Y,WWW.CAPITALFORMATIONGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"76,000,000.00","40,000,000.00","116,000,000.00",136,10,146,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,144511,801-68172,BARNSTONE ADVISORS LLC,BARNSTONE ADVISORS LLC,388 WEST POTHOUSE ROAD,SUITE A,PHOENIXVILLE,PA,UNITED STATES,19460,610-917-2210,,,,,,,,Approved,7/23/2007,8/10/2010,Y,WWW.BARNSTONEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"48,085,398.00",0,"48,085,398.00",47,0,47,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153062,801-71246,"GITTERMAN & ASSOCIATES WEALTH MANAGEMENT, LLC","GITTERMAN & ASSOCIATES WEALTH MANAGEMENT, LLC",379 THORNALL AVENUE,1ST FLOOR,EDISON,NJ,UNITED STATES,8837,848-248-4868,888-476-1314,,,,,,,120-Day Approval,4/19/2010,8/10/2010,Y,WWW.GAWMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,0,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"225,078,100.00",0,"225,078,100.00","1,000",0,"1,000",Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137922,801-71760,"SPENCER CAPITAL MANAGEMENT, LLC","SPENCER CAPITAL MANAGEMENT, LLC",1350 AVENUE OF THE AMERICANS,4TH FLOOR,NEW YORK,NY,UNITED STATES,10019,(212) 586-4190,(646) 349-9642,,,,,,,120-Day Approval,8/23/2010,8/10/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"20,771,387.00",0,"20,771,387.00",2,0,2,N,Y,N,N,N,N,N,N,N,Y,MANAGER OF PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150080,801-70104,"UNITED ADVISORS SERVICES, LLC","UNITED ADVISORS SERVICES, LLC",44 WALL STREET,12TH FL,NEW YORK,NY,UNITED STATES,10005,212-461-2188,212-461-2189,,,,,,,Approved,5/7/2009,8/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"30,048,000.00","30,048,000.00",0,75,75,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTATION SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,44181,801-57407,"NATIONS FINANCIAL GROUP, INC.","NATIONS FINANCIAL GROUP, INC.",4000 RIVER RIDGE DRIVE NE,,CEDAR RAPIDS,IA,UNITED STATES,52402-7534,319-393-9541,319-393-3903,,,,,,,Approved,5/3/2000,8/10/2010,Y,WWW.NATIONSFG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,000",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"121,308,510.00","31,591,399.00","152,899,909.00",620,113,733,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,Y,N,Y,N,N,N,Y,N,N,,N,,Y,N,N,Y,Y,N,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,134470,801-68033,R.J. HEALY & COMPANY,R.J. HEALY & COMPANY,3650 MT. DIABLO BLVD.,SUITE 235,LAFAYETTE,CA,UNITED STATES,94549,(925) 944-5734,(925) 944-0533,,,,,,,Approved,6/20/2007,8/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"43,064,000.00","500,000.00","43,564,000.00",206,2,208,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106967,801-38594,INVESTMENT CONSULTING GROUP INC,INVESTMENT CONSULTING GROUP INC,"5117 JERSEY RIDGE ROAD, SUITE 1",,DAVENPORT,IA,UNITED STATES,52807,563-322-2322,563-322-4966,,,,,,,Approved,1/31/1991,8/10/2010,Y,INVESTMENTCONSULTINGGROUPINC.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,Y,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107465,801-27691,"PORTFOLIO ADVISORY COUNCIL,L.L.C.","PORTFOLIO ADVISORY COUNCIL, L.L.C.",3 GREENWAY PLAZA,SUITE 1960,HOUSTON,TX,USA,77046,713.574.6020,713.622.3950,,,,,,,Approved,9/15/1986,8/10/2010,Y,WWW.PACADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,More than 500,500,Up to 10 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"153,683,762.00","142,796,882.00","296,480,644.00",231,488,719,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,110669,801-19249,VALICENTI ADVISORY SERVICES INC,VALICENTI ADVISORY SERVICES INC,400 EAST WATER STREET,,ELMIRA,NY,UNITED STATES,14901-3411,607-734-2665,607-734-6845,,,,,,,Approved,7/6/1983,8/10/2010,Y,VALICENTI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,More than 500,500,51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"249,619,272.00","3,285,723.00","252,904,995.00","1,424",27,"1,451",Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,109485,801-56645,SUMMIT FINANCIAL GROUP INC,SUMMIT FINANCIAL GROUP INC,595 S. FEDERAL HIGHWAY,SUITE 500,BOCA RATON,FL,UNITED STATES,33432,561-338-2600,561-338-2820,,,,,,,Approved,8/2/1999,8/10/2010,Y,WWW.SUMMITBROKERAGE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"4,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,ACCT FEES; MARGIN DEBIT INT; PORTION OF TKT CHRGS; SOLICITOR FEE,Y,"618,563,492.00","82,371,562.00","700,935,054.00","3,773",326,"4,099",Y,Y,N,N,N,Y,N,N,N,Y,INVESTMENT SUPERVISORY SERVICES,251-500,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
SFRO,110228,801-57811,"STANCORP INVESTMENT ADVISERS, INC.","STANCORP INVESTMENT ADVISERS, INC.",1100 SW 6TH AVENUE,PSIA,PORTLAND,OR,UNITED STATES,97204,800-378-5742,971-321-5890,,,,,,,Approved,7/31/2000,2/26/2010,Y,WWW.STANCORPFINANICAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,More than 500,"19,000",51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"7,779,709,342.00","10,783,210,733.00","18,562,920,075.00","14,620","4,171","18,791",Y,Y,N,Y,Y,Y,N,N,N,N,,More than 500,1300,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,134306,801-63951,GUARDIAN PLUS INC,GUARDIAN PLUS INC,,,,,,,425-483-2169,425-485-8913,P.O BOX 12248,,MILL CREEK,WA,UNITED STATES,98082,Approved,2/17/2005,2/26/2010,Y,WWW.WILLIAMHMCELROY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"25,121,166.00",0,"25,121,166.00",43,0,43,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112397,801-58123,"PEGASUS ASSOCIATES, LLC","PEGASUS ASSOCIATES, LLC",400 RELLA BLVD.,SUITE 157,MONTEBELLO,NY,USA,10901,845-369-9422,845-369-9420,,,,,,,Approved,1/22/2001,2/26/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,0,0,0,0,0,0,25-Nov,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,158,122.00",0,"2,158,122.00",24,0,24,Y,Y,N,Y,N,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,6911,801-11646,"STOLPER & CO., INC.","STOLPER & CO., INC.",600 W. BROADWAY,SUITE 1225,SAN DIEGO,CA,UNITED STATES,92101-3355,619-231-9102,619-231-0636,,,,,,,Approved,5/27/1976,2/26/2010,Y,WWW.STOLPERCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"287,780,969.00","1,287,201,939.00","1,574,982,908.00",210,81,291,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110420,801-10612,HERITAGE INVESTORS MANAGEMENT CORP,HERITAGE INVESTORS MANAGEMENT CORP,7101 WISCONSIN AVENUE,SUITE 1112,BETHESDA,MD,UNITED STATES,20814-4878,301-951-0440,301-951-4954,,,,,,,Approved,2/26/1975,2/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DC,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,084,005,013.00","4,595,242.00","1,088,600,255.00",842,2,844,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,128441,801-67615,BOLEN DODSON & ASSOCIATES,"BOLEN ASSET MANAGEMENT, INC.",7003 CHADWICK DR,SUITE 350,BRENTWOOD,TN,UNITED STATES,37027,615-242-3808,615-242-2627,,,,,,,Approved,3/8/2007,2/26/2010,Y,WWW.LIFEWEALTHCOACH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SELECTION OF OTHER ADVISORS,Y,"61,348,718.00","1,248,532.00","62,597,250.00",305,7,312,Y,Y,N,Y,N,Y,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,113798,801-68401,"ACCESS FINANCIAL GROUP, INC.","ACCESS FINANCIAL GROUP, INC.",6632 NW 39TH EXPRESSWAY,,BETHANY,OK,USA,73008,405-491-0235,405-491-0400,,,,,,,Approved,9/28/2007,2/26/2010,Y,WWW.AFGINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"67,622,412.00","3,983,735.00","71,606,147.00",681,8,689,Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111243,801-46423,SUMMIT PORTFOLIO MANAGEMENT INC.,SUMMIT PORTFOLIO MANAGEMENT INC.,1635 VILLAGE CENTER CIRCLE CENTURY PARK EAST,140,LAS VEGAS,NV,UNITED STATES,89134,702 838 9999,310-590-7778,,,,,,,Approved,5/2/1994,2/26/2010,Y,WWW.SUMMITPORTFOLIO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"101,850,270.00","712,250.00","102,562,520.00",370,6,376,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131520,801-63371,"ASCENT CAPITAL MANAGEMENT, INC.","ASCENT CAPITAL MANAGEMENT, INC.",ONE MORNINGSIDE DRIVE,SUITE 1715,NEW YORK,NY,UNITED STATES,10025,212-828-3906,212-828-3908,,,,,,,Approved,7/23/2004,2/26/2010,Y,WWW.ASCENTCOMPANIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,SEE SCHEDULE D,Y,"42,500,000.00",0,"42,500,000.00",45,0,45,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,126568,801-70411,DOGWOOD CAPITAL MANAGEMENT,"DOGWOOD CAPITAL MANAGEMENT, INC.",,,,,,,678-648-5129,678-648-5129,,,,,,,Approved,7/16/2009,2/26/2010,Y,WWW.DOGWOODCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"17,000,000.00","10,000,000.00","27,000,000.00",19,1,20,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,144482,801-69490,"GAVEKAL CAPITAL, LLC","GAVEKAL CAPITAL, LLC",1099 18TH STREET,SUITE 2780,DENVER,CO,UNITED STATES,80202,303-763-1810,303-763-1811,,,,,,,Approved,8/19/2008,2/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"39,744,971.00",0,"39,744,971.00",3,0,3,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,131361,801-63105,"WEALTH MANAGEMENT CONSULTANTS, LLC","WEALTH MANAGEMENT CONSULTANTS, LLC",3550 ROUND BARN BLVD,SUITE 212,SANTA ROSA,CA,USA,95403-0921,707-542-3600,707-542-2900,,,,,,,Approved,4/29/2004,2/26/2010,Y,WWW.WEALTHMC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"371,247,103.00","22,191,380.00","393,438,483.00",851,40,891,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,146883,801-69447,SNOWCAP CAPITAL MANAGEMENT,"SNOWCAP CAPITAL MANAGEMENT, LLC",8117 PRESTON ROAD,SUITE 610,DALLAS,TX,UNITED STATES,75225,214-739-2025,214-739-3153,,,,,,,Approved,8/4/2008,2/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"119,000,000.00",0,"119,000,000.00",15,0,15,Y,Y,Y,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,115015,801-60493,"GREENWOOD CAPITAL ASSOCIATES, LLC","GREENWOOD CAPITAL ASSOCIATES, LLC",104 MAXWELL AVENUE,"GREENWOOD BUILDING, 5TH FLOOR",GREENWOOD,SC,UNITED STATES,29646,864-941-4049,864-229-1950,POST OFFICE BOX 3181,,GREENWOOD,SC,UNITED STATES,29648,Approved,9/5/2001,2/26/2010,Y,WWW.GREENWOODCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"760,780,921.00","10,098,870.00","770,879,791.00",576,5,581,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138323,801-65335,CURA CAPITAL MANAGMENT,"CURA CAPITAL MANAGMENT, LLC",150 EAST 52ND STREET,SUITE 4002,NEW YORK,NY,UNITED STATES,10022,212-554-8980,212-554-8989,,,,,,,Approved,1/23/2006,2/26/2010,Y,HTTP://CURACAP.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"258,000,000.00",0,"258,000,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111227,801-62882,"MRD, INC.","MRD, INC.",5450 ORANGE AVENUE,,CYPRESS,CA,USA,90630,949-365-0598,949-365-0528,PMB 139,"27702 CROWN VALLEY PARKWAY, SUITE D-4",LADERA RANCH,CA,USA,92694,Approved,3/11/2004,2/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"65,375,806.00",0,"65,375,806.00",363,0,363,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,116519,801-63224,"AVL/WEALTHCARE, LLC","AVL/WEALTHCARE, LLC",9490 THREE RIVERS ROAD,,GULFPORT,MS,USA,39503,228-863-0437,228-863-1165,,,,,,,Approved,6/8/2004,2/26/2010,Y,WWW.AVLWEALTHCARE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MS,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"83,650,240.00","994,220.00","84,644,460.00",229,4,233,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145121,801-69306,BERG INVESTMENT PLANNING,TERREN GEORGE BERG,,,,,,,708-267-6451,708-540-4505,,,,,,,Approved,6/23/2008,2/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,1/4% OR LESS OF AUM SEE FORM ADV PART II SCH. F P.2 ITEM 1C,Y,"1,500,000.00","53,000,000.00","54,500,000.00",2,196,198,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,117665,801-64082,LIVELSBERGER FINANCIAL ADVISORY,"LIVELSBERGER, LYNN LOUIS",122 W. WASHINGTON ST,STE D,ASHLAND,OH,UNITED STATES,44805,419-289-7165,419-281-2108,,,,,,,Approved,8/3/2005,2/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"49,000,000.00","49,000,000.00",0,325,325,Y,Y,N,N,Y,N,N,N,N,N,,251-500,,N,N,N,N,N,N,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110712,801-17987,AMUNDI JAPAN LTD.,AMUNDI JAPAN LTD.,"1-2-2, UCHISAIWAICHO,",CHIYODA-KU,TOKYO,,JAPAN,100-0011,03-3593-5900,03-3593-5950,,,,,,,Approved,12/3/1982,7/15/2010,Y,WWW.AMUNDI.CO.JP,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,JAPAN,51-250,0,51-250,0,0,0,0,0,101-250,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"18,226,402,241.00","222,876,210.00","18,449,278,451.00",153,6,159,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,106039,801-46059,"HANSBERGER GLOBAL INVESTORS, INC.","HANSBERGER GLOBAL INVESTORS, INC.",401 EAST LAS OLAS BOULEVARD,SUITE 1700,FORT LAUDERDALE,FL,UNITED STATES,33301-2230,954-522-5150,954-713-2525,,,,,,,Approved,3/15/1994,7/15/2010,Y,WWW.HANSBERGER.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,Nov-50,0,26-100,0,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,26-50 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"7,448,840,780.00","23,494.00","7,448,864,274.00",50,2,52,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108504,801-64395,"CB&H WEALTH MANAGEMENT SERVICES, L.L.C.","CB&H WEALTH MANAGEMENT SERVICES, L.L.C.",1700 BAYBERRY COURT,SUITE 300,RICHMOND,VA,UNITED STATES,23226,804-673-4224,804-673-4290,,,,,,,Approved,6/27/2005,7/15/2010,Y,WWW.CBHWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"189,376,618.00","1,625,480.00","191,002,098.00",994,13,"1,007",Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,146681,801-68972,"GATEWAY INVESTMENT ADVISERS, LLC","GATEWAY INVESTMENT ADVISERS, LLC",312 WALNUT STREET,SUITE 3500,CINCINNATI,OH,UNITED STATES,45202-9834,513-719-1100,513-719-1199,,,,,,,Approved,4/18/2008,7/15/2010,Y,WWW.GIA.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"7,188,000,000.00",0,"7,188,000,000.00",48,0,48,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N
HQ,136522,801-65366,CAMBRIDGE PLACE INVESTMENT MANAGEMENT LLP,CAMBRIDGE PLACE INVESTMENT MANAGEMENT LLP,LEXICON HOUSE,17 OLD COURT PLACE,LONDON,,UNITED KINGDOM,W8 4PL,-6801,-6802,,,,,,,Approved,1/27/2006,7/15/2010,Y,WWW.CPIM.CO.UK,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,Nov-50,0,Nov-50,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,756,255,992.00",0,"3,756,255,992.00",21,0,21,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151903,801-70735,"VICEROY CONSULTING, LLC",VICEROY CONSULTING LLC,135 WEST 50TH STREET,18TH FLOOR,NEW YORK,NY,UNITED STATES,10020,212-621-3300,201-943-0914,,,,,,,120-Day Approval,11/5/2009,7/15/2010,Y,WWW.VICEROYCONSULTING.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,109313,801-57655,ESEMPLIA EMERGING MARKETS,LEGG MASON INTERNATIONAL EQUITIES LIMITED,"9TH FLOOR, 10 EXCHANGE SQUARE",PRIMROSE STREET,LONDON,,UNITED KINGDOM,EC2A 2EN,44 20 7070 7429,44 20 7070 7510,,,,,,,Approved,7/15/2000,7/15/2010,Y,WWW.ESEMPLIA.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"3,442,660,816.00",0,"3,442,660,816.00",18,0,18,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,139380,801-66186,"PLATTE RIVER CAPITAL, LLC","PLATTE RIVER CAPITAL, LLC","200 FILLMORE ST, SUITE 200",,DENVER,CO,UNITED STATES,80206,303-292-7381,303-292-7310,,,,,,,Approved,2/15/2006,7/15/2010,Y,HTTP://WWW.PLATTERIVERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,11-25 percent,11-25 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,177,635,108.00",0,"1,177,635,108.00",55,0,55,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110186,801-41088,J.P. MORGAN PRIVATE INVESTMENTS INC.,J.P. MORGAN PRIVATE INVESTMENTS INC.,270 PARK AVENUE,FLOOR 21,NEW YORK,NY,UNITED STATES,10017,212-464-1945,212-464-1701,,,,,,,Approved,5/15/1992,7/15/2010,Y,JPMORGANACCESSFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,10-Jun,0,51-250,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,DUE TO ACCESS FUNDS AND JPMIM,Y,N,N,N,N,Y,Y,ANNUAL FEES FOR SUB-ADVISORY AND MANAGEMENT SERVICES.,Y,"6,735,768,029.00",0,"6,735,768,029.00",23,0,23,N,N,Y,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,Y,N,N,N,N,,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y
MIRO,150931,801-70439,"FORTRESS GLOBAL WEALTH MANAGEMENT, LLC","FORTRESS GLOBAL WEALTH MANAGEMENT, LLC",8751 N HIMES AVE,,TAMPA,FL,UNITED STATES,33614,813-549-0341,,,,,,,,Approved,8/17/2009,7/15/2010,Y,FORTRESSGLOBALWEALTHMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,RECOMMENDATION OF PRIVATE FUNDS FROM 3RD PARTY RIA,Y,0,"135,380,295.00","135,380,295.00",0,1,1,Y,N,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108754,801-57469,UBS OCONNOR LLC,UBS OCONNOR LLC,"ONE NORTH WACKER DRIVE, 32ND FLOOR",,CHICAGO,IL,UNITED STATES,60606,312-525-6000,312-525-5042,,,,,,,Approved,5/19/2000,7/15/2010,Y,WWW.UBS.COM/ALTERNATIVES,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"6,975,000,000.00",0,"6,975,000,000.00",41,0,41,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT MANAGEMENT SERVICES FOR HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,Y,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,Y
LARO,134349,801-67039,"OPIS ADVISORS, INC.","OPIS ADVISORS, INC.",30 HACKAMORE LANE,SUITE 1,BELL CANYON,CA,UNITED STATES,91307-1065,818-999-6747,818-227-2939,,,,,,,Approved,8/4/2006,7/15/2010,Y,WWW.OPIS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"43,169,548.00","43,169,548.00",0,126,126,N,Y,N,Y,N,N,N,N,N,Y,CONSULTATION SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,145662,801-71085,"HINES & WARNER WEALTH MANAGEMENT, LLC","HINES & WARNER WEALTH MANAGEMENT, LLC",9400 SW BARNES ROAD,SUITE 305,PORTLAND,OR,UNITED STATES,97225,503-292-2775,503-297-4444,,,,,,,Approved,2/16/2010,7/15/2010,Y,WWW.HINESWARNER.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"51,559,109.00",0,"51,559,109.00",194,0,194,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107050,801-53728,DEERFIELD CAPITAL MANAGEMENT LLC,DEERFIELD CAPITAL MANAGEMENT LLC,6250 N. RIVER ROAD,,ROSEMONT,IL,UNITED STATES,60018-4241,773-380-1600,773-380-1695,,,,,,,Approved,1/28/1997,7/15/2010,Y,WWW.DEERFIELDCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"10,111,007,431.00","5,996,522.00","10,117,003,953.00",36,1,37,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,143323,801-67640,"BUCKINGHAM ASSET MANAGEMENT, LLC","BUCKINGHAM ASSET MANAGEMENT, LLC",8182 MARYLAND AVENUE,SUITE 900,ST LOUIS,MO,UNITED STATES,63105,314-725-0455,314-725-7022,,,,,,,Approved,2/1/2007,7/15/2010,Y,WWW.BAMSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,10-Jun,0,More than 500,"1,000",11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,689,932,807.00","132,251,800.00","1,822,184,607.00","4,181",288,"4,469",N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,143319,801-67641,"BAM ADVISOR SERVICES, LLC","BAM ADVISOR SERVICES, LLC",8182 MARYLAND AVENUE,SUITE 900,ST. LOUIS,MO,UNITED STATES,63105,314-725-0455,314-725-7022,,,,,,,Approved,2/1/2007,7/15/2010,Y,WWW.BAMSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,101-250,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,INDEPENDENT REGISTERED INVESTMENT ADVISORS,Y,N,N,Y,N,N,Y,FEE SHARING WITH INDEPENDENT REGISTERED INVESTMENT ADVISORS,Y,"1,856,229,792.00",0,"1,856,229,792.00","4,330",0,"4,330",N,Y,N,Y,N,N,N,N,N,Y,TURNKEY ASSET MANAGEMENT PROVIDER,,,N,N,N,N,N,N,N,N,Y,TURNKEY ASSET MANAGEMENT PROVIDER,Y,Y,Y,Y,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,154117,801-71701,GENESIS FUND MANAGEMENT LLC,GENESIS FUND MANAGEMENT LLC,355 ALHAMBRA CIRCLE,,CORAL GABLES,FL,UNITED STATES,33134,212-326-3135,212-326-3105,275 MADISON AVENUE,SUITE 2301,NY,NY,UNITED STATES,10016,Approved,7/22/2010,7/15/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,OFF SHORE FUND,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,141392,801-67166,DBX STRATEGIC ADVISORS LLC,DBX STRATEGIC ADVISORS LLC,60 WALL STREET,,NEW YORK,NY,UNITED STATES,10005,212.250.2500,212.797.8725,,,,,,,Approved,10/5/2006,7/15/2010,Y,WWW.DBXSTRATEGICADVISORS.DB.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"143,500,000.00",0,"143,500,000.00",5,0,5,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,Y
DRO,137896,801-66032,"MADISON CAPITAL ADVISORS, LLC","MADISON CAPITAL ADVISORS, LLC","5619 DTC PARKWAY, SUITE 800",,GREENWOOD VILLAGE,CO,UNITED STATES,80111,303-957-2000,303-957-2010,,,,,,,Approved,1/27/2006,7/15/2010,Y,WWW.MADISONCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"435,505,505.00","36,187,883.00","471,693,388.00",2,4,6,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139556,801-66350,LION RESOURCE ADVISORS LIMITED,LION RESOURCE ADVISORS LIMITED,24 IVES STREET,,LONDON,,UNITED KINGDOM,SW3 2ND,44-207-0520011,44-207-5845484,,,,,,,Approved,6/2/2006,5/23/2006,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"7,000,000.00",0,"7,000,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,153275,801-71194,DAKOTA FINANCIAL MANAGEMENT,"DAKOTA WM, LLC",,,,,,,424-744-8656,NONE,,,,,,,Approved,3/17/2010,7/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"22,144,000.00","4,381,000.00","26,525,000.00",54,2,56,N,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109638,801-55935,"REZNY WEALTH MANAGEMENT, LTD","REZNY WEALTH MANAGEMENT, LTD",,,,,,,630-527-1897,630-527-9239,,,,,,,Approved,10/2/1998,7/15/2010,Y,WWW.REZNYWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"45,800,000.00","955,000.00","46,755,000.00",301,5,306,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,153405,801-71388,ISLAND GROVE,ISLAND GROVE GMBH,,,,,,,+41 (0)43 844 0790,NONE,,,,,,,Approved,8/4/2010,7/15/2010,Y,WWW.ISLANDGROVE.CH,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),GMBH,,SWITZERLAND,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,FEES FOR FINANCIAL EDUCATION CLASSES,Y,"5,000,000.00",0,"5,000,000.00",2,0,2,N,Y,N,N,N,N,N,N,N,Y,FINANCIAL EDUCATION,0,,N,N,N,N,N,N,N,N,Y,FINANCIAL EDUCATION,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,154023,801-71525,INVESTSIMPLY,INVESTSIMPLY LLC,"580 CALIFORNIA STREET, SUITE 1600",,SAN FRANCISCO,CA,UNITED STATES,94104,800-928-6170,888-803-4006,,,,,,,Approved,6/18/2010,7/15/2010,Y,HTTP://WWW.INVESTSIMPLY.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107938,801-56925,"BNY MELLON MANAGED INVESTMENTS, INC.","BNY MELLON MANAGED INVESTMENTS, INC.",760 MOORE ROAD,MAIL STOP F4-F760-1B-E,KING OF PRUSSIA,PA,UNITED STATES,19406,610-382-7700,1-866-355-5690,,,,,,,Approved,10/28/1999,7/15/2010,Y,WWW.PERSHING.COM/MANAGEDACCOUNTSOLUTIONS,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,More than 500,"18,000",0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,"EFFECTIVE JULY 1, ADVISORY SERVICE PROVIDED THROUGH LOCKWOOD ADVISORS, INC.",,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,133230,801-63717,"CB RICHARD ELLIS GLOBAL REAL ESTATE SECURITIES, LLC","CB RICHARD ELLIS GLOBAL REAL ESTATE SECURITIES, LLC",250 W. PRATT STREET,SUITE 1700,BALTIMORE,MD,UNITED STATES,21201-2496,410-244-7100,410-244-3106,,,,,,,Approved,1/3/2005,7/15/2010,Y,WWW.CBREINVESTORS.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,10-Jun,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,565,496,310.00","375,039,581.00","1,940,535,891.00",26,3,29,N,N,Y,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105123,801-14659,BAXTER CAPITAL MANAGEMENT INC,BAXTER CAPITAL MANAGEMENT INC,9247 NORTH MERIDIAN STREET STE. 218,,INDIANAPOLIS,IN,UNITED STATES,46260,317-706-0041,317-706-0045,,,,,,,Approved,6/11/1979,7/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"551,758,979.00","551,758,979.00",0,15,15,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,112472,801-67155,"LEGIONCE INVESTMENT ADVISORS, LLC","LEGIONCE INVESTMENT ADVISORS, LLC",1777 S. HARRISON,SUITE 450,DENVER,CO,UNITED STATES,80210,303-751-5550,303-815-1944,,,,,,,Approved,1/3/2007,7/15/2010,Y,WWW.LEGIONCE.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"17,416,244.00",0,"17,416,244.00",136,0,136,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,153101,801-71162,"CLEMSON-EPS ADVISORS, LLC","CLEMSON-EPS ADVISORS, LLC",10708 CLEMSON BOULEVARD,,SENECA,SC,UNITED STATES,29678,(864) 888-2666,(864) 653-5401,P.O. BOX 1865,,CLEMSON,SC,UNITED STATES,29633,Approved,3/12/2010,7/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"53,919,502.00",0,"53,919,502.00",172,0,172,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105365,801-23657,"PINNEY & SCOFIELD, INC.","PINNEY & SCOFIELD, INC.",22 HILLIARD STREET,,CAMBRIDGE,MA,UNITED STATES,02138-4922,617-492-6223,617-492-8025,,,,,,,Approved,3/28/1985,7/15/2010,Y,WWW.PINNEYANDSCOFIELD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"246,443,778.00",0,"246,443,778.00",773,0,773,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,145595,801-69419,RUGGIE WEALTH MANAGEMENT,"PEVENSEY FINANCIAL, INC",2100 LAKE EUSTIS DR.,,TAVARES,FL,UNITED STATES,32778,352-343-2700,352-742-2607,,,,,,,Approved,7/29/2008,7/15/2010,Y,RUGGIEWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"148,024,816.00","54,099,648.00","202,124,464.00",700,45,745,Y,Y,N,N,Y,Y,Y,N,N,N,,10-Jan,,N,Y,N,Y,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,152807,801-71088,MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED,MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED,"LEVEL 15, THREE PACIFIC PLACE,1 QUEEN'S ROAD EAST",,HONG KONG,,HONG KONG,,852-2295-1500,852-2295-0698,,,,,,,Approved,2/9/2010,7/6/2010,Y,HTTP://INVESTMENTS.MIRAEASSET.COM.HK,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,51-250,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,INVESTMENT TRUSTS,Y,N,N,N,N,N,N,,Y,"8,167,954,530.00","54,756,816.00","8,222,711,346.00",51,2,53,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,154286,801-71669,NEUBERGER BERMAN ASIA LIMITED,NEUBERGER BERMAN ASIA LIMITED,"SUITE 4701, CHEUNG KONG CENTER",NO.2 QUEEN'S ROAD CENTRAL,HONG KONG,,HONG KONG,,852 3664 8800,852 3664 8801,,,,,,,Approved,8/9/2010,7/6/2010,Y,WWW.NB.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"209,000,000.00",0,"209,000,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,N,Y,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
HQ,130528,801-62782,CREDIT SUISSE HEDGING-GRIFFO SERVIOS INTERNACIONAIS S.A.,CREDIT SUISSE HEDGING-GRIFFO SERVIÇOS INTERNACIONAIS S.A.,"AV. PRES. JUSCELINO KUBITSCHEK,",1830 TOWER IV 6TH FLOOR,SAO PAULO,,BRAZIL,4543900,55 11 3704-8600,55 11 3704-8666,,,,,,,Approved,3/1/2004,7/6/2010,Y,CSHG@CSHG.COM.BR,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,BRAZIL,10-Jun,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,733,631,436.00",0,"2,733,631,436.00",22,0,22,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HEDGE FUNDS,,,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISOR,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N
NYRO,112192,801-25180,"SHENKMAN CAPITAL MANAGEMENT, INC.","SHENKMAN CAPITAL MANAGEMENT, INC.","461 FIFTH AVENUE, 22ND FLR",,NEW YORK,NY,UNITED STATES,10017-6283,(212) 867-9090,(212) 867-9106,,,,,,,Approved,9/6/1985,7/6/2010,Y,WWW.SHENKMANCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,11-25 percent,Up to 10 percent,26-50 percent,11-25 percent,Up to 10 percent,COLLATERALIZED LOAN OBLIGATIONS,Y,N,N,Y,N,Y,N,,Y,"9,478,937,512.00",0,"9,478,937,512.00",97,0,97,N,Y,Y,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110934,801-16719,"CEDAR CAPITAL MANAGEMENT, INC.","CEDAR CAPITAL MANAGEMENT, INC.",125 S. FIFTH AVE.,,ANN ARBOR,MI,USA,48107-9902,734-327-0025,734-669-2482,,,,,,,Approved,1/11/1982,7/18/2006,Y,NONE,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"429,330.00",0,"429,330.00",3,0,3,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,Y,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108170,801-55605,MARCO INVESTMENT MANAGEMENT LLC,MARCO INVESTMENT MANAGEMENT LLC,300 ATLANTA FINANCIAL CENTER,3343 PEACHTREE ROAD,ATLANTA,GA,USA,30326,404-504-8600,404-504-8604,,,,,,,Approved,6/8/1998,7/6/2010,Y,WWW.MARCOINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"548,168,569.00",0,"548,168,569.00",149,0,149,N,Y,N,Y,N,N,N,N,N,Y,SERVE AS SUB-ADVISER FOR OTHER RIA'S,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153776,801-71665,"BLUE OCEAN CAPITAL MANAGEMENT, LLC","BLUE OCEAN CAPITAL MANAGEMENT, LLC",2517 HIGHWAY 35,"VILLLAGE II, UPPER WESTERN UNIT",MANASQUAN,NJ,UNITED STATES,8736,732-746-1622,732-722-7213,,,,,,,Approved,7/9/2010,7/6/2010,Y,HTTP://WWW.BLUEOCEANCM.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"56,800,000.00",0,"56,800,000.00",471,0,471,N,Y,Y,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,154312,801-71670,"VERE ASSET MANAGEMENT, INC.","VERE ASSET MANAGEMENT, INC.",,,,,,,901-488-5667,,,,,,,,120-Day Approval,8/5/2010,7/6/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,REFERRAL FEES; PERCENTAGE OF PLAN ASSETS,Y,0,0,0,0,0,0,N,Y,N,Y,Y,Y,N,N,N,Y,GENERAL FINANCIAL CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,144987,801-68368,"KEVIN BAY INVESTMENTS, LLC","KEVIN BAY INVESTMENTS, LLC","285 FOREST GROVE DRIVE, SUITE 105",,PEWAUKEE,WI,USA,53072-9958,(262) 691-2013,(262) 691-2014,,,,,,,Approved,10/10/2007,7/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"137,035,929.00","2,178,582.00","139,214,511.00",806,16,822,N,Y,N,Y,N,N,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150053,801-70994,"RUEDI HOLDER & ASSOCIATES, INC.","RUEDI HOLDER & ASSOCIATES, INC.",2004 FOX DRIVE,SUITE G,CHAMPAIGN,IL,UNITED STATES,61820,217-356-1400,217-356-1403,,,,,,,Approved,1/15/2010,7/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"165,729,012.00",0,"165,729,012.00",833,0,833,Y,Y,N,Y,N,N,Y,N,Y,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,2908,801-3908,NEUBERGER BERMAN LLC,NEUBERGER BERMAN LLC,605 THIRD AVENUE,,NEW YORK,NY,UNITED STATES,10158,212-476-9000,212-476-9862,,,,,,,Approved,1/26/1966,7/6/2010,Y,WWW.NB.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,501-1000,0,501-1000,0,251-500,0,51-250,0,More than 500,"67,500",26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,SHADOWED WRAP ACCOUNTS,Y,N,N,Y,Y,Y,N,,Y,"81,821,000,000.00",0,"81,821,000,000.00","67,515",0,"67,515",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,Y,N,Y,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,N,Y,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,134250,801-63920,ESTEP CAPITAL MANAGEMENT,ESTEP CAPITAL MANAGEMENT,600 N KINGSBURY,1702,CHICAGO,IL,UNITED STATES,60654,704-995-2935,,,,,,,,Approved,2/9/2005,7/6/2010,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"10,000,000.00",0,"10,000,000.00",74,0,74,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,Y,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,109648,801-55491,RBC PRIVATE COUNSEL (USA) INC.,RBC PRIVATE COUNSEL (USA) INC.,"155 WELLINGTON STREET WEST, 17TH FLOOR",RBC CENTRE,"TORONTO, ON",,CANADA,M5V 3K7,416-956-9619,416-956-8023,,,,,,,Approved,5/11/1998,7/6/2010,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,51-250,0,51-250,0,0,0,5-Jan,0,More than 500,500,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"802,341,696.00",0,"802,341,696.00",797,0,797,N,Y,N,N,N,Y,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
LARO,104759,801-32095,WESCAP GROUP,WESCAP MANAGEMENT GROUP INC,303 N. GLENOAKS BLVD STE 905,,BURBANK,CA,UNITED STATES,91502,818-563-5170,818-563-5174,,,,,,,Approved,5/20/1988,7/6/2010,Y,WESCAPGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SHARES IN THIRD PARTY ADVISORY FEES,Y,"430,876,000.00","169,753,200.00","600,629,200.00",314,23,337,Y,Y,N,N,N,Y,N,N,N,Y,MANAGE A LIMITED PARTNERSHIP,251-500,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135358,801-64469,"A.P. MANAGEMENT COMPANY, LLC","A.P. MANAGEMENT COMPANY, LLC",360 MADISON AVENUE,20TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-201-0500,212-661-9009,,,,,,,Approved,6/28/2005,7/6/2010,Y,WWW.ARCHSTONEPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,352,963,563.00",0,"4,352,963,563.00",7,0,7,N,N,N,N,N,Y,N,N,N,Y,ADVISER TO MULTI-MANAGER FUNDS (FUND OF HEDGE FUNDS),,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,150435,801-70403,"CAPSTONE INVESTMENT FINANCIAL GROUP, INC.","CAPSTONE INVESTMENT FINANCIAL GROUP, INC.",615 N. NEVADA AVENUE,,COLORADO SPRINGS,CO,UNITED STATES,80903,719-477-9883,719-477-1045,,,,,,,Approved,7/15/2009,7/6/2010,Y,HTTP://WWW.CAPSTONEINVEST.COM/,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"39,225,240.00","87,713.00","39,312,953.00",450,4,454,Y,Y,Y,Y,Y,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,21786,801-67749,FMSI ADVISERS,"FIRST MIDWEST SECURITIES, INC.",207 W.JEFFERSON STREET,SUITE 102,BLOOMINGTON,IL,UNITED STATES,61701-3969,309.820.7444,309.820.7452,,,,,,,Approved,5/10/2007,7/6/2010,Y,WWW.FIRSTMIDWESTSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,51-250,0,10-Jun,0,51-250,0,5-Jan,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"22,567,283.00","11,259,733.00","33,827,016.00",107,82,189,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,Y,N,N,,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N
FWRO,104924,801-21681,SMITH CAPITAL MANAGEMENT INC,SMITH CAPITAL MANAGEMENT INC,PAVILION CENTRE,"8315 CANTRELL RD., SUITE 130",LITTLE ROCK,AR,USA,72227-2354,501-228-0040,501-228-0047,,,,,,,Approved,6/26/1984,7/6/2010,Y,WWW.SMITHCAPITAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AR,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"262,815,271.00",0,"262,815,271.00",566,0,566,Y,Y,N,Y,Y,Y,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,108159,801-57611,"IBERIABANK ASSET MANAGEMENT, INC.","IBERIABANK ASSET MANAGEMENT, INC.",1515 POYDRAS STREET,SUITE 1800,NEW ORLEANS,LA,USA,70112,504-525-8524,504-525-8547,,,,,,,Approved,6/14/2000,7/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"80,477,392.00","80,477,392.00",0,173,173,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,144014,801-68380,"TERMINUS ASSET MANAGEMENT COMPANY, LLC","TERMINUS ASSET MANAGEMENT COMPANY, LLC",9000 CENTRAL PARK WEST,SUITE 150,ATLANTA,GA,USA,30328,678-672-1220,678-672-1234,,,,,,,Approved,9/27/2007,9/21/2007,Y,WWW.TAMCO.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,Y,STRUCTURING FEES,Y,"800,000,000.00",0,"800,000,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,STRUCTURED INVESTMENT SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,135814,801-64594,"NETVISORS, INC.","NETVISORS, INC.",11 BOTTLEBRUSH,,ALISO VIEJO,CA,USA,92656,949-280-9450,949-360-4356,,,,,,,Approved,8/16/2005,8/5/2005,Y,HTTP://WWW.NETVISORS.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,Y,Y,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,136776,801-64663,"401KID, INC.","401KID, INC.",224 W 35TH STREET,SUITE 410,NEW YORK,NY,USA,10001,212-904-1656,212-904-1243,,,,,,,Approved,8/26/2005,8/24/2006,Y,WWW.401KID.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,Y,N,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,131517,801-63255,"SWANK ENERGY INCOME ADVISORS, LP","SWANK ENERGY INCOME ADVISORS, LP",3300 OAK LAWN AVE,SUITE 650,DALLAS,TX,UNITED STATES,75219,214-692-6334,214-219-2353,,,,,,,Approved,6/17/2004,5/18/2010,Y,WWW.SWANKCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,TX,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"836,338,354.00",0,"836,338,354.00",14,0,14,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
PLRO,146975,801-69086,"THE ITHAKA GROUP, LLC","THE ITHAKA GROUP, LLC",3 BETHESDA METRO CENTER,SUITE 700,BETHESDA,MD,UNITED STATES,20814,240-395-5000,240-395-2467,,,,,,,Approved,4/23/2008,5/18/2010,Y,WWW.ITHAKAGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"161,049,327.00",0,"161,049,327.00",71,0,71,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,145543,801-69133,"RANGER ALTERNATIVE MANAGEMENT, L.P.","RANGER ALTERNATIVE MANAGEMENT, L.P.",300 CRESCENT COURT,SUITE 1100,DALLAS,TX,USA,75201,214-871-5207,214-871-5201,,,,,,,Approved,5/12/2008,5/18/2010,Y,WWW.RANGERALTERNATIVES.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Partnership,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR INVESTMENT COMPANIES EXEMPT FROM REGISTRATION UNDER THE INVESTMENT COMPANY ACT OF 1940,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,124567,801-61674,SVB ASSET MANAGEMENT,SVB ASSET MANAGEMENT,555 MISSION STREET,SUITE 900,SAN FRANCISCO,CA,UNITED STATES,94105,866-719-9117,415-615-0072,,,,,,,Approved,1/2/2003,5/18/2010,Y,WWW.SVBASSETMANGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,251-500,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"6,299,416,166.00",0,"6,299,416,166.00",355,0,355,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,129975,801-71273,FEDERMANN FINANCIAL ADVISORS INC.,FEDERMANN FINANCIAL ADVISORS INC.,130 RAYNOR AVENUE,,RONKONKOMA,NY,UNITED STATES,11779,631-981-1904,631-981-1905,,,,,,,Approved,4/12/2010,5/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"30,700,000.00",0,"30,700,000.00",110,0,110,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,112500,801-23854,JOHNSTON ASSET MANAGEMENT CORP,JOHNSTON ASSET MANAGEMENT CORP,ONE LANDMARK SQUARE,20TH FLOOR,STAMFORD,CT,UNITED STATES,6901,203-324-4722,203-324-4822,,,,,,,Approved,3/26/1985,5/18/2010,Y,WWW.JOHNSTONASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,491,400,000.00","17,400,000.00","1,508,800,000.00",542,16,558,N,Y,N,Y,N,N,Y,N,N,Y,PORTFOLIO MGMT. FOR POOLED INVESTMENT VEHICLES,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,133328,801-63640,HALCYON STRUCTURED ASSET MANAGEMENT L.P.,HALCYON STRUCTURED ASSET MANAGEMENT L.P.,477 MADISON AVENUE,8TH FLOOR,NEW YORK,NY,UNITED STATES,10022-5843,212-303-9400,212-935-1831,,,,,,,Approved,11/17/2004,5/18/2010,Y,WWW.HALCYONLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,CLO ENTITIES,Y,N,N,N,N,Y,Y,COLLATERAL MANAGEMENT FEES FOR CLO ENTITIES,Y,"5,307,203,438.00",0,"5,307,203,438.00",16,0,16,N,N,N,Y,N,N,N,N,N,Y,COLLATERAL MANAGEMENT FOR CLO ENTITIES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,125361,801-62000,CRESTWOOD ADVISORS LLC,CRESTWOOD ADVISORS LLC,50 FEDERAL STREET,SUITE 810,BOSTON,MA,USA,2110,617-523-8880,617-523-8118,,,,,,,Approved,4/21/2003,5/19/2010,Y,WWW.CRESTWOODADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"514,445,100.00","29,621,015.00","544,066,115.00",174,6,180,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,140725,801-67488,"JOLLIFFE CAPITAL, INC.","JOLLIFFE CAPITAL, INC.",400 SOUTH COLORADO BLVD,SUITE 210,GLENDALE,CO,UNITED STATES,80246,303-469-6273,303-320-1480,,,,,,,Approved,1/12/2007,5/18/2010,Y,WWW.JOLLIFFECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,Y,Y,N,N,N,,Y,"55,446,550.00",0,"55,446,550.00",265,0,265,Y,Y,N,Y,N,N,Y,N,N,Y,CONSULTATION,10-Jan,,Y,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,123170,801-61552,CEDAR ROCK CAPITAL LIMITED,CEDAR ROCK CAPITAL LIMITED,110 WIGMORE STREET,,LONDON,,UNITED KINGDOM,W1U 3RW,44 020 75631100,44 020 7563 1111,,,,,,,Approved,11/4/2002,5/19/2010,Y,WWW.CEDARROCKCAPITAL.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,26-50 percent,"FOUNDATIONS, ENDOWMENTS, PRIVATE COMPANIES",Y,N,N,N,N,N,N,,Y,"4,633,437,552.00",0,"4,633,437,552.00",18,0,18,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137779,801-65228,ASSET VALUE INVESTORS LIMITED,ASSET VALUE INVESTORS LIMITED,54 ST. JAMES'S STREET,,LONDON,,UNITED KINGDOM,SW1A 1JT,44-207-647-2900,44-207-647-2901,,,,,,,Approved,1/19/2006,5/19/2010,Y,WWW.ASSETVALUEINVESTORS.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,"FOUNDATIONS, ENDOWMENTS, PRIVATE COMPANIES/TRUSTS",Y,N,N,N,N,Y,N,,Y,"2,595,301,185.00",0,"2,595,301,185.00",12,0,12,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111079,801-58171,"JACKSON NATIONAL ASSET MANAGEMENT, LLC","JACKSON NATIONAL ASSET MANAGEMENT, LLC",1 CORPORATE WAY,,LANSING,MI,UNITED STATES,48951,517-381-5500,517-706-5517,,,,,,,Approved,1/8/2001,5/19/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,51-250,0,10-Jun,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"43,230,199,417.00",0,"43,230,199,417.00",94,0,94,N,N,Y,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,N,N,N,Y,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
LARO,153293,801-71407,"CROSS BORDER PLANNING PARTNERS, LLC","CROSS BORDER PLANNING PARTNERS, LLC",3336 NORTH 32ND STREET,SUITE 100,PHOENIX,AZ,UNITED STATES,85018,602-955-5007,602-224-5874,,,,,,,Approved,5/20/2010,5/19/2010,Y,WWW.CBPLANNINGPARTNERS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,0,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106625,801-26465,"IPSWICH INVESTMENT MANAGEMENT COMPANY, INC","IPSWICH INVESTMENT MANAGEMENT COMPANY, INC.",53. S. MAIN STREET,,IPSWICH,MA,USA,1938,978-356-6333,978-356-2176,,,,,,,Approved,2/21/1986,5/19/2010,Y,WWW.IPSWICHINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"165,474,390.00","39,022,217.00","204,496,607.00",208,7,215,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,42180,801-71479,SUNBELT SECURITIES,"SUNBELT SECURITIES, INC.",5065 WESTHEIMER,SUITE 600,HOUSTON,TX,UNITED STATES,77056,713-965-9510,713-965-9435,,,,,,,Approved,6/24/2010,5/19/2010,Y,WWW.SUNBELTSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"67,762,680.00",0,"67,762,680.00",189,0,189,Y,Y,N,N,N,Y,N,N,N,N,,0,,Y,Y,Y,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
NYRO,104543,801-36845,HARDING LOEVNER LP,HARDING LOEVNER LP,50 DIVISION STREET,FOURTH FLOOR,SOMERVILLE,NJ,UNITED STATES,8876,908-218-7900,908-218-1915,,,,,,,Approved,4/16/1990,5/19/2010,Y,WWW.HARDINGLOEVNER.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,Nov-50,0,10-Jun,0,5-Jan,0,More than 500,"4,000",51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,"TRUSTS, ESTATES",Y,N,N,N,N,Y,N,,Y,"6,400,400,000.00","279,700,000.00","6,680,100,000.00","3,910","1,691","5,601",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,133442,801-68286,PINNACLE PENSION CONSULTANTS LLC,PINNACLE PENSION CONSULTANTS LLC,"144 TURNPIKE ROAD,  SUITE 110",,SOUTHBOROUGH,MA,UNITED STATES,1772,508-875-7431,508-281-8215,,,,,,,Approved,8/20/2007,5/19/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,% OF ASSETS UNDER CONSULTATION,N,0,0,0,0,0,0,N,N,N,Y,Y,Y,N,N,N,Y,CONSULTING,,,N,N,N,Y,N,N,Y,N,N,,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,129403,801-63917,"THE MOORINGS GROUP, LLC","THE MOORINGS GROUP, LLC",TWO CONCOURSE PARKWAY,SUITE 570,ATLANTA,GA,USA,30328-6111,770-395-3366,770-395-3360,,,,,,,Approved,2/3/2005,5/19/2010,Y,MOORINGSGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"395,047,165.00",0,"395,047,165.00",121,0,121,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,127081,801-66123,BROKERSXPRESS LLC,BROKERSXPRESS LLC,"311 MONROE STREET, SUITE 1000",,CHICAGO,IL,UNITED STATES,60606,312-630-3300,,,,,,,,Approved,2/17/2006,5/19/2010,Y,HTTP://WWW.BROKERSXPRESS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"5,000",51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,Y,OPERATING FEE FOR ASSET MANAGEMENT PLATFORM,Y,"271,421,313.00","467,191,658.00","738,612,971.00","2,959","2,393","5,352",Y,Y,N,Y,N,Y,N,N,N,Y,TURNKEY ASSET MANAGEMENT PLATFORM,25-Nov,,N,N,Y,N,Y,N,Y,N,N,,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,Y,N,N,N,N
ARO,138132,801-65318,PRESIDIUM,"PRESIDIUM RETIREMENT ADVISERS, INC.",5250 77 CENTER DRIVE,SUITE 450,CHARLOTTE,NC,UNITED STATES,28217,866-401-5360,704-831-5255,,,,,,,Approved,1/18/2006,5/19/2010,Y,WWW.PRESIDIUMADVISERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"13,365,407.00","343,327,266.00","356,692,673.00",1,10,11,N,N,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152787,801-71018,CARPATHIA REAL ESTATE ADVISORS LLC,CARPATHIA REAL ESTATE ADVISORS LLC,C/O THE TUCKERMAN GROUP 4 INTERNATIONAL DRIVE,SUITE 230,RYE BROOK,NY,UNITED STATES,10573,914-701-4400,914-701-4419,,,,,,,Approved,1/19/2010,5/19/2010,Y,WWW.CARPATHIEREA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,N,,Y,0,"417,879,864.00","417,879,864.00",0,1,1,N,N,N,Y,N,N,N,N,N,Y,REAL ESTATE ADVISORY/ASSET MANAGEMENT,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,7691,801-14235,"MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED","MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED",ONE BRYANT PARK,,NEW YORK,NY,UNITED STATES,10036,212-449-1000,212-670-4507,101 S TRYON ST,NC1-002-19-44,CHARLOTTE,NC,UNITED STATES,28255,Approved,12/8/1978,8/26/2010,Y,HTTP://ASKMERRILL.COM,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,More than 1000,"33,000",More than 1000,"16,000",More than 1000,"15,000",More than 1000,"1,200",More than 500,"480,000",51-75 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,"USUFRUCTUARY, CURATORSHIP, TUTORSHIP, EDUCATIONAL INSTITUTIONS, NON-U.S. GOV'T AGENCY, OTHER",Y,Y,N,Y,Y,N,N,,Y,"171,143,000,000.00","86,738,000,000.00","257,881,000,000.00","722,000","439,803","1,161,803",Y,Y,N,Y,Y,Y,N,N,N,Y,"PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, INVESTMENT POLICY SERVICES, RESEARCH REPORTS, 529 PLANS, SEE SCHEDULE D",More than 500,93000,Y,Y,Y,N,Y,N,Y,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y
PLRO,113678,801-61179,"STRATEGIC WEALTH MANAGEMENT GROUP, LLC","STRATEGIC WEALTH MANAGEMENT GROUP, LLC",7300 GRACE DRIVE,,COLUMBIA,MD,USA,21044,410-988-9494,443-535-0313,,,,,,,Approved,5/17/2002,8/26/2010,Y,WWW.SWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,Nov-50,0,Nov-50,0,0,0,Nov-50,0,More than 500,695,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"469,921,240.00","164,821,382.00","634,742,622.00","2,498",108,"2,606",Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,145101,801-68414,"OM INVESTMENT MANAGEMENT, LLC","OM INVESTMENT MANAGEMENT, LLC",15310 AMBERLY DRIVE,SUITE 250,TAMPA,FL,UNITED STATES,33647,(813) 388-5476,(813) 433-5600,,,,,,,Approved,10/15/2007,8/26/2010,Y,HTTP://WWW.OMIMLLC.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"39,277,426.00",0,"39,277,426.00",94,0,94,Y,Y,N,Y,Y,Y,N,N,N,Y,"OM INVESTMENT MANAGEMENT, LLC, PROVIDES PORTFOLIO MANAGEMENT SERVICES TO A PRIVATE INVESTMENT PARTNERSHIP OR FUND.",10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,154238,801-71684,"CARLTON, HOFFERKAMP AND JENKS WEALTH MANAGEMENT, LLC","CARLTON, HOFFERKAMP AND JENKS WEALTH MANAGEMENT, LLC",10200 GROGAN'S MILL ROAD,SUITE 340,THE WOODLANDS,TX,UNITED STATES,77380,281-298-2700,281-298-2760,,,,,,,120-Day Approval,7/28/2010,8/26/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,31256,801-67475,"SAFEGUARD SECURITIES, INC.","SAFEGUARD SECURITIES, INC.",2000 AUBURN DRIVE,SUITE 300,CLEVELAND,OH,USA,44122,216-825-4000,216-825-4001,,,,,,,Approved,1/19/2007,8/26/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"33,975,751.00","33,975,751.00",0,120,120,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108361,801-49761,FORT PITT CAPITAL GROUP INC,FORT PITT CAPITAL GROUP INC,680 ANDERSON DRIVE,FOSTER PLAZA TEN,PITTSBURGH,PA,UNITED STATES,15220,412-921-1822,412-921-2402,,,,,,,Approved,7/31/1995,8/26/2010,Y,WWW.FORTPITTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,10-Jun,0,More than 500,"1,500",26-50 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"960,342,254.00","70,971,237.00","1,031,313,491.00","2,207","1,477","3,684",Y,Y,Y,Y,N,N,N,N,N,N,,More than 500,1000,N,N,N,N,N,N,Y,N,N,,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,13985,801-68432,"GOOGINS & ANTON, INC.","GOOGINS & ANTON, INC.",6417 UNIVERSITY AVENUE,,MIDDLETON,WI,USA,53562,608 836-3229,608 836-3328,,,,,,,Approved,11/6/2007,8/26/2010,Y,WWW.GOOGINSANDANTON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"101,353,569.00","1,359,101.00","102,712,670.00",710,14,724,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,Y,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104616,801-31434,FISCHER FINANCIAL SERVICES INC,FISCHER FINANCIAL SERVICES INC,4431 NORTH FRONT STREET,SUITE 105,HARRISBURG,PA,UNITED STATES,17110,717-233-8901,717-233-3813,,,,,,,Approved,3/10/1988,8/26/2010,Y,WWW.FISCHERFINANCIALSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"137,719,649.00","2,060,930.00","139,780,579.00",623,2,625,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,119651,801-61147,TONGE INVESTMENT SERVICES,TONGE INVESTMENT SERVICES,22 COMMON STREET,,WATERVILLE,ME,UNITED STATES,4901,207-877-7762,207-877-7868,,,,,,,Approved,4/16/2002,8/26/2010,Y,WWW.RICKTONGE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,ME,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"31,487,000.00",0,"31,487,000.00",197,0,197,N,Y,N,N,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,126992,801-64116,YALE CAPITAL CORP.,TEXAS YALE CAPITAL CORP.,COAST BANK 111 SECOND AVE NE,SUITE 503,ST. PETERSBURG,FL,UNITED STATES,33701,727-823-0006,727-502-9059,,,,,,,Approved,4/8/2005,8/26/2010,Y,WWW.YALECAPITALCORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"573,673,800.00","225,309.00","573,899,109.00",266,14,280,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,36451,801-68927,"GREAT AMERICAN ADVISORS, INC.","GREAT AMERICAN ADVISORS, INC.",525 VINE STREET,7TH FLOOR,CINCINNATI,OH,UNITED STATES,45202,800-216-3354,513-412-1500,P.O. BOX 357,,CINCINNATI,OH,UNITED STATES,45201-0357,Approved,4/1/2008,8/26/2010,Y,WWW.GAADVISORS.COM,N,N,N,N,N,N,N,N,N,Y,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,Nov-50,0,More than 500,"2,000",0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"9,924,361.00",0,"9,924,361.00",17,0,17,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,Y,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,112046,801-5921,"GRAYBILL BARTZ ASSOCIATES, LTD","GRAYBILL BARTZ ASSOCIATES, LTD",568 S SPRING RD,,ELMHURST,IL,USA,60126,630-941-9460,630-832-3491,,,,,,,Approved,8/29/1969,8/26/2010,Y,WWW.GRAYBILLBARTZ.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"176,359,387.00","2,708,819.00","179,068,206.00",268,2,270,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,154396,801-71689,DISCERENE VALUE ADVISORS LLC,DISCERENE VALUE ADVISORS LLC,2777 SUMMER ST.,SUITE 210,STAMFORD,CT,UNITED STATES,6905,203-274-8736,203-469-9170,,,,,,,Approved,7/29/2010,8/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"34,900,000.00",0,"34,900,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,131777,801-65303,"FULCRUM ADVISORY SERVICES, INC.","FULCRUM ADVISORY SERVICES, INC.",555 MARYVILLE UNIVERSITY DRIVE,SUITE 250,ST. LOUIS,MO,UNITED STATES,63141,314-336-3120,314-336-3141,,,,,,,Approved,2/24/2006,8/26/2010,Y,WWW.FULCRUMADVISORYSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"28,900,000.00","86,700,000.00","115,600,000.00",132,396,528,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,Y,N,N,N,N,N,N,N,N,,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,125489,801-63179,"NOVA WEALTH MANAGEMENT GROUP, LLC","NOVA WEALTH MANAGEMENT GROUP, LLC",1370 CENTER DRIVE,SUITE 202,ATLANTA,GA,UNITED STATES,30338,770.394.3281,770.394.8821,,,,,,,Approved,5/27/2004,8/26/2010,Y,WWW.NOVAWEALTH.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"124,877,319.00","305,209.00","125,182,528.00",504,5,509,Y,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,140533,801-66871,HORN EICHENWALD INVESTMENTS CORP.,HORN EICHENWALD INVESTMENTS CORP.,2601 S. BAYSHORE DR. SUITE 1200,,MIAMI,FL,UNITED STATES,33133,305-860-0770,305-860-6990,,,,,,,Approved,6/14/2006,8/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"120,000,000.00",0,"120,000,000.00",13,0,13,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104965,801-8681,STRATTON MANAGEMENT COMPANY,STRATTON MANAGEMENT CO,610 W GERMANTOWN PIKE,SUITE 300,PLYMOUTH MTG,PA,USA,19462,610-941-0888,610-941-0330,,,,,,,Approved,6/10/1972,8/26/2010,Y,WWW.STRATTONMGT.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,251-500,0,Up to 10 percent,26-50 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,028,780,000.00","205,470,000.00","2,234,250,000.00",617,110,727,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,116185,801-69504,CAPITAL CITIES INVESTMENTS,CAPITAL CITIES INVESTMENTS,47 SOUTH MERIDIAN STREET,SUITE 425,INDIANAPOLIS,IN,USA,46204-3580,317-475-4500,317-475-4505,,,,,,,Approved,8/27/2008,8/26/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,IN,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,N,0,0,0,0,0,0,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,117401,801-67051,"U.S. ADVISORS, INC.","U.S. ADVISORS, INC.","515 KING STREET, SUITE 310",,ALEXANDRIA,VA,USA,22314-3137,703-706-0885,703-706-9556,,,,,,,Approved,7/28/2006,8/26/2010,Y,WWW.USADVISORS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"40,000,000.00",0,"40,000,000.00",87,0,87,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,132018,801-63314,"ICS TRADING, LTD.","ICS TRADING, LTD.",,,,,,,1.15256E+13,,P.O. BOX 132878,,DALLAS,TX,U.S.,75313,Approved,8/18/2004,2/6/2006,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106434,801-43726,"DOHENY ASSET MANAGEMENT, L.L.C.","DOHENY ASSET MANAGEMENT, L.L.C.",10877 WILSHIRE BLVD,SUITE 1406,LOS ANGELES,CA,UNITED STATES,90024-4341,310-209-5500,310-208-4181,,,,,,,Approved,4/9/1993,8/26/2010,Y,WWW.DOHENYASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"205,122,644.00",0,"205,122,644.00",158,0,158,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,134173,801-63916,THE MUTUAL FUND STORE,"TMFS-SAN FRANCISCO-OAKLAND, LLC","5684 STONERIDGE DRIVE, SUITE A",,PLEASANTON,CA,UNITED STATES,94588,925-227.0555,925-737.0395,,,,,,,Approved,2/3/2005,8/26/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,More than 500,"1,000",More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"203,998,000.00",0,"203,998,000.00",953,0,953,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104593,801-53180,DELOITTE INVESTMENT ADVISORS LLC,DELOITTE INVESTMENT ADVISORS LLC,"250 EAST FIFTH STREET, SUITE 1900",,CINCINNATI,OH,USA,45202,513-784-7100,513-929-3301,,,,,,,Approved,11/15/1996,8/26/2010,Y,WWW.DELOITTE.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,5-Jan,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,N,Y,N,Y,N,N,Y,A PERCENTAGE OF THE CLIENT'S PORTFOLIO,N,0,0,0,0,0,0,Y,N,N,N,Y,N,Y,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N
HQ,152139,801-70804,"FAIRWAY INVESTMENT ADVISORS, LLC","FAIRWAY INVESTMENT ADVISORS, LLC",,,,,,,886-955-465-470,,,,,,,,Approved,2/22/2010,8/26/2010,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,153783,801-71567,"CHAPWOOD CUSTOMHEDGE PORTFOLIO ADVISORY SERVICES, LLC","CHAPWOOD CUSTOMHEDGE PORTFOLIO ADVISORY SERVICES, LLC",15455 N DALLAS PARKWAY,SUITE 750,ADDISON,TX,UNITED STATES,75001,972-865-2225,972-386-9285,,,,,,,Approved,6/17/2010,8/26/2010,Y,WWW.CHAPWOODCUSTOMHEDGE.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,25574,801-36407,CHASE INVESTMENT SERVICES CORP.,CHASE INVESTMENT SERVICES CORP.,300 SOUTH RIVERSIDE PLAZA,11TH FLOOR,CHICAGO,IL,UNITED STATES,60606-2003,312-732-7348,312-732-9753,1111 POLARIS PARKWAY,SUITE 2J,COLUMBUS,OH,UNITED STATES,43240,Approved,4/20/1990,8/26/2010,Y,WWW.CHASE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,More than 1000,"17,000",More than 1000,"2,500",More than 1000,"17,000",0,0,More than 500,"90,000",More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"14,898,000,000.00","1,081,000,000.00","15,979,000,000.00","86,651","2,637","89,288",N,Y,N,Y,N,Y,N,N,N,Y,PROVIDES INVESTMENT SUPERVISORY SERVICES,51-100,,Y,N,Y,N,N,N,N,N,Y,SELL INSURANCE INVESTMENT PRODUCTS,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,Y,Y,N,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,Y,N,N,N,Y,Y,Y,N,Y
LARO,16944,801-67802,"NEWPORT COAST SECURITIES, INC.","NEWPORT COAST SECURITIES, INC.",18872 MACARTHUR BLVD,FIRST FLOOR,IRVINE,CA,UNITED STATES,92612,949-851-5830,949-756-0981,,,,,,,Approved,5/4/2007,8/26/2010,Y,WWW.NEWPORTCOASTSECURITIES.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,CA,UNITED STATES,51-250,0,Nov-50,0,51-250,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,OTHER FEES,Y,"12,000,000.00",0,"12,000,000.00",132,0,132,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,Y,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N
CHRO,109865,801-60017,"CUPPS CAPITAL MANAGEMENT, LLC","CUPPS CAPITAL MANAGEMENT, LLC",208 SOUTH LASALLE STREET,SUITE 1368,CHICAGO,IL,UNITED STATES,60604,312-263-1057,312-263-2499,,,,,,,Approved,2/28/2001,7/22/2010,Y,WWW.CUPPSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"373,000,000.00",0,"373,000,000.00",36,0,36,N,N,N,Y,N,N,N,N,N,Y,PRIVATE PARTNERSHIPS,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,25454,801-70990,"ESSEX NATIONAL SECURITIES, INC.","ESSEX NATIONAL SECURITIES, INC.",550 GATEWAY DRIVE,SUITE 210,NAPA,CA,USA,94558,707-258-5000,707-258-2563,,,,,,,Approved,1/27/2010,7/22/2010,Y,WWW.ENSINET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,0,0,10-Jan,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"37,540,954.00",0,"37,540,954.00",21,0,21,Y,N,N,N,N,Y,N,N,N,Y,REFERRAL OF CLIENTS TO THIRD PARTY MONEY MANAGERS,0,,N,N,Y,N,N,N,N,N,N,,Y,Y,Y,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
NYRO,117773,801-61080,ARDEN ASSET MANAGEMENT LLC,ARDEN ASSET MANAGEMENT LLC,375 PARK AVENUE,32ND FLOOR,NEW YORK,NY,UNITED STATES,10152,212-751-5252,212-446-2050,,,,,,,Approved,4/15/2002,7/22/2010,Y,WWW.ARDENASSET.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,Nov-50,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"7,908,578,086.00",0,"7,908,578,086.00",31,0,31,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT OF POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,145395,801-68549,"FUND ARCHITECTS, LLC","FUND ARCHITECTS, LLC",6710 HORIZON ROAD,SUITE 100,HEATH,TX,UNITED STATES,75032,866-539-4186,972-771-1471,,,,,,,Approved,11/30/2007,7/22/2010,Y,WWW.FUNDARCHITECTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,Nov-50,0,More than 500,900,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,MONTHLY CONSULTATION FEE,Y,"135,066,980.00",0,"135,066,980.00","1,118",0,"1,118",N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138486,801-70660,"BOSTON PROVIDENT, L.P.","BOSTON PROVIDENT, L.P.",717 FIFTH AVENUE,,NEW YORK,NY,UNITED STATES,10022,212-421-3737,212-421-3939,,,,,,,Approved,10/13/2009,7/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,INSTITUTIONAL SEPARATE MANAGED ACCOUNT,Y,N,N,N,N,Y,N,,Y,"158,900,000.00",0,"158,900,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT MANAGEMENT SERVICES TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110038,801-57962,BEACON FINANCIAL GROUP,BEACON RETIREMENT PLANNING SERVICES INC.,"17300 PRESTON RD, SUITE 120E",ATTN;C/O MINDY LEA KIRBY,DALLAS,TX,USA,75252-5654,972-726-9888,972-726-9880,,,,,,,Approved,9/15/2000,7/22/2010,Y,WWW.BEACONNFP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,CONSULTING,Y,"179,698,063.00",0,"179,698,063.00",253,0,253,Y,Y,N,Y,N,N,N,N,N,Y,INSURANCE SERVICES,251-500,,N,N,N,Y,N,N,Y,N,Y,INSURANCE AGENTS,Y,N,Y,Y,N,Y,Y,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,154118,801-71722,"BRAMPTON ASSET MANAGEMENT, LLC","BRAMPTON ASSET MANAGEMENT, LLC",61 W. PALISADE AVENUE,,ENGLEWOOD,NJ,UNITED STATES,7631,201-705-1200,201-705-1201,,,,,,,120-Day Approval,7/29/2010,7/22/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,147363,801-69271,MERCER GLOBAL ADVISORS INC.,MERCER GLOBAL ADVISORS INC.,1801 EAST CABRILLO BLVD.,,SANTA BARBARA,CA,UNITED STATES,93108,(800) 258-1559,(805) 565-1964,1801 EAST CABRILLO BLVD.,,SANTA BARBARA,CA,UNITED STATES,93108,Approved,5/30/2008,7/22/2010,Y,WWW.MERCERADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,0,0,Nov-50,0,More than 500,"3,500",51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"3,234,747,555.00",0,"3,234,747,555.00","12,149",0,"12,149",Y,Y,N,N,Y,N,N,N,N,N,,More than 500,3500,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,154567,801-71723,"HERITAGE CAPITAL INVESTMENT MANAGEMENT, LLC","HERITAGE CAPITAL INVESTMENT MANAGEMENT, LLC",400 PARK AVENUE SUITE 810,,NEW YORK,NY,UNITED STATES,10022,646-278-1357,212-867-4525,,,,,,,120-Day Approval,8/16/2010,7/22/2010,Y,WWW.HCIFUND.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,Y,PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,133763,801-64721,"SAGEPOINT FINANCIAL, INC.","SAGEPOINT FINANCIAL, INC.",2800 NORTH CENTRAL AVENUE,SUITE 2100,PHOENIX,AZ,UNITED STATES,85004,602-744-3000,602-744-3168,,,,,,,Approved,10/3/2005,7/22/2010,Y,WWW.SAGEPOINTFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,501-1000,0,501-1000,0,501-1000,0,5-Jan,0,More than 500,"10,500",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"691,703,606.00","762,257,319.00","1,453,960,925.00","5,115","5,251","10,366",Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,Y,Y,Y,N,N,N,Y,N,N,,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,Y,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N
SFRO,130499,801-67811,ARCHON CAPITAL MANAGEMENT LLC,ARCHON CAPITAL MANAGEMENT LLC,"1301 5TH AVE., SUITE 3008",,SEATTLE,WA,UNITED STATES,98101,206-436-3600,206-438-1863,,,,,,,Approved,4/19/2007,7/22/2010,Y,WWW.STRATEGOSFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"233,053,117.00",0,"233,053,117.00",4,0,4,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,113771,801-61118,"GASBER & GRECU FINANCIAL ADVISORS, LLC","GASBER & GRECU FINANCIAL ADVISORS, LLC","81 BLUE RAVINE ROAD, SUITE 250",,FOLSOM,CA,UNITED STATES,95630,916-985-2594,916-852-9377,,,,,,,Approved,5/7/2002,7/22/2010,Y,WWW.GFADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,Y,Y,N,N,N,,Y,"123,836,916.00",0,"123,836,916.00",455,0,455,Y,Y,N,N,N,Y,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,152950,801-71455,"OCTOBER THREE FINANCIAL SOLUTIONS, LLC","OCTOBER THREE FINANCIAL SOLUTIONS, LLC","220 NORTH SMITH STREET, SUITE 408",,PALATINE,IL,UNITED STATES,60067,312-878-2440,866-945-9676,,,,,,,Approved,5/17/2010,7/22/2010,Y,WWW.OCTOBERTHREE.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,26-50 percent,26-50 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,A PERCENTAGE OF THE REFERRAL PARTNERS FEE SUBJECT TO 206(4)-3,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,SOLICITOR,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109071,801-56284,"HILLVIEW CAPITAL ADVISORS, LLC","HILLVIEW CAPITAL ADVISORS, LLC",170 NORTH RADNOR-CHESTER ROAD,SUITE 150,RADNOR,PA,USA,19087,484-708-4720,484-708-4733,,,,,,,Approved,2/24/1999,7/23/2010,Y,WWW.HILLVIEWCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,090,442,341.00",0,"1,090,442,341.00",950,0,950,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,106093,801-15180,"POLEN CAPITAL MANAGEMENT, LLC","POLEN CAPITAL MANAGEMENT, LLC",2700 N. MILITARY TRAIL,SUITE 230,BOCA RATON,FL,USA,33431,561-241-2425,561-241-2710,,,,,,,Approved,4/7/1980,7/23/2010,Y,WWW.POLENCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,5-Jan,0,251-500,0,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"459,810,100.00","136,273,049.00","596,083,149.00",334,2,336,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,136595,801-64761,"HM CAPITAL MANAGEMENT, LLC","HM CAPITAL MANAGEMENT, LLC",8235 FORSYTH BLVD,SUITE 540,CLAYTON,MO,UNITED STATES,63105,314-746-1700,314-889-3737,,,,,,,Approved,10/11/2005,5/5/2010,Y,WWW.HMCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"441,491,011.00","591,452,773.00","1,032,943,784.00",546,11,557,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
CHRO,108935,801-56226,"AHM ASSET MANAGEMENT, LLC","AHM ASSET MANAGEMENT, LLC",11975 WESTLINE INDUSTRIAL DRIVE,SUITE 222,ST LOUIS,MO,UNITED STATES,63146,314-594-2323,314-594-2319,,,,,,,Approved,2/5/1999,5/5/2010,Y,WWW.AHMFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"181,943,339.00",0,"181,943,339.00",140,0,140,Y,Y,N,Y,Y,Y,N,N,N,Y,PLEASE SEE SCHEDULE D - MISCELLANEOUS,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,150020,801-70148,VEGA CAPITAL MANAGEMENT LIMITED,VEGA CAPITAL MANAGEMENT LIMITED,,,,,,,786-216-7547,740-539-1619,,,,,,,Approved,5/26/2009,5/5/2010,Y,WWW.VEGATT.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,,TRINIDAD AND TOBAGO,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"31,682,667.00",0,"31,682,667.00",28,0,28,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,138707,801-67997,"DAVIS FINANCIAL SERVICES, LLC","DAVIS FINANCIAL SERVICES, LLC",29 WEST ROAD,,ORLEANS,MA,UNITED STATES,02653-0388,508-255-9800,508-255-9844,P.O. BOX 388,,ORLEANS,MA,UNITED STATES,02653-0388,Approved,6/6/2007,5/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"44,684,774.00",0,"44,684,774.00",89,0,89,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108906,801-57202,FINANCIAL CONNECTIONS,"FINANCIAL CONNECTIONS GROUP, INC.",21 TAMAL VISTA BLVD.,#105,CORTE MADERA,CA,UNITED STATES,94925,415-924-1091,415-924-1095,,,,,,,Approved,1/31/2000,5/5/2010,Y,WWW.FINANCIALCONNECTIONS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"114,669,820.00",0,"114,669,820.00",512,0,512,Y,Y,N,N,N,N,N,N,N,Y,TAX PREPARATION,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110565,801-33895,WURTS & ASSOCIATES INC.,WURTS & ASSOCIATES INC.,999 THIRD AVENUE,SUITE 4200,SEATTLE,WA,UNITED STATES,98104,206-622-3700,206-622-0548,,,,,,,Approved,2/17/1989,5/5/2010,Y,WWW.WURTS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,26-50 percent,11-25 percent,0 percent,,N,Y,N,Y,N,Y,Y,A PERCENTAGE OF ASSETS UNDER CONSULTATIVE REVIEW,Y,0,0,0,0,0,0,Y,N,N,N,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,134096,801-68887,ACCUVEST GLOBAL ADVISORS,ACCUVEST GLOBAL ADVISORS,3100 OAK ROAD,SUITE 380,WALNUT CREEK,CA,UNITED STATES,94597,925-930-2882,925-930-2885,,,,,,,Approved,2/27/2008,5/5/2010,Y,WWW.ACCUVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"122,130,000.00","66,160,000.00","188,290,000.00",9,6,15,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,45995,801-53584,"HARTFORD INVESTMENT FINANCIAL SERVICES, LLC","HARTFORD INVESTMENT FINANCIAL SERVICES, LLC",200 HOPMEADOW STREET,,SIMSBURY,CT,UNITED STATES,6089,860-843-4632,866-816-4048,,,,,,,Approved,1/2/1997,5/6/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"50,498,781,424.00",0,"50,498,781,424.00",53,0,53,N,N,Y,N,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,Y,N,N,N,Y,N,N,Y,Y
HQ,111161,801-57186,GP BULLHOUND LTD.,GP BULLHOUND LTD.,52 JERMYN STREET,,LONDON,,UNITED KINGDOM,SW1Y 6LX,+44 2071017560,+44 2075017561,,,,,,,Approved,3/10/2000,5/6/2010,Y,WWW.GPBULLHOUND.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,11-25 percent,0 percent,11-25 percent,0 percent,26-50 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,N,0,0,0,0,0,0,N,Y,N,Y,N,N,Y,N,N,Y,INDEPENDENT RESEARCH,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138880,801-65964,MILLENNIUM GLOBAL INVESTMENTS LIMITED,MILLENNIUM GLOBAL INVESTMENTS LIMITED,57-59 ST. JAMES'S STREET,,LONDON,,UNITED KINGDOM,SW1A 1LD,44-20-7663-8900,44-20-7499-2395,,,,,,,Approved,1/27/2006,5/6/2010,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED COMPANY FORMED IN THE UNITED KINGDOM,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"11,639,000,000.00",0,"11,639,000,000.00",40,0,40,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152074,801-70909,LAMCO LLC,LAMCO LLC,1271 AVENUE OF THE AMERICAS,38TH FLOOR,NEW YORK,NY,UNITED STATES,10020-1300,646-285-9000,646-834-2793,,,,,,,Approved,1/11/2010,5/6/2010,Y,WWW.LAMCOLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,251-500,0,251-500,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,FEES PAID ON A COST BASIS,Y,0,"50,000,000,000.00","50,000,000,000.00",0,1,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106421,801-47796,INTERNATIONAL INVESTMENT GROUP LLC,INTERNATIONAL INVESTMENT GROUP LLC,1500 BROADWAY,17TH FLOOR,NEW YORK,NY,UNITED STATES,10036,212-806-5100,212-806-5199,,,,,,,Approved,1/10/1995,5/6/2010,Y,WWW.IIGH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"594,567,639.00",0,"594,567,639.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,OTHER POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,152667,801-70998,"SNS FINANCIAL GROUP, LLC","SNS FINANCIAL GROUP, LLC",551 COON RAPIDS BOULEVARD,SUITE 100,COON RAPIDS,MN,UNITED STATES,55433,763-421-5300,763-496-0299,,,,,,,Approved,1/15/2010,5/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"33,600,000.00",0,"33,600,000.00",350,0,350,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,133357,801-63719,"PROMANAGE, LLC","PROMANAGE, LLC",55 W. MONROE,SUITE 690,CHICAGO,IL,UNITED STATES,60603-5150,312-456-0665 (X224),312-726-3097,,,,,,,Approved,12/13/2004,5/6/2010,Y,WWW.PROMANAGEPLAN.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,079,368,827.00",0,"1,079,368,827.00",51,0,51,N,N,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,128609,801-67594,"GOTTA RETIREMENT SERVICES,INC.","GOTTA RETIREMENT SERVICES, INC.",817 WASHINGTON STREET,,BRAINTREE,MA,UNITED STATES,2184,781-848-7444,781-848-9052,,,,,,,Approved,2/22/2007,5/6/2010,Y,WWW.GOTTA-PLAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"28,350,000.00","28,350,000.00",0,825,825,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,131186,801-63092,SOLENTURE ADVISORS LLC,SOLENTURE ADVISORS LLC,TWO GATEWAY CENTER,"603 STANWIX STREET, SUITE 1600",PITTSBURGH,PA,UNITED STATES,15222,412-281-5472,412-281-2292,,,,,,,Approved,4/23/2004,5/6/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,25-Nov,0,0 percent,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,% OF ASSETS UNDER CONSULTATION AND REFERRAL FEES,Y,0,"17,278,244.00","17,278,244.00",0,6,6,Y,N,N,Y,Y,Y,N,N,N,Y,CONSULTING & REFERRAL SERVICES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111705,801-60143,"HFR ASSET MANAGEMENT, L.L.C","HFR ASSET MANAGEMENT, L.L.C",10 SOUTH RIVERSIDE PLAZA,SUITE 700,CHICAGO,IL,UNITED STATES,60606,312-327-0430,312-327-0435,,,,,,,Approved,4/6/2001,5/6/2010,Y,WWW.HFR.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,101-250,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,Y,ADMINISTRATIVE SERVICES FEE,Y,"2,821,511,913.00",0,"2,821,511,913.00",75,0,75,N,N,N,Y,N,Y,N,N,N,Y,MANAGEMENT OF UNREGISTERED INVESTMENT COMPANIES IN FUNDS-OF-FUNDS STRUCTURES,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,145570,801-71343,"HUGHES WARREN, INC.","HUGHES WARREN, INC.",3501 N.W. 63RD ST.,SUITE 405,OKLA. CITY,OK,USA,73116-2202,405-418-4080,405-418-4082,,,,,,,Approved,4/22/2010,5/6/2010,Y,WWW.HUGHESWARREN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,"TRUSTS, ESTATES",Y,Y,N,Y,N,N,N,,Y,"45,300,000.00",0,"45,300,000.00",443,0,443,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,42762,801-69994,"ROGAN & ASSOCIATES, INC.","ROGAN & ASSOCIATES, INC.",200 9TH AVENUE NORTH,SUITE 150,SAFETY HARBOR,FL,USA,34695,727-712-3400,727-712-3113,,,,,,,Approved,3/30/2009,5/6/2010,Y,WWW.ROGANFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,More than 500,750,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"25,000,000.00","120,000,000.00","145,000,000.00",100,"1,600","1,700",Y,Y,N,N,Y,Y,Y,N,N,N,,More than 500,750,N,N,Y,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
DRO,152277,801-70960,"TRIUNE FINANCIAL PARTNERS, LLC","TRIUNE FINANCIAL PARTNERS, LLC",10801 MASTIN BLVD,SUITE 940,OVERLAND PARK,KS,UNITED STATES,66210,913-825-6100,913-825-6101,,,,,,,Approved,1/8/2010,5/6/2010,Y,WWW.TRIUNEFP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,0,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"72,231,201.00",0,"72,231,201.00",314,0,314,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106594,801-71237,"VERITRUST FINANCIAL, LLC","VERITRUST FINANCIAL, LLC",3755 CAPITAL HIGHWAY SOUTH,SUITE 130,AUSTIN,TX,UNITED STATES,78704-6623,512-448-0647,512-462-0344,,,,,,,Approved,4/7/2010,5/6/2010,Y,WWW.VERITRUSTFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,REFERRAL FEE FOR MONEY MANAGER SEARCH/MONITORING,Y,"13,969,326.00","23,471,727.00","37,441,053.00",156,259,415,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,Y,Y,N,N,N,N,N,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
HQ,113739,801-57644,AVEBURY ASSET MANAGEMENT LIMITED,AVEBURY ASSET MANAGEMENT LIMITED,500 CHISWICK HIGH ROAD,CHISWICK,LONDON,,UNITED KINGDOM,W4 5RG,1.14421E+13,1.14421E+13,,,,,,,Approved,5/30/2000,6/17/2010,Y,WWW.AVEBURYAM.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,116001,801-69124,"SOKOLOWSKI INVESTMENT ADVISORS, LLC","SOKOLOWSKI INVESTMENT ADVISORS, LLC",95 COLLEGE STREET,,BURLINGTON,VT,UNITED STATES,5401,802-489-5342,802-489-5344,,,,,,,Approved,5/2/2008,6/17/2010,Y,WWW.SIAWEALTHADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"45,082,419.00","1,470,215.00","46,552,634.00",200,25,225,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106393,801-47146,KESSLER INVESTMENT ADVISORS INC,KESSLER INVESTMENT ADVISORS INC,1200 17TH STREET,SUITE 110,DENVER,CO,USA,80202-5835,303-295-7878,303-291-8459,,,,,,,Approved,8/1/1994,7/29/2010,Y,KESSLERCOMPANIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"33,645,026.00",0,"33,645,026.00",4,0,4,N,Y,N,Y,N,N,Y,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,112178,801-68514,PERSONAL MONEY PLANNING,GARY WILLIAM SILVERMAN,4245 KEMP BLVD SUITE 806,,WICHITA FALLS,TX,UNITED STATES,76308-2822,940-692-6885,888-682-2129,,,,,,,Approved,11/21/2007,7/29/2010,Y,WWW.TEXASINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"39,580,000.00",0,"39,580,000.00",313,0,313,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,105638,801-31379,BRIAUD FINANCIAL ADVISORS,BRIAUD FINANCIAL PLANNING INC,4444 CARTER CREEK PKWY,SUITE 110,BRYAN,TX,UNITED STATES,77802,979-260-9771,979-846-5472,,,,,,,Approved,1/28/1988,7/29/2010,Y,BRIAUD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"340,503,025.00","116,473,418.00","456,976,443.00","1,325",551,"1,876",Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,139934,801-71347,"PARAGON CAPITAL ADVISORS, LLC","PARAGON CAPITAL ADVISORS, LLC",21020 N. PIMA ROAD,,SCOTTSDALE,AZ,UNITED STATES,85255,480-483-4102,480-522-3969,,,,,,,Approved,4/19/2010,7/29/2010,Y,WWW.PARAGONCAPITALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"62,289,192.00","100,000,000.00","162,289,192.00",141,5,146,N,Y,N,Y,Y,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENTS,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,112649,801-66255,"ADVISERS INVESTMENT MANAGEMENT, INC.","ADVISERS INVESTMENT MANAGEMENT,INC",1255 LAKE PLAZA DR. SUITE 244,,COLORADO SPRINGS,CO,USA,80906,719-540-9990,719-540-9992,,,,,,,Approved,3/31/2006,7/29/2010,Y,WWW.THECOMPLETESOLUTION.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,10-Jun,0,0,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"33,289,762.00",0,"33,289,762.00",224,0,224,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110499,801-39288,ALPHA CAPITAL MANAGEMENT INC.,ALPHA CAPITAL MANAGEMENT INC,3011 WEST GRAND BLVD,SUITE 1516,DETROIT,MI,USA,48202,313-874-5079,313-874-1570,,,,,,,Approved,6/26/1991,6/22/2009,Y,WWW.ALPHACAPINC.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,143771,801-67840,"CYPRESS WEALTH MANAGEMENT, LLC","CYPRESS WEALTH MANAGEMENT, LLC","3500 MAPLE AVE, SUITE 1320",,DALLAS,TX,UNITED STATES,75219,214-736-8887,800-927-9516,,,,,,,Approved,4/24/2007,7/29/2010,Y,WWW.CYPRESS-WEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"157,191,029.00",0,"157,191,029.00",192,0,192,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105012,801-28664,WINGATE FINANCIAL CORP,WINGATE FINANCIAL CORP,450 BEDFORD ST.,,LEXINGTON,MA,UNITED STATES,02420-1547,781-862-7100,781-861-9707,,,,,,,Approved,1/7/1987,7/29/2010,Y,WWW.WINGATEFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,More than 500,500,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"316,002,785.00","154,252,172.00","470,254,957.00","1,467",662,"2,129",N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,139046,801-66248,RBC ALTERNATIVE ASSET MANAGEMENT INC.,RBC ALTERNATIVE ASSET MANAGEMENT INC.,165 BROADWAY,4TH FLOOR,NEW YORK,NY,UNITED STATES,10006-1404,212-858-6050,212-658-6168,,,,,,,Approved,2/24/2006,7/29/2010,Y,WWW.RBCAAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,5-Jan,0,25-Nov,0,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,FUNDS OF HEDGE FUNDS,Y,N,N,N,N,Y,N,,Y,"119,500,000.00","60,600,000.00","180,100,000.00",11,3,14,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,102920,801-64031,J.P. MORGAN INSTITUTIONAL INVESTMENTS,J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.,245 PARK AVENUE,NY1-Q454,NEW YORK,NY,UNITED STATES,10167,212-648-0882,866-342-1267,,,,,,,Approved,4/5/2005,7/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,"102,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,"SET UP FEE, DEVELOPMENT FEE AND EDUCATION MEETING FEES",Y,"6,400,000,000.00",0,"6,400,000,000.00","102,060",0,"102,060",N,Y,N,N,N,Y,N,N,N,Y,PROVIDE ADVICE FOR A FEE,,,N,N,Y,N,N,N,N,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N
CHRO,148534,801-69682,"NUANCE INVESTMENTS, LLC","NUANCE INVESTMENTS, LLC",ONE WARD PARKWAY,SUITE 126,KANSAS CITY,MO,UNITED STATES,64112,816-743-7080,816-743-7099,,,,,,,Approved,10/22/2008,7/29/2010,Y,WWW.NUANCEINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"145,515,897.00",0,"145,515,897.00",130,0,130,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,Y,Y,N,N,Y,Y,Y,N,Y,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,154369,801-71731,"COMMONWEALTH FINANCIAL SERVICES, LLC","COMMONWEALTH FINANCIAL SERVICES, LLC",225 COLLEGE PARKWAY,SUITE 101,PARKERSBURG,WV,UNITED STATES,26104,304-422-3531,304-428-6222,,,,,,,120-Day Approval,8/16/2010,7/29/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,WV,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,153454,801-71476,"WAMBOLT & ASSOCIATES, LLC","WAMBOLT & ASSOCIATES, LLC",13976 W. BOWLES AVENUE,STE. 200,LITTLETON,CO,UNITED STATES,80127,720-962-6700,720-962-6777,,,,,,,120-Day Approval,6/4/2010,7/29/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,Y,Y,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,144648,801-68231,"DIVERSIFIED CAPITAL MANAGEMENT, LLC","DIVERSIFIED CAPITAL MANAGEMENT, LLC",1112 E. GRAND AVE,,ARROYO GRANDE,CA,USA,93420,805-489-6700,805-489-6703,,,,,,,Approved,8/3/2007,7/29/2010,Y,WWW.DIVCAPITAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"25,700,000.00",0,"25,700,000.00",140,0,140,Y,Y,N,N,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111923,801-60588,BLX GROUP LLC,BLX GROUP LLC,777 SOUTH FIGUEROA STREET,SUITE 800,LOS ANGELES,CA,UNITED STATES,90017,213-612-2200,213-612-2499,777 SOUTH FIGUEROA STREET,SUITE 3200,LOS ANGELES,CA,UNITED STATES,90017,Approved,9/18/2001,7/29/2010,Y,WWW.BONDLOGISTIX.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,51-75 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,012,134,919.00","292,491,991.00","1,304,626,910.00",22,1,23,N,N,N,Y,N,N,N,N,N,Y,STATE AND LOCAL GOVERNMENTAL ENTITIES,0,,N,N,N,N,N,N,N,N,Y,CONSULTING SERVICES,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,14169,801-41033,"CAPITOL SECURITIES MANAGEMENT, INC.","CAPITOL SECURITIES MANAGEMENT, INC.",100 CONCOURSE BLVD,SUITE 101,GLEN ALLEN,VA,UNITED STATES,23059,888-612-1484,804-592-4380,100 CONCOURSE BLVD,SUITE 101,GLEN ALLEN,VA,UNITED STATES,23059,Approved,3/16/1992,7/29/2010,Y,CAPITOLSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,500,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"115,475,905.00","14,297,692.00","129,773,597.00",446,98,544,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,Y,Y,Y,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N
SFRO,153994,801-71732,"RAUB BROCK CAPITAL MANAGEMENT, LP","RAUB BROCK CAPITAL MANAGEMENT, LP",700 LARKSPUR LANDING CIRCLE,SUITE 240,LARKSPUR,CA,UNITED STATES,94939,415-927-6990,415-927-6996,,,,,,,120-Day Approval,8/6/2010,7/29/2010,Y,WWW.RAUBBROCK.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Partnership,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,141253,801-67992,"CONCERT WEALTH MANAGEMENT, INC.","CONCERT WEALTH MANAGEMENT, INC.",1871 THE ALAMEDA,STE. 350,SAN JOSE,CA,UNITED STATES,95126,408-856-6310,408-200-0369,,,,,,,Approved,6/21/2007,7/29/2010,Y,WWW.CONCERTGLOBAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,More than 500,"2,000",51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"765,828,409.00","9,835,539.00","775,663,948.00","2,254",292,"2,546",Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N
BRO,109049,801-64095,"LEDGEWOOD WEALTH ADVISORS, LLC","LEDGEWOOD WEALTH ADVISORS, LLC",92 PORTSMOUTH AVENUE,SUITE 15,EXETER,NH,UNITED STATES,3833,603-773-0080,603-773-0090,,,,,,,Approved,3/15/2005,7/29/2010,Y,WWW.LEDGEWOODWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"61,265,040.00","22,872,446.00","84,137,486.00",169,1,170,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,122030,801-67302,"FINANCIAL STRATEGIES GROUP, INC.","FINANCIAL STRATEGIES GROUP, INC.",1220 28TH AVENUE NORTH,,FARGO,ND,USA,58102,701-234-0103,701-234-0106,,,,,,,Approved,12/1/2006,7/29/2010,Y,WWW.FINSTRAT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,ND,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,Y,Y,N,N,N,,Y,"58,861,508.00",0,"58,861,508.00",970,0,970,Y,Y,N,Y,N,Y,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,79,801-3702,J.P.MORGAN SECURITIES INC.,J.P.MORGAN SECURITIES INC.,270/277 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10017-2014,212-270--6000,212-270-2801,"570 WASHINGTON BLVD, 12TH FLOOR",ATTN: CAROL RUOCCO,JERSEY CITY,NJ,UNITED STATES,7310,Approved,4/3/1965,7/29/2010,Y,WWW.BEARSTEARNS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,More than 1000,"5,515",251-500,0,More than 1000,"3,700",Nov-50,0,More than 500,"18,000",26-50 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,FIRM ACCOUNTS,Y,N,N,N,N,Y,N,,Y,"2,886,564,545.00","3,884,507,291.00","6,771,071,836.00","5,028","11,924","16,952",N,Y,N,Y,Y,Y,N,N,N,N,,,,Y,Y,Y,N,Y,N,N,N,N,,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N
NYRO,154410,801-71704,AQUILINE HOLDINGS LLC,AQUILINE HOLDINGS LLC,535 MADISON AVENUE,24TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-624-9500,,,,,,,,Approved,8/9/2010,7/29/2010,Y,WWW.AQUILINE-LLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"743,412,669.00","149,627,102.00","893,039,771.00",4,6,10,N,N,N,Y,N,Y,N,N,N,Y,INVESTMENT ADVICE TO PRIVATE POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N
ARO,151978,801-71733,"COVEY CAPITAL ADVISORS, LLC","COVEY CAPITAL ADVISORS, LLC",3353 PEACHTREE ROAD NE,"SUITE 545, NORTH TOWER",ATLANTA,GA,UNITED STATES,30326,404-442-2772,404-442-2728,,,,,,,Approved,8/16/2010,7/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"62,075,905.00",0,"62,075,905.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107877,801-55761,ALETHEIA RESEARCH AND MANAGEMENT INC,ALETHEIA RESEARCH AND MANAGEMENT INC,"100 WILSHIRE BLVD, SUITE 1960",,SANTA MONICA,CA,UNITED STATES,90401,310-899-0800,310-899-0700,,,,,,,Approved,8/19/1998,7/29/2010,Y,ALETHEIARESEARCH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"2,500",Up to 10 percent,26-50 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"6,800,000,000.00",0,"6,800,000,000.00","2,500",0,"2,500",N,Y,N,Y,N,N,N,N,N,Y,ADVISE POOLED INVESTMENT VEHICLES,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
BRO,112613,801-60464,BANK OF AMERICA CAPITAL ADVISORS LLC,BANK OF AMERICA CAPITAL ADVISORS LLC,100 FEDERAL STREET,18TH FLOOR,BOSTON,MA,UNITED STATES,2110,617-434-6447,617-434-5766,,,,,,,Approved,8/6/2001,7/29/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,791,009,713.00","46,950,853.00","1,837,960,566.00",50,1,51,N,Y,Y,N,N,N,N,N,N,Y,"PORTFOLIO MANAGEMENT FOR PRIVATE EQUITY FUND OF FUND INVESTMENT VEHICLES, ASSET ALLOCATION",,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y
SFRO,104573,801-46893,"KEN ROBERTS INVESTMENT MANAGEMENT, INC.","KEN ROBERTS INVESTMENT MANAGEMENT, INC.",W 601 RIVERSIDE AVENUE,SUITE 1670,SPOKANE,WA,UNITED STATES,99201,(509)624-5591,(509)624-7215,,,,,,,Approved,6/30/1994,7/29/2010,Y,WWW.KRINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,More than 500,"1,000",26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"285,787,006.00",0,"285,787,006.00","1,065",0,"1,065",N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,116850,801-60663,"VALUEWORKS, LLC",VALUEWORKS LLC,1450 BROADWAY,42ND FLOOR,NEW YORK CITY,NY,UNITED STATES,10018,212-819-1818,212-819-1463,,,,,,,Approved,10/26/2001,1/5/2010,Y,WWW.VALUEWORKSLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"152,310,378.00",0,"152,310,378.00",327,0,327,N,Y,N,N,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111968,801-57125,INTRINSIC INVESTORS LLC,INTRINSIC INVESTORS LLC,1200 N MAYFAIR RD,SUITE 330,WAUWATOSA,WI,USA,53226,414-831-5700,414-831-5799,,,,,,,Approved,2/18/2000,1/5/2010,Y,WWW.INTRIVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"62,684,597.00",0,"62,684,597.00",424,0,424,Y,Y,N,Y,Y,N,Y,N,N,N,,101-250,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135843,801-69503,"FERRELL CAPITAL MANAGEMENT, INC.","FERRELL CAPITAL MANAGEMENT, INC.",9 GREENWICH OFFICE PARK,,GREENWICH,CT,USA,6831,203-862-9500,203-862-8515,,,,,,,Approved,8/20/2008,8/6/2008,Y,WWW.FERRELLCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"371,426,730.00",0,"371,426,730.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,FUND OF FUNDS,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,125081,801-63634,"SYCAMORE INVESTMENT CONSULTING SERVICES, LLC","SYCAMORE INVESTMENT CONSULTING SERVICES, LLC",701 DEMING WAY,SUITE 100,MADISON,WI,UNITED STATES,53717,608-827-6400,608-827-6407,,,,,,,Approved,11/5/2004,11/2/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"67,445,330.00",0,"67,445,330.00",36,0,36,Y,Y,N,Y,N,N,N,N,N,Y,INVESTMENT CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,118969,801-60981,VOSKIAN CAPITAL MANAGEMENT,"VOSKIAN CAPITAL MANAGEMENT & COMPANY, INC.",625 NORTH MAPLE AVE.,,HOHOKUS,NJ,USA,7423,201-652-1622,201-652-4585,,,,,,,Approved,3/1/2002,3/23/2006,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,Up to 10 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,000,000.00",0,"25,000,000.00",30,0,30,N,Y,Y,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,144931,801-68410,"PEAK WEALTH OPPORTUNITIES, LLC","PEAK WEALTH OPPORTUNITIES, LLC",10225 ULMERTON ROAD,SUITE 3 D,LARGO,FL,USA,33771,727-536-7100,727-518-7389,,,,,,,Approved,10/19/2007,9/22/2008,Y,WWW.STOCKCARINDEXFUND.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,144574,801-71312,ALLIANCE CONSULTING,"ALLIANCE CONSULTING, LLC",750 WOODLANDS PARKWAY,SUITE 209,RIDGELAND,MS,UNITED STATES,39157,601-957-9557,601-957-9669,PO BOX 3340,,RIDGELAND,MS,USA,39158-3340,120-Day Approval,4/19/2010,6/9/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,MS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,TRUST COMPANY,N,N,N,Y,N,N,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110997,801-56686,NIKKO ASSET MANAGEMENT CO LTD,NIKKO ASSET MANAGEMENT CO LTD,"MIDTOWN TOWER, 9-7-1 AKASAKA",MINATO-KU,TOKYO,,JAPAN,107-6242,81-3-6447-6000,81-3-6447-6001,,,,,,,Approved,8/9/1999,6/9/2010,Y,HTTP://WWW.NIKKOAM.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,JAPAN,251-500,0,51-250,0,0,0,51-250,0,More than 500,500,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,GOVERNMENT AFFILIATED AGENCY,Y,N,N,Y,N,Y,N,,Y,"99,234,793,287.00","8,302,558,711.00","107,537,351,998.00",505,2,507,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR SUPRANATIONALS,,,N,N,N,N,N,N,N,N,Y,DIRECT SALES OF PRIVATE OFFERED INVESTMENT TRUSTS,N,,N,Y,N,Y,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
BRO,105127,801-9892,LOWELL BLAKE & ASSOCIATES INC.,LOWELL BLAKE & ASSOCIATES INC.,"141 TREMONT STREET, STE 200",,BOSTON,MA,UNITED STATES,02111-1209,617-422-0064,617-422-0744,,,,,,,Approved,4/10/1974,6/9/2010,Y,WWW.LOWELL-BLAKE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,LIMITED LIABILITY COMPANIES,N,Y,N,Y,N,N,N,,Y,0,"554,060,150.00","554,060,150.00",0,605,605,N,Y,N,Y,N,N,N,N,N,Y,TO PRIVATE TRUSTEES,251-500,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109476,801-56017,MONEYPAPER ADVISOR INC,MONEYPAPER ADVISOR INC,555 THEODORE FREMD AVE,SUITE B103,RYE,NY,USA,10580,914-925-0022,914-921-9321,,,,,,,Approved,11/10/1998,3/22/2006,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"37,286,000.00",0,"37,286,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,122609,801-70935,"NORTHEAST FINANCIAL GROUP, INC.","NORTHEAST FINANCIAL GROUP, INC.",STATE ROUTE 611,,TANNERSVILLE,PA,UNITED STATES,18372,570-688-9898,570-688-9890,PO BOX 531,,TANNERSVILLE,PA,UNITED STATES,18372,Approved,1/12/2010,6/9/2010,Y,WWW.NEFGINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"47,352,270.00",0,"47,352,270.00",294,0,294,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111686,801-55225,"PRIM ADVISORS, INCORPORATED",PRIM ADVISORS INC,6500 ROCKSIDE ROAD,SUITE 370,INDEPENDENCE,OH,UNITED STATES,44131,216-830-1111,216-447-1938,,,,,,,Approved,2/2/1998,6/9/2010,Y,WWW.PRIMCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,A PERCENTAGE OF ASSETS UNDER MANAGEMENT BY SUBADVISORS,Y,"35,550,383.00","105,500,204.00","141,050,587.00",229,24,253,Y,Y,N,Y,N,Y,N,N,N,Y,"PERFORMANCE-BASED AUDITS, PORTFOLIO MONITORING AND OTHER INVESTMENT CONSULTING SERVICES",51-100,,N,N,N,Y,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
PLRO,106715,801-49601,VANGUARD ADVISERS INC,VANGUARD ADVISERS INC,100 VANGUARD BLVD,V26,MALVERN,PA,UNITED STATES,19355,610-669-1000,610-669-6600,,,,,,,Approved,7/28/1995,6/9/2010,Y,WWW.VANGUARD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"266,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"7,398,293,159.00","2,393,468,876.00","9,791,762,035.00","82,810",26,"82,836",Y,Y,N,Y,N,N,N,N,N,N,,More than 500,183000,N,N,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
BRO,106609,801-28078,ACADIAN ASSET MANAGEMENT,ACADIAN ASSET MANAGEMENT LLC,ONE POST OFFICE SQUARE,,BOSTON,MA,UNITED STATES,2109,617-850-3500,617-850-3501,,,,,,,Approved,10/10/1986,6/9/2010,Y,HTTP://WWW.ACADIAN-ASSET.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,"NON-US GOVERNMENT ENTITIES, NON-U.S. PENSION PLANS, TAFT HARTLEY PLANS, PRIVATE OFFICES",Y,N,N,N,N,Y,N,,Y,"48,984,678,850.00","329,451,185.00","49,314,130,035.00",255,1,256,N,N,Y,Y,N,N,N,N,N,Y,"MANAGEMENT FOR PRIVATE FUNDS, FAMILY OFFICES,  PROVIDE MODEL PORTFOLIOS FOR OTHER ADVISERS",,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111131,801-55850,KADES FINANCIAL INC,KADES FINANCIAL INC,"TWO RADNOR CORPORATE CENTER, SUITE 101",100 MATSONFORD ROAD,RADNOR,PA,UNITED STATES,19087,610-834-1504,610-834-7882,,,,,,,Approved,8/31/1998,6/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"123,689,000.00",0,"123,689,000.00",215,0,215,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,142666,801-67391,ADVISORY CONSULTING GROUP LLC,ADVISORY CONSULTING GROUP LLC,35 IRON POINT CIRCLE,SUITE 100,FOLSOM,CA,USA,95630,916-932-2575,916-605-4024,,,,,,,Approved,1/3/2007,6/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"703,270,695.00","703,270,695.00",0,10,10,N,N,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,144480,801-68164,CLEARROCK CAPITAL LLC,CLEARROCK CAPITAL LLC,491 N. MAIN STREET,,KETCHUM,ID,UNITED STATES,83340,208-726-8858,208-726-8978,P.O. BOX 607,,KETCHUM,ID,UNITED STATES,83340,Approved,7/20/2007,6/9/2010,Y,CLEARROCKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,ID,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"204,000,000.00","6,100,000.00","210,100,000.00",250,2,252,N,Y,N,Y,N,Y,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,117035,801-60730,NB ALTERNATIVE INVESTMENT MANAGEMENT LLC,NB ALTERNATIVE INVESTMENT MANAGEMENT LLC,605 THIRD AVENUE,22ND FLOOR,NEW YORK,NY,UNITED STATES,10158,212-476-5900,646-537-4660,605 THIRD AVENUE,22ND FLOOR,NEW YORK,NY,UNITED STATES,10158,Approved,11/30/2001,6/9/2010,Y,WWW.NB.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"2,474,767,933.00","1,297,055,269.00","3,771,823,202.00",30,3,33,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,145734,801-68657,"RILEY WEALTH MANAGEMENT, LLC","RILEY WEALTH MANAGEMENT, LLC","306 WEST SEVENTH STREET, SUITE 602",,FORT WORTH,TX,UNITED STATES,76102,817-870-4680,817-870-1995,,,,,,,Approved,1/16/2008,6/9/2010,Y,WWW.RILEYWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"52,242,797.00",0,"52,242,797.00",389,0,389,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
FWRO,149822,801-70009,NB ALTERNATIVES ADVISERS LLC,NB ALTERNATIVES ADVISERS LLC,325 NORTH SAINT PAUL STREET,SUITE 4900,DALLAS,TX,UNITED STATES,75201,214-647-9537,214-647-9501,,,,,,,Approved,3/31/2009,6/9/2010,Y,WWW.NB.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,10-Jun,0,26-100,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,385,368,834.00",0,"4,385,368,834.00",67,0,67,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,152758,801-71566,FRONTIER REGISTERED INVESTMENT ADVISORY LLC,FRONTIER REGISTERED INVESTMENT ADVISORY LLC,16049 ROCKY RIDGE,,BULLARD,TX,UNITED STATES,75757,310-876-2302,310-876-2302,P.O. BOX 984,,BULLARD,TX,UNITED STATES,75757,Approved,6/23/2010,6/9/2010,Y,INVESTDOCS.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,Y,Y,N,N,N,,N,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,Y,N,,0,,N,N,N,N,N,N,N,N,Y,SELL FINANCIAL ANALYSIS SOFTWARE,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106982,801-5995,"VIRTUS INVESTMENT ADVISERS, INC.","VIRTUS INVESTMENT ADVISERS, INC.",100 PEARL STREET,8TH FLOOR,HARTFORD,CT,UNITED STATES,6103,800-248-7971,860-241-1028,,,,,,,Approved,9/17/1969,6/9/2010,Y,WWW.VIRTUS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,STRUCTURED FINANCIAL PRODUCTS; NON-DISCRETIONARY MUNI SECTOR SUB-ADVISORY SERVICES.,Y,N,N,N,N,N,N,,Y,"13,058,382,540.00","209,511,426.00","13,267,893,966.00",52,16,68,N,Y,Y,Y,N,Y,N,N,N,Y,(A) MGNT OF STRUCTURED FNCL PRODUCTS.  (B) AN EMPLOYEE IS CONTRACTED W/ CNBC MEDIA AS HOST OR GUEST PROVIDING MARKET COMMENTARY.,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
SFRO,148301,801-71463,CARAVAN CAPITAL MANAGEMENT LLC,CARAVAN CAPITAL MANAGEMENT LLC,,,,,,,253-230-9011,253-564-4966,,,,,,,120-Day Approval,5/20/2010,6/9/2010,Y,WWW.CARAVANCAP.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,000,000.00",0,"2,000,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,116565,801-67913,"HANKINSON WEALTH MANAGEMENT, INC.","HANKINSON WEALTH MANAGEMENT, INC.",1259 GREENE STREET,,AUGUSTA,GA,USA,30901,706-722-4909,706-722-5199,,,,,,,Approved,6/4/2007,6/9/2010,Y,WWW.RETIREAUGUSTA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"34,683,948.00","889,511.00","35,573,459.00",37,1,38,Y,Y,N,N,N,N,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,26-50,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109452,801-55428,TRINITY WEALTH ADVISORS LLC,"TRINITY WEALTH ADVISORS, L.L.C.",132 W WASHINGTON AVE SUITE 200,,ST. LOUIS,MO,UNITED STATES,63122,314-966-0033,314-966-4896,,,,,,,Approved,4/24/1998,6/9/2010,Y,WWW.TRINITYWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,10-Jun,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"27,350,000.00","52,825,000.00","80,175,000.00",89,59,148,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N
LARO,107519,801-23368,"F500 ADVISORY SERVICES, INC.","F500 ADVISORY SERVICES, INC.",19762 MACARTHUR BLVD,,IRVINE,CA,UNITED STATES,92612,949-253-4000,949-476-2552,,,,,,,Approved,2/1/1985,6/9/2010,Y,WWW.F500ADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,Nov-50,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,Y,BD UNDER SAME OWNERSHIP IS PAID VIA 12B-1 FEES FOR SOME CLIENTS,Y,"50,346,051.00","1,755,782.00","52,101,833.00",189,7,196,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,117273,801-62093,LUTZ FINANCIAL,"LUTZ FINANCIAL SERVICES, LLC",13616 CALIFORNIA STREET,SUITE 300,OMAHA,NE,UNITED STATES,68154-5334,402-827-2300,402-827-2319,,,,,,,Approved,6/4/2003,6/9/2010,Y,WWW.LUTZFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"202,521,124.00","64,163,282.00","266,684,406.00",624,119,743,Y,Y,N,Y,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,6220,801-55529,"SOUTHWEST SECURITIES, INC.","SOUTHWEST SECURITIES, INC.","1201 ELM STREET, SUITE 3500",,DALLAS,TX,USA,75270,214-859-1800,214-859-6497,,,,,,,Approved,6/10/1998,6/9/2010,Y,WWW.SWST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,501-1000,0,51-250,0,51-250,0,Nov-50,0,More than 500,"1,000",51-75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,12B-1 FEES,Y,"24,826,852.00","332,868,486.00","357,695,338.00",306,"1,211","1,517",N,Y,N,N,N,Y,N,N,N,N,,0,,Y,Y,Y,N,Y,N,Y,Y,N,,N,N,Y,Y,N,Y,Y,Y,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,Y,N,N,Y,Y,N,N,N,N
FWRO,17587,801-60812,SWS FINANCIAL SERVICES,SWS FINANCIAL SERVICES,1201 ELM STREET,SUITE 3500,DALLAS,TX,UNITED STATES,75270,214-859-1800,214-859-5500,,,,,,,Approved,1/18/2002,6/9/2010,Y,WWW.SWSFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,251-500,0,51-250,0,51-250,0,251-500,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,Y,12B-1 FEES,Y,"23,189.00","91,287,466.00","91,310,655.00",1,375,376,N,Y,N,N,N,Y,N,N,N,N,,0,,Y,Y,Y,N,Y,N,Y,N,N,,N,N,Y,Y,N,Y,Y,Y,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,Y,N,Y,N,Y,N,N,N,N
FWRO,138524,801-65121,"CHAPWOOD CAPITAL INVESTMENT MANAGEMENT, LLC","CHAPWOOD CAPITAL INVESTMENT MANAGEMENT, LLC",15455 N DALLAS PARKWAY,STE 750,ADDISON,TX,UNITED STATES,75001,972-865-2225,972-386-9285,,,,,,,Approved,1/12/2006,6/9/2010,Y,WWW.CHAPWOODINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"150,000,000.00","150,000,000.00",0,150,150,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,118540,801-60912,DEUTSCHE ASSET MANAGEMENT (JAPAN) LIMITED,DEUTSCHE ASSET MANAGEMENT (JAPAN) LIMITED,"SANNO PARK TOWER, 2-11-1, NAGATA-CHO",,"CHIYODA-KU, TOKYO",,JAPAN,100-6173,813-5156-5000,813-5156-5001,,,,,,,Approved,2/19/2002,6/9/2010,Y,HTTP://INFO.DAMJ.CO.JP/__48256B6E00116DAE.NSF/0/D0515DE311834DF548256B14000F4743?OPENDOCUMENT,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,JAPAN,51-250,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,COST PLUS PROFIT MARGIN,Y,"7,348,207,100.00",0,"7,348,207,100.00",109,0,109,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
MIRO,105397,801-14090,PROFESSIONAL ADVISORY SERVICES INC,PROFESSIONAL ADVISORY SERVICES INC,2770 INDIAN RIVER BLVD,SUITE 204,VERO BEACH,FL,USA,32960,772-778-0552,772-770-2979,,,,,,,Approved,10/11/1978,6/9/2010,Y,WWW.PA-SERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"474,503,338.00",0,"474,503,338.00",638,0,638,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,145078,801-69541,HILLCREST ASSET MANAGEMENT,HILLCREST ASSET MANAGEMENT LLC,14180 N DALLAS PARKWAY,SUITE 650,DALLAS,TX,UNITED STATES,75254,972-490-4400,972-490-4441,,,,,,,Approved,9/9/2008,6/9/2010,Y,WWW.HILLCRESTASSET.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"17,337,894.00",0,"17,337,894.00",7,0,7,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,143742,801-67927,"FIRST SANTA FE WEALTH ADVISORS, LLC","FIRST SANTA FE WEALTH ADVISORS, LLC",1672 HOSPITAL DRIVE,,SANTA FE,NM,UNITED STATES,87505,505-992-2000,505-992-2414,,,,,,,Approved,6/4/2007,6/9/2010,Y,WWW.FIRSTSANTAFEWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NM,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"5,213,570.00","153,700,429.00","158,913,999.00",1,69,70,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,Y,N,N,Y,Y,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
LARO,111082,801-5935,CLUTINGER WILLIAMS & VERHOYE INC,CLUTINGER WILLIAMS & VERHOYE INC,6398 DEL CERRO BLVD,STE 3,SAN DIEGO,CA,UNITED STATES,92120-4761,619-326-0900,619-326-0921,,,,,,,Approved,9/3/1969,8/6/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"84,136,866.00","67,477,608.00","151,614,474.00",248,139,387,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,1668,801-35768,DORSEY & COMPANY INC.,DORSEY & COMPANY INC.,511 GRAVIER STREET,,NEW ORLEANS,LA,UNITED STATES,70130-2726,504-524-5431,504-592-3252,,,,,,,Approved,12/29/1989,8/6/2009,Y,WWW.DORSEYCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,LA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,Y,N,Y,MARK-UPS/MARK-DOWNS,Y,"126,610,757.00","22,611,630.00","149,222,387.00",237,54,291,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,Y,N,Y,N,N,N,Y,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,N,N,N,N,N,N
SFRO,120443,801-65702,"OLYMPIUS CAPITAL, L.P.","OLYMPIUS CAPITAL, L.P.",2965 WOODSIDE RD,SUITE A,WOODSIDE,CA,UNITED STATES,94062,650-327-5023,650-327-5235,,,,,,,Approved,1/27/2006,4/6/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"161,200,000.00",0,"161,200,000.00",9,0,9,N,N,N,N,N,Y,N,N,N,Y,PROVIDE ADVICE TO PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106225,801-30569,CHESS FINANCIAL CORP,CHESS FINANCIAL CORP,25825 SCIENCE PARK DRIVE,SUITE 100,BEACHWOOD,OH,UNITED STATES,44122,216-831-2400,216-831-2401,,,,,,,Approved,10/2/1987,3/22/2010,Y,WWW.CHESSFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,"319,739,014.00","319,739,014.00",0,558,558,Y,Y,N,N,N,Y,Y,N,N,Y,"TAX PLANNING AND COMPLIANCE, FINANCIAL CONSULTING AND FAMILY OFFICE ADMINISTRATION",101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,121064,801-63725,"WHITCOMB & HESS, INC.","WHITCOMB & HESS, INC.",1020 CLEVELAND AVENUE,,ASHLAND,OH,USA,44805,419-289-7007 X 225,419-281-7432,,,,,,,Approved,1/3/2005,3/22/2010,Y,WWW.WHITCOMB.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"58,441,861.00","17,307,194.00","75,749,055.00",996,405,"1,401",Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137698,801-65319,"ATLANTIC INVESTMENT MANAGEMENT, INC","ATLANTIC INVESTMENT MANAGEMENT, INC","666 FIFTH AVENUE, 34TH FLOOR",,NEW YORK,NY,UNITED STATES,10103,212-484-5050,212-484-5060,,,,,,,Approved,1/23/2006,3/22/2010,Y,WWW.ATLANTICINVESTMENT.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,SEPARATELY MANAGED ACCOUNTS,Y,N,N,N,N,Y,N,,Y,"1,493,030,000.00","18,930,000.00","1,511,960,000.00",15,1,16,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES AND SEPARATELY MANAGED ACCOUNTS,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,128199,801-69126,"STRATEGIC FAMILY WEALTH COUNSELORS, L.L.C.","STRATEGIC FAMILY WEALTH COUNSELORS, L.L.C.",100 PASSAIC AVENUE,,FAIRFIELD,NJ,USA,7004,973-575-3444,973-575-5590,,,,,,,Approved,5/2/2008,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"424,813,001.00","2,690,529.00","427,503,530.00","1,189",3,"1,192",Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108687,801-57765,"INVESTMENT MANAGEMENT OF VIRGINIA, LLC","INVESTMENT MANAGEMENT OF VIRGINIA, LLC","919 EAST MAIN STREET, 16TH FLOOR",,RICHMOND,VA,UNITED STATES,23219,804-643-1100,804-643-7599,P.O. BOX 1156,,RICHMOND,VA,UNITED STATES,23218-1156,Approved,6/30/2000,3/22/2010,Y,WWW.IMVA.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,Nov-50,0,More than 500,500,26-50 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"315,699,614.00","20,328,280.00","336,027,894.00",533,12,545,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123043,801-61929,STEVENS WEALTH MANAGEMENT LLC,STEVENS WEALTH MANAGEMENT LLC,500 LAKE COOK ROAD,SUITE 350,DEERFIELD,IL,UNITED STATES,60015,847-580-4240,847-572-0940,,,,,,,Approved,3/26/2003,3/22/2010,Y,WWW.STEVENSWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"152,696,886.00",0,"152,696,886.00",99,0,99,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,104914,801-35294,CPS INVESTMENT ADVISORS,"CHAS. P. SMITH & ASSOCIATES, PA, CPA'S",1509 SOUTH FLORIDA AVENUE,,LAKELAND,FL,USA,33803,863- 688-1725,863-688-0692,,,,,,,Approved,10/6/1989,3/22/2010,Y,WWW.CPALLIANCE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,More than 500,"2,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,REFERRAL FEE ARRANGEMENT,Y,"403,213,464.00",0,"403,213,464.00","1,950",0,"1,950",Y,Y,N,Y,N,N,N,N,N,Y,SEMINARS/CONSULTING,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150996,801-70416,"UP NORTH FINANCIAL, LLC","UP NORTH FINANCIAL, LLC",223 EAST STATE STREET,SUITE 200,TRAVERSE CITY,MI,UNITED STATES,49684,(231) 929-9300,(231) 929-9301,,,,,,,Approved,7/31/2009,3/22/2010,Y,WWW.UPNORTHFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"32,289,546.00","7,794,812.00","40,084,358.00",246,30,276,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,127748,801-68138,"LIGHTHOUSE FINANCIAL MANAGEMENT, LLC","LIGHTHOUSE FINANCIAL MANAGEMENT, LLC",85 BEACH STREET,BLDG D-UNIT 17A,WESTERLY,RI,UNITED STATES,2891,401-596-3392,401-596-3332,,,,,,,Approved,7/11/2007,3/22/2010,Y,WWW.LIGHTHOUSEFM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,RI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"46,214,831.00",0,"46,214,831.00",259,0,259,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,148209,801-69665,H FINANCIAL MANAGEMENT,"HOGE FINANCIAL SERVICES, INC.",400 SOUTHPOINTE BLVD.,"PLAZA ONE, SUITE 420",CANONSBURG,PA,UNITED STATES,15317,724-745-9406,724-745-9408,,,,,,,Approved,2/20/2009,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"94,920,895.00",0,"94,920,895.00",271,0,271,Y,Y,N,Y,N,N,N,N,N,Y,ACTIVE MANAGEMENT STRATEGIES,51-100,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,148398,801-69659,DAVID C. JONES GLOBAL WEALTH MANAGEMENT,"DAVID CARL JONES INVESTMENTS, L.L.C.","310 GERMANTOWN BEND COVE, STE 104",,CORDOVA,TN,UNITED STATES,38018,901-755-9797,901-755-1994,,,,,,,Approved,10/9/2008,3/22/2010,Y,WWW.DCJGLOBAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"33,500,000.00","65,000,000.00","98,500,000.00",140,594,734,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,145666,801-68942,DEAN CAPITAL MANAGEMENT,"DEAN CAPITAL MANAGEMENT, LLC",7450 WEST 130TH STREET,SUITE 150,OVERLAND PARK,KS,UNITED STATES,66213,913-944-4444,913-944-4445,,,,,,,Approved,3/11/2008,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"342,403,238.00",0,"342,403,238.00",517,0,517,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107034,801-42639,DIGIOVINE HNILO JORDAN & JOHNSON FINANCIAL ADVISORS LTD,DIGIOVINE HNILO JORDAN & JOHNSON FINANCIAL ADVISORS LTD,184 SHUMAN BOULEVARD,SUITE 200,NAPERVILLE,IL,USA,60563,630-420-1360,630-420-1463,,,,,,,Approved,11/13/1992,3/22/2010,Y,WWW.DHJJFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"86,748,934.00",0,"86,748,934.00",359,0,359,Y,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PROFIT SHARING PLANS & PENSION PLANS,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110458,801-35671,GAM USA INC.,GAM USA INC.,ONE ROCKEFELLER PLAZA,21ST FLOOR,NEW YORK,NY,UNITED STATES,10020,212-407-4600,212-407-4684,,,,,,,Approved,12/11/1989,3/22/2010,Y,WWW.GAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,394,845,113.00",0,"1,394,845,113.00",36,0,36,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,113878,801-60399,"MCDONNELL INVESTMENT MANAGEMENT, LLC","MCDONNELL INVESTMENT MANAGEMENT, LLC","1515 W. 22ND STREET, 11TH FLR",,OAK BROOK,IL,UNITED STATES,60523,630-684-8600,630-368-3977,,,,,,,Approved,7/9/2001,3/22/2010,Y,WWW.MCDONNELLINVESTMENTS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,5-Jan,0,251-500,0,0 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,SMA SPONSOR PROGRAMS,Y,N,N,Y,N,Y,N,,Y,"13,411,000,000.00",0,"13,411,000,000.00",308,0,308,N,Y,Y,Y,N,N,N,N,N,Y,CREDIT INFORMATION SERVICES,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106068,801-44691,FINANCIAL MANAGEMENT GROUP INC,FINANCIAL MANAGEMENT GROUP INC,10979 REED HARTMAN HWY,SUITE 209,CINCINNATI,OH,UNITED STATES,45242,513-984-6696,513-984-9270,,,,,,,Approved,9/9/1993,3/22/2010,Y,HTTP://WWW.FMGONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"53,206,574.00","104,658,242.00","157,864,816.00",371,563,934,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,143668,801-67833,"NATIONWIDE ASSET MANAGEMENT, LLC","NATIONWIDE ASSET MANAGEMENT, LLC",ONE NATIONWIDE PLAZA,MAIL CODE 1-05-602,COLUMBUS,OH,UNITED STATES,43215,614-677-7300,866-390-5007,,,,,,,Approved,6/20/2007,3/22/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,11-25 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,Y,COST SHARING AGREEMENT FOR CERTAIN AFFILIATED CLIENTS,Y,"8,407,959,000.00",0,"8,407,959,000.00",7,0,7,N,N,Y,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123569,801-62768,"GUTHOFF FINANCIAL CONSULTANTS, INC.","GUTHOFF FINANCIAL CONSULTANTS, INC.",2710 E. LINCOLN,,BLOOMINGTON,IL,UNITED STATES,61704,309-662-4356,309-663-7166,,,,,,,Approved,2/12/2004,3/22/2010,Y,NONE,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"52,693,486.00",0,"52,693,486.00",278,0,278,Y,Y,N,N,Y,N,Y,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144535,801-69737,CWCAPITAL INVESTMENTS LLC,CWCAPITAL INVESTMENTS LLC,1540 BROADWAY,23 FLOOR,NEW YORK,NY,UNITED STATES,10036,646.253.8800,646.253.8849,,,,,,,Approved,11/10/2008,3/22/2010,Y,WWW.CWCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"10,190,321,532.00","298,006,617.00","10,488,328,149.00",14,1,15,N,N,N,Y,N,N,N,Y,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES AND RISK MANAGEMENT VALUATION SERVICES.,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,105392,801-23005,BROWN & BROWN FINANCIAL SERVICES INC,BROWN & BROWN FINANCIAL SERVICES INC,4925 GREENVILLE AVENUE #990,,DALLAS,TX,UNITED STATES,75206,214-696-1768,214-696-1877,,,,,,,Approved,2/22/1985,3/22/2010,Y,HTTP://BROWNANDBROWNFINANCIALSERVICES.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,COMMISSIONS CREDITED AGAINST MGMT FEES,Y,"65,416,611.00",0,"65,416,611.00",103,0,103,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,105482,801-34142,FIREMARK INVESTMENTS,"FIREMARK ADVISORS, INC.","200 WEST DEVARGAS ST,  SUITE 9",,SANTA FE,NM,USA,87501,505-989-8384,505-989-8316,,,,,,,Approved,4/20/1989,1/26/2007,Y,WWW.FIREMARKINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"31,000,000.00",0,"31,000,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,141284,801-67035,"ALPHA CAPITAL MANAGEMENT, LLC","ALPHA CAPITAL MANAGEMENT, LLC",1355 PEACHTREE STREET,SUITE 750,ATLANTA,GA,USA,30309,404-604-2290,404-604-2291,,,,,,,Approved,7/21/2006,3/22/2010,Y,WWW.ALPHACAPITALMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"120,518,027.00",0,"120,518,027.00",49,0,49,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,116749,801-63269,"WEALTHQUEST FINANCIAL SERVICES, LLC","WEALTHQUEST FINANCIAL SERVICES, LLC",555 MAIN STREET,SUITE 1500,NORFOLK,VA,USA,23510,757-533-4150,757-625-1780,,,,,,,Approved,6/17/2004,3/22/2010,Y,WWW.WEALTHQUESTLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"205,869,577.00",0,"205,869,577.00",872,0,872,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,130545,801-62963,"NINE THIRTY CAPITAL MANAGEMENT, LLC","NINE THIRTY CAPITAL MANAGEMENT, LLC","152 WEST 57TH STREET,",56TH FLOOR,NEW YORK,NY,UNITED STATES,10019-3310,(212) 918-8930,(212) 918-8931,,,,,,,Approved,4/5/2004,3/22/2010,Y,WWW.930CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,"HIGH NET WORTH FAMILIES, CHARITABLE TRUSTS AND PRIVATE FOUNDATIONS INVESTING THROUGH SPECIAL PURPOSE INVESTMENT VEHICLES",Y,N,N,N,N,Y,N,,Y,"227,239,027.00",0,"227,239,027.00",10,0,10,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,112218,801-67591,"THE FINANCIAL WELL, INC.","THE FINANCIAL WELL, INC.",300 S. HYDE PARK AVENUE,SUITE 210,TAMPA,FL,USA,33606,813-229-2000,813-229-2005,,,,,,,Approved,2/23/2007,3/22/2010,Y,WWW.THEFINANCIALWELL.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"18,357,989.00","18,357,989.00",0,166,166,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,110798,801-57287,TRINITY CAPITAL INVESTORS,TRINITY CAPITAL INVESTORS,800 AVERY BLVD,STE H,RIDGELAND,MS,USA,39157,601-956-3511,601-956-3513,P O BOX 2840,,RIDGELAND,MS,USA,39158,Approved,2/18/2000,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MS,UNITED STATES,5-Jan,0,0,0,0,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,26-50 percent,26-50 percent,PUBLIC UNVERSITIES,Y,N,N,N,N,N,N,,Y,"389,255,939.00",0,"389,255,939.00",60,0,60,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106910,801-43817,WS SECURITIES INC,WS SECURITIES INC,5 WALKER STREET,,LENOX,MA,USA,1240,413-637-2900,413-637-4330,,,,,,,Approved,4/29/1993,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"50,029,150.00","5,999,642.00","56,028,792.00",61,1,62,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,112063,801-56836,FOREST SYSTEMS LLC,FOREST SYSTEMS LLC,51 MAIN ST.,,NORTH EASTON,MA,USA,2356,508-230-0400,508-230-0401,,,,,,,Approved,9/22/1999,1/25/2006,Y,WWW.FORESTSYSTEMS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,Y,NEGOTIATED CONTRACTS (SEE SCHEDULE D - MISCELLANEOUS),N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,121375,801-61708,GIBSON GAITHER WEALTH MANAGEMENT ADVISORS,"GIBSON GAITHER WEALTH MANAGEMENT ADVISORS, LLC",1612 GUNBARREL ROAD,SUITE 103,CHATTANOOGA,TN,UNITED STATES,37421,423-826-1820,423-826-1836,,,,,,,Approved,1/10/2003,4/29/2010,Y,WWW.GIBSONGAITHER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,0,"26,000,000.00","26,000,000.00",0,80,80,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,N
CHRO,107498,801-51382,ABG INVESTMENT SERVICES INC,ABG INVESTMENT SERVICES INC,201 EAST CLARK,,ALBERT LEA,MN,USA,56007,507-377-2919,507-377-2051,PO BOX 1206,,ALBERT LEA,MN,USA,56007,Approved,2/29/1996,4/29/2010,Y,WWW.ALLMYBENEFITS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,10-Jun,0,101-250,0,11-25 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"1,313,768,932.00","1,313,768,932.00",0,173,173,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111090,801-25937,PUPLAVA FINANCIAL SERVICES INC,PUPLAVA FINANCIAL SERVICES INC,10809 THORNMINT ROAD,2ND FLOOR,SAN DIEGO,CA,USA,92127,858-487-3939,858-487-3969,PO BOX 503147,,SAN DIEGO,CA,USA,92150-3147,Approved,12/31/1985,4/29/2010,Y,HTTP://WWW.PUPLAVA.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,More than 500,568,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"256,253,366.00",0,"256,253,366.00",896,0,896,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,Y,Y,N,N,Y,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N
NYRO,105155,801-20376,MURPHY CAPITAL MANAGEMENT INC,MURPHY CAPITAL MANAGEMENT INC,268 MAIN STREET,P.O. BOX 718,GLADSTONE,NJ,USA,7934,908-719-6430,908-719-6435,,,,,,,Approved,12/19/1983,4/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"358,548,752.00","3,672,024.00","362,220,776.00",829,4,833,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,118655,801-71334,PEIRCE PARK GROUP,PEIRCE PARK GROUP INC.,300 S. HIGH STREET,,WEST CHESTER,PA,UNITED STATES,19382,610-719-0300,610-719-8345,,,,,,,Approved,4/16/2010,4/29/2010,Y,WWW.PEIRCEPARK.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE OF PLAN ASSETS,Y,0,0,0,0,0,0,N,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108300,801-57827,AMERICAN RETIREMENT PLANNING GROUP INC,AMERICAN RETIREMENT PLANNING GROUP INC,,,,,,,800-530-8788,702-658-3452,,,,,,,Approved,3/31/2006,4/29/2010,Y,WWW.ARPGDIRECT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,More than 500,500,51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"66,847,010.00","4,556,763.00","71,403,773.00",681,5,686,Y,Y,N,Y,N,N,N,N,Y,N,,251-500,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,136568,801-64651,"INVESTMENT SECURITY GROUP, INC.","INVESTMENT SECURITY GROUP, INC.",4900 S. MONACO ST. STE 300,,DENVER,CO,UNITED STATES,80237,303-759-9808,303-756-9911,,,,,,,Approved,9/16/2005,4/29/2010,Y,WWW.INVESTSG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,More than 500,525,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"322,040,768.00","21,961,005.00","344,001,773.00","1,811",66,"1,877",Y,Y,N,N,N,N,N,N,N,Y,INSURANCE PRODUCTS,251-500,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,137432,801-66786,"GUGGENHEIM PARTNERS ASSET MANAGEMENT, LLC","GUGGENHEIM PARTNERS ASSET MANAGEMENT, LLC",100 WILSHIRE BOULEVARD,5TH FLOOR,SANTA MONICA,CA,UNITED STATES,90401,310-576-1270,310-576-1271,,,,,,,Approved,6/14/2006,4/29/2010,Y,WWW.GPAM.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,Y,CONSULTING,Y,"39,131,339,639.00",0,"39,131,339,639.00",45,0,45,N,Y,Y,Y,N,N,N,N,N,Y,CONSULTATION/ADVISEMENT ON TRANSACTIONS/STRUCTURING PORTFOLIOS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,134537,801-64470,"ARCHSTONE MANAGEMENT COMPANY, LLC","ARCHSTONE MANAGEMENT COMPANY, LLC",360 MADISON AVENUE,20TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-201-0500,212-661-9009,,,,,,,Approved,6/28/2005,4/29/2010,Y,WWW.ARCHSTONEPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,502,573,240.00",0,"1,502,573,240.00",2,0,2,N,N,N,N,N,Y,N,N,N,Y,ADVISER TO MULTI-MANAGER FUNDS (FUND OF HEDGE FUNDS),,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,118668,801-61330,"GUARDIAN WEALTH MANAGEMENT, INC.","GUARDIAN WEALTH MANAGEMENT, INC.",6151 SHALLOWFORD ROAD,SUITE 102,CHATTANOOGA,TN,UNITED STATES,37421,423-510-0409,423-510-0868,,,,,,,Approved,7/19/2002,4/29/2010,Y,WWW.GUARDIANWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"134,496,108.00",0,"134,496,108.00",985,0,985,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,106809,801-49054,COMPASS FINANCIAL ADVISORS LLC,COMPASS FINANCIAL ADVISORS LLC,795 RIDGELAKE BLVD,SUITE 106,MEMPHIS,TN,UNITED STATES,38120,901-762-0080,901-762-0014,,,,,,,Approved,4/27/1995,4/29/2010,Y,WWW.COMPASSFIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"137,071,573.00","66,756,562.00","203,828,135.00",44,29,73,Y,Y,N,Y,Y,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,154104,801-71524,"OBSIDEO CAPITAL MANAGEMENT, LLC","OBSIDEO CAPITAL MANAGEMENT, LLC",,,,,,,918-960-1165,,,,,,,,120-Day Approval,6/14/2010,6/17/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,51-75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,N,Y,N,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151953,801-70868,RAMIUS LLC,RAMIUS LLC,599 LEXINGTON AVENUE,,NEW YORK,NY,UNITED STATES,10022,(212) 845-7900,(212) 845-7986,,,,,,,Approved,11/2/2009,6/17/2010,Y,WWW.RAMIUS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,10-Jun,0,25-Nov,0,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"277,413,936.00",0,"277,413,936.00",3,0,3,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT MANAGER OF HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N
NYRO,137358,801-65655,RAMIUS ASIA LLC,RAMIUS ASIA LLC,599 LEXINGTON AVE,21ST FLOOR,NEW YORK,NY,UNITED STATES,10022,212-895-7900,212-845-7986,,,,,,,Approved,2/1/2006,6/17/2010,Y,WWW.RAMIUS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"146,261,833.00",0,"146,261,833.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,121715,801-69900,"GAINESWOOD INVESTMENT MANAGEMENT, INC.","GAINESWOOD INVESTMENT MANAGEMENT, INC.",2800 QUARRY LAKE DRIVE,SUITE 140,BALTIMORE,MD,UNITED STATES,21209,410-764-3500,410-318-5049,,,,,,,Approved,2/12/2009,6/17/2010,Y,WWW.GAINESWOOD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,10-Jan,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"35,050,026.00","16,585,109.00","51,635,135.00",4,1,5,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,Y,Y,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,131887,801-64020,"ADVISOR'S CAPITAL RESEARCH, INC.","ADVISOR'S CAPITAL RESEARCH, INC.",,,,,,,860-963-0722,860-928-1831,,,,,,,Approved,3/16/2005,6/17/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"4,561,747.00",0,"4,561,747.00",13,0,13,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104880,801-16739,"ATALANTA SOSNOFF CAPITAL, LLC","ATALANTA SOSNOFF CAPITAL, LLC",101 PARK  AVENUE,,NEW YORK,NY,UNITED STATES,10178,212-867-5000,212-922-1820,,,,,,,Approved,1/20/1982,6/17/2010,Y,WWW.ATALANTASOSNOFF.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,11-25 percent,11-25 percent,11-25 percent,Up to 10 percent,WRAP PROGRAMS,Y,N,N,Y,N,Y,N,,Y,"5,248,000,000.00",0,"5,248,000,000.00",353,0,353,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150355,801-70203,"HANLEY CAPITAL MANAGEMENT, LLC","HANLEY CAPITAL MANAGEMENT, LLC",121 SUMMIT AVENUE,SECOND FLOOR,SUMMIT,NJ,UNITED STATES,7901,908-598-2648,908-273-6282,,,,,,,Approved,5/28/2009,6/17/2010,Y,WWW.HANLEYCAPITAL .COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"51,000,000.00",0,"51,000,000.00",20,0,20,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,139708,801-66326,STRUCTURED INVESTMENT MANAGEMENT,"STRUCTURED INVESTMENT MANAGEMENT, INC.",335 MADISON AVE,MEZZANINE C/O AIFS,NEW YORK,NY,UNITED STATES,10017,646-367-1749,646-225-7290,,,,,,,Approved,3/13/2006,6/17/2010,Y,WWW.SIM.US.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"70,000,000.00",0,"70,000,000.00",5,0,5,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110972,801-24481,FIRST INVESTMENT CORPORATION,FIRST INVESTMENT CORPORATION,309 SE FRANK PHILLIPS BLVD.,,BARTLESVILLE,OK,UNITED STATES,74003,918-337-2045,918-336-0696,P.O. BOX 2246,,BARTLESVILLE,OK,UNITED STATES,74005-2246,Approved,6/28/1985,6/17/2010,Y,WWW.FIRSTINVESTMENTCORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"55,733,219.00","785,750.00","56,518,969.00",234,46,280,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,124506,801-62585,"M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC","M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC",1185 AVENUE OF THE AMERICAS,18TH FLOOR,NEW YORK,NY,UNITED STATES,10036,212-730-2000,212-843-5949,,,,,,,Approved,1/2/2004,6/17/2010,Y,WWW.MDSASS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"273,430,000.00",0,"273,430,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,INVESTMENT MANAGER TO A PRIVATE PARTNERSHIP,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105930,801-35030,DECLARATION MANAGEMENT & RESEARCH LLC,DECLARATION MANAGEMENT & RESEARCH LLC,1800 TYSONS BOULEVARD,SUITE 200,MCLEAN,VA,USA,22102-4858,703-749-8200,703-749-8229,,,,,,,Approved,8/18/1989,6/17/2010,Y,WWW.DECLARATION.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,26-50 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"10,944,508,008.00","369,162,122.00","11,313,670,130.00",56,1,57,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y
HQ,126572,801-62166,INVESCO TRIMARK,INVESCO TRIMARK LTD.,5140 YONGE STREET,SUITE 900,"TORONTO, ONTARIO",,CANADA,M2N 6X7,1-800-874-6275,1-800-631-7008,,,,,,,Approved,6/20/2003,6/17/2010,Y,WWW.INVESCOTRIMARK.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",51-250,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,CANADIAN MUTUAL FUNDS,Y,N,N,N,N,N,N,,Y,"20,682,189,346.00",0,"20,682,189,346.00",74,0,74,N,N,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR CANADIAN MUTUAL FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,153881,801-71605,"FORESIGHT WEALTH MANAGEMENT, LLC","FORESIGHT WEALTH MANAGEMENT, LLC",6440 SOUTH WASATCH BLVD,SUITE 150,SALT LAKE CITY,UT,UNITED STATES,84121,801-424-0020,801-907-7887,,,,,,,120-Day Approval,7/2/2010,6/17/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,11-25 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,127243,801-62414,SGCAG,SUISSE GLOBAL CONNECT AG,HAUPTSTRASSE 82,,MUTTENZ,,SWITZERLAND,CH-4132,+41 61 463 16 45,+41 61 463 16 46,,,,,,,Approved,10/15/2003,1/9/2006,Y,HTTP://WWW.SGCAG.CH,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SWITZERLAND,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"50,000,000.00",0,"50,000,000.00",50,0,50,Y,Y,N,N,N,N,Y,N,Y,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,142885,801-67537,"KEYSTONE NATIONAL GROUP, LLC","KEYSTONE NATIONAL GROUP, LLC",5000 EXECUTIVE PARKWAY,STE 445,SAN RAMON,CA,UNITED STATES,94583,925-407-3120,925-407-3125,,,,,,,Approved,2/8/2007,6/17/2010,Y,WWW.KEYSTONENATIONAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"191,000,000.00",0,"191,000,000.00",3,0,3,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,PRIVATE EQUITY FUND OF FUNDS MANAGER,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110806,801-54785,"RAMIUS ADVISORS, LLC","RAMIUS ADVISORS, LLC",599 LEXINGTON AVE.,21ST FLOOR,NEW YORK,NY,UNITED STATES,10022,212-845-7900,212-845-7986,,,,,,,Approved,8/8/1997,6/17/2010,Y,WWW.RAMIUS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,10-Jun,0,25-Nov,0,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,429,877,529.00",0,"1,429,877,529.00",22,0,22,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT MANAGER OF HEDGE FUNDS,,,N,N,N,N,Y,N,N,N,N,,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,119030,801-64346,"CASCADE FINANCIAL MANAGEMENT, INC.","CASCADE FINANCIAL MANAGEMENT, INC.",1512 LARIMER STREET,SUITE 250,DENVER,CO,USA,80202,303-292-1121,303-292-2942,,,,,,,Approved,5/26/2005,6/17/2010,Y,WWW.CASCADE-INC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"33,100,000.00","16,700,000.00","49,800,000.00",162,94,256,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,Y,Y,Y,N,N,N,Y,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111759,801-60150,"CITY NATIONAL ASSET MANAGEMENT, INC.","CITY NATIONAL ASSET MANAGEMENT, INC.","400 N. ROXBURY DRIVE, SUITE 700",,BEVERLY HILLS,CA,UNITED STATES,90210,310-888-6363,310-888-6018,,,,,,,Approved,4/13/2001,6/17/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"5,817,125,686.00",0,"5,817,125,686.00",13,0,13,N,N,Y,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139179,801-66109,"COSMO INVESTMENT MANAGEMENT CO., LTD.","COSMO INVESTMENT MANAGEMENT CO., LTD.","7TH FLOOR, EAST WING, POSCO CENTER","892, DAECHI 4-DONG, GANGNAM-GU",SEOUL,,"KOREA, SOUTH",135-777,82-2-570-1600,82-2-570-1690,,,,,,,Approved,1/23/2006,6/17/2010,Y,WWW.COSMOASSET.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"KOREA, SOUTH",Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,0 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,498,902,228.00","85,737,410.00","2,584,639,638.00",124,105,229,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137542,801-65465,"J.H. WHITNEY INVESTMENT MANAGEMENT, LLC","J.H. WHITNEY INVESTMENT MANAGEMENT, LLC",711 FIFTH AVENUE,SUITE 410,NEW YORK,NY,UNITED STATES,10022,212-835-1950,212-835-1951,,,,,,,Approved,1/18/2006,7/9/2010,Y,WWW.JHWHITNEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"923,747,159.00","254,000,000.00","1,177,747,159.00",19,3,22,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112399,801-68150,GARDNER ADVISORS INC.,GARDNER ADVISORS INC.,8421 WAYZATA BLVD.,SUITE 350,MINNEAPOLIS,MN,UNITED STATES,55426,952-935-4601,952-935-4958,,,,,,,Approved,7/11/2007,7/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"59,337,011.00","59,337,011.00",0,438,438,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,153052,801-71141,HORIZON TECHNOLOGY FINANCE,HORIZON TECHNOLOGY FINANCE MANAGEMENT LLC,76 BATTERSON PARK ROAD,,FARMINGTON,CT,UNITED STATES,06032-2586,860-676-8654,860-676-8655,,,,,,,Approved,3/11/2010,7/9/2010,Y,WWW.HORIZONTECHFINANCE.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,"176,000,000.00","176,000,000.00",0,3,3,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,152674,801-70964,EVEREST CAPITAL LLC,EVEREST CAPITAL LLC,2601 S. BAYSHORE DRIVE,SUITE 1700,MIAMI,FL,UNITED STATES,33133,305-666-1700,305-666-1919,,,,,,,Approved,1/7/2010,7/9/2010,Y,WWW.EVERESTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,710,000,000.00",0,"1,710,000,000.00",13,0,13,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,120761,801-61549,ESD MANAGEMENT III LIMITED,ESD MANAGEMENT III LIMITED,"TRAFALGAR COURT, LES BANQUES",,ST PETER PORT,,GUERNSEY-CI,GY1 3QL,011-44-1481-745-001,011-44-1481-745-074,,,,,,,Approved,10/24/2002,7/9/2010,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),GUERNSEY LIMITED COMPANY,,GUERNSEY,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"122,663,339.00",0,"122,663,339.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106389,801-41766,MIAMI VALLEY PORTFOLIO MANAGEMENT INC,MIAMI VALLEY PORTFOLIO MANAGEMENT INC,475 ARLINGTON ROAD,,BROOKVILLE,OH,UNITED STATES,45309,937-833-4043,937-833-4920,,,,,,,Approved,6/19/1992,7/9/2010,Y,WWW.MVP24-7.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"57,915,484.00",0,"57,915,484.00",400,0,400,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,109154,801-57374,PESD MANAGEMENT LTD,PESD MANAGEMENT LTD,TRAFALGAR COURT,LES BANQUES,ST. PETER PORT,,"GUERNSEY, CHANNEL ISLANDS",GY1 3QL,011-44-1481-745-001,011-44-1481-745-074,,,,,,,Approved,3/15/2000,7/9/2010,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),GUERNSEY LIMITED COMPANY,,GUERNSEY,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"4,999,822.00",0,"4,999,822.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105929,801-45464,OPTIMA FUND MANAGEMENT LLC,OPTIMA FUND MANAGEMENT LLC,10 EAST 53RD STREET,29TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-484-3000,212-484-3001,P.O. BOX 1079,,RADIO CITY STATION,NY,UNITED STATES,10101-1079,Approved,12/16/1993,7/9/2010,Y,HTTP://WWW.OPTIMA.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ALLOCATION OF REGISTRANT'S COMMON OVERHEAD,Y,"704,049,000.00","577,824,000.00","1,281,873,000.00",11,2,13,N,Y,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139201,801-66041,EXPLORA CAPITAL MANAGEMENT ASA,EXPLORA CAPITAL MANAGEMENT ASA,DRONNING MAUDSGT 1,,OSLO,,NORWAY,N-0250,+472 3308330,+472 3308331,,,,,,,Approved,2/1/2006,1/31/2006,Y,WWW.EXCAP.NO,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,NORWAY,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"61,000,000.00",0,"61,000,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111925,801-60167,ALLIANZ INVESTMENT MANAGEMENT LLC,ALLIANZ INVESTMENT MANAGEMENT LLC,5701 GOLDEN HILLS DRIVE,,MINNEAPOLIS,MN,UNITED STATES,55416-1297,763-765-7330,763-765-6225,5701 GOLDEN HILLS DRIVE,,MINNEAPOLIS,MN,UNITED STATES,55416-1297,Approved,4/20/2001,7/9/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,338,390,195.00","5,523,747,207.00","7,862,137,402.00",7,28,35,N,N,Y,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
LARO,116767,801-66531,LHMP FINANCIAL & INSURANCE SERVICES,"LHMP FINANCIAL SERVICES, LLC",100 EAST CORSON STREET,SUITE 200,PASADENA,CA,USA,91103,626-744-5150,626-744-5110,,,,,,,Approved,4/3/2006,7/9/2010,Y,WWW.LHMPFINANCIAL.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,Y,Y,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108063,801-56472,PILLAR PACIFIC CAPITAL MANAGEMENT LLC,PILLAR PACIFIC CAPITAL MANAGEMENT LLC,333 GELLERT BLVD,STE 121,DALY CITY,CA,UNITED STATES,94015,650-758-0130,650-758-0131,,,,,,,Approved,4/23/1999,7/9/2010,Y,WWW.PILLARPACIFIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"341,612,071.00",0,"341,612,071.00",235,0,235,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106108,801-52378,LOCKWOOD ADVISORS INC,LOCKWOOD ADVISORS INC,10 VALLEY STREAM PARKWAY,,MALVERN,PA,UNITED STATES,19355,610-695-9150,610-651-8873,,,,,,,Approved,7/15/1996,7/9/2010,Y,WWW.LOCKWOODADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"13,832",26-50 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"7,526,868,944.00",0,"7,526,868,944.00","42,358",0,"42,358",N,Y,Y,Y,N,Y,N,N,N,Y,MUTUAL FUND SELECTION,,,Y,Y,N,N,N,N,N,N,Y,PLATFORM SERVICE PROVIDER,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,120663,801-61234,"PARTNERS CAPITAL INVESTMENT GROUP, LLC","PARTNERS CAPITAL INVESTMENT GROUP, LLC",50 ROWES WHARF,4TH FLOOR,BOSTON,MA,UNITED STATES,2110,617-292-2570,617-292-2571,,,,,,,Approved,6/10/2002,7/9/2010,Y,WWW.PARTNERS-CAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,Y,ONE OFF FEES ON ILLIQUID INVESTMENTS,Y,"1,679,213,450.00","1,261,732,862.00","2,940,946,312.00",29,162,191,N,Y,N,Y,Y,Y,Y,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,5611,801-12999,"HORWITZ & ASSOCIATES, INC.","HORWITZ & ASSOCIATES, INC.",2610 LAKE COOK RD.,SUITE 190,RIVERWOODS,IL,UNITED STATES,60015,224-632-4700,224-632-4593,,,,,,,Approved,5/25/1977,7/9/2010,Y,WWW.HORWITZCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,DONOR ADVISED FUNDS,Y,Y,N,Y,Y,N,N,,Y,"96,092,593.00","5,834,667.00","101,927,260.00",203,4,207,Y,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,Y,N,N,N,Y,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,134776,801-64368,"HIGHBRIDGE CAPITAL MANAGEMENT, LLC","HIGHBRIDGE CAPITAL MANAGEMENT, LLC",40 WEST 57TH STREET,32ND FLOOR,NEW YORK,NY,UNITED STATES,10019,212-287-4900,212-977-1435,,,,,,,Approved,7/6/2005,7/12/2010,Y,WWW.HIGHBRIDGE.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,251-500,0,51-250,0,5-Jan,0,10-Jun,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"20,442,442,630.00",0,"20,442,442,630.00",54,0,54,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N
CHRO,141430,801-67171,"NRP ADVISORS, INC.","NRP ADVISORS, INC.",677 NORTH MAIN STREET,,BRYAN,OH,UNITED STATES,43506-1061,419-636-4677,419-630-2349,677 NORTH MAIN STREET,PO BOX 998,BRYAN,OH,UNITED STATES,43506-1061,Approved,9/19/2006,7/10/2010,Y,WWW.NRPFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,"3,000",51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,PLAN PARTICIPANTS,Y,Y,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"368,870,856.00","327,445,324.00","696,316,180.00","2,165","1,436","3,601",Y,Y,N,Y,Y,Y,N,N,N,Y,"RESEARCH SERVICES, SOLICITOR/REFERRAL FEES",51-100,,Y,Y,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,149921,801-70038,PREMIUM POINT INVESTMENTS,PREMIUM POINT INVESTMENTS LLC,712 FIFTH AVE,45TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-991-2000,914-462-3430,,,,,,,Approved,3/31/2009,5/18/2010,Y,WWW.PREMIUMPT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"200,000,000.00","280,000,000.00","480,000,000.00",4,2,6,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150713,801-70422,"AMERICAN NATIONAL INVESTMENT ADVISORS, LLC","AMERICAN NATIONAL INVESTMENT ADVISORS, LLC",2001 BUTTERFIELD ROAD; SUITE 500,,DOWNERS GROVE,IL,UNITED STATES,60515,630-701-9080,630-757-0177,,,,,,,Approved,7/21/2009,5/18/2010,Y,WWW.AMERICAN-NATIONAL.US,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,0,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,WRAP FEE,Y,"51,568,452.00",0,"51,568,452.00",500,0,500,Y,Y,N,N,Y,N,N,N,N,N,,0,,Y,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,123716,801-61598,"CLOVER PARTNERS, L.P.","CLOVER PARTNERS, L.P.","100 CRESCENT COURT, STE 575",,DALLAS,TX,UNITED STATES,75201,214-273-5200,214-273-5199,,,,,,,Approved,12/2/2002,5/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"130,361,332.00",0,"130,361,332.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,136937,801-65987,OXFORD ASSET MANAGEMENT,OXFORD ASSET MANAGEMENT LLP,BROAD STREET,,OXFORD,,UNITED KINGDOM,OX1 3BP,+44 1865 248 248,+44 1865 249 249,,,,,,,Approved,2/1/2006,5/18/2010,Y,WWW.OXAM.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"915,000,000.00",0,"915,000,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,152566,801-70968,IEA WEALTH MANAGEMENT LLC,IEA WEALTH MANAGEMENT LLC,510 SW 3RD STREET,SUITE B,ANKENY,IA,UNITED STATES,50023,515 965 8585,515-965-8588,,,,,,,Approved,1/11/2010,5/18/2010,Y,WWW.IEAWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,0,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"30,700,000.00","3,300,000.00","34,000,000.00",480,160,640,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,150151,801-70225,"FAMILY ENDOWMENT PARTNERS, LP","FAMILY ENDOWMENT PARTNERS, LP",271 WAVERLY OAKS ROAD,SUITE #405,WALTHAM,MA,UNITED STATES,2452,(781) 647-2170,(781) 647-2102,,,,,,,Approved,6/9/2009,5/18/2010,Y,WWW.FAMILYENDOWMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"66,506,068.00","1,553,102,924.00","1,619,608,992.00",11,50,61,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,121448,801-64344,GROSS INVESTMENTS,"AUG, INC.",26 W. ORANGE STREET,,LANCASTER,PA,UNITED STATES,17603,717-299-4423,717-299-4402,,,,,,,Approved,5/24/2005,5/18/2010,Y,WWW.GROSS-INVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"105,000,000.00","10,800,000.00","115,800,000.00",56,6,62,N,Y,N,Y,N,N,N,N,N,Y,ADVISES BANKS & TRUSTS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137848,801-65577,ACP PARTNERS LLP,ACP PARTNERS LLP,21 KNIGHTSBRIDGE,,LONDON,,UNITED KINGDOM,SW1X 7LY,+ 44 20 7838 7200,+ 44 20 7838 7250,,,,,,,Approved,2/8/2006,2/29/2008,Y,WWW.ACPPARTNERS.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,51-75 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"50,188,459.00",0,"50,188,459.00",4,0,4,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106904,801-71477,MEYER CAPITAL MANAGEMENT INC,MEYER CAPITAL MANAGEMENT INC,7655 FIVE MILE ROAD,SUITE 209,CINCINNATI,OH,USA,45230,513-772-3600,513-772-3604,7655 FIVE MILE ROAD,SUITE 209,CINCINNATI,OH,USA,45230,Approved,5/28/2010,5/18/2010,Y,WWW.MEYERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"30,870,002.00",0,"30,870,002.00",44,0,44,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110465,801-13491,HENDLEY & CO. INC.,HENDLEY & CO INC,822 ADAIR AVENUE,,ZANESVILLE,OH,UNITED STATES,43701,740-452-4523,740-452-0111,P.O. BOX 3308,,ZANESVILLE,OH,UNITED STATES,43702,Approved,12/16/1977,5/18/2010,Y,HENDLEYCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"168,542,057.00","6,563,352.00","175,105,409.00",518,29,547,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104549,801-21247,MIDDLETON & COMPANY INC.,MIDDLETON & COMPANY INC.,600 ATLANTIC AVENUE; 18TH FLOOR,,BOSTON,MA,UNITED STATES,02210-2211,(617)357-5101,(617)357-7199,,,,,,,Approved,5/4/1984,5/18/2010,Y,HTTP://WWW.MIDDLETONCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,"ENDOWMENTS, CRUT, PARTNERSHIPS",Y,N,N,N,N,N,N,,Y,"404,115,288.00","2,596,715.00","406,712,003.00",387,2,389,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106096,801-47515,HORIZON ASSET MANAGEMENT INC,HORIZON ASSET MANAGEMENT INC,470 PARK AVENUE SOUTH,4TH FLOOR SOUTH,NEW YORK,NY,UNITED STATES,10016,646-291-2300,646-495-0075,,,,,,,Approved,9/23/1994,5/18/2010,Y,WWW.HORIZONASSETMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,5-Jan,0,More than 500,"7,000",Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,Y,N,N,Y,N,,Y,"5,520,269,582.00","124,362,365.00","5,644,631,947.00","6,976",87,"7,063",N,Y,Y,Y,N,N,Y,N,N,Y,INVESTMENT ADVICE TO PRIVATE INVESTMENT FUNDS AND OTHER UNREGISTERED INVESTMENT PRODUCTS,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,147281,801-71411,LEXINGTON PARTNERS ADVISORS L.P.,LEXINGTON PARTNERS ADVISORS L.P.,660 MADISON AVENUE,23RD FLOOR,NEW YORK,NY,UNITED STATES,10065,212-754-0411,212-754-1494,,,,,,,Approved,5/4/2010,5/18/2010,Y,WWW.LEXINGTONPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,363,266,290.00",0,"3,363,266,290.00",3,0,3,N,N,N,Y,N,Y,N,N,N,Y,INVESTMENT MANAGEMENT SERVICES FOR PRIVATE EQUITY FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,16906,801-60744,GBS FINANCIAL CORP.,GBS FINANCIAL CORP.,558 B STREET,,SANTA ROSA,CA,UNITED STATES,95401-5274,707-568-2400,707-568-2401,558 B STREET,,SANTA ROSA,CA,UNITED STATES,95401-5274,Approved,12/12/2001,5/18/2010,Y,WWW.GBSFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,51-250,0,Nov-50,0,51-250,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"23,526,314.00","30,061,297.00","53,587,611.00",150,177,327,Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,N,N,Y,N,N,N,Y,N,N,,N,Y,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,154202,801-71565,CARL W. LUXEM,CARL WOJTYLA LUXEM,"7600 PARKLAWN AVENUE, SUITE 376",,EDINA,MN,UNITED STATES,55435-5129,952-841-8426,952-835-1317,,,,,,,120-Day Approval,6/15/2010,6/8/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Sole Proprietorship,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR NON-PROFIT ORGANIZATIONS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110802,801-56821,PSA FINANCIAL ADVISORS INC,PSA FINANCIAL ADVISORS INC,11311 MCCORMICK ROAD,,HUNT VALLEY,MD,UNITED STATES,21031-8622,410-821-7766,410-828-0242,,,,,,,Approved,9/7/1999,6/8/2010,Y,WWW.PSAFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,5-Jan,0,More than 500,581,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,REG'D PERSON RECV SOME COMMS. RIA RECV FEES.PLANNER-FLAT RATE,Y,"139,574,027.00",0,"139,574,027.00",886,0,886,Y,Y,N,Y,Y,Y,N,N,N,Y,"MONITORING SERVICES (PORTFOLIO, INSURANCE)",101-250,,N,N,N,N,N,N,N,N,Y,FINANCIAL PLANNER/RETIREMENT PLANNING/TPA,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,Y
CHRO,121974,801-61414,"AMERICAN CENTURY ADVISORY SERVICES, INC.","AMERICAN CENTURY ADVISORY SERVICES, INC.",4500 MAIN STREET,,KANSAS CITY,MO,UNITED STATES,64141-0141,816-531-5575,816-340-4964,,,,,,,Approved,9/4/2002,6/8/2010,Y,WWW.AMERICANCENTURY.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"8,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,THE ADVISER DOES NOT CHARGE FOR THE SERVICES,N,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,N,,More than 500,8500,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,127470,801-70306,"WEALTHCARE ALLIANCE, INC.","WEALTHCARE ALLIANCE, INC.",2629 TOWNSGATE ROAD,SUITE 245,WESTLAKE VILLAGE,CA,UNITED STATES,91361,805-446-4600,8888088810,,,,,,,Approved,6/26/2009,6/8/2010,Y,WWW.WEALTHCAREALLIANCE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,251-500,0,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"18,000,500.00","37,500,500.00","55,501,000.00",185,270,455,Y,Y,N,N,N,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,153702,801-71517,PROVEST CAPITAL MANAGEMENT LLC,PROVEST CAPITAL MANAGEMENT LLC,15110 SW BOONES FERRY RD.,SUITE 300A,LAKE OSWEGO,OR,UNITED STATES,97035,503-636-1443,503-699-5010,16869 SW 65TH AVE. #220,,LAKE OSWEGO,OR,UNITED STATES,97035,Approved,6/14/2010,6/8/2010,Y,WWW.PROVESTCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"21,125,908.00","7,323,096.00","28,449,004.00",123,2,125,Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,111038,801-30801,NIKKO ASSET MANAGEMENT EUROPE LTD,NIKKO ASSET MANAGEMENT EUROPE LTD,1 LONDON WALL,,LONDON,,UNITED KINGDOM,EC2Y 5AD,INTL + 44 20 7796 9866,INTL + 44 20 7796 9816,,,,,,,Approved,5/13/1988,6/8/2010,Y,WWW.NIKKOAM.COM/ENGLISH,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,GOVERNMENTS/SUPRANATIONALS,Y,N,N,Y,N,Y,N,,Y,"16,329,617,934.00","4,670,667,860.00","21,000,285,794.00",33,8,41,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES AND FOR GOVERNMENTS/SUPRANATIONALS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
HQ,110983,801-37934,NIKKO ASSET MANAGEMENT SINGAPORE LIMITED,NIKKO ASSET MANAGEMENT SINGAPORE LIMITED,77 ROBINSON RD,#06-03A ROBINSON 77,SINGAPORE,,SINGAPORE,68896,65 6-538-6997,65 6-538-6991,,,,,,,Approved,12/14/1990,6/8/2010,Y,HTTP://WWW.NIKKOAM.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),PUBLIC COMPANY LIMITED BY SHARES,,SINGAPORE,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,GOVERNMENTS/SUPRANATIONALS,Y,N,N,Y,N,Y,N,,Y,"298,976,668.00","5,531,739,589.00","5,830,716,257.00",5,10,15,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED FUNDS AND FOR GOVERNMENTS/SUPRANATIONALS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
PLRO,142519,801-70982,CAMERON CAPITAL MANAGEMENT LLC,CAMERON CAPITAL MANAGEMENT LLC,"3 RADNOR CORPORATE CENTER , SUITE 304",,RADNOR,PA,USA,19087,610-688-7711,610-688-7722,,,,,,,Approved,1/8/2010,6/8/2010,Y,WWW.CAMERONCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"42,000,000.00",0,"42,000,000.00",8,0,8,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,143208,801-68882,"BUCKHEAD INVESTMENT PARTNERS, LLC","BUCKHEAD INVESTMENT PARTNERS, LLC",3525 PIEDMONT RD,"BLDG 8, SUITE 515",ATLANTA,GA,UNITED STATES,30305,404-495-5230,404-495-5239,,,,,,,Approved,2/20/2008,6/8/2010,Y,WWW.BUCKHEADINVESTMENTPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"94,550,000.00","720,000.00","95,270,000.00",428,5,433,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,144589,801-68161,"PRESIDIUM PARTNERS, LLC","PRESIDIUM PARTNERS, LLC",2400 CAMINO RAMON,SUITE 178,SAN RAMON,CA,UNITED STATES,94583,925-790-0300,925-790-0333,,,,,,,Approved,8/1/2007,6/8/2010,Y,WWW.PRESIDIUMPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"70,000,000.00",0,"70,000,000.00",65,0,65,Y,Y,N,Y,N,Y,N,N,N,Y,ANALYTICAL SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126495,801-62028,"QUATTRO GLOBAL CAPITAL, LLC","QUATTRO GLOBAL CAPITAL, LLC","546 FIFTH AVE., 19TH FLOOR",,NEW YORK,NY,USA,10036,212-201-8760,212-201-8778,,,,,,,Approved,5/2/2003,6/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"249,922,000.00",0,"249,922,000.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,142834,801-67443,"GS INVESTMENT STRATEGIES, LLC","GS INVESTMENT STRATEGIES, LLC",200 WEST STREET,,NEW YORK,NY,UNITED STATES,10282,212-902-1000,212-357-5281,,,,,,,Approved,1/18/2007,6/8/2010,Y,WWW.GS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,320,584,888.00",0,"4,320,584,888.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N
NYRO,124122,801-61599,"COOPER/HAIMS ADVISORS, LLC","COOPER/HAIMS ADVISORS, LLC",1501 PITTSFORD VICTOR RD.,SUITE 101,VICTOR,NY,UNITED STATES,14564,585-248-6400,585-248-6410,,,,,,,Approved,11/29/2002,6/8/2010,Y,WWW.COOPERHAIMS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"312,290,000.00",0,"312,290,000.00",225,0,225,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138014,801-65157,"LAURUS CAPITAL MANAGEMENT, LLC","LAURUS CAPITAL MANAGEMENT, LLC","875 THIRD AVENUE, 3RD FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-541-5800,212-541-4434,,,,,,,Approved,1/10/2006,6/8/2010,Y,WWW.LAURUSFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,EMPLOYEE INVESTMENT VEHICLE,Y,N,N,Y,N,Y,Y,ACQUISITION BASED FEES,Y,"807,939,127.00",0,"807,939,127.00",15,0,15,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS AND OTHER POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144369,801-68213,"VALENS INVESTMENT ADVISERS, L.P.","VALENS INVESTMENT ADVISERS, L.P.","875 THIRD AVENUE, 3RD FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-541-5800,212-541-4410,,,,,,,Approved,8/16/2007,6/8/2010,Y,WWW.VALENSFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ACQUISITION BASED FEES,Y,"566,963,358.00",0,"566,963,358.00",7,0,7,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,147165,801-69421,"CAPITAL INSIGHT PARTNERS, LLC","CAPITAL INSIGHT PARTNERS, LLC",7328 EAST DEER VALLEY ROAD,SUITE 105,SCOTTSDALE,AZ,UNITED STATES,85255,480-295-7070,480-275-3106,,,,,,,Approved,7/14/2008,6/8/2010,Y,WWW.CAPITALINSIGHTPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"61,922,509.00",0,"61,922,509.00",102,0,102,Y,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT COUNSELING,0,,Y,Y,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,136612,801-64720,"FIDUCIARY MANAGEMENT GROUP, LLC","FIDUCIARY MANAGEMENT GROUP, LLC",304 PARK AVENUE SOUTH,11TH FLOOR,NEW YORK,NY,UNITED STATES,10010,212-590-2360,212-590-2376,,,,,,,Approved,10/3/2005,6/8/2010,Y,WWW.FMGWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"35,420,781.00","35,420,781.00",0,125,125,Y,Y,N,Y,Y,Y,N,N,N,Y,FAMILY OFFICE SERVICES,51-100,,N,N,N,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107850,801-55755,GOLDMAN SACHS HEDGE FUND STRATEGIES LLC,GOLDMAN SACHS HEDGE FUND STRATEGIES LLC,200 WEST STREET,,NEW YORK,NY,UNITED STATES,10282,212-902-1000,212-357-5281,,,,,,,Approved,3/8/1999,6/8/2010,Y,WWW.GS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"24,027,050,150.00","830,630,399.00","24,857,680,549.00",171,5,176,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N
HQ,107715,801-38157,GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL,GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL,CHRISTCHURCH COURT,10-15 NEWGATE ST,LONDON,,UNITED KINGDOM,EC1A 7HD,011-44-207-774-1000,212-357-5281,,,,,,,Approved,1/25/1991,6/8/2010,Y,WWW.GS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),CLARIFICATION: COMPANY INCORPOR W UNLIMITED LIABIL,,UNITED KINGDOM,251-500,0,51-250,0,Nov-50,0,0,0,251-500,0,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,11-25 percent,SUBADVISED,Y,N,N,Y,N,Y,N,,Y,"183,390,403,040.00","5,360,195,774.00","188,750,598,814.00",358,15,373,N,Y,Y,Y,N,Y,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N
SFRO,135373,801-64313,"WEALTH ARCHITECTS, LLC","WEALTH ARCHITECTS, LLC",800 WEST EL CAMINO REAL,SUITE 201,MOUNTAIN VIEW,CA,UNITED STATES,94040,650-325-9044,650-325-9047,,,,,,,Approved,5/19/2005,6/8/2010,Y,WWW.WEALTHARCHITECTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"210,652,216.00","9,944,756.00","220,596,972.00",789,21,810,Y,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT CONSULTING,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,128726,801-62610,GREENBERG GRAHAM ADVISORS LLC,GREENBERG GRAHAM ADVISORS LLC,"2600 MICHELSON DRIVE, SUITE 1700",,IRVINE,CA,USA,92612,714-437-0040,714-437-3122,,,,,,,Approved,1/9/2004,6/8/2010,Y,WWW.GGADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,RETAINER FEES,Y,"99,111,774.00","28,377,552.00","127,489,326.00",185,41,226,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105364,801-34450,CERTIFIED PLANNERS INC,CERTIFIED PLANNERS INC,"2694 BISHOP DRIVE, SUITE 240",,SAN  RAMON,CA,UNITED STATES,94583,925-866-1246,925-830-0847,,,,,,,Approved,5/18/1989,6/8/2010,Y,WWW.CERTIFIEDPLANNERSINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"146,943,460.00","4,163,301.00","151,106,761.00","1,102",32,"1,134",Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110597,801-42246,ZULAUF ASSET MANAGEMENT AG,ZULAUF ASSET MANAGEMENT AG,GRAFENAUWEG 4,,ZUG,,SWITZERLAND,6300,004141-724-5701,004141-724-5709,GRAFENAUWEG 4,,ZUG,,SWITZERLAND,6300,Approved,10/14/1992,6/9/2010,Y,WWW.ZUAM.CH,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SWITZERLAND,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"65,880,000.00",0,"65,880,000.00",6,0,6,N,Y,N,Y,N,N,N,N,N,Y,HEDGE FUND MANAGER,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,151479,801-70599,"PATHLIGHT INVESTORS, LLC","PATHLIGHT INVESTORS, LLC",3131 EAST CAMELBACK ROAD,SUITE 211,PHOENIX,AZ,UNITED STATES,85016,602-795-7600,602-795-7601,,,,,,,Approved,9/15/2009,3/24/2010,Y,WWW.PATHLIGHTINVESTORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"80,000,000.00","44,175,601.00","124,175,601.00",145,132,277,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,108037,801-55942,ASSET SERVICES CO LLC,ASSET SERVICES CO LLC,5100 N CLASSEN BOULEVARD,SUITE 600,OKLAHOMA CITY,OK,UNITED STATES,73118,405-843-7046,405-843-7058,,,,,,,Approved,10/15/1998,3/24/2010,Y,WWW.ASSETSERVICESCOMPANY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,11-25 percent,0 percent,11-25 percent,0 percent,26-50 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"5,668,900.00","3,546,789,325.00","3,552,458,225.00",2,16,18,Y,Y,N,Y,Y,Y,Y,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,115043,801-67604,"JMA FINANCIAL ADVISORS, INC.","JMA FINANCIAL ADVISORS, INC.",580 DECKER DRIVE,SUITE 100,IRVING,TX,USA,75062,972-541-1121,972-717-1495,,,,,,,Approved,3/2/2007,3/24/2010,Y,WWW.JMAFINANCIALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"38,653,696.00","2,459,935.00","41,113,631.00",53,2,55,Y,Y,N,N,N,Y,N,N,N,Y,INVESTMENT SUPERVISORY SERVICES,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,116091,801-61445,"JACKSON THORNTON ASSET MANAGEMENT, LLC","JACKSON THORNTON ASSET MANAGEMENT, LLC",200 COMMERCE STREET,,MONTGOMERY,AL,UNITED STATES,36104,334-834-7660,334-240-3692,P.O. BOX 96,,MONTGOMERY,AL,UNITED STATES,36101,Approved,9/24/2002,3/24/2010,Y,WWW.JACKSONTHORNTON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AL,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"472,647,615.00","9,137,080.00","481,784,695.00",827,4,831,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,124982,801-61786,ROBECO INVESTMENT MANAGEMENT,"ROBECO INVESTMENT MANAGEMENT, INC.",909 THIRD AVENUE,32ND FLOOR,NEW YORK,NY,UNITED STATES,10022,212-908-9500,212-908-0195,,,,,,,Approved,2/19/2003,3/24/2010,Y,WWW.ROBECOINVEST.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,5-Jan,0,251-500,0,0 percent,Up to 10 percent,0 percent,11-25 percent,11-25 percent,0 percent,Up to 10 percent,26-50 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"15,082,599,624.00",0,"15,082,599,624.00",298,0,298,N,Y,Y,Y,N,N,N,N,N,Y,FUND OF HEDGE FUNDS,,,N,Y,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,133302,801-65086,PETER KIMMELMAN ASSET MANAGEMENT LLC,PETER KIMMELMAN ASSET MANAGEMENT LLC,"800 THIRD AVENUE, SUITE 3100",,NEW YORK,NY,UNITED STATES,10022-7604,212-223-7373,212-223-8212,,,,,,,Approved,1/3/2006,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"257,297,000.00","777,400,000.00","1,034,697,000.00",11,32,43,N,Y,N,Y,N,N,N,N,N,Y,FUND OF HEDGE FUNDS; FUND OF PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111604,801-57610,DIASTOLE WEALTH MANAGEMENT,"DIASTOLE WEALTH MANAGEMENT, INC.",58 BOSTON STREET,,GUILFORD,CT,USA,6437,203-458-5220,203-453-5855,,,,,,,Approved,5/24/2000,3/24/2010,Y,WWW.DWINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"150,320,000.00","283,816,000.00","434,136,000.00",399,850,"1,249",Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,N,Y,N,N,Y,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N
DRO,140199,801-66648,"JENNINGS INVESTMENT ADVISORS, LLC","JENNINGS INVESTMENT ADVISORS, LLC",3485 NORTH PINES WAY,,WILSON,WY,UNITED STATES,83014,307-734-1661,307-734-1921,,,,,,,Approved,5/4/2006,3/24/2010,Y,JENNINGSINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"81,049,767.00",0,"81,049,767.00",21,0,21,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126337,801-66845,GENESIS INVESTMENT ADVISORY SERVICES LLC.,GENESIS INVESTMENT ADVISORY SERVICES LLC.,20 EAST 46TH STREET,SUITE 1401,NEW YORK,NY,UNITED STATES,10017,212-687-3600,212-687-3557,,,,,,,Approved,7/10/2006,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"37,600,000.00",0,"37,600,000.00",210,0,210,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,137697,801-64854,"CORESTATES CAPITAL ADVISORS, LLC","CORESTATES CAPITAL ADVISORS, LLC",115 PHEASANT RUN,SUITE 112,NEWTOWN,PA,UNITED STATES,18940,267-759-5000,267-759-5010,,,,,,,Approved,11/8/2005,3/24/2010,Y,WWW.CORESTATES.US,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,10-Jun,0,251-500,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"239,535,000.00",0,"239,535,000.00","1,033",0,"1,033",Y,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,132131,801-64554,"MULTNOMAH GROUP, INC.","MULTNOMAH GROUP, INC.",115 NW 1ST AVENUE,SUITE 201,PORTLAND,OR,USA,97201,503-772-0159,503-772-0167,,,,,,,Approved,8/24/2005,3/24/2010,Y,WWW.MULTNOMAHGROUP.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"99,129,382.00",0,"99,129,382.00",84,0,84,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,151238,801-70567,CHAUTAUQUA CAPITAL MANAGEMENT LLC,CHAUTAUQUA CAPITAL MANAGEMENT LLC,1426 PEARL STREET,STE. 201,BOULDER,CO,UNITED STATES,80302,303-541-1545,303-444-4850,,,,,,,Approved,9/14/2009,3/24/2010,Y,WWW.CHAUTAUQUACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"28,551,673.00",0,"28,551,673.00",1,0,1,N,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,Y,GENERAL PARTNER OF LIMITED PARTNERSHIPS,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,118439,801-62176,"AUTUS ASSET MANAGEMENT, LLC","AUTUS ASSET MANAGEMENT, LLC",16435 N. SCOTTSDALE RD.,SUITE 105,SCOTTSDALE,AZ,UNITED STATES,85254,(480)348-1800,(480)348-5519,,,,,,,Approved,6/24/2003,3/24/2010,Y,WWW.AUTUSAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"198,493,516.00",0,"198,493,516.00",337,0,337,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,116167,801-68590,"FINANCIAL DESIGNS OF VIRGINIA, INC.","FINANCIAL DESIGNS OF VIRGINIA, INC.",5041 CORPORATE WOODS DRIVE,SUITE 240,VIRGINIA BEACH,VA,UNITED STATES,23462,757-473-9022,757-473-9050,,,,,,,Approved,12/4/2007,3/24/2010,Y,FDVA.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,0,"47,000,000.00","47,000,000.00",0,166,166,Y,Y,N,Y,N,N,N,N,Y,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,129885,801-62648,"GOODSTEIN & ASSOCIATES, LLC","GOODSTEIN & ASSOCIATES, LLC",540 PENNSYLVANIA AVENUE,SUITE 323,FORT WASHINGTON,PA,USA,19034,215-619-4635,215-619-4636,,,,,,,Approved,1/9/2004,3/24/2010,Y,WWW.GOODSTEINANDASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"53,592,205.00",0,"53,592,205.00",350,0,350,Y,Y,N,Y,N,N,N,N,N,Y,CONSULTING,101-250,,Y,Y,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,141688,801-70900,THE MUTUAL FUND STORE,"TMFS-PHILADELPHIA II, LLC",484 EVESHAM ROAD,SUITE 5,CHERRY HILL,NJ,USA,8003,856-795-7900,856-795-7901,,,,,,,Approved,1/15/2010,3/24/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"39,785,961.00",0,"39,785,961.00",432,0,432,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,119985,801-61131,"MIDDLEBURG INVESTMENT ADVISORS, INC.","MIDDLEBURG INVESTMENT ADVISORS, INC.",1901 NORTH BEAUREGARD STREET,SUITE 300,ALEXANDRIA,VA,USA,22311-1705,703-931-1366,703-931-1464,,,,,,,Approved,5/7/2002,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"297,858,236.00","15,649,394.00","313,507,630.00",213,14,227,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110429,801-44806,WESTERN TECHNOLOGY INVESTMENT (WTI),WESTECH INVESTMENT ADVISORS INC,2010 N FIRST ST,STE 310,SAN JOSE,CA,UNITED STATES,95131,408-436-8577 X20,408-436-8625,,,,,,,Approved,12/22/1993,3/24/2010,Y,WWW.WESTERNTECH.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,CARRIED INTEREST,Y,"400,561,116.00",0,"400,561,116.00",9,0,9,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,115961,801-68316,INVESTMENT PROTECTION SERVICE,MUTUAL FUND PROTECTION SERVICE,215 S. WADSWORTH BLVD. SUITE 540,,LAKEWOOD,CO,USA,80226,303-697-3174,303-697-3751,,,,,,,Approved,9/18/2007,3/24/2010,Y,WWW.INVESTPS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"41,000,000.00","2,500,000.00","43,500,000.00",412,52,464,Y,Y,N,Y,Y,N,Y,N,N,Y,INSURANCE & WEALTH TRANSFER STRATEGIES,101-250,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106473,801-30125,KOBREN INSIGHT MANAGEMENT INC,KOBREN INSIGHT MANAGEMENT INC,20 WILLIAM STREET,SUITE 200,WELLESLEY HILLS,MA,UNITED STATES,2481,617-369-2000,617-369-2510,,,,,,,Approved,7/31/1987,3/24/2010,Y,WWW.KOBREN.COM/MANAGEMENT,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"1,000",Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,BASED ON PROJECT.,Y,"953,487,000.00",0,"953,487,000.00","1,779",0,"1,779",Y,Y,N,Y,Y,Y,N,N,N,N,,More than 500,1000,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108451,801-56127,"BLUE FIN CAPITAL, INC.","BLUE FIN CAPITAL, INC.",10 WEYBOSSET STREET,SUITE 302B,PROVIDENCE,RI,UNITED STATES,2903,401-454-0772,401-621-7756,,,,,,,Approved,12/23/1998,3/24/2010,Y,WWW.BLUEFINCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,RI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"117,779,279.00",0,"117,779,279.00",366,0,366,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,6918,801-55544,MAXWELL NOLL INVESTMENT ADVISORS,MAXWELL NOLL INC,600 SOUTH LAKE AVENUE,SUITE 405,PASADENA,CA,UNITED STATES,91106-3955,626-796-7133,626-796-5834,,,,,,,Approved,5/29/1998,3/24/2010,Y,WWW.MAXNOLL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"60,852,031.00","49,713,487.00","110,565,518.00",230,"1,107","1,337",Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,Y,Y,Y,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,104599,801-24241,"KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC","KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC",1800 AVENUE OF THE STARS,SECOND FLOOR,LOS ANGELES,CA,UNITED STATES,90067,310-556-2721,310-284-2538,,,,,,,Approved,5/22/1985,3/24/2010,Y,WWW.KAYNE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,51-250,0,More than 500,"10,500",51-75 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,TAFT-HARTLEY,Y,N,N,Y,N,Y,N,,Y,"4,010,017,699.00","59,242,427.00","4,069,260,126.00","10,115",537,"10,652",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104579,801-56272,AMERICAN INVESTMENT ADVISORS INC,AMERICAN INVESTMENT ADVISORS INC,3330 UNIVERSITY AVE STE 120,,MADISON,WI,UNITED STATES,53705-2167,608-238-3500,608-238-9050,,,,,,,Approved,2/17/1999,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"30,215,338.00","6,114,576.00","36,329,914.00",109,2,111,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106544,801-10787,NORTHWEST ADMINISTRATORS INC,NORTHWEST ADMINISTRATORS INC,2323 EASTLAKE AVE EAST,,SEATTLE,WA,UNITED STATES,98102,206-329-4900,206-726-3209,,,,,,,Approved,5/25/1975,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,251-500,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,TAFT-HARTLEY HEALTH AND WELFARE TRUSTS,Y,N,N,Y,N,N,N,,Y,"406,413,273.00",0,"406,413,273.00",12,0,12,N,N,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,114727,801-60577,LIFESTAGE WEALTH MANAGEMENT LLC,LIFESTAGE WEALTH MANAGEMENT LLC,11100 WAYZATA BOULEVARD,SUITE 510,MINNETONKA,MN,USA,55305,763-542-8884,763-542-8821,,,,,,,Approved,9/24/2001,3/24/2010,Y,WWW.MILLER-GREEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"65,700,000.00","3,150,000.00","68,850,000.00",303,41,344,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,149358,801-70108,"PHASEINVESTING TECHNOLOGIES, INC.","PHASEINVESTING TECHNOLOGIES, INC.",WAIKIKI LANDMARK,"1888 KALAKAUA AVENUE, C-312",HONOLULU,HI,UNITED STATES,96815,808-447-8870,808-695-2955,,,,,,,Approved,4/28/2009,3/24/2010,Y,WWW.PHASEINVESTING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,NON-US ASSET MANAGERS,Y,N,N,N,N,Y,N,,Y,"86,500,000.00",0,"86,500,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,ALTERNATIVE INVESTMENTS ASSET ALLOCATION / HEDGE FUND-OF-FUND PORTFOLIO ADVISORY,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105735,801-8846,"LEGACY CAPITAL PARTNERS, INC.","LEGACY CAPITAL PARTNERS, INC.",1200 NORTH MAYFAIR ROAD,SUITE 360,MILWAUKEE,WI,USA,53226-3282,414-271-1664,414-271-9986,,,,,,,Approved,9/21/1972,3/24/2010,Y,WWW.LEGACYCAPITALPARTNERS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"187,065,219.00","3,995,757.00","191,060,976.00",140,3,143,N,Y,N,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,120418,801-61093,HIGHMOUNT CAPITAL,"HIGHMOUNT CAPITAL, LLC",12 EAST 49TH STREET,,NEW YORK,NY,USA,10017,646-274-7470,212 759 1619,,,,,,,Approved,4/23/2002,3/24/2010,Y,HIGHMOUNTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,298,104,528.00","260,306,520.00","1,558,411,048.00",76,2,78,N,Y,N,Y,N,Y,N,N,N,Y,SELECTION OF HEDGE FUNDS ON BEHALF OF CLIENT ACCOUNTS.,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137563,801-64955,KYNIKOS ASSOCIATES LP,KYNIKOS ASSOCIATES LP,20 WEST 55TH STREET,8TH FLOOR,NEW YORK,NY,UNITED STATES,10019-5373,212-649-0200,212-649-0269,,,,,,,Approved,11/29/2005,3/30/2010,Y,WWW.KYNIKOS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,837,129,895.00",0,"5,837,129,895.00",12,0,12,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT ADVISOR AND PORTFOLIO MANAGEMENT SERVICES FOR HEDGE FUNDS AND MANAGED ACCOUNTS,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138447,801-65757,"DUNBAR CAPITAL INVESTORS, LLC","DUNBAR CAPITAL INVESTORS, LLC",65 EAST 55TH STREET,35TH FLOOR,NEW YORK,NY,UNITED STATES,10022,(212) 871-7100,(212) 754-9734,,,,,,,Approved,1/27/2006,3/30/2010,Y,WWW.DUNBARCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,Nov-50,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"119,959,915.00",0,"119,959,915.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109438,801-55450,"KIELY WEALTH ADVISORY GROUP, INC.","KIELY WEALTH ADVISORY GROUP, INC.",1290 EAST ARLINGTON BLVD,"SUITE 102, JEFFERSON PLACE",GREENVILLE,NC,UNITED STATES,27858,252-439-1888,252-439-1348,,,,,,,Approved,4/20/1998,3/30/2010,Y,WWW.KIELYFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"182,161,920.00","182,161,920.00",0,"2,494","2,494",N,Y,N,Y,N,N,Y,N,N,Y,"INVESTMENT EDUCATIONAL SEMINARS, VIDEOS AND DINNERS",0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110467,801-41216,FIRST FINANCIAL STRATEGIES INC,FIRST FINANCIAL STRATEGIES INC,4425 N. 24TH STREET,SUITE 200,PHOENIX,AZ,UNITED STATES,85016,602-230-7721,602-230-9071,,,,,,,Approved,3/31/1992,3/30/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,"LTD AND GENERAL P-SHIPS, LLCS",Y,Y,N,Y,N,N,Y,"MGMT FEES OF LTD & GENERAL P-SHIPS AND LLCS, PROFITS INTEREST",Y,"14,166,247.00",0,"14,166,247.00",22,0,22,Y,Y,N,Y,N,Y,N,N,N,Y,MANGEMENT OF LTD & GENERAL P-SHIPS AND LLCS,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138439,801-65706,"TITAN LEGACY FUND ADVISORS, LLC","TITAN LEGACY FUND ADVISORS, LLC",2 INTERNATIONAL DRIVE,SUITE 200,RYE BROOK,NY,UNITED STATES,10573,914-937-7600,914-937-8820,,,,,,,Approved,1/27/2006,3/30/2010,Y,WWW.TITANADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"909,513,000.00",0,"909,513,000.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT SERVICES FOR UNREGISTERED INVESTMENT FUNDS.,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105894,801-35752,ARTHUR M. COHEN & ASSOCIATES LLC,ARTHUR M. COHEN & ASSOCIATES LLC,1033 SKOKIE BOULEVARD,STE 200,NORTHBROOK,IL,USA,60062,847-480-2990,847-480-7794,,,,,,,Approved,1/12/1990,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"360,048,987.00","2,589,879.00","362,638,866.00",726,4,730,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,150697,801-71013,"FINACCESS ADVISORS, LLC","FINACCESS ADVISORS, LLC","37 MAIN STREET, SUITE 1",,CONCORD,MA,UNITED STATES,1742,978-371-7044,978-405-5011,,,,,,,Approved,12/17/2009,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,TRUSTS,Y,N,N,Y,N,N,N,,Y,"54,841,147.00","41,387,592.00","96,228,739.00",180,30,210,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,138962,801-66190,"KRUEGER & CATALANO CAPITAL PARTNERS, LLC","KRUEGER & CATALANO CAPITAL PARTNERS, LLC",7700 SAN FELIPE DRIVE,SUITE 470,HOUSTON,TX,UNITED STATES,77063,713-784-3873,713-784-8023,,,,,,,Approved,1/27/2006,3/30/2010,Y,WWW.KRUEGERCATALANO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"81,000,063.00","55,000,000.00","136,000,063.00",519,250,769,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,Y,Y,N,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137158,801-65792,VR ADVISORY SERVICES LTD.,VR ADVISORY SERVICES LTD.,AVRORA BUSINESS PARK,"77 SADOVNICHESKAYA NAB., BLDG 1",MOSCOW,,RUSSIA,115035,+7 495 787 8181,+7 495 787 8183,,,,,,,Approved,1/27/2006,3/30/2010,Y,WWW.VR-CAPITAL.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CAYMAN ISLANDS,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,0 percent,26-50 percent,11-25 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,INSIDE INVESTORS,Y,N,N,N,N,Y,N,,Y,"995,360,852.00",0,"995,360,852.00",242,0,242,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,121306,801-69952,CONSERVATIVEMONEY LLC,CONSERVATIVEMONEY LLC,3701 BOSWORTH ROAD,SUITE #101,CLEVELAND,OH,UNITED STATES,44111-6037,216-251-2100,216-688-1205,,,,,,,Approved,2/17/2009,3/30/2010,Y,WWW.CONSERVATIVEMONEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,N,Y,N,N,N,N,Y,FLAT FEE ANNUALLY RENEWABLE,Y,"41,419,742.00",0,"41,419,742.00",115,0,115,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,146720,801-68987,"ASPIRIANT, LLC","ASPIRIANT, LLC",101 SECOND STREET,SUITE 1400,SAN FRANCISCO,CA,USA,94105,415-371-7800,415-371-7801,,,,,,,Approved,4/8/2008,3/30/2010,Y,WWW.ASPIRIANT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,FAMILY LIMITED PARTNERSHIPS; TRUSTS,Y,Y,N,Y,N,N,N,,Y,"2,902,622,665.00","1,055,677,882.00","3,958,300,547.00","2,587",369,"2,956",Y,Y,N,Y,N,Y,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107590,801-38119,"INVESCO SENIOR SECURED MANAGEMENT, INC.",INVESCO SENIOR SECURED MANAGEMENT INC,1166 AVE OF THE AMERICAS,27TH FLOOR,NEW YORK,NY,UNITED STATES,10036,212-278-9000,212-278-9816,,,,,,,Approved,5/15/1992,3/30/2010,Y,WWW.INSTITUTIONAL.INVESCO.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,25-Nov,0,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"9,957,100,000.00","433,300,000.00","10,390,400,000.00",24,1,25,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,111177,801-58279,"AMUSSEN, HUNSAKER & ASSOCIATES INCORPORATED","AMUSSEN, HUNSAKER & ASSOCIATES INCORPORATED",275 SOUTH TEMPLE SUITE 204,,SALT LAKE CITY,UT,UNITED STATES,84111,801-575-6409,801-575-3500,,,,,,,Approved,1/24/2001,3/30/2010,Y,E-MONEYADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"40,260,000.00",0,"40,260,000.00",390,0,390,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111114,801-57773,"BOURNE STENSTROM LENT ASSET MANAGEMENT, INC.","BOURNE STENSTROM LENT ASSET MANAGEMENT, INC.",4 CHARLES COLMAN BLVD.,2ND FLOOR SUITE 1,PAWLING,NY,UNITED STATES,12564,845-855-1590,845-855-1542,PO BOX 340,,PAWLING,NY,UNITED STATES,12564,Approved,7/1/2000,3/30/2010,Y,WWW.BSLAMI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"163,203,327.00","1,650,279.00","164,853,606.00",133,3,136,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,149038,801-69844,"WOLF RIVER CAPITAL MANAGEMENT, LLC","WOLF RIVER CAPITAL MANAGEMENT, LLC",232 GOODMAN ROAD WEST,SUITE 300,SOUTHAVEN,MS,UNITED STATES,38671,901-312-9653,901-922-6069,,,,,,,Approved,1/15/2009,3/30/2010,Y,WOLFRIVERCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,10-Jun,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"63,983,123.00",0,"63,983,123.00",2,0,2,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,128523,801-70216,GENERATION CAPITAL MANAGEMENT LLC,GENERATION CAPITAL MANAGEMENT LLC,"400 ANDREW STREET, SUITE 220",,ROCHESTER,NY,UNITED STATES,14604,585-232-8560,585-232-4734,,,,,,,Approved,6/5/2009,3/30/2010,Y,WWW.GENCAPMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"29,495,380.00","145,030,463.00","174,525,843.00",137,3,140,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,120802,801-69497,"G. EARL MOWREY & CO., L.L.C","G. EARL MOWREY & CO., L.L.C.",4964 BELMONT AVENUE,,YOUNGSTOWN,OH,UNITED STATES,44505,330-759-3444,330-759-3444,,,,,,,Approved,10/9/2008,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"31,329,212.00",0,"31,329,212.00",179,0,179,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,Y,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,133311,801-63668,EXECUTIVE CAPITAL STRATEGIES LLC,EXECUTIVE CAPITAL STRATEGIES LLC,1345 ENTERPRISE DRIVE,,WEST CHESTER,PA,UNITED STATES,19380,610-701-4370,610-701-4373,,,,,,,Approved,11/23/2004,3/30/2010,Y,WWW.EXECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"27,500,000.00",0,"27,500,000.00",6,0,6,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,106430,801-38123,GLOBALT INC,GLOBALT INC,"3280 PEACHTREE RD., NE",SUITE 500,ATLANTA,GA,UNITED STATES,30305,404-364-2188,404-364-2189,,,,,,,Approved,1/18/1991,3/30/2010,Y,WWW.GLOBALT.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,Y,PCT OF NON-DISCR ASSETS,Y,"1,189,424,393.00",0,"1,189,424,393.00",900,0,900,N,Y,Y,Y,N,N,N,N,N,Y,INVT NON-DISCR STRATEGY CONSULTING,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,145372,801-68677,"MIDDLECOVE CAPITAL, LLC","MIDDLECOVE CAPITAL, LLC",65 MAIN STREET,,CENTERBROOK,CT,UNITED STATES,6409,860-767-2591,,,,,,,,Approved,1/23/2008,3/30/2010,Y,WWW.MIDDLECOVECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"64,855,629.00","3,225,858.00","68,081,487.00",484,5,489,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,132474,801-63424,"CHAMPLAIN INVESTMENT PARTNERS, LLC","CHAMPLAIN INVESTMENT PARTNERS, LLC",346 SHELBURNE ROAD,6TH FLOOR,BURLINGTON,VT,UNITED STATES,5401,(802) 846-6200,(802) 846-6213,,,,,,,Approved,8/23/2004,3/30/2010,Y,WWW.CIPVT.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,101-250,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,26-50 percent,11-25 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,188,545,462.00",0,"3,188,545,462.00",75,0,75,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138893,801-65579,"COMBINATORICS CAPITAL, LLC","COMBINATORICS CAPITAL, LLC","152 WEST 57TH STREET, 26TH FLOOR",,NEW YORK,NY,UNITED STATES,10019,212-754-9754,212-754-9707,,,,,,,Approved,1/27/2006,3/30/2010,Y,HTTP://COMBINATORICSCAPITAL.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,10-Jun,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,FINANCIAL INSTITUTIONS,Y,N,N,N,N,Y,N,,Y,"162,700,000.00",0,"162,700,000.00",6,0,6,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,145250,801-68455,POPLAR FOREST CAPITAL LLC,POPLAR FOREST CAPITAL LLC,70 S. LAKE AVENUE,SUITE 930,PASADENA,CA,USA,91101-4703,626-304-6000,626-304-0827,,,,,,,Approved,10/31/2007,3/30/2010,Y,WWW.POPLARFORESTLLC.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"135,946,538.00","56,368,000.00","192,314,538.00",3,19,22,N,Y,Y,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,148296,801-69578,"THE RETIREMENT GROUP, LLC","THE RETIREMENT GROUP, LLC",10509 VISTA SORRENTO PARKWAY,SUITE 205,SAN DIEGO,CA,UNITED STATES,92121,800-900-5867,866-936-0750,10509 VISTA SORRENTO PARKWAY,SUITE 205,SAN DIEGO,CA,UNITED STATES,92121,Approved,9/26/2008,3/30/2010,Y,WWW.THERETIREMENTGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"23,300,000.00","7,000,000.00","30,300,000.00",150,45,195,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
NYRO,122056,801-61356,"GUIRY CAPITAL MANAGEMENT, LLC","GUIRY CAPITAL MANAGEMENT, LLC",45 ROCKEFELLER PLAZA,SUITE 2080,NEW YORK,NY,UNITED STATES,10111-2000,(212) 332-1620,(212) 332-1622,,,,,,,Approved,8/2/2002,3/30/2010,Y,WWW.GUIRYCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,SCHOOL ENDOWMENT,Y,N,N,Y,N,N,N,,Y,0,"240,000,000.00","240,000,000.00",0,28,28,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106955,801-47378,"STEPHEN P. MOULTON & ASSOCIATES, LTD.","STEPHEN P. MOULTON & ASSOCIATES, LTD.",7133 WEST MAIN,,LEROY,NY,UNITED STATES,14482,585-768-8760,585-768-8811,PO BOX 220,,LEROY,NY,UNITED STATES,14482,Approved,8/26/1994,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"41,245,066.00","771,659.00","42,016,725.00",88,7,95,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105794,801-9839,"MEEDER ASSET MANAGEMENT, INC","MEEDER ASSET MANAGEMENT, INC",6125 MEMORIAL DRIVE,,DUBLIN,OH,UNITED STATES,43017,614-766-7000,614-766-6669,P. O. BOX 7177,,DUBLIN,OH,UNITED STATES,43017,Approved,3/16/1974,3/30/2010,Y,WWW.MEEDERFINANCIAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,101-250,0,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"647,637,288.00","3,479,438.00","651,116,726.00",153,17,170,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106814,801-40023,"MEEDER ADVISORY SERVICES, INC","MEEDER ADVISORY SERVICES, INC",6125 MEMORIAL DR,,DUBLIN,OH,UNITED STATES,43017,614-766-7000,614-766-6669,P. O. BOX 7177,,DUBLIN,OH,UNITED STATES,43017,Approved,10/23/1991,3/30/2010,Y,WWW.MEEDERFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,Nov-50,0,More than 500,"2,000",51-75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"741,454,676.00",0,"741,454,676.00","25,265",0,"25,265",N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,124791,801-61873,"OXFORD INVESTMENT PARTNERS, LLC","OXFORD INVESTMENT PARTNERS, LLC",2390 E. CAMELBACK ROAD,SUITE 202,PHOENIX,AZ,USA,85016,602-381-1000,602-381-1026,,,,,,,Approved,4/16/2003,3/31/2010,Y,WWW.OXFORDPARTNERS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"277,709,890.00","3,337,000.00","281,046,890.00",137,1,138,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,10299,801-33020,MULTI-FINANCIAL SECURITIES CORPORATION,MULTI-FINANCIAL SECURITIES CORPORATION,1290 BROADWAY,,DENVER,CO,UNITED STATES,80203,303-446-8400,303-573-1429,P.O. BOX 5120,,DENVER,CO,UNITED STATES,80217,Approved,10/27/1988,3/31/2010,Y,WWW.MULTIFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,501-1000,0,501-1000,0,501-1000,0,0,0,More than 500,"10,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"777,736,256.00","1,907,498,108.00","2,685,234,364.00","4,530","9,623","14,153",Y,Y,N,Y,Y,Y,N,N,N,N,,More than 500,500,Y,Y,Y,N,N,N,Y,N,N,,N,N,Y,Y,Y,Y,N,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,N,Y,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,Y,N
HQ,133066,801-63600,SKY INVESTMENT COUNSEL INC.,SKY INVESTMENT COUNSEL INC.,1 ADELAIDE STREET EAST,SUITE 2310,"TORONTO, ON",,CANADA,M5C 2V9,4166237500,4166237524,,,,,,,Approved,10/29/2004,3/31/2010,Y,WWW.SKYIC.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,OTHER CANADIAN-DOMICILED PRIVATE FUNDS,Y,N,N,N,N,Y,N,,Y,"1,815,035,435.00",0,"1,815,035,435.00",11,0,11,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107304,801-53304,LANDMARK REALTY ADVISORS LLC,LANDMARK REALTY ADVISORS LLC,10 MILL POND LANE,,SIMSBURY,CT,UNITED STATES,06070-2429,860-651-9760,860-651-8890,,,,,,,Approved,12/9/1996,3/31/2010,Y,WWW.LANDMARKPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,387,202,042.00",0,"1,387,202,042.00",11,0,11,N,N,N,Y,N,N,N,N,N,Y,FUND OF FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
CHRO,109513,801-56914,"RUSSELL CAPITAL MANAGEMENT, LLC","RUSSELL CAPITAL MANAGEMENT, LLC",476 E HIGH ST,SUITE 100,LEXINGTON,KY,UNITED STATES,40507,859-254-5225,859-254-4329,,,,,,,Approved,10/15/1999,3/31/2010,Y,HTTP://WWW.RUSSCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KY,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,More than 500,"1,000",51-75 percent,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"212,278,000.00","39,493,000.00","251,771,000.00","1,583",470,"2,053",N,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT PARTNERSHIPS.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108823,801-55343,"MSREF III, INC.","MSREF III, INC.",1585 BROADWAY,"ATTN: REAL ESTATE FUNDS, 37TH FLOOR",NEW YORK,NY,UNITED STATES,10036,212-761-4700,212-761-0511,,,,,,,Approved,3/23/1998,3/31/2010,Y,WWW.MORGANSTANLEY.COM/REALESTATE/,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,251-500,0,251-500,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ACQUISITION AND DISPOSITION FEES,Y,"459,143,523.00",0,"459,143,523.00",10,0,10,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,148402,801-69646,"MARATHON CAPITAL, LLC","MARATHON CAPITAL, LLC",,,,,,,801-285-7477,801-285-7401,,,,,,,Approved,10/29/2008,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"24,867.00","27,382,637.00","27,407,504.00",1,8,9,Y,N,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112587,801-60937,"VOIT & HAMILTON, LLC","VOIT & HAMILTON, LLC",235 N EXECUTIVE DR,SUITE 240,BROOKFIELD,WI,UNITED STATES,53005,262-784-2775,262-784-6669,,,,,,,Approved,2/15/2002,3/31/2010,Y,WWW.VOITHAMILTON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,10-Jun,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"98,559,557.00","3,523,317.00","102,082,874.00",178,4,182,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,112188,801-58167,"SOUTH TEXAS MONEY MANAGEMENT, LTD.","SOUTH TEXAS MONEY MANAGEMENT, LTD.",100 W. OLMOS DR. STE 101,,SAN ANTONIO,TX,UNITED STATES,78212,210-824-8916,210-824-8718,,,,,,,Approved,12/22/2000,3/31/2010,Y,WWW.STMMLTD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,500",26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,PARTNERSHIPS,Y,N,N,N,N,N,N,,Y,"1,649,813,510.00","41,961,432.00","1,691,774,942.00","2,030",24,"2,054",Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144822,801-68237,"SHAREKS, LLC","SHAREKS, LLC",230 E. 30TH STREET,SUITE 12C,NEW YORK,NY,UNITED STATES,10016,917-657-8126,,,,,,,,Approved,8/10/2007,3/31/2010,Y,WWW.DAVIDSHAREK.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,Y,N,N,N,N,,Y,"5,396,541.00",0,"5,396,541.00",62,0,62,N,Y,N,Y,Y,N,Y,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107156,801-37889,"JANICZEK & COMPANY, LTD.",JJJ ADVISORS INC,8400 E. CRESCENT PARKWAY,SUITE 160,GREENWOOD VILLAGE,CO,UNITED STATES,80111-2831,303-721-7000,303-721-7082,,,,,,,Approved,12/13/1990,3/31/2010,Y,WWW.JANICZEK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"293,441,293.00",0,"293,441,293.00",776,0,776,Y,Y,N,Y,Y,N,Y,N,N,Y,"THE WEALTH WITH EASE SYSTEM CONSISTS OF PROPRIETARY FINANCIAL ANALYSIS, TOOLS AND SERVICES DESIGNED TO AID INVESTORS.",101-250,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,116949,801-68119,BRUNSON ADVISORS LLC,BRUNSON ADVISORS LLC,10800 MIDLOTHIAN TURNPIKE,WINCHESTER BLDG. SUITE 101,RICHMOND,VA,UNITED STATES,23235,804-423-2222,804-423-7386,,,,,,,Approved,8/1/2007,3/31/2010,Y,WWW.BRUNSONADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"33,640,842.00",0,"33,640,842.00",514,0,514,N,Y,N,N,N,N,Y,N,N,Y,INVESTMENT CONSULTATION,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,141170,801-67067,"NOBADEER CAPITAL MANAGEMENT, LLC","NOBADEER CAPITAL MANAGEMENT, LLC",337 WATER STREET,,WARREN,RI,UNITED STATES,2885,401-603-0997,401-289-2851,,,,,,,Approved,8/4/2006,3/31/2010,Y,WWW.NOBADEERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"26,878,000.00",0,"26,878,000.00",25,0,25,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,148410,801-69748,WALKER & DUNLOP FUND MANAGEMENT LLC,WALKER & DUNLOP FUND MANAGEMENT LLC,7501 WISCONSIN AVENUE,SUITE 1200,BETHESDA,MD,UNITED STATES,20814-6531,301-215-5500,301-634-2144,,,,,,,Approved,12/4/2008,3/31/2010,Y,WWW.WALKERDUNLOP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"54,842,424.00",0,"54,842,424.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,REAL ESTATE ADVISORY SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,136535,801-64603,HEMISPHERE PARTNERS LLC,HEMISPHERE PARTNERS LLC,825 THIRD AVENUE,SUITE 240,NEW YORK,NY,USA,10022,212-520-8280,212-520-8281,,,,,,,Approved,8/22/2005,3/31/2010,Y,WWW.HEMISPHEREPARTNERS.US,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"62,694,336.00",0,"62,694,336.00",142,0,142,N,Y,N,N,N,Y,N,N,N,Y,FAMILY OFFICE SERVICES,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105540,801-18930,ANCHOR CAPITAL ADVISORS LLC,ANCHOR CAPITAL ADVISORS LLC,ONE POST OFFICE SQUARE,,BOSTON,MA,USA,02109-2103,617-338-3800,617-426-6871,,,,,,,Approved,5/12/1983,3/31/2010,Y,WWW.ANCHORCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,Nov-50,0,More than 500,"1,000",More than 75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,SEPARATE MANAGED ACCOUNT PROGRAM,Y,N,N,N,N,N,N,,Y,"5,781,002,646.00",0,"5,781,002,646.00","21,249",0,"21,249",N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,130539,801-62842,"BANYAN REALTY ADVISORS, LLC","BANYAN REALTY ADVISORS, LLC",501 N. MAGNOLIA AVENUE,,ORLANDO,FL,UNITED STATES,32801,407-377-0693,407-429-3878,501 N. MAGNOLIA AVENUE,,ORLANDO,FL,UNITED STATES,32801,Approved,2/25/2004,3/31/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"113,722,000.00","113,722,000.00",0,2,2,N,N,N,Y,N,N,N,N,N,Y,REAL ESTATE PORTFOLIO SERVICES,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105331,801-34634,ANCHOR/RUSSELL CAPITAL ADVISORS LLC,ANCHOR/RUSSELL CAPITAL ADVISORS LLC,ONE POST OFFICE SQUARE,,BOSTON,MA,USA,02109-2103,[617] 338-2722,[617] 368-3768,,,,,,,Approved,6/15/1989,3/31/2010,Y,WWW.ANCHORRUSSELL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,Nov-50,0,101-250,0,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"268,791,815.00",0,"268,791,815.00",378,0,378,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,112224,801-32497,PRS INTERNATIONAL INVESTMENT ADVISORY SERVICE,PRS INTERNATIONAL INVESTMENT ADVISORY SERVICE,801 BRICKELL AVE STE 1600,,MIAMI,FL,UNITED STATES,33131-2945,305-381-8340,305-381-8334,,,,,,,Approved,9/9/1988,3/31/2010,Y,WWW.PRS-EFG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,972,329,395.00",0,"1,972,329,395.00",294,0,294,N,Y,Y,Y,N,N,N,N,N,Y,OFFSHORE AND DOMESTIC FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,Y,N,Y,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,143257,801-67617,BLACK KNIGHT ASSET MANAGEMENT,BLACK KNIGHT ASSET MANAGEMENT,1225 I STREET NW,SUITE 100,WASHINGTON,DC,UNITED STATES,20005-3914,202-962-0255,202-962-0384,,,,,,,Approved,3/12/2007,3/31/2010,Y,WWW.BKAMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"113,700,000.00","21,600,000.00","135,300,000.00",5,1,6,N,N,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147168,801-69149,"STRATEGIC WEALTH PARTNERS, LLC","STRATEGIC WEALTH PARTNERS, LLC",520 LAKE COOK ROAD,SUITE 270,DEERFIELD,IL,UNITED STATES,60015,224-632-1600,224-632-1601,,,,,,,Approved,5/16/2008,3/31/2010,Y,WWW.STRATWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"397,371,058.00","274,377,067.00","671,748,125.00","1,000",636,"1,636",Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,Y,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111003,801-58139,"MSREF IV, LLC","MSREF IV, LLC",1585 BROADWAY,"REAL ESTATE FUNDS, 37TH FLOOR",NEW YORK,NY,UNITED STATES,10036,212-761-4700,212-761-0511,,,,,,,Approved,11/17/2000,3/31/2010,Y,WWW.MORGANSTANLEY.COM/REALESTATE/,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,251-500,0,251-500,0,Nov-50,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ACQUISITION AND DISPOSITION FEES,Y,"1,572,878,665.00",0,"1,572,878,665.00",13,0,13,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105306,801-29733,WESTPORT RESOURCES MANAGEMENT INC,WESTPORT RESOURCES MANAGEMENT INC,315 POST ROAD WEST,,WESTPORT,CT,UNITED STATES,6880,203-226-0222,203-341-7515,,,,,,,Approved,6/26/1987,3/31/2010,Y,WWW.WESTPORTRESOURCES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,"317,870,000.00",0,"317,870,000.00",292,0,292,Y,Y,N,Y,Y,Y,Y,N,N,N,,51-100,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,129049,801-62542,"TARGETED FINANCIAL SERVICES, LLC","TARGETED FINANCIAL SERVICES, LLC",900 ROUTE 9 NORTH,6TH FLOOR,WOODBRIDGE,NJ,USA,7095,732-750-9880,732-750-1004,,,,,,,Approved,12/19/2003,3/31/2010,Y,WWW.TARGETEDFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"75,078,151.00","445,696.00","75,523,847.00",581,9,590,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,144364,801-68042,"J.P. MARVEL INVESTMENT ADVISORS, INC.","J.P. MARVEL INVESTMENT ADVISORS, INC.",265 FRANKLIN STREET,SUITE 710,BOSTON,MA,UNITED STATES,2110,617-342-5610,617-342-5601,,,,,,,Approved,6/19/2007,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"284,000,000.00",0,"284,000,000.00",117,0,117,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109927,801-43403,LENK LADNER INVESTMENT SOLUTIONS LLC,LENK LADNER INVESTMENT SOLUTIONS LLC,896 MAIN STREET,,OSTERVILLE,MA,UNITED STATES,2655,508-428-1645,508-428-4421,P.O. BOX 872,,OSTERVILLE,MA,UNITED STATES,2655,Approved,3/12/1993,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"65,767,804.00","12,807,911.00","78,575,715.00",213,23,236,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138541,801-65368,"BRENNER WEST CAPITAL ADVISORS, LLC","BRENNER WEST CAPITAL ADVISORS, LLC",110 EAST 42ND STREET,SUITE 1419,NEW YORK,NY,USA,10017,212-801-1255,212-599-2300,,,,,,,Approved,1/23/2006,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,INSTITUTIONAL MANAGED ACCOUNT,Y,N,N,N,N,Y,N,,Y,"160,280,000.00",0,"160,280,000.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,133572,801-65510,"OCEAN GATE CAPITAL MANAGEMENT, LP","OCEAN GATE CAPITAL MANAGEMENT, LP",40 SOUTH STREET,SUITE 300,MARBLEHEAD,MA,UNITED STATES,1945,781-639-4774,781-639-4334,,,,,,,Approved,1/23/2006,3/31/2010,Y,HTTP://WWW.OCEANGATECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,PERFORMANCE-BASED COMPENSATION,Y,"35,273,605.00",0,"35,273,605.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS.,,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,Y,N,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,152113,801-70827,CERASUS ADVISORS INC,CERASUS ADVISORS INC,,,,,,,954-778-8565,815-361-9097,,,,,,,Approved,12/1/2009,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"88,132,589.00",0,"88,132,589.00",4,0,4,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,128100,801-62336,"APOLLO VALUE MANAGEMENT, L.P.","APOLLO VALUE MANAGEMENT, L.P.",9 WEST 57TH STREET,SUITE 4100,NEW YORK,NY,UNITED STATES,10019,212.515.3200,212.515.3251,,,,,,,Approved,9/5/2003,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,251-500,0,251-500,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"350,319,263.00",0,"350,319,263.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,ADVISE POOLED INVESTMENT VEHICLES.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107409,801-51602,"ROGERS CAPITAL MANAGEMENT, INC.","ROGERS CAPITAL MANAGEMENT, INC.",1330 SUMMIT AVENUE,,FORT WORTH,TX,USA,76102,817-334-0351,817-334-0387,,,,,,,Approved,3/22/1996,3/31/2010,Y,ROGERSCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,More than 500,500,11-25 percent,26-50 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,COLLECTIVE INVESTMENT FUNDS - TDAMERITRADE TRUST CO.,Y,N,N,Y,N,N,N,,Y,"391,985,646.00","3,780,499.00","395,766,145.00",605,25,630,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109185,801-57654,NORTHSTAR ASSET MANAGEMENT LLC,NORTHSTAR ASSET MANAGEMENT LLC,488 NORRISTOWN ROAD,SUITE 142,BLUE BELL,PA,UNITED STATES,19422,484-342-4200,484-342-4201,,,,,,,Approved,6/8/2000,3/31/2010,Y,WWW.NORTHSTARMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"210,987,672.00","135,316,412.00","346,304,084.00",221,89,310,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,150430,801-70235,BAS CAPITAL,BAS CAPITAL CORP,,,,,,,901-761-7895,901-761-7481,,,,,,,Approved,5/29/2009,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,955,659.00",0,"25,955,659.00",73,0,73,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109401,801-57282,"NICOLLET INVESTMENT MANAGEMENT, INC.","NICOLLET INVESTMENT MANAGEMENT, INC.",100 NORTH SIXTH STREET,SUITE 150C,MINNEAPOLIS,MN,UNITED STATES,55403-1531,612-915-3033,612-915-3034,,,,,,,Approved,2/22/2000,3/31/2010,Y,NICOLLETINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,TAFT HARTLEY TYPE CLIENTS,Y,N,N,Y,N,N,N,,Y,"110,557,539.00",0,"110,557,539.00",369,0,369,Y,Y,N,Y,N,Y,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,129921,801-63176,OCH-ZIFF REAL ESTATE ADVISORS LP,OCH-ZIFF REAL ESTATE ADVISORS LP,"9 WEST 57TH STREET,13TH FLOOR",,NEW YORK,NY,UNITED STATES,10019,212-790-0000,212-719-7295,,,,,,,Approved,5/27/2004,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"584,238,962.00",0,"584,238,962.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107111,801-43859,LINDAHL & MANSAGER INC,LINDAHL & MANSAGER INC,"3075 SMITH ROAD, SUITE #103",,FAIRLAWN,OH,USA,44333,330-665-0655,330-665-0688,,,,,,,Approved,5/3/1993,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"62,885,304.00",0,"62,885,304.00",580,0,580,Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105427,801-15517,CARROLL FINANCIAL ASSOCIATES INC,CARROLL FINANCIAL ASSOCIATES INC,"4201 CONGRESS STREET, STE 210",,CHARLOTTE,NC,USA,28209,704-553-8006,704-553-9610,,,,,,,Approved,9/19/1980,3/31/2010,Y,CARROLLFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"2,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"669,043,227.00","283,552,536.00","952,595,763.00","1,858",527,"2,385",Y,Y,N,Y,N,N,Y,N,N,N,,25-Nov,,N,Y,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106830,801-853,EVERETT HARRIS & CO,EVERETT HARRIS & CO,888 WEST 6TH ST,10TH FL,LOS ANGELES,CA,USA,90017,213-625-2677,213-625-3143,,,,,,,Approved,11/1/1940,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"4,382,619,991.00","663,095,357.00","5,045,715,348.00",789,283,"1,072",N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,108640,801-55611,"HAISMAN WEALTH MANAGEMENT, INC.","HAISMAN WEALTH MANAGEMENT, INC.",6830 PORTO FINO CIRCLE,SUITE ONE,FORT MYERS,FL,UNITED STATES,33912,239-939-3235,239-939-5484,,,,,,,Approved,6/2/1998,8/9/2010,Y,WWW.HAISMANWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SHARE IN FEES CHARGED BY SUB-ADVISER.,Y,"34,313,494.00","408,434.00","34,721,928.00",65,4,69,Y,Y,N,Y,N,Y,N,N,N,Y,BUY & HOLD - NON-DISCRETIONARY.,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,146284,801-68871,FILIGREE ADVISORS,FILIGREE ADVISORS LLC,4800 SW MEADOWS RD,SUITE 300,LAKE OSWEGO,OR,UNITED STATES,97035,503-534-3771,503-210-1375,,,,,,,Approved,3/11/2008,8/9/2010,Y,WWW.FILIGREEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"56,278,680.00",0,"56,278,680.00",30,0,30,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,117614,801-66297,"MARTEL DOROW, INC.","MARTEL DOROW, INC.","500 MARKET STREET, UNIT 1-B",,PORTSMOUTH,NH,UNITED STATES,3801,603-436-7809,603-436-4760,,,,,,,Approved,2/24/2006,8/9/2010,Y,WWW.MARTELDOROW.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"26,196,523.00","12,446,314.00","38,642,837.00",191,5,196,Y,Y,N,Y,Y,Y,N,N,N,Y,"TAX PLANNING, INSURANCE PLANNING",51-100,,N,N,N,N,N,N,Y,N,Y,ACCOUNTANT,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,11025,801-57434,"WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC","WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC",ONE NORTH JEFFERSON AVENUE,H006-028,ST. LOUIS,MO,UNITED STATES,63103,866-258-4606,314-955-4308,,,,,,,Approved,4/3/2000,8/9/2010,Y,WWW.WACHOVIASEC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,More than 1000,"2,000",501-1000,0,More than 1000,"1,000",0,0,More than 500,"64,000",More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"7,597,643,413.00","5,447,398,659.00","13,045,042,072.00","32,679","22,323","55,002",Y,Y,N,Y,Y,Y,N,N,N,Y,INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS,26-50,,N,Y,Y,N,Y,N,N,N,Y,INSURANCE PRODUCT SALES,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,Y,N
NYRO,107338,801-19813,SUNAMERICA ASSET MANAGEMENT CORP.,SUNAMERICA ASSET MANAGEMENT CORP.,HARBORSIDE FINANCIAL CENTER,3200 PLAZA 5,JERSEY CITY,NJ,UNITED STATES,07311-4992,201-324-6300,201-324-6328,,,,,,,Approved,9/16/1983,8/9/2010,Y,WWW.SUNAMERICAFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,51-250,0,0,0,101-250,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"29,952,873,989.00","36,989,137.00","29,989,863,126.00",105,2,107,N,N,Y,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N
CHRO,150109,801-71633,STABLE TWO FINANCIAL LLC,STABLE TWO FINANCIAL LLC,2651 OBSERVATORY AVE,SUITE 204,CINCINNATI,OH,UNITED STATES,45208,800-817-6454,,PO BOX 209,,TERRACE PARK,OH,UNITED STATES,45174,Approved,7/1/2010,8/9/2010,Y,WWW.STABLETWOFINANCIAL.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"102,000,000.00","102,000,000.00",0,9,9,N,N,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,123826,801-61852,"K2/D&S MANAGEMENT CO., L.L.C.","K2/D&S MANAGEMENT CO., L.L.C.",300 ATLANTIC STREET  12TH FL.,,STAMFORD,CT,UNITED STATES,6901,203-348-5252,203-359-6369,,,,,,,Approved,3/11/2003,8/10/2010,Y,WWW.K2ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,Nov-50,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"6,641,050,646.00","597,886,076.00","7,238,936,722.00",51,3,54,N,N,N,N,N,N,N,N,N,Y,FUNDS OF HEDGE FUND ADVISORY AND MANAGEMENT SERVICES,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,154625,801-71761,"CREDIT VALUE PARTNERS, LP","CREDIT VALUE PARTNERS, LP",11 MADISON AVENUE 13TH FLOOR,,NEW YORK,NY,UNITED STATES,10010-3629,212-538-5475,212-448-3322,,,,,,,120-Day Approval,8/23/2010,8/10/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS AND SEPARATELY MANAGED ACCOUNTS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,154254,801-71694,"CANDLEWOOD INVESTMENT GROUP, LP","CANDLEWOOD INVESTMENT GROUP, LP",11 MADISON AVE,13TH FLOOR,NEW YORK,NY,UNITED STATES,10010-3629,212-538-1870,212-322-0981,,,,,,,120-Day Approval,7/28/2010,8/10/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,46259,801-57922,"BANCORPSOUTH INVESTMENT SERVICES, INC.","BANCORPSOUTH INVESTMENT SERVICES, INC.",525 EAST CAPITOL STREET,,JACKSON,MS,UNITED STATES,39201,601-592-4900,601-592-4910,,,,,,,Approved,10/3/2000,8/10/2010,Y,WWW.BANCORPSOUTHONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MS,UNITED STATES,51-250,0,Nov-50,0,51-250,0,0,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"57,769,899.00",0,"57,769,899.00",70,0,70,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,Y,N,N,N,Y,N,N,,N,N,N,Y,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,128044,801-62359,"BUSEY CAPITAL MANAGEMENT, INC.","BUSEY CAPITAL MANAGEMENT, INC.",100 WEST UNIVERSITY AVENUE,,CHAMPAIGN,IL,UNITED STATES,61820,217-365-4800,217-351-6551,,,,,,,Approved,9/30/2003,8/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,10-Jan,0,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"85,613,953.00",0,"85,613,953.00",11,0,11,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,153905,801-71697,"EMPIRICAL FINANCE, LLC","EMPIRICAL FINANCE, LLC",17304 PRESTON ROAD,SUITE 1230,DALLAS,TX,UNITED STATES,75252,773-230-4727,888-517-5529,,,,,,,120-Day Approval,8/16/2010,8/10/2010,Y,WWW.EMPIRICALFINANCELLC.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT PARTNERSHIPS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N
ARO,104664,801-31650,"WELCH HORNSBY & WELCH, INC","WELCH HORNSBY & WELCH, INC","ONE COMMERCE STREET, SUITE 800",,MONTGOMERY,AL,UNITED STATES,36104,334-272-1192,334-244-9091,P.O. BOX 4959,,MONTGOMERY,AL,UNITED STATES,36103,Approved,3/14/1988,8/10/2010,Y,HTTP://WWW.WELCHHORNSBY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,PRIVATE INVESTMENT FUNDS,Y,N,N,Y,N,N,N,,Y,"1,055,025,491.00","286,238,092.00","1,341,263,583.00",353,1,354,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,118535,801-61859,"K2 ADVISORS, L.L.C.","K2 ADVISORS, L.L.C.",300 ATLANTIC STREET,12TH FLOOR,STAMFORD,CT,UNITED STATES,6901,203-348-5252,203-359-6369,,,,,,,Approved,3/21/2003,8/10/2010,Y,WWW.K2ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,0,0,0,0,Nov-50,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,985,543,425.00",0,"1,985,543,425.00",19,0,19,N,N,N,N,N,N,N,N,N,Y,FUNDS OF HEDGE FUND ADVISORY AND MANAGEMENT SERVICES,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,107095,801-38908,"PARETO, PARETO INVESTMENT MANAGEMENT LIMITED",PARETO INVESTMENT MANAGEMENT LIMITED,160 QUEEN VICTORIA STREET,,LONDON,,UNITED KINGDOM,EC4V 4LA,+44 20 7163 1000,+44 20 7163 1066,,,,,,,Approved,5/20/1991,8/10/2010,Y,WWW.PARETOPARTNERS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,Up to 10 percent,Up to 10 percent,51-75 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"45,580,161,966.00",0,"45,580,161,966.00",100,0,100,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,148137,801-71763,"SABADELL SECURITIES USA, INC.","SABADELL SECURITIES USA, INC.",2 SOUTH BISCAYNE BLVD,SUITE 3301,MIAMI,FL,UNITED STATES,33131,786-587-1601,,,,,,,,120-Day Approval,8/13/2010,8/10/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105209,801-25520,"OPTIQUE CAPITAL MANAGEMENT, INC.","OPTIQUE CAPITAL MANAGEMENT, INC.",222 EAST ERIE STREET,SUITE 500,MILWAUKEE,WI,UNITED STATES,53202,414-604-5200,414-604-5201,,,,,,,Approved,10/18/1985,8/10/2010,Y,WWW.OPTIQUECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,More than 500,"2,000",Up to 10 percent,11-25 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"688,310,120.00","114,046,970.00","802,357,090.00","1,239",24,"1,263",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,127186,801-64386,"STREETTALK ADVISORS, L.L.C.","STREETTALK ADVISORS, L.L.C.",800 TOWN & COUNTRY BLVD,STE 410,HOUSTON,TX,UNITED STATES,77024,281-822-8800,713-275-2999,,,,,,,Approved,5/19/2005,8/10/2010,Y,WWW.STREETTALKLIVE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,Y,Y,INCOME FROM ADVERTISERS; MGMT OF POOLED INVESTMENT VEHICLES,Y,"304,370,545.00",0,"304,370,545.00","1,445",0,"1,445",Y,Y,N,Y,N,Y,N,N,N,Y,BUSINESS EVALUATION,0,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,110707,801-57810,"BUCKHEAD CAPITAL MANAGEMENT, LLC","BUCKHEAD CAPITAL MANAGEMENT, LLC",3330 CUMBERLAND BOULEVARD,SUITE 650,ATLANTA,GA,UNITED STATES,30339-5995,404-720-8800,404-720-8802,,,,,,,Approved,8/9/2000,8/10/2010,Y,WWW.BUCKHEADCAPITAL.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,10-Jun,0,251-500,0,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,112,987,931.00","54,902,116.00","2,167,890,047.00",150,2,152,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,137236,801-64771,YELLOWSTONE PARTNERS,YELLOWSTONE PARTNERS LLC,3340 MERLIN DRIVE,,IDAHO FALLS,ID,UNITED STATES,83404,208-612-1000,208-612-1031,,,,,,,Approved,10/24/2005,8/10/2010,Y,YELLOWSTONEPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,ID,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,251-500,0,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,Y,N,,Y,"257,402,025.00","48,659,163.00","306,061,188.00",988,25,"1,013",N,Y,Y,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110497,801-34605,BROOKFIELD INVESTMENT MANAGEMENT INC.,BROOKFIELD INVESTMENT MANAGEMENT INC.,3 WORLD FINANCIAL CENTER,"200 VESEY STREET, 10TH FLOOR",NEW YORK,NY,UNITED STATES,10281-1010,212-549-8400,212-549-8300,,,,,,,Approved,5/30/1989,8/10/2010,Y,WWW.BROOKFIELDIM.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,0,0,5-Jan,0,101-250,0,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,REIT,Y,N,N,Y,N,Y,N,,Y,"18,128,997,917.00","398,107,206.00","18,527,105,123.00",115,2,117,N,Y,Y,Y,N,N,N,N,N,Y,"PORTFOLIO MANAGEMENT OF PRIVATE POOLED INVESTMENT VEHICLES, PORTFOLIO EVALUATION AND CONSULTATION SERVICES.",0,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109474,801-56631,FORESTER CAPITAL MANAGEMENT LTD,FORESTER CAPITAL MANAGEMENT LTD,100 FIELD DRIVE,SUITE 330,LAKE FOREST,IL,UNITED STATES,60045,224-544-5123,224-544-5116,,,,,,,Approved,6/28/1999,7/26/2010,Y,WWW.FORESTERVALUE.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,10-Jun,0,26-100,0,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"140,030,107.00",0,"140,030,107.00",4,0,4,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,122460,801-64002,"BLUESTONE WEALTH ADVISORS, INC.","BLUESTONE WEALTH ADVISORS, INC.",538 VALLEY BROOK ROAD,SUITE 100,VENETIA,PA,UNITED STATES,15367,724-941-8625,724-941-8719,,,,,,,Approved,3/15/2005,7/26/2010,Y,WWW.RETIREMENTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"4,481,712.00","41,559,649.00","46,041,361.00",15,141,156,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111987,801-58135,CHATHAM WEALTH MANAGEMENT,RAAB & MOSKOWITZ ASSET MANAGEMENT LLC,10 TOWNSQUARE,SUITE 100,CHATHAM,NJ,UNITED STATES,7928,973-635-8889,973-635-5591,P.O. BOX 358,,BERKELEY HEIGHTS,NJ,UNITED STATES,7922,Approved,12/5/2000,7/26/2010,Y,WWW.RMASSETMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,0,0,0,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"111,519,500.00",0,"111,519,500.00",288,0,288,N,Y,N,Y,Y,N,N,N,N,Y,"INVESTMENT ADVICE TO TRUSTS, ESTATES AND/OR CHARITABLE ORGANIZATIONS",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139199,801-66038,PMA CAPITAL MANAGEMENT LIMITED,PMA CAPITAL MANAGEMENT LIMITED,"HARBOUR PLACE, 103 SOUTH CHURCH STREET",,GRAND CAYMAN,,CAYMAN ISLANDS,,345-949-8455,345-949-8499,"HARBOUR PLACE, 103 SOUTH CHURCH STREET",P.O. BOX 1034GT,GRAND CAYMAN,,CAYMAN ISLANDS,,Approved,3/27/2006,7/26/2010,Y,WWW.PMAIA.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CAYMAN ISLANDS,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,523,973,522.00",0,"1,523,973,522.00",34,0,34,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,Y,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139172,801-66037,PMA INVESTMENT ADVISORS LIMITED,PMA INVESTMENT ADVISORS LIMITED,"6TH FLR, ICBC TOWER, CITIBANK PLAZA",3 GARDEN ROAD,CENTRAL,,HONG KONG,,852-3102-7500,852-3105-9700,,,,,,,Approved,5/17/2006,7/26/2010,Y,WWW.PMAIA.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,REIMBURSEMENT ON A COST PLUS BASIS.,Y,0,"1,523,973,522.00","1,523,973,522.00",0,1,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,Y,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,113858,801-70825,ODEY ASSET MANAGEMENT LLP,ODEY ASSET MANAGEMENT LLP,12 UPPER GROSVENOR ST,,LONDON,,UNITED KINGDOM,W1K 2ND,0207 208-1400,0207-208-1401,,,,,,,Approved,12/17/2009,7/27/2010,Y,WWW.ODEY.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,51-250,0,Nov-50,0,0,0,Nov-50,0,25-Nov,0,Up to 10 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,,Y,N,N,N,Y,Y,N,,Y,"5,552,000,000.00",0,"5,552,000,000.00",23,0,23,N,N,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110578,801-54957,FEMMX FINANCIAL,FEMMX FINANCIAL,12 GEARY STREET,SUITE 601,SAN FRANCISCO,CA,USA,94108,415-434-4495,415-434-4496,,,,,,,Approved,12/9/1997,4/26/2007,Y,WOMENS-EQUITY.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"39,575,908.00",0,"39,575,908.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111806,801-27451,"THE COLONY GROUP, LLC","THE COLONY GROUP, LLC",TWO  ATLANTIC AVENUE,,BOSTON,MA,UNITED STATES,2110,617-723-8200,617-723-6338,,,,,,,Approved,8/1/1986,7/27/2010,Y,WWW.THECOLONYGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,Y,TAX PREPARATION FEES & SEMINAR FEES,Y,"1,004,752,311.00","44,505,283.00","1,049,257,594.00","1,609",25,"1,634",Y,Y,N,Y,N,Y,N,N,N,Y,POOLED INVESTMENT VEHICLE (LIMITED PARTNERSHIP),251-500,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,Y,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,128929,801-62547,GWN SECURITIES INC.,GWN SECURITIES INC.,11440 NORTH JOG ROAD,,PALM BEACH GARDENS,FL,UNITED STATES,33418-3764,561-472-2000,561-472-2777,,,,,,,Approved,1/2/2004,7/27/2010,Y,WWW.GWNSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"4,800",More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,"IN LIEU OF HOURLY FEE, IA CAN CHARGE A FLAT FEE",Y,"355,530,536.00",0,"355,530,536.00","6,826",0,"6,826",Y,Y,N,N,N,Y,N,N,Y,N,,25-Nov,,N,N,Y,N,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135106,801-64352,"SHARK CAPITAL MANAGEMENT, LLC","SHARK CAPITAL MANAGEMENT, LLC",TWO  ATLANTIC AVENUE,,BOSTON,MA,UNITED STATES,2110,617-896-2198,617-742-0163,,,,,,,Approved,6/3/2005,7/27/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"6,619,398.00",0,"6,619,398.00",20,0,20,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,142875,801-67456,"THE COLONY GROUP OF NAPLES, LLC","THE COLONY GROUP OF NAPLES, LLC",TWO ATLANTIC AVENUE,,BOSTON,MA,UNITED STATES,2110,617-896-2131,617-723-6338,,,,,,,Approved,1/12/2007,7/27/2010,Y,WWW.THECOLONYGROUP.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"36,464,864.00",0,"36,464,864.00",44,0,44,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,113179,801-60293,EVERENCE TRUST COMPANY,EVERENCE TRUST COMPANY,1110 NORTH MAIN STREET,,GOSHEN,IN,UNITED STATES,46528,574-533-9511,574-533-5264,PO BOX 483,,GOSHEN,IN,UNITED STATES,46527,Approved,5/23/2001,7/27/2010,Y,WWW.MMA-ONLINE.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),FEDERAL SAVINGS BANK,IN,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,Nov-50,0,More than 500,500,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,MISCELLANEOUS TRUSTS,Y,Y,N,Y,N,N,N,,Y,"645,932,124.00","1,312,574.00","647,244,698.00","1,190",10,"1,200",Y,Y,N,Y,Y,N,N,N,N,N,,More than 500,500,Y,Y,N,N,N,N,N,Y,N,,Y,Y,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,132975,801-64155,"NORCAP INVESTMENT MANAGEMENT, L.P.","NORCAP INVESTMENT MANAGEMENT, L.P.",TWO LINCOLN CENTER,"5420 LBJ FREEWAY, SUITE 525",DALLAS,TX,USA,75240,972-701-8815,972-788-0131,,,,,,,Approved,4/14/2005,7/27/2010,Y,WWW.NORCAPFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"88,816,857.00",0,"88,816,857.00",6,0,6,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE FUNDS,,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,129701,801-64374,"LBJ FAMILY WEALTH ADVISORS, LTD.","LBJ FAMILY WEALTH ADVISORS, LTD.",114 WEST SEVENTH STREET,SUITE 900,AUSTIN,TX,UNITED STATES,78701,512-457-5000,512-322-0168,,,,,,,Approved,7/15/2005,7/27/2010,Y,WWW.LBJADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,"BASED ON COMMITMENT AMOUNTS IN LPS, AND AS % OF REVENUES",Y,"85,900,000.00","4,100,000.00","90,000,000.00",29,1,30,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,8478,801-63564,"THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.","THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.",9000 KEYSTONE CROSSING,SUITE 740,INDIANAPOLIS,IN,UNITED STATES,46240,317-581-4000,317-581-4014,,,,,,,Approved,10/14/2004,7/27/2010,Y,WWW.THURSTONSPRINGER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,500,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"93,440,299.00","301,104.00","93,741,403.00",472,30,502,Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,Y,Y,Y,N,N,N,Y,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
PLRO,153395,801-71725,MICROVEST CAPITAL MANAGEMENT LLC,MICROVEST CAPITAL MANAGEMENT LLC,7514 WISCONSIN AVENUE,SUITE 400,BETHESDA,MD,UNITED STATES,20814,301-664-6680,301-664-6686,,,,,,,Approved,8/12/2010,7/27/2010,Y,WWW.MICROVESTFUND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"58,359,205.00","18,280,067.00","76,639,272.00",3,4,7,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,148364,801-71397,EDGBASTON INVESTMENT PARTNERS,EDGBASTON INVESTMENT PARTNERS LIMITED,1 NEW QUEBEC STREET,,LONDON,,UNITED KINGDOM,W1H 7DD,011-44-207-514-5000,011-44-207-514-5019,,,,,,,Approved,5/20/2010,7/27/2010,Y,WWW.EDGBASTONIP.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"40,630,875.00",0,"40,630,875.00",1,0,1,N,Y,N,Y,N,N,N,N,N,Y,"INVESTMENT MANAGEMENT OF POOLED INVESTMENT VEHICLES, RESEARCH OF ASIAN EQUITY SECURITIES",,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110472,801-44950,M&R CAPITAL MANAGEMENT INC,M&R CAPITAL MANAGEMENT INC,"88 PINE STREET, 5TH FLOOR",WALL STREET PLAZA,NEW YORK,NY,UNITED STATES,10005,212-584-8999,212-584-8998,,,,,,,Approved,10/21/1993,7/27/2010,Y,WWW.MRCAPCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,500,26-50 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"431,002,684.00",0,"431,002,684.00",767,0,767,N,N,N,N,N,N,N,N,N,Y,INVESTMENT SUPERVISORY SERVICES,,,N,Y,N,Y,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,35693,801-67167,BNY CONVERGEX EXECUTION SOLUTIONS LLC,BNY CONVERGEX EXECUTION SOLUTIONS LLC,"1633 BROADWAY,",,NEW YORK,NY,UNITED STATES,10019,800-828-5454,212-468-7747,,,,,,,Approved,9/27/2006,7/27/2010,Y,WWW.BNYCONVERGEX.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,5-Jan,0,51-250,0,10-Jun,0,10-Jan,0,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,N,Y,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,TRANSITION MANAGEMENT SERVICES TO ACCOUNTS CHANGING INVESTMENT MANAGERS.,,,N,N,Y,N,Y,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,Y,N,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,Y
CHRO,35919,801-16127,"CHARTER CAPITAL MANAGEMENT, INC","CHARTER CAPITAL MANAGEMENT, INC.",2525 NORTH MAYFAIR ROAD,SUITE 210,WAUWATOSA,WI,UNITED STATES,53226,414-257-3700,414-257-0917,,,,,,,Approved,5/1/1981,7/27/2010,Y,WWW.CHARTERCAPITAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"54,863,207.00","215,130.00","55,078,337.00",172,5,177,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,Y,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106905,801-53289,FOSTER & MOTLEY INC,FOSTER & MOTLEY INC,7755 MONTGOMERY ROAD,SUITE 100,CINCINNATI,OH,UNITED STATES,45236,513-561-6640,513-272-7527,,,,,,,Approved,11/18/1996,7/27/2010,Y,WWW.FOSTERANDMOTLEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"579,000,000.00",0,"579,000,000.00",384,0,384,Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123600,801-67294,D3 FINANCIAL COUNSELORS LLC,D3 FINANCIAL COUNSELORS LLC,5151 MOCHEL DRIVE,SUITE 301,DOWNERS GROVE,IL,UNITED STATES,60515,630-271-0033,866-385-8998,,,,,,,Approved,11/20/2006,7/27/2010,Y,WWW.D3FINANCIALCOUNSELORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,CONSULTING,Y,Y,N,Y,N,N,N,,Y,"53,500,000.00",0,"53,500,000.00",250,0,250,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107811,801-56947,TFS CAPITAL LLC,TECHNICAL FINANCIAL SERVICES LLC,121 N. WALNUT STREET,SUITE 320,WEST CHESTER,PA,UNITED STATES,19380,888-837-4446,610-719-8376,1800 BAYBERRY COURT,SUITE 103,RICHMOND,VA,UNITED STATES,23226,Approved,11/12/1999,7/27/2010,Y,WWW.TFSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,134,000,000.00",0,"1,134,000,000.00",5,0,5,N,N,Y,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE FUNDS,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,149474,801-69936,"TEAK TREE CAPITAL MANAGEMENT, LLC","TEAK TREE CAPITAL MANAGEMENT, LLC","1300 S. UNIVERSITY DR., #407",,FORT WORTH,TX,UNITED STATES,76107,817-744-8450,817-744-8451,,,,,,,Approved,3/4/2009,7/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"72,042,056.00","40,500,210.00","112,542,266.00",245,308,553,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,106711,801-38199,"POLARIS INVESTMENT PARTNERS, INC","POLARIS INVESTMENT PARTNERS, INC",30 FENWICK HALL ALLEE,,JOHN'S ISLAND,SC,UNITED STATES,29455,843-414-4000,843-414-4001,,,,,,,Approved,2/1/1991,7/27/2010,Y,WWW.POLARISINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"69,736,548.00","17,718,908.00","87,455,456.00",40,1,41,N,Y,N,Y,N,Y,N,N,N,Y,POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,103520,801-60940,"PARK SOUTH SECURITIES, LLC","PARK SOUTH SECURITIES, LLC",5 EAST 59TH STREET,3RD FLOOR,NEW YORK,NY,USA,10022,212-755-7533,212-935-4169,,,,,,,Approved,2/25/2002,6/12/2002,N,,N,Y,N,N,N,N,N,N,N,N,,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,51-75 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"475,000.00","125,000,000.00","125,475,000.00",6,3,9,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,Y,N,N,Y,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,Y,N,,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,132308,801-63374,AZIMUTH CAPITAL MANAGEMENT LLC,AZIMUTH CAPITAL MANAGEMENT LLC,200 EAST LONG LAKE ROAD,SUITE 160,BLOOMFIELD HILLS,MI,UNITED STATES,48304,248-433-4000,248-433-4001,,,,,,,Approved,9/3/2004,3/16/2010,Y,WWW.AZIMUTHCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"457,475,815.00","69,623,858.00","527,099,673.00",410,57,467,N,Y,N,Y,N,Y,N,N,N,Y,SEE SCHEDULE D,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106172,801-47928,HORIZON CASH MANAGEMENT LLC,HORIZON CASH MANAGEMENT LLC,"325 WEST HURON, SUITE 808",,CHICAGO,IL,UNITED STATES,60654,312-335-8500,312-335-8501,,,,,,,Approved,12/30/1994,3/16/2010,Y,WWW.HORIZONCASH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,764,590,530.00",0,"1,764,590,530.00",86,0,86,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,150054,801-70102,"GRACE CAPITAL MANAGEMENT, LLC","GRACE CAPITAL MANAGEMENT, LLC",11651 JOLLYVILLE ROAD,SUITE 300,AUSTIN,TX,UNITED STATES,78759,512-485-1800,,,,,,,,Approved,4/30/2009,3/16/2010,Y,GRACE-CAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,0,"31,246,798.00","31,246,798.00",0,134,134,N,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,Y,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,118473,801-68095,"RMDR ADVISORS, INC.","RMDR ADVISORS, INC.",,,,,,,713-661-3183,713-661-6329,,,,,,,Approved,7/16/2007,3/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"60,629,990.00",0,"60,629,990.00",528,0,528,Y,Y,N,N,N,N,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106315,801-39846,WALSON & ASSOCIATES INC,WALSON & ASSOCIATES INC,575 ANTON BLVD. STE. 300,,COSTA MESA,CA,USA,92626,714-432-6510,714-432-6513,,,,,,,Approved,9/16/1991,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"68,771,474.00",0,"68,771,474.00",97,0,97,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108658,801-54756,DOLAN MCENIRY CAPITAL MANAGEMENT LLC,DOLAN MCENIRY CAPITAL MANAGEMENT LLC,"120 NORTH LASALLE STREET, SUITE 1510",,CHICAGO,IL,USA,60602,312-345-4800,312-345-4810,,,,,,,Approved,8/15/1997,3/16/2010,Y,WWW.DOLANMCENIRY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,More than 500,500,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,Up to 10 percent,11-25 percent,26-50 percent,SOVEREIGN NATIONS/WRAP,Y,N,N,N,N,N,N,,Y,"1,965,000,000.00",0,"1,965,000,000.00",504,0,504,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,142728,801-67755,"TOTAL CLARITY WEALTH MANAGEMENT, INC","TOTAL CLARITY WEALTH MANAGEMENT, INC",525 TYLER RD,SUITE U,ST. CHARLES,IL,USA,60174,630-762-9352,630-587-9170,,,,,,,Approved,4/11/2007,3/22/2010,Y,WWW.WSFA.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PER PROJECT FEES,Y,"46,000,000.00","42,000,000.00","88,000,000.00",437,84,521,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110182,801-68939,MOK CAPITAL MANAGEMENT,MOK STANLEY QUION,"4962 EL CAMINO REAL, STE 235",,LOS ALTOS,CA,UNITED STATES,94022-1456,650-318-8077,650-318-8070,,,,,,,Approved,3/14/2008,3/22/2010,Y,WWW.MOKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"35,468,372.00",0,"35,468,372.00",117,0,117,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,145261,801-68450,"FISCHER & HUTCHINSON WEALTH ADVISORS, LLC","FISCHER & HUTCHINSON WEALTH ADVISORS, LLC",5560 KIRKWOOD HIGHWAY,,WILMINGTON,DE,UNITED STATES,19808,302-442-4233,302-689-4110,,,,,,,Approved,11/16/2007,3/22/2010,Y,WWW.FHWEALTHADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"35,279,865.00","1,933,548.00","37,213,413.00",223,13,236,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,140253,801-66606,"EVERGREEN WEALTH ADVISORY GROUP, LLC","EVERGREEN WEALTH ADVISORY GROUP, LLC",101 METRO DR.,STE 650,SAN JOSE,CA,USA,95110,408-715-7881,650-352-0014,,,,,,,Approved,5/24/2006,3/22/2010,Y,WWW.EVERGREENWAG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"25,315,983.00","9,152,643.00","34,468,626.00",99,238,337,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,Y,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,143962,801-68274,BOB BRAKEMAN ENTERPRISES LLC,BOB BRAKEMAN ENTERPRISES LLC,,,,,,,307-637-1001,307-634-9497,1740H DELL RANGE BLVD,,CHEYENNE,WY,UNITED STATES,82009,Approved,9/6/2007,3/22/2010,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,Y,N,N,,Y,"7,359,914.00",0,"7,359,914.00",48,0,48,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135077,801-64337,"BASEL ASSET MANAGEMENT, LLC","BASEL ASSET MANAGEMENT, LLC",ONE ROCKEFELLER PLAZA,SUITE 1505,NEW YORK,NY,UNITED STATES,10020,212-332-4170,212-332-4171,,,,,,,Approved,5/23/2005,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"276,591,840.00",0,"276,591,840.00",3,0,3,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138749,801-65254,TANTALLON CAPITAL LIMITED,TANTALLON CAPITAL LIMITED,137 TELOK AYER STREET,#03-05,SINGAPORE,,SINGAPORE,68602,65 6327 3920,65 6327 3924,,,,,,,Approved,1/20/2006,3/22/2010,Y,WWW.TANTALLONCAPITAL.COM,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CAYMAN ISLANDS,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"157,000,000.00",0,"157,000,000.00",9,0,9,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,107507,801-40890,LLOYD GEORGE MANAGEMENT[HONG KONG]LTD,LLOYD GEORGE MANAGEMENT HONG KONG LTD,3808 ONE EXCHANGE SQUARE CENTRAL,,HONG KONG,,HONG KONG,,852-28454433,852-28453911,,,,,,,Approved,3/3/1992,3/22/2010,Y,HTTP://WWW.LLOYDGEORGE.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,51-250,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,26-50 percent,GOVERNMENT ORGANIZATIONS,Y,N,N,N,N,Y,N,,Y,"498,540,000.00",0,"498,540,000.00",3,0,3,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,107494,801-40889,LLOYD GEORGE INVESTMENT MANAGEMENT (BERMUDA) LTD,LLOYD GEORGE INVESTMENT MANAGEMENT BERMUDA LTD,CANON'S COURT,22 VICTORIA STREET,HAMILTON HM12,,BERMUDA,,441-2953344,441-2928666,3808 ONE EXCHANGE SQUARE,CENTRAL,HONG KONG,,HONG KONG,,Approved,3/3/1992,3/22/2010,Y,HTTP://WWW.LLOYDGEORGE.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,BERMUDA,51-250,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,0 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,GOVERNMENT ORGANIZATION,Y,N,N,N,N,Y,N,,Y,"5,934,070,000.00",0,"5,934,070,000.00",41,0,41,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138648,801-65253,TANTALLON CAPITAL ADVISORS PTE LTD,TANTALLON CAPITAL ADVISORS PTE LTD,"137 TELOK AYER STREET, #03-05",,SINGAPORE,,SINGAPORE,68602,65 6327 3920,65 6327 3924,,,,,,,Approved,1/20/2006,3/22/2010,Y,WWW.TANTALLONCAPITAL.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SINGAPORE,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"157,000,000.00",0,"157,000,000.00",9,0,9,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110402,801-31676,DORCHESTER INVESTMENT MANAGEMENT,DORCHESTER INVESTMENT MANAGEMENT,1100 RENE LEVESQUE BLVD W,SUITE 650,MONTREAL,,CANADA,H3B 4N4,514-861-5841,514-875-6779,,,,,,,Approved,4/28/1988,3/23/2010,Y,WWW.DORCHESTERINVEST.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Partnership,,,CANADA,Nov-50,0,10-Jun,0,0,0,0,0,More than 500,500,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"661,408,670.00","6,631,770.00","668,040,440.00",570,4,574,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,121217,801-69522,"MONETARY SOLUTIONS, LTD.","MONETARY SOLUTIONS, LTD.",3066 KETTERING BLVD.,,DAYTON,OH,USA,45439,937-297-1140,937-297-1143,,,,,,,Approved,10/2/2008,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"41,000,000.00",0,"41,000,000.00",75,0,75,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,117949,801-61848,NOVARE CAPITAL MANAGEMENT,NOVARE CAPITAL MANAGEMENT,521 E. MOREHEAD,SUITE 510,CHARLOTTE,NC,UNITED STATES,28202,704-334-3698,704-334-3339,,,,,,,Approved,2/26/2003,3/23/2010,Y,WWW.NOVARECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"246,200,000.00","7,300,000.00","253,500,000.00",130,16,146,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111324,801-49690,OSHER VAN DE VOORDE INVESTMENT MANAGEMENT,OSHER VAN DE VOORDE INVESTMENT MANAGEMENT,125 NORTH RAYMOND AVENUE,SUITE 309,PASADENA,CA,UNITED STATES,91103,626-844-7184,626-844-7185,,,,,,,Approved,7/1/1995,3/23/2010,Y,WWW.OSHERVANDEVOORDE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"130,053,811.00",0,"130,053,811.00",199,0,199,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105892,801-31556,"INDEPENDENT FIDUCIARY SERVICES, INC.","INDEPENDENT FIDUCIARY SERVICES, INC.",805 15TH STREET NW,SUITE 1120,WASHINGTON,DC,USA,20005,202-898-2270,202-898-1819,,,,,,,Approved,3/4/1988,3/23/2010,Y,WWW.INDEPENDENTFIDUCIARY.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,"WELFARE AND OTHER EMPLOYEE BENEFIT PLANS, LABOR ORGANIZATIONS AND RELATED FUNDS",Y,Y,N,Y,N,N,N,,Y,"11,577,793,849.00",0,"11,577,793,849.00",12,0,12,N,N,N,N,Y,Y,N,N,N,Y,SEE SCHEDULE D MISC. FOR EXPLANATION,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,143609,801-67799,"PIONEER SQUARE ADVISORS, LLC","PIONEER SQUARE ADVISORS, LLC","1221 SECOND AVENUE, SUITE 320",,SEATTLE,WA,UNITED STATES,98101,206-838-4857,206-838-4881,,,,,,,Approved,4/26/2007,3/23/2010,Y,WWW.PSQUAREADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"531,088,049.00","531,088,049.00",0,6,6,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,113042,801-60367,"HARBOR CAPITAL ADVISORS, INC.","HARBOR CAPITAL ADVISORS, INC.",111 SOUTH WACKER DRIVE,34TH FLOOR,CHICAGO,IL,UNITED STATES,60606-4302,(312) 443-4400,(312) 443-4250,,,,,,,Approved,6/7/2001,3/23/2010,Y,WWW.HARBORFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,10-Jun,0,Nov-50,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"48,673,561,731.00",0,"48,673,561,731.00",3,0,3,N,N,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107805,801-66498,GENESIS ADVISORS,RIA TECHNOLOGY INC,,,,,,,877-984-6300,586-329-4461,P.O. BOX 246,,ROSEVILLE,MI,UNITED STATES,48066,Approved,5/12/2006,3/23/2010,Y,WWW.GENESIS-ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,Y,N,N,N,N,,Y,"24,455,000.00","2,180,000.00","26,635,000.00",80,40,120,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110310,801-55104,FDO PARTNERS,FDO PARTNERS LLC,134 MOUNT AUBURN STREET,,CAMBRIDGE,MA,UNITED STATES,2138,617-503-4600,617-503-4602,,,,,,,Approved,12/5/1997,3/23/2010,Y,WWW.FDOPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,"QUASI-GOVERNMENTAL SOVEREIGN FUNDS, MULTI-MANAGER PLATFORMS",Y,N,N,N,N,Y,N,,Y,"2,350,000,000.00","82,600,000.00","2,432,600,000.00",13,1,14,N,N,N,Y,N,N,N,N,N,Y,"SUB-ADVISOR TO BERMUDAN INVESTMENT COMPANY VIA JOINT VENTURE, OFFERING REINSURANCE INVESTMENT PRODUCTS TO INSTITUTIONS",10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,139757,801-66314,"ALPHA WEALTH STRATEGIES, LLC",CLARK MONROE BLACKMAN L.L.C.,,,,,,,281-360-6671,281-361-6673,4582 KINGWOOD DRIVE #125,,KINGWOOD,TX,UNITED STATES,77345-2640,Approved,2/24/2006,3/23/2010,Y,WWW.ALPHAWEALTHSTRATEGIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"78,095,371.00",0,"78,095,371.00",14,0,14,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,142872,801-67694,"TUBE ASSET MANAGEMENT CO., LTD.","TUBE ASSET MANAGEMENT CO., LTD.","28-1 YEOUIDO-DONG, YEONGDEUNGPO-GU","5TH FLOOR, FKI BUILBING",SEOUL,,KOREA,150-756,82-2-785-9080,82-2-785-9088,,,,,,,Approved,4/9/2007,7/9/2007,Y,WWW.TUBEASSET.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"KOREA, SOUTH",Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,Up to 10 percent,0 percent,26-50 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"630,000,000.00",0,"630,000,000.00",145,0,145,N,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111460,801-44412,"STRUCTURED FINANCE ADVISORS, INC.",STRUCTURED FINANCE ADVISORS INC,30 AVON MEADOW LANE,,AVON,CT,UNITED STATES,6001,860-409-7171,860-409-7181,,,,,,,Approved,7/30/1993,3/2/2010,Y,WWW.SFA-INVEST.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,"200,000,000.00","200,000,000.00",0,10,10,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,117982,801-61297,"BUCKINGHAM FINANCIAL GROUP, INC.","BUCKINGHAM FINANCIAL GROUP, INC.",6856 LOOP RD.,,DAYTON,OH,UNITED STATES,45459,937-435-2742,937-435-3083,,,,,,,Approved,7/18/2002,3/8/2010,Y,WWW.BUCKINGHAMFINANCIAL.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,Y,VARYING FEES FOR SEMINARS AND EDUCATIONAL WORKSHOPS,N,0,0,0,0,0,0,Y,N,N,N,N,N,Y,N,N,Y,EDUCATIONAL WORKSHOPS AND SEMINARS,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,Y,N,Y,N,N,N,Y,N,Y,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,118643,801-63803,"LOPEZ WEALTH MANAGEMENT, LLC","LOPEZ WEALTH MANAGEMENT, LLC",955 WEST MAIN STREET,,ABINGDON,VA,UNITED STATES,24210-2427,276-628-5910,276-623-1593,,,,,,,Approved,4/28/2005,3/8/2010,Y,WWW.WADELOPEZ.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SELECTION OF OTHER ADVISERS,Y,"44,234,300.00",0,"44,234,300.00",808,0,808,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,105075,801-20289,DEUTSCHE ASSET MANAGEMENT INTERNATIONAL GMBH,DEUTSCHE ASSET MANAGEMENT INTERNATIONAL GMBH,MAINZER LANDSTRASSE 178-190,,FRANKFURT AM MAIN,,GERMANY,60327,49 69 71404 4001,49 69 71404 3000,,,,,,,Approved,12/16/1983,3/8/2010,Y,HTTP://INFO.DEAM-GERMANY.COM/DEAM/GE/NAV_PROFIL.NSF/FRAMESET/MXBN-68KLQZ?OPENDOCUMENT,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,GERMANY,51-250,0,51-250,0,0,0,0,0,101-250,0,0 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,51-75 percent,11-25 percent,Up to 10 percent,SUPRANATIONAL,Y,N,N,Y,N,Y,N,,Y,"73,538,299,620.00","1,493,494,499.00","75,031,794,119.00",326,14,340,N,N,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
BRO,111456,801-57133,FINANCIAL SOLUTIONS ASSOCIATES,PODOLSKY MARK STERN,990 WASHINGTON ST,,DEDHAM,MA,UNITED STATES,2026,781-251-0505,781-461-2969,,,,,,,Approved,1/7/2000,3/8/2010,Y,WWW.FINANCIALSOLUTIONS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"79,787,585.00",0,"79,787,585.00",184,0,184,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109270,801-47978,"GUTT FINANCIAL MANAGEMENT, LLC","GUTT FINANCIAL MANAGEMENT, LLC",3414 PEACHTREE RD NE,103 MONARCH PLAZA,ATLANTA,GA,USA,30326,404-237-4188,404-365-8059,,,,,,,Approved,1/18/1995,5/6/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"146,633,398.00","17,767,493.00","164,400,891.00",292,63,355,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,104738,801-21656,R.D. THOMPSON INVESTMENTS,THOMPSON ROBERT DOULGAS,"807 EAST SOUTH TEMPLE, SUITE 202",,SALT LAKE CITY,UT,UNITED STATES,84102,801-363-1952,815-301-9180,,,,,,,Approved,6/29/1984,3/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,UT,UNITED STATES,5-Jan,0,0,0,0,0,0,0,25-Nov,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"63,777,333.00",0,"63,777,333.00",16,0,16,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,134541,801-66748,THE MUTUAL FUND STORE,"TMFS-WASHINGTON, D.C., LLC",8130 BOONE BOULEVARD,SUITE 220,VIENNA,VA,UNITED STATES,22182,703-288-6988,703-288-1139,,,,,,,Approved,6/22/2006,3/8/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,0,0,0,0,5-Jan,0,More than 500,500,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"81,226,000.00",0,"81,226,000.00",453,0,453,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,119890,801-61068,"COMPREHENSIVE CAPITAL MANAGEMENT, INC.","COMPREHENSIVE CAPITAL MANAGEMENT, INC.",2001 ROUTE 46 SUITE 506,,PARSIPPANY,NJ,UNITED STATES,7054,973-394-0404,973-394-0625,,,,,,,Approved,4/19/2002,3/8/2010,Y,WWW.THECOMPREHENSIVEGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,10-Jun,0,More than 500,"1,000",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"337,580,689.00","87,862,070.00","425,442,759.00","2,041",571,"2,612",Y,Y,N,Y,Y,Y,N,N,Y,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,128068,801-68074,"NOYES CAPITAL MANAGEMENT, LLC","NOYES CAPITAL MANAGEMENT, LLC",17 VILLAGE ROAD,SECOND FLOOR,NEW VERNON,NJ,USA,7976,973-267-8120,973-695-1304,PO BOX 271,,NEW VERNON,NJ,USA,7976,Approved,6/21/2007,3/8/2010,Y,WWW.NOYESCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"40,361,469.00","3,137,114.00","43,498,583.00",121,2,123,Y,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,110667,801-57973,"GOLDEN CAPITAL MANAGEMENT, LLC","GOLDEN CAPITAL MANAGEMENT, LLC",10715 DAVID TAYLOR DR,SUITE 400,CHARLOTTE,NC,UNITED STATES,28262,704-593-1144,704-593-0240,,,,,,,Approved,10/4/2000,3/8/2010,Y,WWW.GCM1.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,5-Jan,0,More than 500,"5,000",Up to 10 percent,26-50 percent,Up to 10 percent,11-25 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"2,716,800,000.00","450,100,000.00","3,166,900,000.00","4,826",10,"4,836",N,Y,Y,Y,N,N,N,N,N,Y,SECURITY RANKINGS,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N
CHRO,114888,801-68098,"STRATEGIC INVESTMENT ADVISORS, LTD.","STRATEGIC INVESTMENT ADVISORS, LTD.",364 S BROADVIEW,,CAPE GIRARDEAU,MO,USA,63703,573-334-8200,573-334-8578,,,,,,,Approved,7/2/2007,3/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"27,235,706.00",0,"27,235,706.00",351,0,351,N,Y,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,105237,801-16625,CONCORDE INVESTMENT MANAGEMENT,CONCORDE FINANCIAL CORPORATION,5430 LBJ FREEWAY   LB3,SUITE 1000,DALLAS,TX,USA,75240-2650,972-701-5400,972-701-5420,,,,,,,Approved,12/1/1981,3/8/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"94,728,527.00","30,582,786.00","125,311,313.00",70,16,86,Y,Y,Y,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,115069,801-63952,LUDWICK & SHIRMAN,"LUDWICK & SHIRMAN, LLC",3050 BROADWAY,SUITE 202,BOULDER,CO,UNITED STATES,80304,303-444-1161,303-444-5291,,,,,,,Approved,2/17/2005,3/8/2010,Y,LUDWICKANDSHIRMAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"65,000,000.00",0,"65,000,000.00",313,0,313,Y,Y,N,Y,N,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105936,801-48894,THE GWYNEDD COMPANY,THE GWYNEDD COMPANY,1100 SUMNEYTOWN PIKE,,LANSDALE,PA,UNITED STATES,19446,215-855-1630,215-855-1178,,,,,,,Approved,5/19/1995,3/8/2010,Y,WWW.GWYNCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,OTHER RETIREMENT PLANS,Y,N,N,N,N,N,N,,Y,0,"73,104,178.00","73,104,178.00",0,60,60,Y,Y,N,N,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,126681,801-66937,"JEFFREY N. MEHLER, CFP LLC","JEFFREY N. MEHLER, CFP LLC",147 WESTBROOK ROAD,,ESSEX,CT,USA,6426,860-767-9700,860-767-9701,,,,,,,Approved,6/30/2006,3/8/2010,Y,WWW.JNMEHLER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"60,000,000.00","15,000,000.00","75,000,000.00",480,80,560,Y,Y,N,Y,N,Y,N,N,N,Y,FORENSIC FINANCIAL STATEMENT ANALYSIS IN DIVORCE PROCEEDINGS,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,126077,801-64785,"SALEM ASSET MANAGEMENT, LLC","SALEM ASSET MANAGEMENT, LLC",338 HAWTHORNE AVENUE NE,,SALEM,OR,USA,97301-3414,503.585.1040,503.371.1640,,,,,,,Approved,10/14/2005,3/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"42,627,584.00","402,718.00","43,030,302.00",130,1,131,Y,Y,N,N,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,126756,801-67725,"DENNIS CAPITAL MANAGEMENT, L.L.C.","DENNIS CAPITAL MANAGEMENT, L.L.C.",20 W 9TH STREET,,CINCINNATI,OH,UNITED STATES,45202,513-241-1000,513-241-2401,,,,,,,Approved,4/9/2007,3/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"31,274,800.00",0,"31,274,800.00",148,0,148,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105727,801-30830,ASSET PLANNING SERVICES LTD.,ASSET PLANNING SERVICES LTD.,162 MAIN STREET,,HARLEYSVILLE,PA,UNITED STATES,19438,215-256-4600,215-256-1977,P O BOX 164,,HARLEYSVILLE,PA,UNITED STATES,19438,Approved,11/6/1987,3/8/2010,Y,WWW.ASSETPLANNINGSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),S CORPORATION,PA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE OF PLAN ASSETS,Y,0,"537,549,574.00","537,549,574.00",0,"1,948","1,948",Y,Y,N,N,Y,N,N,N,N,Y,BENEFITS COMMUNICATION SERVICES,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,121108,801-63208,NICHOLS INVESTMENT MANAGEMENT,"NICHOLS, JAMES W.",175 EXCHANGE STREET,,BANGOR,ME,UNITED STATES,4401,207-942-8737,207-990-1310,P.O. BOX 904,,BANGOR,ME,UNITED STATES,04402-0904,Approved,6/17/2004,3/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,ME,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"41,800,598.00",0,"41,800,598.00",143,0,143,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123287,801-64625,"PACESETTER FINANCIAL GROUP, L.L.C.","PACESETTER FINANCIAL GROUP, L.L.C.",207 S. MCLEAN STREET,,LINCOLN,IL,UNITED STATES,62656-2858,217-735-1576,217-735-5866,,,,,,,Approved,8/29/2005,3/8/2010,Y,HTTP://PACESETTERFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"19,977,722.00","12,619,686.00","32,597,408.00",90,8,98,Y,Y,N,Y,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,141855,801-67210,TRADING CENTRAL,"TRADING CENTRAL AMERICAS, INC",11 BIS RUE SCRIBE,,PARIS,,FRANCE,75009,-13237,-13246,,,,,,,Approved,11/1/2006,3/8/2010,Y,WWW.TRADINGCENTRAL.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,BROKER-DEALERS AND FOREIGN EXCHANGE SERVICE PROVIDERS,N,N,Y,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,Y,N,Y,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137842,801-65550,"GATES CAPITAL MANAGEMENT, INC.","GATES CAPITAL MANAGEMENT, INC.",1177 AVENUE OF THE AMERICAS,32ND FLOOR,NEW YORK,NY,USA,10036,212-626-1421,212-626-1417,,,,,,,Approved,1/26/2006,3/8/2010,Y,WWW.GATESCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"527,000,000.00",0,"527,000,000.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,ADVISORY SERVICES TO PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106024,801-39091,ALEXANDER RANDOLPH ADVISORY INC,ALEXANDER RANDOLPH ADVISORY INC,1902 CAMPUS COMMONS DRIVE,SUITE 410,RESTON,VA,UNITED STATES,20191,703-734-1507,703-556-9264,,,,,,,Approved,6/26/1991,3/23/2010,Y,WWW.ALEXRAND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"104,269,030.00","131,562,500.00","235,831,530.00",92,78,170,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,108984,801-57474,RENCH & MUIR FINANCIAL ADVISORS INC,RENCH & MUIR FINANCIAL ADVISORS INC,2438 LILLIAN MILLER PKWY,SUITE 200,DENTON,TX,UNITED STATES,76205,940-387-7526,940-484-9079,,,,,,,Approved,4/25/2000,3/23/2010,Y,WWW.RAMFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"191,244,183.00","8,722,162.00","199,966,345.00","1,020",28,"1,048",Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,117642,801-60746,DELRAY FINANCIAL CORPORATION,DELRAY FINANCIAL CORPORATION,,,,,,,561-313-9595,561-575-9493,4521 PGA BLVD,#265,PALM BEACH GARDENS,FL,UNITED STATES,33418,Approved,12/20/2001,3/23/2010,Y,DELRAYFINANCIAL.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"97,148,483.00","97,148,483.00",0,1,1,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,126683,801-62108,ASSET MANAGEMENT,"PICHARDO ASSET MANAGEMENT, S.A. DE C.V.","TEOPANZOLCO AVENUE # 408,",3RD. FLOOR REFORMA,CUERNAVACA,,MEXICO,62260,52 777 101 2010,52 777 101 2010,,,,,,,Approved,5/30/2003,3/23/2010,Y,WWW.PAMINVERSION.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,MEXICO,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"74,692,233.00",0,"74,692,233.00",13,0,13,N,Y,Y,Y,N,Y,N,N,N,Y,CREATION OF NEW PRODUCTS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,136728,801-65730,FOUNTAINHEAD PARTNERS L.P.,FOUNTAINHEAD PARTNERS L.P.,2201 E LAMAR STE 260,,ARLINGTON,TX,UNITED STATES,76006,817-649-2100,817-649-1611,,,,,,,Approved,1/26/2006,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"39,108,091.00",0,"39,108,091.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,141037,801-67089,"KA FUND ADVISORS, LLC","KA FUND ADVISORS, LLC",717 TEXAS AVENUE,SUITE 3100,HOUSTON,TX,USA,77002,713-493-2000,713-655-7359,,,,,,,Approved,8/23/2006,3/23/2010,Y,WWW.KAYNEFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,157,900,000.00",0,"3,157,900,000.00",4,0,4,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,127474,801-64737,"EVOLVE SECURITIES, INC.","EVOLVE SECURITIES, INC.",5300 BEE CAVES ROAD,"BUILDING 3, SUITE 100",AUSTIN,TX,UNITED STATES,78746,512-351-4370,866-387-6964,,,,,,,Approved,10/12/2005,3/23/2010,Y,WWW.EVOLVESEC.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"6,397,763.00",0,"6,397,763.00",38,0,38,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,Y,Y,Y,N,Y,N,Y,N,N,,N,Y,Y,Y,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,135391,801-64284,"FSG INVESTMENT MANAGEMENT, LLC","FSG INVESTMENT MANAGEMENT, LLC","700 COLONIAL RD, SUITE 120",,MEMPHIS,TN,UNITED STATES,38117-5191,901-531-7423,901-531-7426,,,,,,,Approved,5/18/2005,3/23/2010,Y,FSGIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"348,803,001.00",0,"348,803,001.00",432,0,432,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,127562,801-62217,"MORRISON FIDUCIARY ADVISORS,  INC.","MORRISON FIDUCIARY ADVISORS,  INC.",1405 MCFARLAND ROAD,,PITTSBURGH,PA,UNITED STATES,15216,412-344-6052,412-344-6056,,,,,,,Approved,7/14/2003,3/23/2010,Y,WWW.MORRISONADVISORS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,0 percent,,Y,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104636,801-17534,RICHMOND CAPITAL MANAGEMENT INC,RICHMOND CAPITAL MANAGEMENT INC,10800 MIDLOTHIAN TURNPIKE STE 217,,RICHMOND,VA,UNITED STATES,23235,804-379-8280,804-379-9362,,,,,,,Approved,9/2/1982,3/23/2010,Y,WWW.RICHMONDCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,26-50 percent,11-25 percent,11-25 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"4,273,238,000.00",0,"4,273,238,000.00",231,0,231,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,136401,801-64542,"FOUNDERS FINANCIAL NETWORK, LLC","FOUNDERS FINANCIAL NETWORK, LLC",10050 N. WOLFE ROAD,SW1-281,CUPERTINO,CA,UNITED STATES,95014-8508,408-366-8920,408-366-8925,,,,,,,Approved,8/3/2005,3/23/2010,Y,WWW.FOUNDERSFINANCIAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"489,416,679.00",0,"489,416,679.00",311,0,311,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107176,801-48543,CHESAPEAKE ASSET MANAGEMENT CO INC,CHESAPEAKE ASSET MANAGEMENT CO INC,18310 MONTGOMERY VILLAGE AVENUE,SUITE 515,GAITHERSBURG,MD,USA,20879,301-527-0170,301-527-0178,,,,,,,Approved,3/1/1995,3/23/2010,Y,WWW.CPEAKE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"45,874,200.00","11,378,802.00","57,253,002.00",37,10,47,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,145983,801-68835,"DAVID GRATKE WEALTH ADVISORS, LLC","DAVID GRATKE WEALTH ADVISORS, LLC",10167 SW MORRISON STREET,,PORTLAND,OR,UNITED STATES,97225,503-972-8987,888-414-8957,,,,,,,Approved,2/7/2008,3/23/2010,Y,WWW.DAVIDGRATKE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"45,000,000.00","45,000,000.00",0,430,430,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110982,801-12806,GIMBEL ARTHUR D INC,GIMBEL ARTHUR D INC,840 HINCKLEY ROAD,SUITE 147,BURLINGAME,CA,UNITED STATES,94010-1505,650-692-4484,650-692-4477,,,,,,,Approved,3/24/1977,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"35,366,504.00",0,"35,366,504.00",98,0,98,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR CHARITABLE ORGANIZATIONS AND PROFIT SHARING PLANS.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107133,801-41334,CATAWBA CAPITAL MANAGEMENT INC,CATAWBA CAPITAL MANAGEMENT INC,"10 SOUTH JEFFERSON ST.,SUITE 1210",,ROANOKE,VA,UNITED STATES,24011,540-342-1212,540-342-1211,P.O. BOX 1180,,ROANOKE,VA,UNITED STATES,24006-1180,Approved,4/24/1992,3/23/2010,Y,HTTP://WWW.CATAWBACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"803,157,102.00",0,"803,157,102.00",630,0,630,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107391,801-46069,REAMS ASSET MANAGEMENT CO LLC,REAMS ASSET MANAGEMENT CO LLC,227 WASHINGTON STREET,,COLUMBUS,IN,USA,47201,812-372-6606,812-376-3137,P.O. BOX 727,,COLUMBUS,IN,USA,47202-0727,Approved,3/23/1994,3/23/2010,Y,WWW.REAMSASSET.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,26-50 percent,Up to 10 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"9,094,717,529.00",0,"9,094,717,529.00",77,0,77,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,133315,801-63697,"MT. EDEN INVESTMENT ADVISORS, LLC","MT. EDEN INVESTMENT ADVISORS, LLC",343 SANSOME STREET,SUITE 1600,SAN FRANCISCO,CA,UNITED STATES,94104,(415) 288-3000,(415) 288-3039,,,,,,,Approved,12/9/2004,3/23/2010,Y,WWW.MTEDENINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"586,025,225.00","2,356,838.00","588,382,063.00",388,3,391,N,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING TO ENDOWMENTS AND FOUNDATIONS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106263,801-15105,"CAROL H. BALDI, INC.","CAROL H. BALDI, INC.",420 LEXINGTON AVE,SUITE 2745,NEW YORK,NY,USA,10170,212-697-6266,212-697-6149,,,,,,,Approved,3/17/1980,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"33,621,397.00","8,041,415.00","41,662,812.00",14,1,15,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107602,801-52394,"ALTOS FINANCIAL MANAGEMENT, LLC",ALTOS FINANCIAL MANAGEMENT LLC,4100 MOORPARK AVE,STE 104,SAN JOSE,CA,USA,95117,408-249-7881,408-249-8490,,,,,,,Approved,7/18/1996,3/23/2010,Y,WWW.INSUREFORLESSMONEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"42,417,612.00",0,"42,417,612.00",139,0,139,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,137945,801-66892,"FOUNDERS FINANCIAL SECURITIES, LLC","FOUNDERS FINANCIAL SECURITIES, LLC",1020 CROMWELL BRIDGE ROAD,,TOWSON,MD,USA,21286,410-308-9988,410-308-9801,,,,,,,Approved,7/13/2006,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,51-250,0,51-250,0,51-250,0,51-250,0,More than 500,"1,000",More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,"7,130,312.00","78,217,310.00","85,347,622.00",81,511,592,Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,N,N,Y,N,N,N,N,N,N,,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
ARO,108934,801-55232,ING INVESTMENT MANAGEMENT LLC,ING INVESTMENT MANAGEMENT LLC,5780 POWERS FERRY ROAD NW,SUITE 300,ATLANTA,GA,USA,30327-4349,770-690-4728,770-690-5328,,,,,,,Approved,4/30/1998,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,501-1000,0,51-250,0,51-250,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,51-75 percent,INSURANCE COMPANIES,Y,N,N,Y,N,N,Y,PRODUCTION FEES FOR PRIVATE PLACEMENTS AND COMMERCIAL MORTGAGES.,Y,"83,519,960,398.00","1,076,836,820.00","84,596,797,218.00",15,1,16,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
PLRO,150248,801-70156,"HARRISON & COMPANY WEALTH MANAGEMENT, LLC","HARRISON & COMPANY WEALTH MANAGEMENT, LLC",24 CHURCH AVE SE,SUITE 202,ROANOKE,VA,UNITED STATES,24011,540-204-9310,866-618-7056,,,,,,,Approved,4/30/2009,3/23/2010,Y,WWW.INVESTHARRISON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"34,288,538.00","10,904,237.00","45,192,775.00",114,122,236,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,117477,801-66361,MCRAE CAPITAL MANAGEMENT L.L.C.,MCRAE CAPITAL MANAGEMENT L.L.C.,110 JAMES STREET,SUITE 104,EDMONDS,WA,UNITED STATES,98020,425-673-4090,425-673-2343,,,,,,,Approved,4/25/2006,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"31,943,234.00",0,"31,943,234.00",160,0,160,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114929,801-66312,"J.K. FINANCIAL, INC.","J.K. FINANCIAL, INC.",8222 DOUGLAS AVE,SUITE 590,DALLAS,TX,UNITED STATES,75225,214-706-4300,214-706-4262,,,,,,,Approved,2/24/2006,3/23/2010,Y,WWW.JKFINANCIALINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"43,150,000.00",0,"43,150,000.00",298,0,298,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106945,801-10232,THE BURNEY COMPANY,THE BURNEY COMPANY,121 ROWELL COURT,,FALLS CHURCH,VA,UNITED STATES,22046,703-241-5611,703-531-0418,,,,,,,Approved,9/18/1974,3/23/2010,Y,BURNEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,More than 500,"3,000",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"525,370,098.00",0,"525,370,098.00","2,725",0,"2,725",N,Y,N,N,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107246,801-26576,INVESTMENT MANAGEMENT CORPORATION,INVESTMENT MANAGEMENT CORPORATION,1940 ELECTRIC RD,,ROANOKE,VA,UNITED STATES,24018,540-774-8899,540-989-6783,P.O. BOX 20339,,ROANOKE,VA,UNITED STATES,24018-0511,Approved,4/14/1986,3/23/2010,Y,WWW.INVESTMENTMANAGEMENTCORPORATION.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"73,462,792.00",0,"73,462,792.00",476,0,476,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105565,801-29609,BUCKLEY MUETHING CAPITAL MANAGEMENT CO,BUCKLEY MUETHING CAPITAL MANAGEMENT CO,ONE BETHLEHEM PLAZA,,BETHLEHEM,PA,UNITED STATES,18018,610-694-9500,610-954-9761,,,,,,,Approved,5/22/1987,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"77,152,949.00",0,"77,152,949.00",31,0,31,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111099,801-60201,"SELECT FINANCIAL GROUP, LLC","SELECT FINANCIAL GROUP, LLC",912 WASHINGTON AVENUE,,CARNEGIE,PA,USA,15106,412-276-5010,412-276-4106,,,,,,,Approved,4/19/2001,3/23/2010,Y,WWW.SELECTFG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"18,558,521.00","113,620,866.00","132,179,387.00",32,262,294,Y,Y,N,N,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,Y,LICENSED MORTGAGE BROKER,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,128361,801-71450,"ATLANTIC CAPITAL MANAGEMENT, INC.","ATLANTIC CAPITAL MANAGEMENT, INC.",851 WASHINGTON STREET,,HOLLISTON,MA,USA,1746,508-893-0872,508-893-8087,,,,,,,Approved,5/14/2010,5/7/2010,Y,WWW.ATLANTICCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,Y,"52,000,000.00",0,"52,000,000.00",330,0,330,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,22090,801-42757,CHRISTOPHER WEIL & CO INC,THE WEIL COMPANY,12555 HIGH BLUFF DRIVE,SUITE 180,SAN DIEGO,CA,UNITED STATES,92130,858-704-1444,858-704-1456,,,,,,,Approved,11/25/1992,5/7/2010,Y,WWW.CWEIL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,Y,N,,Y,"201,941,056.00","58,564,606.00","260,505,662.00",704,306,"1,010",Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,Y,Y,N,N,N,Y,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N
DRO,29807,801-61022,"COUNTRY CLUB FINANCIAL SERVICES, INC.","COUNTRY CLUB FINANCIAL SERVICES, INC.",9400 MISSION ROAD,,PRAIRIE VILLAGE,KS,UNITED STATES,66206,816-931-4060,816-751-9360,P. O. BOX 410889,,KANSAS CITY,MO,UNITED STATES,64141-0889,Approved,4/5/2002,5/7/2010,Y,WWW.COUNTRYCLUBFINANCIAL.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,MO,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"21,536,402.00","21,536,402.00",0,46,46,Y,Y,N,Y,N,Y,N,N,N,N,,0,,Y,N,Y,N,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,124465,801-61667,"GUINNESS ATKINSON ASSET MANAGEMENT, INC.","GUINNESS ATKINSON ASSET MANAGEMENT, INC.","21550 OXNARD STREET, SUITE 850",,WOODLAND HILLS,CA,UNITED STATES,91367,818 716-2739,818-716-2733,,,,,,,Approved,12/10/2002,5/7/2010,Y,WWW.GAFUNDS.COM,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"555,606,501.00",0,"555,606,501.00",7,0,7,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147012,801-69341,RIVER GLEN WEALTH COUNSELORS,"VEERKLOH, LLC",5930 GRAND AVENUE,SUITE 110,WEST DES MOINES,IA,UNITED STATES,50266,515-422-9040,515-440-3149,,,,,,,Approved,7/1/2008,5/10/2010,Y,WWW.RIVERGLENWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"47,467,191.00",0,"47,467,191.00",304,0,304,Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,142457,801-67462,MERIT 401(K) MAXIMIZER,MERIT FINANCIAL INC,2400 LAKEVIEW PARKWAY,SUITE 650,ALPHARETTA,GA,UNITED STATES,30009,678-867-7050,678-867-7060,,,,,,,Approved,1/31/2007,5/10/2010,Y,WWW.ALLEGIANCEADVANTAGE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,10-Jun,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"81,497,018.00",0,"81,497,018.00",339,0,339,Y,Y,N,N,Y,Y,N,N,N,Y,SEMINARS,101-250,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108006,801-57005,JESUP & LAMONT ADVISORS,EMPIRE INVESTMENT ADVISORS INC,623 FIFTH AVENUE,17TH FLOOR,NEW YORK,NY,UNITED STATES,10022,407-774-1300,407-834-4681,2170 WEST STATE ROAD 434,SUITE 100,LONGWOOD,FL,UNITED STATES,32779,Approved,11/15/1999,5/10/2010,Y,WWW.JESUPLAMONTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,51-75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"26,000,000.00",0,"26,000,000.00",250,0,250,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146254,801-69257,BRAHMA MANAGEMENT LTD.,BRAHMA MANAGEMENT LTD.,126 EAST 56TH ST.,10TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-310-5500,212-310-5501,,,,,,,Approved,6/16/2008,5/10/2010,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,,CAYMAN ISLANDS,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"243,400,000.00",0,"243,400,000.00",7,0,7,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT ADVICE TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,118891,801-60958,"ATTUCKS ASSET MANAGEMENT, LLC","ATTUCKS ASSET MANAGEMENT, LLC",321 NORTH CLARK STREET,SUITE 850,CHICAGO,IL,UNITED STATES,60654,312-422-9200,312-499-9201,,,,,,,Approved,2/25/2002,5/10/2010,Y,WWW.ATTUCKSFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,431,347,228.00",0,"1,431,347,228.00",13,0,13,N,N,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,130587,801-70738,"MARTORELLO MONEY MANAGEMENT, INC.","MARTORELLO MONEY MANAGEMENT, INC.",,,,,,,303-777-7424,509-695-8491,,,,,,,Approved,10/23/2009,5/10/2010,Y,WWW.MMMWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,000,000.00",0,"34,000,000.00",46,0,46,Y,Y,N,Y,N,N,Y,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151727,801-70644,650 CAPITAL MANAGEMENT LLC,650 CAPITAL MANAGEMENT LLC,650 MADISON AVENUE,19TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-558-2000,212-558-2098,,,,,,,Approved,9/24/2009,5/10/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,11-25 percent,11-25 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"151,646,203.00","240,808,648.00","392,454,851.00",3,2,5,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,120230,801-71207,"PHINEUS PARTNERS, L.P.","PHINEUS PARTNERS, L.P.",251 POST STREET,SUITE 500,SAN FRANCISCO,CA,UNITED STATES,94108,415-677-0722,415-392-0540,,,,,,,Approved,3/15/2010,5/10/2010,Y,WWW.PHINEUS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,GENERAL PARTNER PROFIT ALLOCATION BASED ON PERFORMANCE.,Y,"105,200,000.00",0,"105,200,000.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,PERFORMS INV MGMT & ADVISORY FUNCTIONS AS GP &/OR INV. MANAGER FOR INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108805,801-39379,COLDSTREAM CAPITAL MANAGEMENT INC,COLDSTREAM CAPITAL MANAGEMENT INC,ONE - 100TH AVENUE NE,SUITE 102,BELLEVUE,WA,UNITED STATES,98004,425-283-1600,425-283-5100,,,,,,,Approved,7/23/1991,8/30/2010,Y,WWW.COLDSTREAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,10-Jun,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,Y,PROJECT BY PROJECT BASIS,Y,"781,108,575.00","31,690,572.00","812,799,147.00",313,68,381,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
DRO,105477,801-8008,SECURITY GLOBAL INVESTORS,"SECURITY INVESTORS, LLC",5801 SW 6TH AVENUE,,TOPEKA,KS,UNITED STATES,66636-0001,785 438-3127,785-438-3080,,,,,,,Approved,11/20/1971,8/30/2010,Y,WWW.SG-INVESTORS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,More than 500,500,51-75 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,OTHER CLIENTS IN WRAP ACCOUNTS,Y,N,N,N,N,N,N,,Y,"4,833,513,618.00",0,"4,833,513,618.00",544,0,544,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,144107,801-67943,SECURITY GLOBAL INVESTORS,"SECURITY GLOBAL INVESTORS, LLC",801 MONTGOMERY STEET,2ND FLOOR,SAN FRANCISCO,CA,USA,94133-5164,415-274-7700,415-274-7702,,,,,,,Approved,6/5/2007,8/30/2010,Y,WWW.SG-INVESTORS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"739,723,996.00",0,"739,723,996.00",13,0,13,N,N,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,132735,801-64512,"RYDEX ADVISORY SERVICES, LLC","RYDEX ADVISORY SERVICES, LLC",9601 BLACKWELL ROAD,SUITE 500,ROCKVILLE,MD,UNITED STATES,20850,301-296-5100,301-296-5117,,,,,,,Approved,7/12/2005,8/30/2010,Y,HTTP://WWW.RYDEXINVESTMENTS.COM/,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,5-Jan,0,More than 500,"3,000",26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,INVESTMENT ADVISORS,Y,N,N,N,N,N,N,,Y,"204,474,251.00",0,"204,474,251.00","3,124",0,"3,124",N,Y,N,Y,N,N,N,N,N,Y,PROVIDE PORTFOLIO MODEL SIGNALS TO REGISTERED INVESTMENT ADVISORS,,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,153713,801-71395,ALPHA STRATEGIES CORPORATION,ALPHA STRATEGIES CORPORATION,,,,,,,703-435-8299,,,,,,,,Approved,4/29/2010,8/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"33,000,000.00",0,"33,000,000.00",178,0,178,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106351,801-47225,RYDEX INVESTMENTS,"RYDEX ADVISORS II, LLC",9601 BLACKWELL ROAD,STE 500,ROCKVILLE,MD,UNITED STATES,20850,301-296-5100,301-296-5108,,,,,,,Approved,8/12/1994,8/30/2010,Y,WWW.RYDEXFUNDSFP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,SEPARATELY MANAGED ACCOUNT,Y,N,N,N,N,Y,N,,Y,"4,907,020,100.00",0,"4,907,020,100.00",89,0,89,N,N,Y,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,118200,801-69401,"DESMOND WEALTH MANAGEMENT, INC.","DESMOND WEALTH MANAGEMENT, INC.",1850 MT. DIABLO BLVD.,SUITE 630,WALNUT CREEK,CA,UNITED STATES,94596,925-932-1994,925-940-9500,,,,,,,Approved,7/8/2008,8/30/2010,Y,WWW.DESMONDWEALTH.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"21,741,000.00",0,"21,741,000.00",131,0,131,Y,Y,N,Y,N,N,N,N,N,Y,INCOME TAX PLANNING,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,39164,801-68364,"1ST DISCOUNT BROKERAGE, INC.","1ST DISCOUNT BROKERAGE, INC.",420 SOUTH STATE ROAD 7,SUITE 114,ROYAL PALM BEACH,FL,UNITED STATES,33414,561-515-3200,561-515-3201,,,,,,,Approved,9/27/2007,8/30/2010,Y,WWW.1DB.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,TICKET CHARGES,Y,0,"116,651,777.00","116,651,777.00",0,298,298,Y,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,Y,N,N,N,Y,N,N,,Y,Y,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N
NYRO,139073,801-66598,"DELLACAMERA CAPITAL MANAGEMENT, LLC","DELLACAMERA CAPITAL MANAGEMENT, LLC",3 INTERNATIONAL DRIVE,,RYE BROOK,NY,UNITED STATES,10573,212-808-3590,212-808-3591,,,,,,,Approved,5/5/2006,8/30/2010,Y,WWW.DELLACAMERACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"190,517,798.00",0,"190,517,798.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,10582,801-58211,"WELLS FARGO INVESTMENTS, LLC","WELLS FARGO INVESTMENTS, LLC",420 MONTGOMERY STREET,FIFTH FLOOR,SAN FRANCISCO,CA,UNITED STATES,94104,(415) 947-1827,(415) 975-7951,"550 CALIFORNIA STREET, 6TH FLOOR",MAC #A0112-060,SAN FRANCISCO,CA,UNITED STATES,94104,Approved,10/2/1987,8/30/2010,Y,WWW.WELLSFARGO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,More than 1000,"2,000",More than 1000,"1,500",More than 1000,"1,500",5-Jan,0,More than 500,"51,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"2,571,566,584.00","11,330,905,682.00","13,902,472,266.00","6,318","43,889","50,207",Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N
LARO,106635,801-24322,"LAWRENCE W. KELLY & ASSOCIATES, INC","LAWRENCE W. KELLY & ASSOCIATES, INC.",199 SOUTH LOS ROBLES AVENUE,SUITE 850,PASADENA,CA,USA,91101-2461,626/449-9500,626/449-9566,,,,,,,Approved,8/16/1985,8/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"587,396,773.00","41,005,921.00","628,402,694.00",41,7,48,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,148958,801-71602,"PIONEER ADVISORS, LLC","PIONEER ADVISORS, LLC",21090 NORTH PIMA ROAD,,SCOTTSDALE,AZ,UNITED STATES,85255,480-246-3311,480-296-0210,,,,,,,120-Day Approval,7/1/2010,8/30/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138953,801-66184,BROOKE CAPITAL LIMITED,BROOKE CAPITAL LIMITED,19/F THE WORKSTATION,43 LYNDHURST TERRACE,CENTRAL,,HONG KONG,,852-2258 2300,852-3105-3710,,,,,,,Approved,1/30/2006,8/30/2010,Y,WWW.BROOKECAPITAL.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,COST PLUS MARGIN,Y,"428,700,000.00",0,"428,700,000.00",1,0,1,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,144324,801-68275,HSBC GLOBAL ASSET MANAGEMENT (SINGAPORE) LIMITED,HSBC GLOBAL ASSET MANAGEMENT (SINGAPORE) LIMITED,21 COLLYER QUAY,#15-02 HSBC BUILDING,SINGAPORE,,SINGAPORE,49320,65 65302828,65 62254324,,,,,,,Approved,9/18/2007,8/30/2010,Y,WWW.ASSETMANAGEMENT.HSBC.COM/SG,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SINGAPORE,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"8,664,437,778.00","86,753,329.00","8,751,191,107.00",238,2,240,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,152665,801-71000,"GRADIENT ADVISORS, LLC","GRADIENT ADVISORS, LLC",4570 CHURCHILL STREET,SUITE 100,SHOREVIEW,MN,UNITED STATES,55126,877-885-0508,651-925-0636,,,,,,,Approved,2/10/2010,8/31/2010,Y,WWW.GRADIENTADVISORS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N
DRO,109381,801-55150,SUMMIT INVESTMENT PARTNERS,"SUMMIT INVESTMENT ADVISORS, INC.",390 N COTNER,,LINCOLN,NE,UNITED STATES,68505-2371,402-467-6980,402-467-6970,,,,,,,Approved,1/13/1998,8/31/2010,Y,SUMMITINVESTMENTPARTNERS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,CIVIC ORGANIZATIONS & CLUBS,Y,N,N,Y,N,N,Y,COMMERCIAL MORTGAGE LOAN PLACEMENT FEES,Y,"8,787,272,633.00","1,194,264,214.00","9,981,536,847.00",439,4,443,N,Y,Y,Y,Y,N,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,152885,801-71065,CICERO CAPITAL PARTNERS,"CICERO CAPITAL PARTNERS, LLC",4101 STANFORD STREET,,CHEVY CHASE,MD,UNITED STATES,20815,704-906-4523,301-656-1507,,,,,,,120-Day Approval,2/4/2010,8/31/2010,Y,WWW.CICEROCAPITALPARTNERS.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,PERFORMANCE-BASED COMPENSATION,Y,"5,600,000.00",0,"5,600,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106924,801-30056,DERBY AND COMPANY INC,DERBY AND COMPANY INC,7 WELLS AVENUE,,NEWTON,MA,UNITED STATES,2459,617-527-8900,617-527-1125,,,,,,,Approved,7/23/1987,8/31/2010,Y,WWW.DERBYANDCOMPANY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"362,715,181.00","50,835,771.00","413,550,952.00",890,46,936,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,142129,801-67441,"BEACON ASSET MANAGEMENT, LLC",TELEMUS/BEACON INVESTMENT COMPANY LLC,TWO TOWNE SQUARE,SUITE 800,SOUTHFIELD,MI,UNITED STATES,48076,248-827-1800,248-827-1808,,,,,,,Approved,1/12/2007,8/31/2010,Y,WWW.BEACONINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,10-Jun,0,Nov-50,0,10-Jun,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,Y,Y,N,,Y,"371,886,924.00",0,"371,886,924.00",506,0,506,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,154405,801-71643,"KIKER WEALTH MANAGEMENT, LLC","KIKER WEALTH MANAGEMENT, LLC",788 W CHURCH STREET,,JASPER,GA,UNITED STATES,30143,706-889-7285,706-253-7286,,,,,,,120-Day Approval,7/20/2010,8/31/2010,Y,WWW.KIKERWEALTH.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,134114,801-64748,"TELEMUS WEALTH ADVISORS, LLC","TELEMUS WEALTH ADVISORS, LLC",TWO TOWNE SQUARE,SUITE 800,SOUTHFIELD,MI,UNITED STATES,48076,248-827-1800,248-827-1808,,,,,,,Approved,9/26/2005,8/31/2010,Y,WWW.TELEMUSCAPITAL.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,5-Jan,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"410,099,290.00","410,099,290.00",0,207,207,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105139,801-16217,"PASSPORT RESEARCH, LTD.","PASSPORT RESEARCH, LTD.",FEDERATED INVESTORS TOWER,1001 LIBERTY AVENUE,PITTSBURGH,PA,UNITED STATES,15222-3779,(412) 288-1900,(412) 288-3939,,,,,,,Approved,7/17/1981,8/31/2010,Y,FEDERATEDINVESTORS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,PA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"20,307,600,055.00",0,"20,307,600,055.00",2,0,2,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,Y,N,N,Y,N
BRO,110928,801-17579,"PRENTISS SMITH & COMPANY, INC.","PRENTISS SMITH & COMPANY, INC.",45 WALNUT STREET,,BRATTLEBORO,VT,UNITED STATES,5301,802-254-2913,802-257-7638,,,,,,,Approved,9/10/1982,8/31/2010,Y,WWW.PRENTISS-SMITH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VT,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"406,361,297.00","6,711,180.00","413,072,477.00",558,2,560,N,Y,N,Y,N,N,Y,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,112294,801-60722,"JONATHAN ROBERTS ADVISORY GROUP, INC.","JONATHAN ROBERTS ADVISORY GROUP, INC.",6928 W. LINEBAUGH AVE.,SUITE 101,TAMPA,FL,UNITED STATES,33625,813-935-6776,813-935-6775,,,,,,,Approved,11/23/2001,8/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,"1,675",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"61,714,142.00","198,238,891.00","259,953,033.00",420,"1,255","1,675",Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,Y,N,Y,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,119330,801-70182,"ASKAR ADVISORS GROUP, INC.","ASKAR ADVISORS GROUP, INC.",8101 34TH AVENUE SOUTH,SUITE 300,BLOOMINGTON,MN,UNITED STATES,55425,952-854-9463,952-854-6813,,,,,,,Approved,5/13/2009,8/31/2010,Y,WWW.ASKAR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,NON PROFIT ENTITY (HOCKEY ASSOC.),Y,Y,N,Y,Y,N,Y,REFERRAL FEES,Y,0,"36,952,503.00","36,952,503.00",0,63,63,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y
CHRO,133127,801-63877,"MDH INVESTMENT MANAGEMENT, INC.","MDH INVESTMENT MANAGEMENT, INC.",,,,,,,330.386.4452,330.386.3434,,,,,,,Approved,12/22/2004,8/31/2010,Y,WWW.MDHINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,0 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"73,247,858.00",0,"73,247,858.00",306,0,306,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,136045,801-64602,MAGNETAR FINANCIAL LLC,MAGNETAR FINANCIAL LLC,1603 ORRINGTON AVENUE,13TH FLOOR,EVANSTON,IL,USA,60201,847-905-4400,847-869-2064,,,,,,,Approved,8/30/2005,8/31/2010,Y,WWW.MAGNETAR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,EXPENSE PASS-THROUGH,Y,"7,030,653,036.00","10,618,569.00","7,041,271,605.00",35,1,36,N,N,N,Y,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HEDGE FUNDS,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,17870,801-58257,"NBC SECURITIES, INC.","NBC SECURITIES, INC.",1927 FIRST AVENUE NORTH,,BIRMINGHAM,AL,UNITED STATES,35203,800-521-9390,205-521-9399,,,,,,,Approved,1/3/2001,8/31/2010,Y,WWW.NBCSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,51-250,0,51-250,0,51-250,0,10-Jun,0,More than 500,"2,200",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"279,217,096.00","480,546,118.00","759,763,214.00",918,"1,596","2,514",Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,Y,Y,Y,N,N,N,Y,N,N,,N,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,Y,N,Y,N,N,N,Y,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
PLRO,143633,801-67753,"LOGAN CIRCLE PARTNERS, L.P.","LOGAN CIRCLE PARTNERS, L.P.","1717 ARCH STREET, SUITE 1500",,PHILADELPHIA,PA,UNITED STATES,19103,267-330-0000,267-330-0055,,,,,,,Approved,4/12/2007,8/31/2010,Y,WWW.LOGANCIRCLEPARTNERS.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,PA,UNITED STATES,5-Jan,0,0,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,Up to 10 percent,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"11,024,164,289.00",0,"11,024,164,289.00",91,0,91,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,25440,801-70692,"ROSS, SINCLAIRE & ASSOCIATES, LLC","ROSS, SINCLAIRE & ASSOCIATES, LLC",700 WALNUT STREET,STE 600,CINCINNATI,OH,UNITED STATES,45202-2027,513-381-3939,513-381-0124,,,,,,,Approved,10/28/2009,8/31/2010,Y,WWW.RSANET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,0,"29,685,215.00","29,685,215.00",0,20,20,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,Y,Y,N,N,N,N,N,,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,117516,801-60708,PHOENIX ADVISORS LLC,PHOENIX ADVISORS LLC,"150 EAST 52ND ST, 19TH FL",,NEW YORK,NY,USA,10022,212-759-5888,212-759-6662,,,,,,,Approved,11/16/2001,2/4/2003,Y,WWW.PHOENIX-FUNDS.COM,N,N,Y,N,N,N,N,N,N,N,,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139361,801-66174,OTTOMAN CAPITAL,OTTOMAN CAPITAL,7F ASHEITZ-TOMIGAYA 1-10-2,,SHIBUYA-KU,,TOKYO,151-0063,81-3-5790-5701,81-3-5790-5705,,,,,,,Approved,2/1/2006,3/30/2007,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CAYMAN ISLANDS,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"35,000,000.00",0,"35,000,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,139590,801-66292,"LYDIA CAPITAL, LLC","LYDIA CAPITAL, LLC",28 STATE STREET,11TH FLOOR,BOSTON,MA,USA,2109,617-573-5294,617-573-5090,,,,,,,Approved,2/24/2006,3/30/2007,Y,WWW.LYDIACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,SELLING FEE FOR SALE OF LIFE SET. POLICIES TO FUND WHERE IS GP,Y,"49,000,000.00",0,"49,000,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,113105,801-60501,"UA, LLC","UA, LLC","30 BROAD ST., 35TH FL.",,NEW YORK,NY,UNITED STATES,10004,212-612-9100,212-785-9419,,,,,,,Approved,9/28/2001,5/11/2009,Y,WWW.URBANAMERICA.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,11-25 percent,26-50 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,027,035,599.00",0,"1,027,035,599.00",1,0,1,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138260,801-65457,MORRIS ASSOCIATES LLC,MORRIS ASSOCIATES LLC,400 MADISON AVENUE,SUITE 10B,NEW YORK,NY,UNITED STATES,10017,212-935-8075,212-935-8076,,,,,,,Approved,1/25/2006,3/22/2010,Y,HTTP://MORRISASSOCIATESLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"117,662,913.00",0,"117,662,913.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106253,801-39692,"CLINTON GROUP, INC","CLINTON GROUP, INC","9 WEST 57TH STREET, 26TH FLOOR",,NEW YORK,NY,UNITED STATES,10019,212-825-0400,212-377-4181,,,,,,,Approved,8/20/1991,3/22/2010,Y,WWW.CLINTON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"3,132,258,158.00",0,"3,132,258,158.00",20,0,20,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,116465,801-69283,"GML FINANCIAL ADVISORY SERVICES, LLC","GML FINANCIAL ADVISORY SERVICES, LLC",59 SOUTH MAIN STREET,,ROCHESTER,NH,USA,3867,603-335-0206,603-335-0946,PO BOX 1498,,ROCHESTER,NH,USA,03866-1498,Approved,6/23/2008,3/22/2010,Y,WWW.GMLFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,ONE-TIME PROJECT FEES,Y,"29,083,599.00",0,"29,083,599.00",134,0,134,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108634,801-44151,JOHN E. SESTINA AND COMPANY,JOHN E. SESTINA AND COMPANY,"1161 BETHEL ROAD, SUITE 201",,COLUMBUS,OH,USA,43220,614.326.3077,614.326.2944,,,,,,,Approved,6/17/1993,3/22/2010,Y,WWW.SESTINA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"262,733,390.00","262,733,390.00",0,"4,342","4,342",Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137927,801-65088,THIRD POINT LLC,THIRD POINT LLC,390 PARK AVENUE,18TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-224-7400,212-224-7401,,,,,,,Approved,1/12/2006,3/22/2010,Y,THIRDPOINTVENTURES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,948,956,625.00",0,"2,948,956,625.00",13,0,13,N,N,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,130652,801-62897,S&S WEALTH MANAGEMENT,"S & S WEALTH MANAGEMENT, L.P.",2505 N. HIGHWAY 360,SUITE 490,GRAND PRAIRIE,TX,UNITED STATES,75050-7825,817-276-8090,817-276-8098,,,,,,,Approved,3/12/2004,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"34,832,874.00","34,832,874.00",0,622,622,N,Y,N,N,N,N,N,N,N,Y,PERSONAL MONEY MANAGEMENT COUNSELING/FINANCIAL ANALYSIS,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,136971,801-67687,RAFFA WEALTH MANAGEMENT LLC,RAFFA WEALTH MANAGEMENT LLC,"1899 L ST., NW- 7TH FLOOR",,WASHINGTON,DC,UNITED STATES,20036,202-955-6734,240-403-2578,,,,,,,Approved,3/30/2007,3/22/2010,Y,WWW.RAFFA.COM/RESOURCES/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"109,047,782.00","76,324,813.00","185,372,595.00",48,43,91,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,120516,801-64107,"TREATY OAK CAPITAL MANAGEMENT, L.P.","TREATY OAK CAPITAL MANAGEMENT, L.P.",300 WEST 6TH STREET,SUITE 1910,AUSTIN,TX,UNITED STATES,78701,512-481-1956,512-236-1444,,,,,,,Approved,4/28/2005,3/22/2010,Y,WWW.TREATYOAKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"73,500,000.00",0,"73,500,000.00",46,0,46,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,143368,801-67701,"HILLIER ADVISORS, LLC","HILLIER ADVISORS, LLC",6035 SW 54TH STREET,SUITE 101,OCALA,FL,UNITED STATES,34474,(352) 237-4468,(352) 687-2846,,,,,,,Approved,3/30/2007,3/22/2010,Y,HILLIERADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"110,000,000.00",0,"110,000,000.00",32,0,32,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,135347,801-67306,UNITED BROKERS CORP. S.A.,UNITED BROKERS CORP. S.A.,RUTA 8 KM 17.500 PREDIO NRO 33,ZONA AMERICA,MONTEVIDEO,,URUGUAY,,5982 518 55 12,5982 518 55 12,,,,,,,Approved,12/6/2006,3/22/2010,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,URUGUAY,Nov-50,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,N,Y,Y,N,,Y,"33,062,515.00",0,"33,062,515.00",95,0,95,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,108058,801-55231,"J L BAINBRIDGE % COMPANY, INC.","J L BAINBRIDGE % COMPANY, INC.",1582 MAIN STREET,,SARASOTA,FL,UNITED STATES,34236,941-365-3435,941-365-0437,,,,,,,Approved,1/1/1998,3/22/2010,Y,WWW.JLBAINBRIDGE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"251,000,000.00",0,"251,000,000.00",790,0,790,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,111409,801-57706,"OPTIMA CAPITAL MANAGEMENT, INC.",OPTIMA CAPITAL MANAGEMENT INC,19134 STONE OAK PARKWAY,SUITE 200,SAN ANTONIO,TX,USA,78258,210-497-4488,210-497-4646,,,,,,,Approved,7/5/2000,3/22/2010,Y,WWW.OPTIMA-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"137,906,354.00",0,"137,906,354.00",212,0,212,N,Y,N,N,N,N,N,N,N,Y,INVESTMENT SUPERVISORY SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151585,801-70596,"BROOKLYN CAPITAL MANAGEMENT, LLC","BROOKLYN CAPITAL MANAGEMENT, LLC",PARK 80 WEST,250 PEHLE AVENUE,SADDLE BROOK,NJ,UNITED STATES,7663,201-881-7104,201-556-0097,,,,,,,Approved,9/23/2009,3/22/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"96,284,095.00",0,"96,284,095.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
PLRO,107415,801-15169,G & R INVESTMENT CONSULTANTS INC,G & R INVESTMENT CONSULTANTS INC,3355 BABCOCK BLVD,,PITTSBURGH,PA,UNITED STATES,15237,412-367-7300,412-367-4727,,,,,,,Approved,5/1/1980,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,BASED ON ASSET SIZE OF THE FINANCIAL INSTITUTION,Y,0,"1,083,047,000.00","1,083,047,000.00",0,16,16,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114475,801-68995,"DAVID M. LEE, P.C.","DAVID M. LEE, P.C.",952 ECHO LANE,SUITE 320,HOUSTON,TX,UNITED STATES,77024,713-773-1100,713-464-1314,,,,,,,Approved,3/20/2008,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"128,000,000.00","128,000,000.00",0,51,51,Y,Y,N,N,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108794,801-57564,INNOVEST FINANCIAL MANAGEMENT INC,INNOVEST FINANCIAL MANAGEMENT INC,4916 LIBERTY AVE.,,PITTSBURGH,PA,UNITED STATES,15224,412-391-7174,412-391-7860,,,,,,,Approved,5/5/2000,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"42,057,024.00","37,715,433.00","79,772,457.00",108,30,138,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,25-Nov,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104874,801-17701,HAVEN CAPITAL MANAGEMENT LLC,HAVEN CAPITAL MANAGEMENT LLC,129 SUMMIT AVENUE,,SUMMIT,NJ,UNITED STATES,7901,(908)598-0909,(320)215-9716,,,,,,,Approved,9/24/1982,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,INSTITUTIONAL INVESTMENT ADVISORY,Y,N,N,N,N,N,N,,Y,0,"50,000,000.00","50,000,000.00",0,1,1,N,N,N,N,N,N,N,N,N,Y,INSTITUTIONAL INVESTMENT ADVISORY,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105154,801-25182,PERRY CAPITAL MANAGEMENT INC,PERRY CAPITAL MANAGEMENT INC,ONE PARK PLAZA,"11270 W. PARK PLACE, SUITE 1050",MILWAUKEE,WI,USA,53224,414-359-1000,414-359-1010,,,,,,,Approved,9/6/1985,3/22/2010,Y,WWW.PCM-ADVISERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,26-50 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"152,263,126.00","1,090,117,971.00","1,242,381,097.00",74,8,82,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,149931,801-70805,KSTONE PARTNERS LLC,KSTONE PARTNERS LLC,555 PLEASANTVILLE ROAD,SOUTH BUILDING,BRIARCLIFF MANOR,NY,UNITED STATES,10510,914-495-7000,914-488-5538,,,,,,,Approved,11/25/2009,3/22/2010,Y,WWW.KSTONEPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,INVESTMENT FUNDS,Y,N,N,N,N,N,N,,Y,"56,446,000.00",0,"56,446,000.00",2,0,2,N,N,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104867,801-29203,ARCADIA INVESTMENT MANAGEMENT CORP,ARCADIA INVESTMENT MANAGEMENT CORP,"259 EAST MICHIGAN AVE, STE 308",,KALAMAZOO,MI,UNITED STATES,49007,269-349-0800,269-381-1615,,,,,,,Approved,3/20/1987,3/22/2010,Y,WWW.ARCIMC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"413,103,684.00","3,842,234.00","416,945,918.00",373,3,376,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106293,801-40926,OAK FINANCIAL GROUP INC,OAK FINANCIAL GROUP INC,,,,,,,203-329-9043,203-968-9152,1177 HIGH RIDGE ROAD,,STAMFORD,CT,UNITED STATES,6905,Approved,3/6/1992,2/1/2010,Y,WWW.OAKFINGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"267,182,975.00","1,886,679.00","269,069,654.00",870,11,881,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,112248,801-56508,"GERALD BAKER FINANCIAL GROUP, L.L.C.DBA BAKER FINANCIAL SERVICES","GERALD BAKER FINANCIAL GROUP, L.L.C.DBA BAKER FINANCIAL SERVICES",1415 WEST RANDOL MILL RD.,,ARLINGTON,TX,USA,76012,817-861-7099,817-861-8099,P.O. BOX 120427,,ARLINGTON,TX,USA,76012,Approved,5/20/1999,2/1/2010,Y,WWW.BAKERFINANCIAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"105,000,000.00","105,000,000.00",0,614,614,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,142665,801-67404,"ASSETBUILDER, INC.","ASSETBUILDER, INC.",1255 WEST 15TH STREET,SUITE 240,PLANO,TX,USA,75075,972-535-4040,214-556-3848,,,,,,,Approved,1/3/2007,2/1/2010,Y,WWW.ASSETBUILDER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,More than 500,500,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"250,000,000.00",0,"250,000,000.00",653,0,653,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,108202,801-56775,M.C. DRAPER CAPITAL MANAGEMENT,MONT CLAYTON DRAPER III,,,,,,,316-612-8944,316-612-8945,,,,,,,Approved,8/11/1999,2/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,212,822.00",0,"25,212,822.00",21,0,21,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,123939,801-61917,"CDK REALTY ADVISORS, LP","CDK REALTY ADVISORS, LP",4100 HARRY HINES BLVD,4TH FLOOR,DALLAS,TX,UNITED STATES,75219,214-253-2140,214-253-2141,,,,,,,Approved,4/3/2003,2/1/2010,Y,WWW.CDKREALTYADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"189,500,000.00","1,450,000.00","190,950,000.00",2,2,4,N,N,N,N,Y,N,N,N,N,Y,ADVISE ON REAL ESTATE INVESTMENTS,0,,N,N,N,N,N,Y,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108915,801-40425,MORRIS & MORSE CO INC,MORRIS & MORSE CO INC,"66 LONG WHARF, 4TH FLOOR",,BOSTON,MA,UNITED STATES,2110,617-723-6404,617-723-6402,,,,,,,Approved,1/9/1992,2/1/2010,Y,WWW.MORRISMORSE.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,10%,Y,Y,N,Y,N,Y,N,,N,0,0,0,0,0,0,N,N,N,Y,Y,N,N,N,N,Y,REAL ESTATE ADVISORY/CONSULTATION,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,125758,801-66460,INDEPENDENT FINANCIAL ADVISORS,"KUEHNE,CHRISTOPHER",,,,,,,914-764-0367,914-764-0368,,,,,,,Approved,3/24/2006,2/1/2010,Y,HTTP://WWW.FEE-ONLYADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,"RETAINER FEE, ADJUSTED ANNUALLY FOR 4% INFLATION",Y,0,"66,577,342.00","66,577,342.00",0,43,43,Y,Y,N,N,N,N,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,141546,801-67099,"DOUCET ASSET MANAGEMENT, LLC","DOUCET ASSET MANAGEMENT, LLC","2204 LAKESHORE DRIVE, SUITE 425",,BIRMINGHAM,AL,UNITED STATES,35209,205-414-9788,205-414-9789,,,,,,,Approved,8/16/2006,2/1/2010,Y,WWW.DOUCETCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"24,893,935.00","2,019,892.00","26,913,827.00",93,6,99,N,Y,N,Y,N,Y,N,N,N,N,,,,Y,Y,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,117611,801-67590,"LOCKE FINANCIAL SERVICES, INC.","LOCKE FINANCIAL SERVICES, INC.",662 N. FIRST BANK DRIVE,,PALATINE,IL,USA,60067,847-991-2705,847-991-3496,,,,,,,Approved,2/20/2007,2/1/2010,Y,WWW.LOCKEFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"38,901,537.00",0,"38,901,537.00",437,0,437,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,135324,801-66437,"QUALIFIED PLAN ADVISORY, LLC","QUALIFIED PLAN ADVISORY, LLC","2845 MESA VERDE DR. EAST, SUITE 1F",,COSTA MESA,CA,UNITED STATES,92626,714-486-4544,714-464-5441,,,,,,,Approved,4/18/2006,2/1/2010,Y,WWW.QPADVISORY.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"6,000.00","50,500.00","56,500.00",1,22,23,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,131140,801-63031,BRIAN CARRUTHERS & ASSOCIATES,"CARRUTHERS, BRIAN, ROGER",301 FOREST AVENUE,,LAGUNA BEACH,CA,USA,92651,949-464-1900,949-464-1400,,,,,,,Approved,4/13/2004,2/1/2010,Y,WWW.GOBCAFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,0,0,0,0,5-Jan,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"59,906,000.00",0,"59,906,000.00",84,0,84,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112632,801-57442,"JAMERICA FINANCIAL, INC.",JAMERICA INC.,BROADWAY PLACE EAST (SUITE 135)),3433 BROADWAY STREET NE,MINNEAPOLIS,MN,USA,55413,612-331-3012,612-379-9699,,,,,,,Approved,4/11/2000,4/12/2006,Y,WWW.JAMERICAFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"18,139,219.00","10,535,862.00","28,675,081.00",299,80,379,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,N,N
CHRO,112123,801-48171,TFG ADVISORS,"TFG ADVISORS, INC.",3121 UNIVERSITY DRIVE,SUITE 100,AUBURN HILLS,MI,UNITED STATES,48326,248-724-0090,248-377-0988,,,,,,,Approved,1/17/1995,2/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"70,770,844.00","16,685,111.00","87,455,955.00",680,155,835,Y,Y,N,Y,N,N,N,N,N,Y,FINANCIAL LIFE PLANNING,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110893,801-46575,RECORD CURRENCY MANAGEMENT LIMITED,RECORD CURRENCY MANAGEMENT LIMITED,"MORGAN HOUSE, MADEIRA WALK",WINDSOR,BERKSHIRE,,ENGLAND,SL4 1EP,(44) 1753 852222,(44) 1753 852224,,,,,,,Approved,7/27/1994,6/29/2010,Y,WWW.RECORDCM.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,51-250,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"34,011,982,179.00",0,"34,011,982,179.00",93,0,93,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,126528,801-67111,"WHITEHORSE CAPITAL PARTNERS, L.P.","WHITEHORSE CAPITAL PARTNERS, L.P.",200 CRESCENT COURT,SUITE 1414,DALLAS,TX,UNITED STATES,75201,214-855-2999,214-855-2998,,,,,,,Approved,9/28/2006,6/29/2010,Y,WWW.WHITEHORSECAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,591,344,456.00",0,"1,591,344,456.00",6,0,6,N,N,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,136838,801-69750,"6800 CAPITAL, L.L.C.","6800 CAPITAL, L.L.C.",ONE PALMER SQUARE,SUITE 530,PRINCETON,NJ,UNITED STATES,8542,609-921-6595,609-683-1397,,,,,,,Approved,11/13/2008,6/29/2010,Y,WWW.6800CAPITALLLC.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,Y,N,,Y,"271,144,264.00",0,"271,144,264.00",8,0,8,N,Y,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,106963,801-42531,"HOWLAND AND ASSOCIATES, LLC","HOWLAND AND ASSOCIATES, LLC",,,,,,,813-333-2900,813-425-5671,100 THIRD AVENUE WEST,2ND FLOOR,BRADENTON,FL,UNITED STATES,34205,Approved,10/13/1992,6/29/2010,Y,WWW.INVESTHOWLAND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"52,036,845.00",0,"52,036,845.00",108,0,108,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153114,801-71158,"WINDERMERE WEALTH ADVISORS, LLC","WINDERMERE WEALTH ADVISORS, LLC",N19 W24400 RIVERWOOD DRIVE,SUITE 220,WAUKESHA,WI,UNITED STATES,53188,262-696-3650,262-696-3651,,,,,,,Approved,3/11/2010,6/29/2010,Y,WWW.WINDERMEREWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"27,757,825.00",0,"27,757,825.00",16,0,16,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTING SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110813,801-37645,NOMURA ASSET MANAGEMENT SINGAPORE LIMITED,NOMURA ASSET MANAGEMENT SINGAPORE LIMITED,6 BATTERY ROAD,#34-02,SINGAPORE,,SINGAPORE,49909,65-6420-1788,65-6420-1799,,,,,,,Approved,10/29/1990,6/29/2010,Y,WWW.NOMURA.COM/NAM-SINGAPORE,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,SINGAPORE,51-250,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,26-50 percent,0 percent,11-25 percent,0 percent,11-25 percent,FOREIGN GOVERNMENTS AND FOREIGN GOVERNMENT AGENCIES,Y,N,N,N,N,Y,N,,Y,"13,091,294,958.00","167,381,340.00","13,258,676,298.00",67,2,69,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N
MIRO,154237,801-71589,EVERBANK WEALTH MANAGEMENT,"EVERBANK WEALTH MANAGEMENT, INC.",501 RIVERSIDE AVE.,,JACKSONVILLE,FL,UNITED STATES,32202,904-281-6000,904-623-8190,,,,,,,120-Day Approval,7/2/2010,6/29/2010,Y,WWW.EVERBANK.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,152532,801-71649,"DYSON CAPITAL ADVISORS, LLC","DYSON CAPITAL ADVISORS, LLC",201 N. UNION STREET,SUITE 300,ALEXANDRIA,VA,UNITED STATES,22314,703 518 6133,703 518 6122,,,,,,,Approved,7/26/2010,6/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"138,000,000.00","269,000,000.00","407,000,000.00",1,3,4,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,153243,801-71615,"BUTTONWOOD ADVISORS, LLC","BUTTONWOOD ADVISORS, LLC",98 MILL PLAIN RD,SUITE 4C,DANBURY,CT,UNITED STATES,6811,646-415-8159,646-390-7868,,,,,,,Approved,6/30/2010,6/29/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,116407,801-60749,"WEALTH ENHANCEMENT ADVISORY SERVICES, LLC","WEALTH ENHANCEMENT ADVISORY SERVICES, LLC",505 NORTH HWY 169,SUITE 900,PLYMOUTH,MN,UNITED STATES,55441,763-417-1700,763-417-1701,,,,,,,Approved,12/21/2001,6/29/2010,Y,WWW.WEALTHENHANCEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"6,000",51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,FEES RECEIVED FROM THIRD PARTY INVESTMENT ADVISORS,Y,"1,174,114,624.00",0,"1,174,114,624.00","10,317",0,"10,317",Y,Y,N,N,Y,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108989,801-57416,PACIFIC ALTERNATIVE ASSET MANAGEMENT CO LLC,PACIFIC ALTERNATIVE ASSET MANAGEMENT CO LLC,19540 JAMBOREE RD,SUITE 400,IRVINE,CA,UNITED STATES,92612,949-261-4900,949-261-4901,,,,,,,Approved,3/31/2000,6/29/2010,Y,WWW.PAAMCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,51-250,0,51-250,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,"UNIVERSITY ENDOWMENT, GOVT PLAN ASSETS",Y,N,N,Y,N,Y,N,,Y,"9,717,319,177.00","6,991,488,494.00","16,708,807,671.00",48,3,51,N,N,N,Y,N,Y,N,N,N,Y,SERVE AS MANAGER &/OR ADVISOR TO POOLED INVESTMENT VEHICLES.,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104811,801-26679,ADVISORS CAPITAL INVESTMENTS INC,ADVISORS CAPITAL INVESTMENTS INC,,,,,,,(860) 963-0722,(860) 928-1831,,,,,,,Approved,3/28/1986,6/29/2010,Y,HTTP://WWW.ADVISORSCAPITAL.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,Nov-50,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,Y,MONTHLY,Y,"19,232,060.00",0,"19,232,060.00",229,0,229,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110093,801-14458,LUTHER KING CAPITAL MANAGEMENT CORPORATION,LUTHER KING CAPITAL MANAGEMENT CORPORATION,301 COMMERCE ST,SUITE 1600,FORT WORTH,TX,UNITED STATES,76102,817-332-3235,817-332-4630,,,,,,,Approved,3/15/1979,6/29/2010,Y,WWW.LKCM.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,10-Jun,0,0,0,251-500,0,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,"CHURCHES, HOSPITALS",Y,N,N,Y,N,Y,N,,Y,"7,229,391,463.00","77,513,449.00","7,306,904,912.00","1,203",3,"1,206",N,Y,Y,Y,N,N,N,N,N,Y,INVESTMENT CONSULTING SERVICES,0,,N,Y,N,N,N,N,N,N,N,,Y,N,N,N,Y,N,N,N,Y,Y,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,135286,801-67236,"GRAYBEARD CAPITAL, LLC","GRAYBEARD CAPITAL, LLC",1133 LOUISIANA AVENUE,,WINTER PARK,FL,UNITED STATES,32789,407-622-5925,407-622-5912,,,,,,,Approved,12/5/2006,6/29/2010,Y,WWW.GRAYBEARDCAPITAL.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,512,994.00",0,"5,512,994.00",13,0,13,N,Y,Y,Y,N,N,N,N,N,Y,ADVISORY SERVICES TO PRIVATE INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138305,801-71650,"LANX MANAGEMENT, LLC","LANX MANAGEMENT, LLC",99 PARK AVENUE,SUITE 830,NEW YORK,NY,UNITED STATES,10016,212-207-9000,212-207-8540,,,,,,,Approved,7/22/2010,6/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"420,000,000.00","20,000,000.00","440,000,000.00",8,2,10,N,N,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110815,801-25922,NOMURA ASSET MANAGEMENT U.K. LIMITED,NOMURA ASSET MANAGEMENT U.K. LIMITED,NOMURA HOUSE,1 ST. MARTIN'S-LE-GRAND,LONDON,,UNITED KINGDOM,EC1A4NT,44 (20) 7521-3333,44 (20) 7796-1246,,,,,,,Approved,12/17/1985,6/29/2010,Y,WWW.NOMURA-ASSET.CO.UK,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,51-250,0,Nov-50,0,0,0,10-Jun,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,"SUPRA-NATIONAL ENTITY, FOREIGN GOVERNMENTS AND FOREIGN GOVERNMENT AGENCIES",Y,N,N,N,N,Y,N,,Y,"23,418,942,698.00","240,087,860.00","23,659,030,558.00",102,8,110,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N
HQ,108226,801-57909,NOMURA ASSET MANAGEMENT HONG KONG LIMITED,NOMURA ASSET MANAGEMENT HONG KONG LIMITED,30/F TWO INTERNATIONAL FINANCE CENTRE,8 FINANCE STREET,CENTRAL HONG KONG,,HONG KONG,,852-2524-8061,852-2523-7564,,,,,,,Approved,9/21/2000,6/29/2010,Y,WWW.NOMURA.COM/NAM-ASIA/HONG_KONG,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,FOREIGN GOVERNMENT/FOREIGN GOVERNMENT AGENCIES AND PUBLIC FUND,Y,N,N,N,N,Y,N,,Y,"1,547,513,910.00","823,702,741.00","2,371,216,651.00",7,8,15,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N
NYRO,680,801-12484,THE PRUDENTIAL INSURANCE COMPANY OF AMERICA,THE PRUDENTIAL INSURANCE COMPANY OF AMERICA,751 BROAD STREET,,NEWARK,NJ,USA,07102-3777,973-802-6937,973-802-7454,,,,,,,Approved,12/27/1976,6/29/2010,Y,WWW.PRUDENTIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,More than 1000,"7,000",Nov-50,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,966,933,857.00",0,"1,966,933,857.00",4,0,4,N,N,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,Y,N,N,N,N,Y,N,Y,N
NYRO,110871,801-17353,TIMING STRATEGIES CORP,TIMING STRATEGIES CORP,ONE NAMI LN,STE 7,MERCERVILLE,NJ,UNITED STATES,8619,609-588-4444,609-588-4440,,,,,,,Approved,6/30/1982,6/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"35,656,635.00","42,495,354.00","78,151,989.00",144,7,151,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144739,801-68269,"HGK ALTERNATIVE INVESTMENTS I, LLC","HGK ALTERNATIVE INVESTMENTS I, LLC","525 WASHINGTON BLVD, SUITE 2000",,JERSEY CITY,NJ,UNITED STATES,7310,201-659-3700,201-659-4566,,,,,,,Approved,8/28/2007,6/29/2010,Y,HTTP://WWW.HGK.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"12,000,000.00",0,"12,000,000.00",2,0,2,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,N,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,3487,801-8184,STATE FARM INVESTMENT MANAGEMENT CORP.,STATE FARM INVESTMENT MANAGEMENT CORP.,"THREE STATE FARM PLAZA SOUTH, N-2",,BLOOMINGTON,IL,UNITED STATES,61791-0001,800-447-0740,309-735-9220,,,,,,,Approved,12/14/1971,6/29/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"11,464,619,476.00",0,"11,464,619,476.00",28,0,28,Y,N,Y,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,Y,N,N,Y,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
HQ,139944,801-66507,MIR INVESTMENT MANAGEMENT LTD.,MIR INVESTMENT MANAGEMENT LTD.,50 BRIDGE STREET,LEVEL 40,SYDNEY,,AUSTRALIA,NSW 2000,+61 2 8222 0800,+61 2 9230 0543,,,,,,,Approved,3/31/2006,5/15/2006,Y,WWW.MIR.COM.AU,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,AUSTRALIA,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,617,000,000.00",0,"1,617,000,000.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,147302,801-69212,NOMURA GLOBAL ALPHA LLC,NOMURA GLOBAL ALPHA LLC,2 WORLD FINANCIAL CENTER,BUILDING B,NEW YORK,NY,UNITED STATES,10281,212-667-1414,212-667-1460,,,,,,,Approved,6/11/2008,6/29/2010,Y,WWW.NOMURA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"175,716,000.00",0,"175,716,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N
NYRO,138930,801-65330,NEWBROOK CAPITAL ADVISORS LP,NEWBROOK CAPITAL ADVISORS LP,505 FIFTH AVENUE,16TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212.916.8965,212.916.8969,,,,,,,Approved,1/19/2006,6/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"419,111,369.00",0,"419,111,369.00",4,0,4,N,N,N,Y,N,N,N,N,N,Y,FIRM OFFERS INVESTMENT ADVISORY SERVICES TO POOLED INVESTMENT VEHICLES AND MANAGED ACCOUNTS.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107316,801-44694,EUBEL BRADY & SUTTMAN ASSET MANAGEMENT INC,EUBEL BRADY & SUTTMAN ASSET MANAGEMENT INC,7777 WASHINGTON VILLAGE DR,SUITE 210,DAYTON,OH,UNITED STATES,45459-3976,937-291-1223,937-291-9360,,,,,,,Approved,9/9/1993,6/29/2010,Y,WWW.EBS-ASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,More than 500,"1,000",51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"718,792,758.00",0,"718,792,758.00","1,599",0,"1,599",N,Y,N,Y,Y,Y,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,152000,801-70844,"CAPITAL TACTICS ADVISORS, LLC","CAPITAL TACTICS ADVISORS, LLC",100 CRESCENT COURT,SUITE 575,DALLAS,TX,UNITED STATES,75201,214.273.5209,214.273.5198,,,,,,,120-Day Approval,11/24/2009,6/29/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"12,847,260.00",0,"12,847,260.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,FIRM OFFERS INVESTMENT ADVISORY SERVICES TO POOLED INVESTMENT VEHICLES.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110632,801-56989,LEGG MASON CAPITAL MANAGEMENT,LMM LLC,100 INTERNATIONAL DRIVE,,BALTIMORE,MD,UNITED STATES,21202,866-410-5500,410-454-5372,,,,,,,Approved,12/1/1999,6/29/2010,Y,WWW.LMCM.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,269,664,680.00",0,"2,269,664,680.00",2,0,2,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106067,801-47206,RETIREMENT DESIGN & MANAGEMENT INC,RETIREMENT DESIGN & MANAGEMENT INC,1555 POST ROAD EAST,,WESTPORT,CT,USA,6880,203-255-0222,203-255-5333,,,,,,,Approved,8/10/1994,6/29/2010,Y,WWW.RDMFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"410,686,911.00","1,171,975.00","411,858,886.00",716,7,723,Y,Y,N,N,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,119786,801-61049,DIKER MANAGEMENT LLC,DIKER MANAGEMENT LLC,730 FIFTH AVENUE,15TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-904-0321,212-308-6891,,,,,,,Approved,4/19/2002,6/29/2010,Y,WWW.DIKERLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"213,000,000.00",0,"213,000,000.00",26,0,26,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR CHARITABLE ORGANIZATIONS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105994,801-26109,THE RETIREMENT CORPORATION OF AMERICA,"RETIREMENT CAPITAL ADVISORS,INC.",11500 NORTHLAKE DRIVE,SUITE 100,CINCINNATI,OH,USA,45249,513-769-4040,513-769-4060,,,,,,,Approved,12/31/1985,6/29/2010,Y,WWW.RCAWEBSITE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,More than 500,"1,000",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"343,732,977.00",0,"343,732,977.00","1,628",0,"1,628",N,Y,N,N,N,N,N,N,N,Y,MATTERS NOT INVOLVING SECURITIES,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106435,801-42023,"MFC GLOBAL INVESTMENT MANAGEMENT (U.S.), LLC","MFC GLOBAL INVESTMENT MANAGEMENT (U.S.), LLC",101 HUNTINGTON AVENUE,,BOSTON,MA,UNITED STATES,2199,617-375-1500,617-375-1666,,,,,,,Approved,8/4/1992,6/29/2010,Y,WWW.MFCGLOBAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,5-Jan,0,More than 500,"4,500",51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,"ENDOWMENTS, FOUNDATIONS AND TRUST ACCOUNTS",Y,N,N,N,N,N,N,,Y,"33,462,096,927.00","298,732,348.00","33,760,829,275.00","4,381",10,"4,391",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,Y,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y
DRO,114035,801-62180,STRATEGIES LLC,STRATEGIES LLC,1855 BLAKE STREET,SUITE 100,DENVER,CO,UNITED STATES,80202,303-926-9600,303-926-1613,,,,,,,Approved,6/24/2003,6/29/2010,Y,HTTP://WWW.STRATEGIES-LLC.NET,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"39,575,665.00","777,488,058.00","817,063,723.00",23,69,92,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108354,801-36095,FLAGSHIP CAPITAL MANAGEMENT INC,FLAGSHIP CAPITAL MANAGEMENT INC,2 WEST BALTIMORE AVENUE SUITE 200,,MEDIA,PA,UNITED STATES,19063,610-565-9580,610-565-9881,,,,,,,Approved,1/12/1990,4/7/2010,Y,WWW.FLAGSHIPCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"60,347,000.00","740,000.00","61,087,000.00",102,1,103,Y,Y,N,Y,N,Y,N,N,N,Y,SELECTION OF MUTUAL FUNDS,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,104214,801-62971,MKG CAPITAL ADVISORS,"MKG FINANCIAL GROUP, INC.",1500 SW FIRST AVE.,SUITE 1000,PORTLAND,OR,UNITED STATES,97201-5834,503-226-6700,503-226-6726,,,,,,,Approved,4/7/2004,4/7/2010,Y,WWW.MKGFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"23,867,121.00","3,410,589.00","27,277,710.00",250,18,268,Y,Y,N,Y,N,N,N,N,N,Y,DISCRETIONARY BROKERAGE SERVICES,0,,N,N,Y,N,N,N,N,N,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y
SFRO,128678,801-62944,"VANCE CAPITAL MANAGEMENT, LLC","VANCE, ROBERT, MORGAN",14570 MONO WAY,SUITE A,SONORA,CA,UNITED STATES,95370,(209) 533-8404,209-533-1638,14570 MONO WAY,SUITE A,SONORA,CA,UNITED STATES,95370,Approved,3/26/2004,4/7/2010,Y,WWW.VANCECM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,500,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,Y,RETAINERS,Y,"49,215,963.00","600,000.00","49,815,963.00","1,029",1,"1,030",Y,Y,N,Y,N,Y,Y,N,Y,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,104540,801-21230,LAKESIDE ADVISORS INC,LAKESIDE ADVISORS INC,1115 EAST DENNY WAY,,SEATTLE,WA,UNITED STATES,98122-2427,206-285-1730,206-267-2316,,,,,,,Approved,5/10/1984,4/7/2010,Y,HTTP://WWW.LAKESIDEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"169,498,000.00",0,"169,498,000.00",441,0,441,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107160,801-19762,PAYDEN & RYGEL,PAYDEN & RYGEL,333 S. GRAND AVENUE,32ND FLR.,LOS ANGELES,CA,UNITED STATES,90071,213-625-1900,213-628-8488,,,,,,,Approved,9/8/1983,4/7/2010,Y,WWW.PAYDEN.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,251-500,0,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,0 percent,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"47,581,070,458.00",0,"47,581,070,458.00",255,0,255,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,Y,N,N,N,N,,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109138,801-56223,"VANTAGEPOINT INVESTMENT ADVISERS, LLC","VANTAGEPOINT INVESTMENT ADVISERS, LLC",777 NORTH CAPITOL STREET N.E.,SUITE 600,WASHINGTON,DC,UNITED STATES,20002-4240,202-962-4600,202-962-4601,,,,,,,Approved,1/22/1999,4/7/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"16,740,983,824.00",0,"16,740,983,824.00",30,0,30,N,N,Y,N,N,Y,N,N,N,Y,MANAGER OF MANAGERS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,115013,801-69322,"PBGH FINANCIAL ADVISORS, INC.","PBGH FINANCIAL ADVISORS, INC.",725 JACKSON STREET,SUITE 210,FREDERICKSBURG,VA,USA,22401,540-371-3566,540-371-3598,,,,,,,Approved,7/14/2008,4/8/2010,Y,WWW.PBGHFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"49,263,416.00",0,"49,263,416.00",454,0,454,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,123805,801-64011,"LCV WEALTH MANAGEMENT, LTD.","LCV WEALTH MANAGEMENT, LTD.",4949 HARRISION AVENUE,SUITE 300,ROCKFORD,IL,UNITED STATES,61125-0407,815-399-7700,815-399-7644,4949 HARRISION AVENUE,"SUITE 300, P.O. BOX 5407",ROCKFORD,IL,UNITED STATES,61125-0407,Approved,3/25/2005,4/8/2010,Y,WWW.LCVCPA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"26,695,439.00","53,450,686.00","80,146,125.00",94,252,346,Y,Y,N,N,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,119139,801-66686,"KRAFT ASSET MANAGEMENT, LLC","KRAFT ASSET MANAGEMENT, LLC",555 GREAT CIRCLE ROAD,SUITE 200,NASHVILLE,TN,UNITED STATES,37228,615-782-4264,615-782-4271,,,,,,,Approved,5/4/2006,4/8/2010,Y,WWW.KRAFTASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"96,097,104.00",0,"96,097,104.00",295,0,295,N,Y,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105402,801-12695,WITTER WILLIAM D INC,WITTER WILLIAM D INC,153 E 53RD STREET,SUITE 5100,NEW YORK,NY,USA,10022-4611,212-753-7878,212-486-7697,,,,,,,Approved,2/23/1977,5/7/2009,Y,WWW.WDWITTER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,TRUST,Y,N,N,N,N,Y,N,,Y,"344,217,141.00","17,825,309.00","362,042,450.00",24,2,26,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114431,801-64326,"LAUTERBACH FINANCIAL ADVISORS, LLC","LAUTERBACH FINANCIAL ADVISORS, LLC","4130 RIO BRAVO DRIVE, STE. B-100",,EL PASO,TX,UNITED STATES,79902,915-544-6950,915-544-1303,,,,,,,Approved,6/6/2005,4/8/2010,Y,WWW.LFA-IA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"140,662,947.00","9,504,005.00","150,166,952.00",547,7,554,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,151965,801-70758,INROADS CAPITAL MANAGEMENT LLC,INROADS CAPITAL MANAGEMENT LLC,"SUITE 2020, ONE RIVERWAY",,HOUSTON,TX,UNITED STATES,77056,713-595-1460,713-595-1461,,,,,,,Approved,12/4/2009,4/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,10-Jun,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"144,600,000.00",0,"144,600,000.00",426,0,426,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,105951,801-14704,WARWICK PARTNERS,WARWICK INVESTMENT MANAGEMENT INC,4444 CARTER CREEK PARKWAY,SUITE 109,BRYAN,TX,USA,77802,979-260-9777,979-260-9712,,,,,,,Approved,7/19/1979,4/8/2010,Y,WWW.WARWICKPARTNERS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"360,000,000.00","360,000,000.00",0,611,611,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,130198,801-62718,ORG PORTFOLIO MANAGEMENT LLC,ORG PORTFOLIO MANAGEMENT LLC,3733 PARK EAST DRIVE,SUITE 210,BEACHWOOD,OH,UNITED STATES,44122,216-468-0055,216-468-0054,,,,,,,Approved,2/20/2004,4/8/2010,Y,WWW.ORGREALPROPERTY.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,51-75 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"142,800,000.00","1,301,000,000.00","1,443,800,000.00",6,10,16,N,N,N,Y,Y,Y,N,N,N,Y,QPAM AND INDEPENDENT FIDUCIARY SERVICE,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,132310,801-66112,"GELLER & LEHMANN, LLC","GELLER & LEHMANN, LLC",10749 FALLS ROAD,STE 202,LUTHERVILLE,MD,UNITED STATES,21093,410 583-5540,410 583-5596,,,,,,,Approved,2/1/2006,4/8/2010,Y,WWW.GELLERLEHMANN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,Y,0,"125,000,000.00","125,000,000.00",0,15,15,Y,Y,N,N,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,Y,CPA/CFP - ACCOUNTING/TAX/PFP,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,140580,801-67282,JOHNS & WILKINSON LLC,JOHNS & WILKINSON LLC,3012 FONTANA DRIVE,,AUSTIN,TX,UNITED STATES,78704-6330,512-445-2800,646-619-4761,,,,,,,Approved,11/17/2006,4/8/2010,Y,WWW.JOHNSANDWILKINSON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"27,675,000.00",0,"27,675,000.00",186,0,186,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,127606,801-67157,"OLIVER CAPITAL MANAGEMENT, INC.","OLIVER CAPITAL MANAGEMENT, INC.",601 UNION STREET,42ND FLOOR,SEATTLE,WA,UNITED STATES,98101-4036,206-652-3500,206-652-3551,,,,,,,Approved,9/27/2006,4/8/2010,Y,WWW.OLIVERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"76,000,000.00","76,000,000.00",0,750,750,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,111025,801-11913,CONSOLIDATED PLANNING CORP,CONSOLIDATED PLANNING CORP,400 COLONY SQUARE,STE 525,ATLANTA,GA,USA,30361,404-892-1995,404-892-1970,,,,,,,Approved,8/6/1976,4/8/2010,Y,WWW.RAYMONDJAMES.COM/CPCADVISORS,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISORY FEES,Y,"197,768,551.00","29,484,266.00","227,252,817.00",474,64,538,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,Y,N,N,N,Y,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131845,801-63257,HAYGROUND COVE ASSOCIATES LP,HAYGROUND COVE ASSOCIATES LP,1370 AVENUE OF THE AMERICAS,28TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-445-7800,212-445-7801,,,,,,,Approved,7/8/2004,4/8/2010,Y,WWW.HAYGROUNDCOVE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"289,866,502.00",0,"289,866,502.00",7,0,7,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,114596,801-58163,SLAYTON LEWIS INC,SLAYTON LEWIS INC,22 EAST 100 SOUTH,THIRD FLOOR,SALT LAKE CITY,UT,UNITED STATES,84111,801-521-2191,801-532-2753,,,,,,,Approved,12/21/2000,4/8/2010,Y,WWW.SLAYTONLEWIS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"116,837,000.00",0,"116,837,000.00",130,0,130,Y,Y,N,N,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,121968,801-69907,"TITAN FINANCIAL SERVICES, INC.","TITAN FINANCIAL SERVICES, INC.",,,,,,,301-870-7750,301-870-4740,3215 LEONARDTOWN ROAD,,WALDORF,MD,UNITED STATES,20604,Approved,2/19/2009,4/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,"40,000,000.00","40,000,000.00",0,7,7,Y,N,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,152588,801-70979,MIMCO,"MISSISSIPPI INVESTMENT MANAGEMENT CO., LLC",2630 RIDGEWOOD ROAD,SUITE B,JACKSON,MS,UNITED STATES,39216,601-366-7200,601-366-7300,,,,,,,Approved,1/14/2010,4/8/2010,Y,WWW.MYMIMCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"48,839,361.00",0,"48,839,361.00",74,0,74,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106705,801-27959,"W.E. DONOGHUE & CO., INC.",DONOGHUE W E & CO INC,629 WASHINGTON STREET,,NORWOOD,MA,UNITED STATES,2062,800-642-4276,774-290-0006,,,,,,,Approved,9/5/1986,4/8/2010,Y,WWW.DONOGHUE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,Nov-50,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"85,000,000.00","250,000,000.00","335,000,000.00",600,"2,000","2,600",N,Y,N,Y,N,N,N,N,Y,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114894,801-64165,"USF SERVICES, LLC","USF SERVICES, LLC",3934 FM 1960 WEST,SUITE 310,HOUSTON,TX,UNITED STATES,77068,713-341-4700,281-397-6766,,,,,,,Approved,4/8/2005,5/8/2009,Y,WWW.USFIDUCIARY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,51-250,0,More than 500,"1,000",51-75 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"513,724,497.00","61,065,060.00","574,789,557.00","2,531",372,"2,903",N,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT CONSULTING TO OTHER FINANCIAL ADVISORS AND RETIREMENT PLANS,0,,Y,Y,N,N,N,N,N,N,N,,Y,Y,Y,Y,N,Y,Y,N,N,N,Y,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104866,801-28763,"FOXHALL CAPITAL MANAGEMENT, INC.","FOXHALL CAPITAL MANAGEMENT, INC.",35 OLD TAVERN RD,,ORANGE,CT,UNITED STATES,6477,203-891-8377,203-891-8382,,,,,,,Approved,1/16/1987,4/8/2010,Y,WWW.FOXHALLCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,Nov-50,0,More than 500,"7,000",More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"742,326,101.00",0,"742,326,101.00","7,221",0,"7,221",N,Y,Y,Y,N,N,Y,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,119236,801-63537,"PROFESSIONAL ADVISORY RESOURCES, LLC","PROFESSIONAL ADVISORY RESOURCES, LLC",500 COLONIAL CENTER PARKWAY,SUITE 600,ROSWELL,GA,UNITED STATES,30076,770-998-8721,770-992-4733,,,,,,,Approved,10/5/2004,4/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"120,299,768.00","120,299,768.00",0,508,508,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,121757,801-69899,"SOUTHEAST FINANCIAL ADVISORS, LLC","SOUTHEAST FINANCIAL ADVISORS, LLC",750 EXECUTIVE CENTER DRIVE,SUITE 102; B-32,GREENVILLE,SC,UNITED STATES,29615,864-284-6511,864-284-6512,,,,,,,Approved,2/19/2009,4/22/2010,Y,WWW.SOUTHEASTFINANCIALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"39,264,849.00","891,057.00","40,155,906.00",868,37,905,Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,148240,801-70081,"FULCRUM STRATEGY, LLC","FULCRUM STRATEGY, LLC",200 PARK AVENUE,24TH FLOOR,NEW YORK,NY,UNITED STATES,10166,212-667-4395,212-667-4959,,,,,,,Approved,6/22/2009,4/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"25,482,095.00",0,"25,482,095.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,Y,Y,N,N,N,Y,N,N,N,N
NYRO,153623,801-71356,"PALADIN STRATEGIC PARTNERS HOLDINGS, LLC","PALADIN STRATEGIC PARTNERS HOLDINGS, LLC",140 EAST 45TH STREET,33RD FLOOR,NEW YORK,NY,UNITED STATES,10017,212-488-5382,212-488-5391,,,,,,,120-Day Approval,4/19/2010,4/22/2010,Y,WWW.PALADINSP.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,Y,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,117737,801-66155,"MUSTARD SEED FINANCIAL, LLC","MUSTARD SEED FINANCIAL, LLC",202 S. PINE,,MAGNOLIA,AR,UNITED STATES,71753,870-234-1618,870-234-0373,P.O. BOX 9304,,MAGNOLIA,AR,UNITED STATES,71754,Approved,5/2/2006,4/22/2010,Y,WWW.MUSTARDSEEDFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AR,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"81,627,803.00",0,"81,627,803.00",694,0,694,Y,Y,N,Y,N,N,Y,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106604,801-53342,ABENS FINANCIAL SERVICES INC,ABENS FINANCIAL SERVICES INC,4920 LINCOLN DRIVE,,EDINA,MN,UNITED STATES,55436,952-933-9650,952-933-9680,,,,,,,Approved,12/9/1996,4/22/2010,Y,WWW.ABENS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,FAMILY LP,Y,Y,N,Y,N,N,N,,Y,"47,152,679.00",0,"47,152,679.00",87,0,87,Y,Y,N,Y,Y,N,N,N,N,Y,BUSINESS CONSULTING AND VALUATIONS,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,Y,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,142599,801-67385,"A-V CAPITAL MANAGEMENT, LLC","A-V CAPITAL MANAGEMENT, LLC",111 VETERANS BLVD.,SUITE 120,METAIRE,LA,UNITED STATES,70005,504-831-3537,504-831-3595,,,,,,,Approved,1/3/2007,4/22/2010,Y,WWW.A-VCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"23,300,000.00","16,000,000.00","39,300,000.00",107,30,137,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151559,801-70719,HPM PARTNERS LLC,HPM PARTNERS LLC,6 EAST 43RD ST.,,NEW YORK,NY,UNITED STATES,10017,917-262-5402,917-262-5410,,,,,,,Approved,10/22/2009,4/22/2010,Y,WWW.HPMPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"53,347,038.00","5,423,254.00","58,770,292.00",73,10,83,Y,Y,N,Y,N,Y,N,N,N,Y,TAX SERVICES,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,705,801-10418,"RAYMOND JAMES & ASSOCIATES, INC.","RAYMOND JAMES & ASSOCIATES, INC.",880 CARILLON PARKWAY,,ST PETERSBURG,FL,USA,33716,727-567-1000,727-567-8668,,,,,,,Approved,12/19/1974,4/22/2010,Y,HTTP://WWW.RAYMONDJAMES.COM/RJA/INDEX.HTM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,More than 1000,"5,000",More than 1000,"2,000",More than 1000,"3,000",Nov-50,0,More than 500,"76,500",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"18,539,457,666.00","6,882,818,990.00","25,422,276,656.00","89,827","26,586","116,413",Y,Y,N,Y,Y,Y,N,N,N,Y,ASSET ALLOCATION,251-500,,Y,Y,Y,N,Y,N,N,N,Y,ALTERNATIVE INVESTMENTS,N,,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
PLRO,123095,801-64105,"ANNAPOLIS FINANCIAL SERVICES, LLC","ANNAPOLIS FINANCIAL SERVICES, LLC",,,,,,,410-626-8198,410-626-8199,,,,,,,Approved,4/13/2005,4/23/2010,Y,WWW.ANNAPOLISFEEONLY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"57,418,750.00",0,"57,418,750.00",36,0,36,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,120286,801-67589,CLIENTFIRST WEALTH MANAGEMENT,CLIENTFIRST WEALTH MANAGEMENT,1501 NORTH UNIVERSITY,SUITE 615,LITTLE ROCK,AR,UNITED STATES,72207,501-603-0406,501-603-0405,,,,,,,Approved,3/26/2007,4/23/2010,Y,WWW.CLIENTFIRSTWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"191,622,245.00",0,"191,622,245.00",99,0,99,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107991,801-56192,CLARK & STUART INC,CLARK & STUART INC,2385 CONGRESS ST,,PORTLAND,ME,UNITED STATES,04102-1932,207-775-1140,207-828-6327,,,,,,,Approved,2/2/1999,4/23/2010,Y,WWW.CLARKANDSTUART.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,ME,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"42,401,274.00",0,"42,401,274.00",160,0,160,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N
NYRO,147831,801-69655,COPPICE ASSET MANAGEMENT,"COPPICE ASSET MANAGEMENT, LLC",101 S. SALINA ST.,SUITE 750,SYRACUSE,NY,UNITED STATES,13202,315-476-8200,,6384 STUART ST.,,THE PLAINS,VA,UNITED STATES,20198,Approved,10/6/2008,4/23/2010,Y,WWW.COPPICEASSET.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"20,000,000.00",0,"20,000,000.00",2,0,2,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,2882,801-46585,"ING FINANCIAL PARTNERS, INC","ING FINANCIAL PARTNERS, INC",909 LOCUST STREET,,DES MOINES,IA,USA,50309,1-800-356-2906,515-698-7886,,,,,,,Approved,7/11/1994,4/23/2010,Y,WWW.INGFINANCIALPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,More than 1000,"1,070",More than 1000,"1,070",More than 1000,"1,070",0,0,More than 500,"15,000",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"212,704,179.00","2,480,679,284.00","2,693,383,463.00","1,086","14,021","15,107",Y,Y,N,N,N,Y,N,N,N,N,,More than 500,1000,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
FWRO,115798,801-69039,"INDEPENDENT FINANCIAL ADVISORS, INC.","INDEPENDENT FINANCIAL ADVISORS, INC.",8410 COUNTS MASSIE ROAD,,NORTH LITTLE ROCK,AR,UNITED STATES,72113,501-753-0808,501-753-6706,P.O. BOX 13986,,MAUMELLE,AR,UNITED STATES,72113,Approved,4/21/2008,4/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"33,000,000.00","20,000.00","33,020,000.00",120,1,121,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106928,801-46616,BRADLEY FOSTER & SARGENT INC,BRADLEY FOSTER & SARGENT INC,185 ASYLUM STREET,CITY PLACE II,HARTFORD,CT,UNITED STATES,6103,860-527-8050,860-527-0775,,,,,,,Approved,5/31/1994,4/23/2010,Y,WWW.BFSINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,231,693,771.00","35,249,255.00","1,266,943,026.00","1,717",17,"1,734",N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107758,801-45426,UBS REALTY INVESTORS LLC,UBS REALTY INVESTORS LLC,242 TRUMBULL STREET,,HARTFORD,CT,USA,06103-1212,860-616-9000,860-616-9104,,,,,,,Approved,1/5/1994,4/23/2010,Y,WWW.UBS.COM/REALESTATE,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,251-500,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,11-25 percent,Up to 10 percent,26-50 percent,Up to 10 percent,"E.G., SOVEREIGN NATIONS, QUASI-GOVERNMENT, FOUNDATIONS",Y,N,N,Y,N,Y,Y,REAL ESTATE ACQUISITION/DISPOSITION FEES,N,0,0,0,0,0,0,N,N,N,Y,Y,N,N,N,N,Y,ASSET MANAGEMENT,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,,Y,N,Y,N,N,N,Y,N,Y,N,Y,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N
PLRO,105510,801-19548,"HENRY H. ARMSTRONG ASSOCIATES, INC.","HENRY H. ARMSTRONG ASSOCIATES, INC.",ONE GATEWAY CENTER,"420 FT. DUQUESNE BLVD, STE 1825",PITTSBURGH,PA,UNITED STATES,15222,412-471-1551,412-471-7828,,,,,,,Approved,7/29/1983,4/23/2010,Y,WWW.HENRYARMSTRONG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"383,522,634.00","854,498.00","384,377,132.00",128,2,130,N,Y,N,Y,N,N,N,N,N,Y,PROVIDING INVESTMENT ADVICE FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,104919,801-16359,"PARSEC FINANCIAL MANAGEMENT, INC",PARSEC FINANCIAL MANAGEMENT INC,6 WALL ST,,ASHEVILLE,NC,USA,28801,828-255-0271,828-255-8951,P.O. BOX 2324,,ASHEVILLE,NC,USA,28802,Approved,9/14/1981,4/23/2010,Y,WWW.PARSECFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"892,012,029.00","95,842,004.00","987,854,033.00","3,671",242,"3,913",Y,Y,N,Y,Y,N,N,N,N,N,,More than 500,1000,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,151916,801-70888,"ARGI INVESTMENT SERVICES, LLC","ARGI INVESTMENT SERVICES, LLC",1914 STANLEY GAULT PARKWAY,,LOUISVILLE,KY,UNITED STATES,40223,502-753-0609,502-426-0247,,,,,,,Approved,1/4/2010,4/23/2010,Y,WWW.ARGIFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KY,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,0,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,PERCENTAGE FEE BASED ON ASSETS MANAGEDT BY 3RD  PARTY MANAGER,Y,"27,688,808.00",0,"27,688,808.00",81,0,81,Y,Y,N,N,N,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,111521,801-39899,"CAIN, WATTERS & ASSOCIATES, P.L.L.C.","CAIN, WATTERS & ASSOCIATES, P.L.L.C.",5580 PETERSON LANE,SUITE 250,DALLAS,TX,UNITED STATES,75240,972-233-3323,972-663-3799,,,,,,,Approved,9/30/1991,4/23/2010,Y,WWW.CAINWATTERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,More than 500,"1,500",26-50 percent,26-50 percent,0 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"933,626,601.00","933,626,601.00",0,"5,298","5,298",Y,Y,N,N,N,N,N,N,N,N,,More than 500,1500,Y,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
NYRO,142380,801-67345,"EDGE WEALTH MANAGEMENT, LLC","EDGE WEALTH MANAGEMENT, LLC",675 THIRD AVENUE,SUITE 2800,NEW YORK,NY,UNITED STATES,10017,212-682-0133,212-682-9592,,,,,,,Approved,12/4/2006,4/23/2010,Y,WWW.EDGEWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"380,000,000.00",0,"380,000,000.00",175,0,175,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,144546,801-68178,PAUL CAPITAL,PAUL CAPITAL INVESTMENTS LLC,50 CALIFORNIA ST.,SUITE 3000,SAN FRANCISCO,CA,UNITED STATES,94111,415-283-4300,415-283-4301,,,,,,,Approved,8/20/2007,4/23/2010,Y,WWW.PAULCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,REIMBURSEMENT OF COSTS,Y,"499,833,502.00",0,"499,833,502.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,121484,801-61336,"ABSOLUTE CAPITAL MANAGEMENT, LLC","ABSOLUTE CAPITAL MANAGEMENT, LLC",101 PENNSYLVANIA BLVD.,,PITTSBURGH,PA,USA,15228,412-388-1600,412-388-1900,,,,,,,Approved,9/22/2003,4/23/2010,Y,WWW.ABSCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,Nov-50,0,More than 500,"1,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"140,215,500.00",0,"140,215,500.00","1,715",0,"1,715",N,Y,N,N,N,N,N,N,Y,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N
NYRO,111089,801-27960,SENTINEL INVESTMENT MANAGEMENT CORP,SENTINEL INVESTMENT MANAGEMENT CORP,70 EAST 55TH STREET,17TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-277-7620,212-588-8902,,,,,,,Approved,9/19/1986,4/30/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"59,563,869.00",0,"59,563,869.00",132,0,132,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,152877,801-71115,HUDSON ADVISORS LLC,HUDSON ADVISORS LLC,"2711 N. HASKELL AVENUE, SUITE 1800",,DALLAS,TX,UNITED STATES,75204,214-754-8400,214-754-8401,,,,,,,Approved,3/11/2010,4/23/2010,Y,WWW.HUDSON-ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,251-500,0,51-250,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,238,375,889.00","32,915,533,778.00","34,153,909,667.00",4,10,14,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,Y,Y,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,128321,801-62350,PERSONAL CAPITAL CORPORATION,PERSONAL CAPITAL CORPORATION,"90 NEW MONTGOMERY, SUITE 250",,SAN FRANCISCO,CA,UNITED STATES,94105,415-284-2776,415-369-9517,,,,,,,Approved,9/26/2003,3/29/2010,Y,WWW.MYVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,More than 500,"1,500",51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"403,665,703.00","4,939,708.00","408,605,411.00","1,492",41,"1,533",N,Y,N,Y,N,N,N,N,N,N,,,,Y,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,131468,801-63391,"HILLSWICK ASSET MANAGEMENT, LLC","HILLSWICK ASSET MANAGEMENT, LLC",600 SUMMER STREET,SUITE 203,STAMFORD,CT,UNITED STATES,6901,203-425-1420,203-425-1432,,,,,,,Approved,7/30/2004,3/29/2010,Y,WWW.HILLSWICKASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,FOUNDATIONS & NON-PROFIT,Y,N,N,Y,N,Y,N,,Y,"1,299,089,499.00",0,"1,299,089,499.00",44,0,44,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108847,801-55439,SCHNEIDER CAPITAL MANAGEMENT CORP.,SCHNEIDER CAPITAL MANAGEMENT CORP,460 EAST SWEDESFORD RD,SUITE 2000,WAYNE,PA,USA,19087,610-687-8080,610-687-9150,,,,,,,Approved,5/5/1998,3/29/2010,Y,WWW.SCHNEIDERCAP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,26-50 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,11-25 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,862,000,000.00",0,"2,862,000,000.00",38,0,38,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,116776,801-61010,NEW YORK LIFE CAPITAL PARTNERS,NYLCAP MANAGER LLC,"51 MADISON AVENUE, 16TH FLOOR",,NEW YORK,NY,UNITED STATES,10010,212-576-6500,212-576-5591,,,,,,,Approved,4/5/2002,3/29/2010,Y,WWW.NYLIM.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"6,855,757,127.00",0,"6,855,757,127.00",16,0,16,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N
FWRO,147373,801-69223,"ESPOSITO PARTNERS, LLC","ESPOSITO PARTNERS, LLC",300 CRESCENT COURT,SUITE 650,DALLAS,TX,UNITED STATES,75201,214-855-2150,214-855-2160,,,,,,,Approved,6/10/2008,3/29/2010,Y,WWW.ESPOPARTNERS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"16,888,819.00","16,888,819.00",0,2,2,N,N,Y,N,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105381,801-32896,"MARTIN INVESTMENT MANAGEMENT, LLC","MARTIN INVESTMENT MANAGEMENT, LLC",1007 CHURCH STREET,SUITE 530,EVANSTON,IL,UNITED STATES,60201-5981,847-424-9124,847-424-9182,P. O. BOX 618,,WINNETKA,IL,UNITED STATES,60093-0618,Approved,9/16/1988,3/29/2010,Y,HTTP://WWW.MARTIN-INVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"66,238,734.00","24,202.00","66,262,936.00",84,1,85,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,142613,801-69425,"VANCEGRAY WEALTH MANAGEMENT, INC.","GRAY WEALTH MANAGEMENT, INC",128 BROADWAY,,BANGOR,ME,UNITED STATES,4401,207-992-2819,207-992-2862,,,,,,,Approved,8/1/2008,3/29/2010,Y,WWW.VANCEGRAY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,ME,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"37,000,000.00",0,"37,000,000.00",600,0,600,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,149347,801-69925,"CHERRY INVESTMENT ADVISORS, LTD.","CHERRY INVESTMENT ADVISORS, LTD.","13455 NOEL RD, SUITE 410",,DALLAS,TX,UNITED STATES,75240,972 450 6000,972 450 6001,,,,,,,Approved,2/3/2009,3/29/2010,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,ACTING AS A SOLICITOR FOR OTHER RIAS,Y,N,N,N,N,N,N,,Y,"758,705.00",0,"758,705.00",17,0,17,N,N,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109004,801-57755,"BRYSPEN, INCORPORATED","BRYSPEN, INCORPORATED",7 PIEDMONT CENTER,SUITE 300,ATLANTA,GA,UNITED STATES,30305-1530,404-233-1534,404-262-1500,,,,,,,Approved,8/3/2000,3/29/2010,Y,HTTP://WWW.BRYSPEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"70,286,931.00","70,286,931.00",0,218,218,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110303,801-3548,"ACCOUNT MANAGEMENT, LLC","ACCOUNT MANAGEMENT, LLC",17 ARLINGTON STREET,,BOSTON,MA,UNITED STATES,2116,617-236-4200,617-236-5863,,,,,,,Approved,8/15/1975,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"111,711,345.00",0,"111,711,345.00",51,0,51,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,111359,801-39597,ORLEANS CAPITAL MANAGEMENT CORP,ORLEANS CAPITAL MANAGEMENT CORP,830 WEST CAUSEWAY APPROACH,SUITE 1200,MANDEVILLE,LA,UNITED STATES,70471,504-592-4680,504-592-4689,P.O. BOX 1750,,MANDEVILLE,LA,UNITED STATES,70470,Approved,8/2/1991,3/29/2010,Y,WWW.ORLEANSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"1,588,298,947.00",0,"1,588,298,947.00",235,0,235,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109876,801-60014,REED CONNER & BIRDWELL LLC,REED CONNER & BIRDWELL LLC,"11111 SANTA MONICA BLVD, SUITE 1700",,LOS ANGELES,CA,UNITED STATES,90025,310-478-4005,310-478-8496,,,,,,,Approved,2/8/2001,3/29/2010,Y,WWW.RCBINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,10-Jun,0,More than 500,"1,000",Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,TAFT HARTLEY HEALTH TRUST,Y,N,N,Y,N,N,N,,Y,"1,617,108,638.00",0,"1,617,108,638.00",872,0,872,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107066,801-35529,"OAK RIDGE INVESTMENTS, LLC","OAK RIDGE INVESTMENTS, LLC",10 SOUTH LASALLE STREET,SUITE 1900,CHICAGO,IL,USA,60603,312-857-1040,312-857-1055,,,,,,,Approved,12/8/1989,3/29/2010,Y,WWW.OAKRIDGEINVEST.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,More than 500,"6,000",26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,"ENDOWMENTS, FOUNDATIONS, ETC",Y,N,N,N,N,N,N,,Y,"2,510,600,000.00",0,"2,510,600,000.00","5,776",0,"5,776",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,Y,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
BRO,149639,801-70231,"PEMBERWICK INVESTMENT ADVISORS, LLC","PEMBERWICK INVESTMENT ADVISORS, LLC",340 PEMBERWICK ROAD,,GREENWICH,CT,UNITED STATES,6831,203-869-0900,203-869-9543,,,,,,,Approved,6/4/2009,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"142,094,030.00",0,"142,094,030.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,151670,801-70706,PCJ INVESTMENT COUNSEL LTD.,PCJ INVESTMENT COUNSEL LTD.,181 UNIVERSITY AVENUE,SUITE 300,"TORONTO, ONTARIO",,CANADA,M5H 3M7,416-955-9990,416-363-2089,,,,,,,Approved,10/28/2009,3/29/2010,Y,WWW.PCJ.CA,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,934,566,959.00",0,"1,934,566,959.00",34,0,34,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,112332,801-56643,INTERCONTINENTAL REAL ESTATE CORPORATION,INTERCONTINENTAL REAL ESTATE CORPORATION,1270 SOLDIERS FIELD RD,,BOSTON,MA,USA,02135-1003,617-782-2600,617-782-9442,,,,,,,Approved,7/23/1999,3/29/2010,Y,WWW.INTERCONTINENTAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,SEE SCHEDULE D - MISCELLANEOUS.,Y,"1,924,025,398.00",0,"1,924,025,398.00",5,0,5,N,N,N,Y,N,N,N,N,N,Y,REAL ESTATE INVESTMENT MANAGEMENT,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110612,801-37963,BYSKO JOHN A ASSOCIATES,BYSKO JOHN A ASSOCIATES,100 HALLS ROAD,,OLD LYME,CT,UNITED STATES,6371,860-434-3632,860-434-5207,P.O. BOX 487,,OLD LYME,CT,UNITED STATES,06371-0487,Approved,1/3/1991,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"74,694,522.00",0,"74,694,522.00",216,0,216,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,133770,801-63996,SAAM INVESTMENTS,"SAAM INVESTMENTS, INC.","AVE. FEDERICO BOYD, EDIFICIO SCOTIA PLAZA",11TH FLOOR,PANAMA CITY,,REPUBLIC OF PANAMA,0816-03356,(507) 303-0129,(507) 303-0460,P.O. BOX 0816-03356,,PANAMA CITY,,REPUBLIC FO PANAMA,5,Approved,5/6/2005,3/29/2006,Y,WWW.SAAMINVESTMENTS.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,PANAMA,5-Jan,0,5-Jan,0,0,0,Nov-50,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,Y,N,N,,Y,"1,000,000.00","2,900,000.00","3,900,000.00",5,36,41,Y,Y,N,N,N,N,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,Y,FINANCIAL CONSULTANT,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,131008,801-66573,"DIVERSIFIED PORTFOLIO MANAGEMENT, LLC","DIVERSIFIED PORTFOLIO MANAGEMENT, LLC",2410 CENTRAL AVENUE,,DODGE CITY,KS,UNITED STATES,67801,620-225-6100,620-225-5007,,,,,,,Approved,4/17/2006,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"56,143,232.00",0,"56,143,232.00",463,0,463,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,132569,801-63466,"ALISON & HILL, LLC","ALISON & HILL, LLC",450 COUNTRY CLUB ROAD,SUITE 200,EUGENE,OR,UNITED STATES,97401,541-342-3433,541-342-7757,,,,,,,Approved,9/2/2004,3/29/2010,Y,WWW.ALISON-HILL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"52,310,000.00",0,"52,310,000.00",439,0,439,Y,Y,N,N,Y,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105890,801-48262,MORRIS CAPITAL ADVISORS INC,MORRIS CAPITAL ADVISORS INC,15 CHESTER COMMONS,,MALVERN,PA,USA,19355,610-722-0900,610-725-8003,,,,,,,Approved,2/24/1995,3/29/2010,Y,MORRISCAPITALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"131,448,950.00","1,441,187.00","132,890,137.00",141,11,152,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,Y,NONE,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111587,801-46901,AEGIS FINANCIAL CORPORATION,AEGIS FINANCIAL CORPORATION,1100 NORTH GLEBE RD,SUITE 1040,ARLINGTON,VA,USA,22201-7788,703-528-7788,703-528-1395,,,,,,,Approved,7/8/1994,3/29/2010,Y,WWW.AEGISFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"244,100,000.00",0,"244,100,000.00",110,0,110,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,130373,801-63451,LATTICE GROWTH PARTNERS LLC,LATTICE GROWTH PARTNERS LLC,"345 CALIFORNIA STREET, SUITE 2575",,SAN FRANCISCO,CA,USA,94104,415-315-1252,415-315-1256,,,,,,,Approved,8/18/2004,3/29/2010,Y,WWW.LATTICECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"70,857,846.00","3,800,000.00","74,657,846.00",13,1,14,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137980,801-66042,"PRAESIDIUM INVESTMENT MANAGEMENT COMPANY, LLC","PRAESIDIUM INVESTMENT MANAGEMENT COMPANY, LLC",747 THIRD AVENUE,35TH FLOOR,NEW YORK,NY,USA,10017,212-821-1495,212-821-1494,,,,,,,Approved,1/27/2006,3/29/2010,Y,WWW.PRAESIDIUMIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,ENDOWMENT,Y,N,N,N,N,Y,N,,Y,"135,101,965.00",0,"135,101,965.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107657,801-44173,BRANSON FOWLKES & CO INC,BRANSON FOWLKES & CO INC,3300 CHIMNEY ROCK RD.,100-B,HOUSTON,TX,UNITED STATES,77056-6659,713-780-0606,713-780-0072,,,,,,,Approved,6/22/1993,3/29/2010,Y,WWW.BRANSONFOWLKES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"160,564,468.00",0,"160,564,468.00",967,0,967,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,132879,801-63575,CONLON & DART LLC,CONLON & DART LLC,"200 W MERCER STREET, SUITE 511",,SEATTLE,WA,UNITED STATES,98119,206-728-0222,206-728-1255,,,,,,,Approved,11/15/2004,3/29/2010,Y,WWW.CONLONDART.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"192,453,848.00","8,587,650.00","201,041,498.00",179,5,184,Y,Y,N,Y,Y,N,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144078,801-69965,"BRIGADE CAPITAL MANAGEMENT, LLC","BRIGADE CAPITAL MANAGEMENT, LLC",399 PARK AVENUE,16TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-745-9700,212-745-9701,,,,,,,Approved,2/20/2009,3/29/2010,Y,WWW.BRIGADECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,SPECIAL PURPOSE VEHICLES,Y,N,N,N,N,Y,Y,COMPENSATION DURING WAREHOUSING PERIOD,Y,"5,915,653,423.00",0,"5,915,653,423.00",23,0,23,N,N,Y,Y,N,N,N,N,N,Y,INVESTMENT AND SUB-ADVISORY SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,148283,801-69703,"TRIBECA ADVISORS, LLC","TRIBECA ADVISORS, LLC",1635 N. GREENFIELD ROAD,SUITE 115,MESA,AZ,UNITED STATES,85205,480-248-6400,480-248-6444,,,,,,,Approved,10/31/2008,3/29/2010,Y,TRIBECAADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"94,556,649.00",0,"94,556,649.00",540,0,540,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,Y,N,N,N,Y,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,113245,801-60441,"TRIBECA FINANCIAL, LLC","TRIBECA FINANCIAL, LLC",1635 N. GREENFIELD ROAD,SUITE 115,MESA,AZ,UNITED STATES,85205,480-248-6400,480-248-6444,,,,,,,Approved,7/27/2001,3/29/2010,Y,WWW.TRIBECAFINANCIAL.US,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"40,605,007.00",0,"40,605,007.00",165,0,165,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,Y,N,N,N,Y,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,112058,801-58105,"ADVISED ASSETS GROUP, LLC","ADVISED ASSETS GROUP, LLC",8515 EAST ORCHARD RD,10T2,GREENWOOD VILLAGE,CO,USA,80111,303-737-5724,303-737-3827,,,,,,,Approved,11/22/2000,3/29/2010,Y,WWW.ADVISEDASSETSGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,Nov-50,0,Nov-50,0,0,0,251-500,0,More than 500,"9,000",51-75 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"5,286,419,563.00","3,385,272,067.00","8,671,691,630.00","211,462","4,640","216,102",N,Y,N,Y,Y,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
PLRO,106576,801-19780,ARGYLE CAPITAL MANAGEMENT INC,ARGYLE CAPITAL MANAGEMENT INC,74 WEST MARKET STREET,,BETHLEHEM,PA,UNITED STATES,18018,610-997-3777,610-997-0757,,,,,,,Approved,9/20/1983,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"169,630,501.00",0,"169,630,501.00",169,0,169,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109585,801-54760,PROFUND ADVISORS LLC,PROFUND ADVISORS LLC,7501 WISCONSIN AVENUE,SUITE 1000 EAST TOWER,BETHESDA,MD,UNITED STATES,20814-6527,(240) 497-6400,(301) 634-4323,,,,,,,Approved,8/19/1997,3/29/2010,Y,HTTP://WWW.PROFUNDS.COM/,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,51-250,0,Nov-50,0,10-Jun,0,0,0,101-250,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"4,697,982,630.00",0,"4,697,982,630.00",127,0,127,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
MIRO,116156,801-68145,"JOSEPH CAPITAL MANAGEMENT, LLC","JOSEPH CAPITAL MANAGEMENT, LLC",2450 N. CITRUS HILLS BLVD.,,HERNANDO,FL,UNITED STATES,34442-5348,352-746-4460,352-746-0816,,,,,,,Approved,7/11/2007,7/23/2010,Y,WWW.JOSEPHCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"98,218,572.00","19,523,727.00","117,742,299.00",539,90,629,Y,Y,N,Y,Y,Y,Y,N,N,Y,CONSULTING SERVICE,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,145090,801-71661,"HARFST AND ASSOCIATES, INC.","HARFST AND ASSOCIATES, INC.",389 E. MAIN STREET,,ASHLAND,OR,UNITED STATES,97520,541-488-2634,541-488-0599,,,,,,,Approved,7/21/2010,7/23/2010,Y,WWW.HARFSTANDASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"160,000,000.00","20,000,000.00","180,000,000.00",782,63,845,Y,Y,N,Y,Y,Y,N,N,N,Y,INVESTMENT RECOMMENDATION AND MONITORING SERVICES,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104925,801-29045,DORSEY WRIGHT MONEY MANAGEMENT,"DORSEY, WRIGHT & ASSOCIATES, INC.",9201 FOREST HILL AVENUE,SUITE 100,RICHMOND,VA,USA,23235,804-320-8511,804-320-8577,,,,,,,Approved,3/6/1987,7/23/2010,Y,DORSEYWRIGHT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,Nov-50,0,More than 500,665,51-75 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,Y,Y,N,N,N,,Y,"168,961,794.00",0,"168,961,794.00",717,0,717,N,Y,Y,Y,N,N,Y,N,N,Y,"SEMINARS, CHART SERVICES",,,N,Y,N,N,Y,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,141750,801-67140,PBL CAPITAL,"PBL CAPITAL, L.P.",12200 STEMMONS FREEWAY,SUITE 316-A,DALLAS,TX,UNITED STATES,75234,214-934-2514,972-247-7313,,,,,,,Approved,9/29/2006,7/23/2010,Y,HTTP://WWW.PBLCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,Y,N,,Y,"510,735,456.00",0,"510,735,456.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,140281,801-67249,"FINANCIAL WEALTH MANAGEMENT, LLC","FINANCIAL WEALTH MANAGEMENT, LLC",6417 ODANA RD.,,MADISON,WI,UNITED STATES,53719,608-276-9691,608-276-1343,,,,,,,Approved,11/25/2006,7/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"58,451,000.00","2,000,000.00","60,451,000.00",217,5,222,Y,Y,N,N,N,Y,N,N,N,Y,INVESTMENT CONSULTING,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,143732,801-67924,"NEWFLEET ASSET MANAGEMENT, INC.","NEWFLEET ASSET MANAGEMENT, INC.",100 PEARL STREET,8TH FLOOR,HARTFORD,CT,UNITED STATES,6103,800-248-7971,860-241-1028,,,,,,,Approved,6/8/2007,7/23/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,CT,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,"NO CURRENT CLIENTS OF ADVISOR, PROSPECTIVE CLIENTS TO INCLUDE (5), (6), (8) AND (9)",Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,3538,801-71636,"SUNSET FINANCIAL SERVICES, INC.","SUNSET FINANCIAL SERVICES, INC.",3520 BROADWAY,,KANSAS CITY,MO,USA,64111,816-753-7000,816-753-0464,PO BOX 219365,,KANSAS CITY,MO,USA,64121-9365,Approved,7/22/2010,7/23/2010,Y,WWW.SUNSETFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,501-1000,0,51-250,0,501-1000,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"7,855,705.00","29,412,189.00","37,267,894.00",41,163,204,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,Y,N,Y,N,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
NYRO,136069,801-64611,"NORMAN FIELDS, GOTTSCHO CAPITAL MANAGEMENT LLC","NORMAN FIELDS, GOTTSCHO CAPITAL MANAGEMENT LLC",444 MADISON AVE.,SUITE 300,NEW YORK,NY,UNITED STATES,10022,888-850-8891,212-830-8912,,,,,,,Approved,8/22/2005,7/23/2010,Y,WWW.FIELDSGOTTSCHO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"145,317,473.00",0,"145,317,473.00",206,0,206,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,137688,801-65385,MAN INVESTMENTS (USA) CORP.,MAN INVESTMENTS (USA) CORP.,123 NORTH WACKER DRIVE,SUITE 2800,CHICAGO,IL,UNITED STATES,60606,312-881-6800,312-881-6678,,,,,,,Approved,1/19/2006,7/23/2010,Y,WWW.MANINVESTMENTSUSA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,GENERAL PARTNER ADMINISTRATIVE FEE,Y,"643,077,101.00",0,"643,077,101.00",22,0,22,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110593,801-17378,COYLE ASSET MANAGEMENT CO,COYLE ASSET MANAGEMENT CO,2700 PATRIOT BLVD.,SUITE 440,GLENVIEW,IL,USA,60026,847-441-5644,847-441-5258,,,,,,,Approved,7/22/1982,7/23/2010,Y,WWW.COYLEASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"150,313,554.00","8,507,274.00","158,820,828.00",512,42,554,Y,Y,N,N,N,Y,Y,N,N,N,,101-250,,Y,N,N,N,N,N,Y,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,153961,801-71526,"HALL CAPITAL, LLC","HALL CAPITAL, LLC",350 W. COLORADO BLVD.,SUITE 215,PASADENA,CA,UNITED STATES,91105,626-578-5700,626-578-5710,,,,,,,120-Day Approval,6/22/2010,7/23/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,ENDOWMENTS AND FOUNDATIONS,Y,Y,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,128600,801-62908,CARPENTER ASSOCIATES,"CARPENTER, DAVID ALLAN","270 LITTLETON ROAD, SUITE 19",,WESTFORD,MA,UNITED STATES,1886,978-577-6025,978-577-6029,,,,,,,Approved,3/25/2004,7/23/2010,Y,WWW.CARPENTERASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"92,334,865.00","457,534.00","92,792,399.00",543,4,547,Y,Y,N,N,Y,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR NON-PROFITS,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,148456,801-69766,KACHING,KACHING GROUP INC.,203 FOREST AVENUE,,PALO ALTO,CA,UNITED STATES,94301,650-325-2717,800-366-1679,,,,,,,Approved,11/21/2008,7/23/2010,Y,WWW.KACHING.COM,N,N,N,N,N,N,N,N,N,Y,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"6,500,000.00",0,"6,500,000.00",311,0,311,N,Y,N,N,N,N,N,N,N,Y,PUBLISH MODEL PORTFOLIO INFORMATION,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,143282,801-67708,"HARBOR CAPITAL PARTNERS, LLC","HARBOR CAPITAL PARTNERS, LLC",7659 SOUTH MAIN STREET,700 WEST,MIDVALE,UT,UNITED STATES,84047,801-208-3701,801-208-3705,,,,,,,Approved,4/19/2007,7/23/2010,Y,WWW.HARBORCOMPANIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,0,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,THE ADVISOR RECEIVES PROFITS IN EXCESS OF A PREFERRED RETURN,Y,"25,000,000.00",0,"25,000,000.00",2,0,2,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110064,801-34048,OSTROFE FINANCIAL CONSULTANTS INC,OSTROFE FINANCIAL CONSULTANTS INC,565 BRUNSWICK RD,SUITE 15,GRASS VALLEY,CA,UNITED STATES,95945,530-273-4425,530-273-4891,,,,,,,Approved,4/21/1989,7/23/2010,Y,WWW.OSTROFEFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,N,N,N,Y,"12B-1 FEES, FEE-BASED OFFSET, HOURLY",Y,"50,692,979.00","95,318,209.00","146,011,188.00",458,"2,609","3,067",Y,Y,N,N,N,Y,N,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123252,801-63732,BUENA VISTA INVESTMENT MANAGEMENT LLC,BUENA VISTA INVESTMENT MANAGEMENT LLC,241 3RD STREET SOUTH,,WISCONSIN RAPIDS,WI,UNITED STATES,54494,715-422-0700,715-422-0704,P.O. BOX 1206,,WISCONSIN RAPIDS,WI,UNITED STATES,54495,Approved,1/3/2005,7/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"45,000,000.00",0,"45,000,000.00",147,0,147,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,150586,801-71711,"PFG ASSET MANAGEMENT, LLC","PFG ASSET MANAGEMENT, LLC",7441 N. TAMIAMI TRAIL,,SARASOTA,FL,UNITED STATES,34243,941-306-5888,941-306-5890,,,,,,,Approved,8/6/2010,7/23/2010,Y,WWW.PFGAM.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,Y,N,,Y,"30,805,000.00","5,000,000.00","35,805,000.00",45,150,195,Y,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT PARTNERSHIPS,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110045,801-17352,MFS INVESTMENT MANAGEMENT,MASSACHUSETTS FINANCIAL SERVICES COMPANY,500 BOYLSTON STREET,,BOSTON,MA,UNITED STATES,02116-3741,617-954-5000,617-954-7891,,,,,,,Approved,5/20/1982,7/23/2010,Y,WWW.MFS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,501-1000,0,Nov-50,0,51-250,0,0,0,101-250,0,0 percent,0 percent,0 percent,51-75 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"131,872,505,596.00",0,"131,872,505,596.00",245,0,245,N,N,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N
BRO,109684,801-39938,SUN CAPITAL ADVISERS LLC,SUN CAPITAL ADVISERS LLC,ONE SUN LIFE EXECUTIVE PARK,SC 2335,WELLESLEY HILLS,MA,UNITED STATES,02481-5699,781-446-3330,781-304-5122,,,,,,,Approved,10/28/1991,7/23/2010,Y,HTTP://WWW.SUNCAPITALADVISERS.COM/,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,10-Jun,0,0,0,26-100,0,0 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,"COST, OR % ABOVE COST, FROM CERTAIN AFFILIATES",Y,"48,511,789,782.00","604,083,352.00","49,115,873,134.00",54,5,59,N,N,Y,Y,Y,Y,N,N,N,Y,MORTGAGE AND REAL ESTATE ADVISORY AND ADMINISTRATIVE SERVICES,,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,139069,801-67407,THE MUTUAL FUND STORE,"TMFS MINNEAPOLIS, LLC",9483 GARLAND LANE NORTH,,MAPLE GROVE,MN,UNITED STATES,55311,763-494-8889,763-494-8804,1960 DONEGAL DRIVE,SUITE 40,WOODBURY,MN,UNITED STATES,55125,Approved,1/8/2007,7/23/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,700,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"114,411,632.00",0,"114,411,632.00","1,650",0,"1,650",Y,Y,N,N,Y,N,N,N,N,Y,GENERAL CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144970,801-68371,"FOCUSSHARES, LLC","FOCUSSHARES, LLC","210 SUMMIT AVENUE, SUITE C-11",,MONTVALE,NJ,UNITED STATES,7645,201-930-8500,,,,,,,,Approved,10/29/2007,7/23/2010,Y,WWW.FOCUSSHARES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,000,000.00",0,"25,000,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105872,801-14429,BOWMAN FINANCIAL MANAGEMENT,BOWMAN FINANCIAL MANAGEMENT CO INC,1330 F SMITH AVENUE,,BALTIMORE,MD,USA,21209,410-433-1900,410-433-3500,,,,,,,Approved,2/12/1979,5/14/2008,Y,WWW.BOWMAN-FINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"168,000,000.00",0,"168,000,000.00",124,0,124,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107461,801-53637,"BELDING FINANCIAL RESOURCES, INC.",BELDING FINANCIAL RESOURCES INC,"2121 SAGE RD., SUITE 270",,HOUSTON,TX,UNITED STATES,77056,713-622-1500,713-622-7894,,,,,,,Approved,1/14/1997,3/30/2010,Y,WWW.BFRINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"56,831,089.00",0,"56,831,089.00",137,0,137,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107134,801-48252,HEITMAN REAL ESTATE SECURITIES LLC,HEITMAN REAL ESTATE SECURITIES LLC,191 NORTH WACKER DRIVE,SUITE 2500,CHICAGO,IL,USA,60606-1615,312-849-4150,312-849-4141,,,,,,,Approved,1/24/1995,3/30/2010,Y,WWW.HEITMAN.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,"1,500",26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,580,675,071.00",0,"5,580,675,071.00","1,549",0,"1,549",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,145208,801-68609,EFG CAPITAL ASSET MANAGEMENT LLC,EFG CAPITAL ASSET MANAGEMENT LLC,"701 BRICKELL AVENUE, 9TH FLOOR",& SUITE 1250,MIAMI,FL,UNITED STATES,33131,305-482-8000,305-482-8200,,,,,,,Approved,1/3/2008,3/30/2010,Y,WWW.EFGCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,51-250,0,251-500,0,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE OF ASSETS UNDER ADVISORY,Y,"383,290,949.00","1,302,734,955.00","1,686,025,904.00",318,165,483,N,Y,N,Y,N,Y,N,N,N,Y,"NON-DISCRETIONARY, ASSETS UNDER ADVISORY",0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109586,801-55920,"STRAUSS FINANCIAL GROUP, INC.","STRAUSS FINANCIAL GROUP, INC.",2201 CAHABA VALLEY DRIVE,SUITE 200,BIRMINGHAM,AL,UNITED STATES,35242,205-967-9595,205-967-9114,,,,,,,Approved,9/28/1998,3/30/2010,Y,WWW.STRAUSSFINANCIAL.COM (UNDER CONSTRUCTION),N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"75,000,000.00",0,"75,000,000.00",285,0,285,Y,Y,N,Y,N,N,N,N,N,Y,"FURNISH ADVICE TO CLIENTS ON MATTERS NOT INVOLVING SECURITIES, I.E., REFINANCING A HOME.",10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,148500,801-69663,MADISON SQUARE INVESTORS LLC,MADISON SQUARE INVESTORS LLC,1180 AVENUE OF THE AMERICAS,,NEW YORK,NY,UNITED STATES,10036-8401,212-938-6500,212-938-8139,,,,,,,Approved,11/10/2008,3/30/2010,Y,WWW.MSINVESTORS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,NON-PROFIT ORGANIZATIONS,Y,N,N,N,N,Y,N,,Y,"13,552,186,465.00","119,698,064.00","13,671,884,529.00",86,1,87,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N
FWRO,148099,801-69527,HAVEN WEALTH GROUP,HAVEN WEALTH GROUP LLC,"1111 NORTH LOOP WEST, SUITE 1110",,HOUSTON,TX,UNITED STATES,77008-4721,713-980-8820,713-980-8053,,,,,,,Approved,9/12/2008,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"51,000,000.00",0,"51,000,000.00",90,0,90,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,Y,"CFA, CHARTERED FINANCIAL ANALYST",N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110294,801-52528,PROFIT INVESTMENT MANAGEMENT,"PROFIT INVESTMENT MANAGEMENT, LLC","8401 COLESVILLE RD, SUITE 320",,SILVER SPRING,MD,USA,20910,301-650-0059,301-650-0608,,,,,,,Approved,7/29/1996,3/30/2010,Y,WWW.PROFITFUNDS.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,694,833,775.00",0,"1,694,833,775.00",59,0,59,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,133705,801-63975,VIRTUS PRIVATE WEALTH MANAGEMENT,VIRTUS PRIVATE WEALTH MANAGEMENT,7004 BEE CAVE ROAD,BLDG 3 STE 300,AUSTIN,TX,UNITED STATES,78746,512.891.1200,512.891.1210,,,,,,,Approved,3/11/2005,3/30/2010,Y,WWW.VIRTUSPRIVATEWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"50,356,911.00","50,356,911.00",0,237,237,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,N,Y,Y,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107927,801-56605,VIKING FUND MANAGEMENT LLC,VIKING FUND MANAGEMENT LLC,1 MAIN ST NORTH,,MINOT,ND,UNITED STATES,58703,701-852-5292,701-852-2548,P.O. BOX 500,,MINOT,ND,UNITED STATES,58702,Approved,7/2/1999,3/30/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,ND,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"290,099,000.00",0,"290,099,000.00",14,0,14,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,143013,801-68052,"PROSPECTOR PARTNERS ASSET MANAGEMENT, LLC","PROSPECTOR PARTNERS ASSET MANAGEMENT, LLC",370 CHURCH STREET,,GUILFORD,CT,USA,6437,203-458-1500,203-458-0840,,,,,,,Approved,6/20/2007,3/30/2010,N,,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"63,151,974.00",0,"63,151,974.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,130101,801-62685,"KEYSTONE ASSET MANAGEMENT, INC.","KEYSTONE ASSET MANAGEMENT, INC.",1430 SPRING HILL RD,STE 425,MCLEAN,VA,UNITED STATES,22102,703-734-3400,703-734-3410,,,,,,,Approved,1/15/2004,3/30/2010,Y,WWW.KEYAMI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"105,000,000.00","13,000,000.00","118,000,000.00",91,5,96,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,124474,801-65391,"C.G. MANAGEMENT PARTNERS, L.P.","C.G.MANAGEMENT PARTNERS, L.P.","BLDG. 2, #140",3000 SAND HILL ROAD,MENLO PARK,CA,UNITED STATES,94025,650-854-4193,650-854-0154,,,,,,,Approved,2/6/2006,3/30/2010,Y,WWW.CYPRESSGROWTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"42,138,784.00",0,"42,138,784.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,127425,801-62163,"RAHLFS CAPITAL, LLC","RAHLFS CAPITAL, LLC",,,,,,,972-416-0553,972-416-6881,,,,,,,Approved,7/3/2003,3/30/2010,Y,WWW.RAHLFSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"154,544,636.00","19,275,589.00","173,820,225.00",30,9,39,N,Y,Y,Y,N,N,N,N,N,Y,SPECIFIC RESEARCH PROJECTS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,140249,801-66568,"HILTON HEAD FINANCIAL ADVISORS, INC.","HILTON HEAD FINANCIAL ADVISORS, INC.",3600 MAIN STREET,SUITE 200,HILTON HEAD,SC,USA,29926,843-681-8300,843-681-8317,P.O. BOX 21489,,HILTON HEAD,SC,USA,29925,Approved,5/30/2006,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"20,911,813.00","65,827,391.00","86,739,204.00",58,364,422,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137706,801-69926,SEMAPHORE MANAGEMENT LLC,SEMAPHORE MANAGEMENT LLC,320 PARK AVENUE,10TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-415-7240,212-415-7241,,,,,,,Approved,2/19/2009,3/30/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"141,600,000.00",0,"141,600,000.00",4,0,4,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107847,801-43503,KITZINGER LAUTMANN CAPITAL MANAGEMENT INC,KITZINGER LAUTMANN CAPITAL MANAGEMENT INC,330 E KILBOURN AVENUE,SUITE 1180,MILWAUKEE,WI,UNITED STATES,53202,414-765-1234,414-765-1237,,,,,,,Approved,3/11/1993,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,LIMITED PARTNERSHIP,Y,N,N,Y,N,N,N,,Y,"353,057,850.00",0,"353,057,850.00",330,0,330,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138139,801-65962,CASTLESTONE MANAGEMENT LLC,CASTLESTONE MANAGEMENT LLC,"610 5TH AVENUE, SUITE 602",,NEW YORK,NY,UNITED STATES,10020,212-387-9600,212-586-0850,,,,,,,Approved,4/12/2006,3/30/2010,Y,WWW.CASTLESTONEMANAGEMENT.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,OFFSHORE INVESTMENT MANAGER,N,N,N,Y,N,N,Y,MONTHLY FIXED FEE,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO ADVICE TO FOREIGN INVESTMENT COMPANIES,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,143681,801-67904,HEITMAN INTERNATIONAL REAL ESTATE SECURITIES GMBH,HEITMAN INTERNATIONAL REAL ESTATE SECURITIES GMBH,MAXIMILIAN STR. 35 A - 80539,,MUNICH,,GERMANY,,+89 (0) 24 218 296 114,+89 (0) 24 218 200,,,,,,,Approved,5/30/2007,3/30/2010,Y,WWW.HEITMAN.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),GERMAN COMPANY OF LIMITED LIABILITY (GMBH),,GERMANY,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"15,203,697.00",0,"15,203,697.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,128314,801-62666,TRADITION WEALTH MANAGEMENT LLC,TRADITION WEALTH MANAGEMENT LLC,7601 FRANCE AVENUE SOUTH,SUITE 100,EDINA,MN,UNITED STATES,55435,952-252-4692,952-252-4693,,,,,,,Approved,1/30/2004,3/30/2010,Y,WWW.TRADITIONWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"127,782,022.00","1,061,114.00","128,843,136.00",455,3,458,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108207,801-44704,LEGEND FINANCIAL ADVISORS INC,LEGEND FINANCIAL ADVISORS INC,"5700 CORPORATE DRIVE, SUITE 350",,PITTSBURGH,PA,USA,15237,412-635-9210,412-635-9213,,,,,,,Approved,9/14/1993,3/30/2010,Y,WWW.LEGEND-FINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"357,357,978.00",0,"357,357,978.00","1,557",0,"1,557",Y,Y,N,N,Y,Y,Y,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,145499,801-68500,"GLOBAL VIEW INVESTMENT ADVISORS, LLC","GLOBAL VIEW INVESTMENT ADVISORS, LLC",308 WEST STONE AVENUE,,GREENVILLE,SC,UNITED STATES,29609,864-335-9211,864-335-9691,,,,,,,Approved,11/21/2007,3/30/2010,Y,WWW.GLOBALVIEWINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"114,745,194.00","4,972,665.00","119,717,859.00",751,9,760,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,106207,801-48185,IGNIS INVESTMENT SERVICES LIMITED,IGNIS INVESTMENT SERVICES LIMITED,50 BOTHWELL STREET,,"GLASGOW, SCOTLAND",,UNITED KINGDOM,G2 6HR,011 44 141-222-8000,011 44 141-222-8355,,,,,,,Approved,11/14/1994,3/30/2010,Y,WWW.IGNISASSET.COM/INTERNATIONAL,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,501-1000,0,51-250,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"53,000,000.00",0,"53,000,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107196,801-39169,PETRA FINANCIAL ADVISORS INC,PETRA FINANCIAL ADVISORS INC,2 NORTH CASCADE AVE SUITE 720,,COLORADO SPRINGS,CO,UNITED STATES,80903-1626,719-636-9000,719-636-9151,,,,,,,Approved,6/27/1991,3/30/2010,Y,WWW.PETRAFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"95,546,096.00","834,539.00","96,380,635.00",564,39,603,Y,Y,N,N,N,Y,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,Y,"HEDGEFUND,RE DIRECT PARTICIPATION NO COMMISSION",N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,134950,801-68651,BENNINGFIELD FINANCIAL ADVISORS,"BENNINGFIELD, MILO MARK",THE PRESIDIO OF SAN FRANCISCO,"1016 LINCOLN BLVD, FIRST FLOOR",SAN FRANCISCO,CA,USA,94129-1700,415-561-6688,415-520-5800,,,,,,,Approved,1/2/2008,3/30/2010,Y,WWW.BENNINGFIELDADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"49,671,276.00",0,"49,671,276.00",123,0,123,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,108789,801-54792,"J.E. SIMMONS & CO., P.C.","J.E. SIMMONS & CO., P.C.",15770 N. DALLAS PARKWAY,SUITE 150,DALLAS,TX,UNITED STATES,75248,972-404-1040,972-404-1120,,,,,,,Approved,8/8/1997,3/30/2010,Y,WWW.JESIMMONS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"98,700,000.00","3,400,000.00","102,100,000.00",485,1,486,Y,Y,N,Y,N,Y,N,N,N,Y,BUSINESS CONSULTING AND CERTIFIED PUBLIC ACCOUNTANT,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109366,801-58156,"ALPHAMARK ADVISORS, LLC","ALPHAMARK ADVISORS, LLC","250 GRANDVIEW DRIVE, SUITE 175",,FT. MITCHELL,KY,UNITED STATES,41017,859-957-1803,859-957-1810,,,,,,,Approved,11/24/2000,3/30/2010,Y,WWW.ALPHAMARKADVISORS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"226,767,815.00","13,046,999.00","239,814,814.00",896,3,899,Y,Y,Y,Y,N,N,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,Y,N,N,,N,N,Y,N,Y,N,N,N,Y,N,Y,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106720,801-48820,DIMEO SCHNEIDER & ASSOCIATES LLC,DIMEO SCHNEIDER & ASSOCIATES LLC,500 WEST MADISON STREET,SUITE 3855,CHICAGO,IL,USA,60661-4593,312-853-1000,312-853-3352,,,,,,,Approved,3/27/1995,3/30/2010,Y,WWW.DIMEOSCHNEIDER.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,26-50 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"882,316,201.00","2,446,614,515.00","3,328,930,716.00",78,186,264,Y,Y,N,Y,Y,Y,N,N,N,Y,INVESTMENT CONSULTING FOR INDIVIDUALS AND FOUNDATIONS,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,109623,801-55267,"HESTER CAPITAL MANAGEMENT, L.L.C.","HESTER CAPITAL MANAGEMENT, L.L.C.",1301 S. MOPAC EXPRESSWAY,SUITE 350,AUSTIN,TX,UNITED STATES,78746,512-474-6657,512-474-5740,,,,,,,Approved,2/17/1998,3/30/2010,Y,WWW.HESTERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,253,216,813.00",0,"1,253,216,813.00",506,0,506,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110226,801-29829,SOL CAPITAL MANAGEMENT CO,SOL CAPITAL MANAGEMENT CO,111 ROCKVILLE PIKE,SUITE 750,ROCKVILLE,MD,USA,20850,301-881-3727,301-770-5346,,,,,,,Approved,6/19/1987,3/30/2010,Y,WWW.SOL-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,CONSULTING FEES,Y,"1,040,584,001.00","190,699,265.00","1,231,283,266.00",520,2,522,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,4138,801-70389,"AON BENFIELD SECURITIES, INC.","AON BENFIELD SECURITIES, INC.",200 EAST RANDOLPH STREET,,CHICAGO,IL,UNITED STATES,60601,312-381-4488,312-381-6185,,,,,,,Approved,7/10/2009,3/30/2010,Y,WWW.AON.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,INSURANCE AND REINSURANCE COMPANIES,N,N,N,Y,N,N,Y,SIZE/COMPLEXITY/PERFORMANCE OF HEDGE PROGRAM & FINANCIAL REPORTS,Y,"45,040,000.00",0,"45,040,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,Y,FAIRNESS OPINIONS,,,N,N,Y,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N
NYRO,106750,801-6709,"FRED ALGER MANAGEMENT, INC","FRED ALGER MANAGEMENT, INC",111 FIFTH AVENUE,,NEW YORK,NY,UNITED STATES,10003,212-806-8800,212-806-2994,,,,,,,Approved,7/15/1970,3/30/2010,Y,WWW.ALGER.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,51-250,0,Nov-50,0,51-250,0,0,0,More than 500,"6,000",More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,ENDOWMENTS & FOUNDATIONS,Y,N,N,Y,N,Y,N,,Y,"11,694,344,000.00","360,456,000.00","12,054,800,000.00","2,876",9,"2,885",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,Y
BRO,106003,801-45277,CAMBRIDGE ASSOCIATES LTD LLC,CAMBRIDGE ASSOCIATES LTD LLC,100 SUMMER STREET,,BOSTON,MA,USA,02110-2112,617-457-7500,617-457-7501,,,,,,,Approved,1/21/1994,3/30/2010,N,,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,Y,PERCENT OF ASSETS INVESTED,N,0,0,0,0,0,0,Y,N,N,N,Y,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114414,801-66555,"BARNETT FINANCIAL, INC.","BARNETT FINANCIAL, INC.",8500 BLUFFSTONE COVE,SUITE B-102,AUSTIN,TX,UNITED STATES,78759,512-454-5459,512-454-4050,CLIENT SERVICES,RR 2 BOX 192,JACKSONVILLE,TX,UNITED STATES,75766,Approved,5/1/2006,3/30/2010,Y,WWW.BARNETTFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"67,000,000.00",0,"67,000,000.00",384,0,384,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108644,801-54163,ROCKWOOD CAPITAL ADVISORS LLC,ROCKWOOD CAPITAL ADVISORS LLC,721 EMERSON ROAD SUITE 565,,ST. LOUIS,MO,UNITED STATES,63141,314-962-8336,314-962-1254,,,,,,,Approved,4/1/1997,3/30/2010,Y,WWW.ROCKWOODCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"426,962,355.00",0,"426,962,355.00",58,0,58,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107069,801-26950,ROUND HILL ASSET MANAGEMENT INC,ROUND HILL ASSET MANAGEMENT INC,180 S LAKE AVE,,PASADENA,CA,USA,91101-4775,626-431-2685,,,,,,,,Approved,5/15/1986,3/30/2010,Y,WWW.RHILL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"114,312,279.00",0,"114,312,279.00",196,0,196,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,153499,801-71295,NAPLES MONEY MANAGEMENT LLC,NAPLES MONEY MANAGEMENT LLC,3033 RIVIERA DR #105,,NAPLES,FL,UNITED STATES,34103,239-261-4800,239-261-2085,,,,,,,Approved,4/6/2010,8/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"94,400,778.00",0,"94,400,778.00",97,0,97,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110275,801-29607,KARPUS INVESTMENT MANAGEMENT,KARPUS MANAGEMENT INC,183 SULLY'S TRAIL,,PITTSFORD,NY,USA,14534,585-586-4680,585-389-1514,,,,,,,Approved,3/5/1987,8/16/2010,Y,WWW.KARPUS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,0,0,Nov-50,0,More than 500,"1,500",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,WRAP ACCOUNTS,Y,Y,N,N,N,N,N,,Y,"1,859,909,726.00","15,598,355.00","1,875,508,081.00","1,622",106,"1,728",N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106343,801-40372,WADDELL & REED INVESTMENT MANAGEMENT CO,WADDELL & REED INVESTMENT MANAGEMENT CO,6300 LAMAR AVE,,OVERLAND PARK,KS,USA,66202,913-236-2000,913-236-2725,,,,,,,Approved,1/8/1992,8/31/2010,Y,HTTP:/INSTITUTIONAL.WADDELL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,51-250,0,51-250,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,0 percent,0 percent,26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,TRUST ACCOUNTS,Y,N,N,N,N,Y,N,,Y,"33,425,403,929.00",0,"33,425,403,929.00",134,0,134,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,Y
DRO,123381,801-61515,IVY INVESTMENT MANAGEMENT COMPANY,IVY INVESTMENT MANAGEMENT COMPANY,6300 LAMAR AVENUE,,OVERLAND PARK,KS,UNITED STATES,66202,913.236.2000,913.236.2725,,,,,,,Approved,10/10/2002,8/31/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,FOREIGN INVESTMENT COMPANIES,Y,N,N,N,N,Y,N,,Y,"36,097,714,308.00",0,"36,097,714,308.00",49,0,49,N,N,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR FOREIGN INVESTMENT COMPANIES,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Y
CHRO,149830,801-70019,"VERUS INVESTMENT ADVISORY GROUP, INC.","VERUS INVESTMENT ADVISORY GROUP, INC.",5765 W. GRANDE MARKET DRIVE,,APPLETON,WI,UNITED STATES,54913,(920) 882-5299,(920) 735-9842,,,,,,,Approved,3/20/2009,8/31/2010,Y,WWW.VERUSIAG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"109,622,678.00",0,"109,622,678.00",651,0,651,Y,Y,N,Y,N,N,N,N,N,Y,INVESTMENT CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,115150,801-61306,WEAVER WEALTH MANAGEMENT,"WEAVER AND TIDWELL FINANCIAL ADVISORS, LTD",12221 MERIT DRIVE,SUITE 1400,DALLAS,TX,UNITED STATES,75251,972-960-1100,972-960-7526,,,,,,,Approved,7/5/2002,8/31/2010,Y,WWW.WEAVERLLP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"187,730,253.00","42,452,811.00","230,183,064.00",235,80,315,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,126111,801-61970,CONCORD ASSET MANAGEMENT,"CONCORD ASSET MANAGEMENT, LLC",150 SOUTH WACKER DRIVE,SUITE 3200,CHICAGO,IL,UNITED STATES,60606,312-236-1166,312-553-2220,,,,,,,Approved,5/1/2003,8/31/2010,Y,WWW.CONCORDINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,5-Jan,0,0,0,Nov-50,0,More than 500,"1,000",11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"500,474,672.00","2,801,978.00","503,276,650.00","1,003",3,"1,006",N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109139,801-54432,THOMSON HORSTMANN & BRYANT INC,THOMSON HORSTMANN & BRYANT INC,PARK 80 WEST PLAZA ONE,,SADDLE BROOK,NJ,UNITED STATES,7663,201-368-2770,201-291-5979,250 NEW PEHLE AVENUE,SUITE 501,SADDLE BROOK,NJ,UNITED STATES,7663,Approved,5/15/1997,8/31/2010,Y,WWW.THBINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,11-25 percent,11-25 percent,26-50 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,813,540,408.00",0,"1,813,540,408.00",36,0,36,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,113359,801-29862,BEAR STEARNS ASSET MANAGEMENT INC,BEAR STEARNS ASSET MANAGEMENT INC,245 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10167-0001,212-648-1999,212-648-1790,570 WASHINGTON BLVD.,ATTN: STEPHANIE SEIDEN,JERSEY CITY,NJ,UNITED STATES,07310-1617,Approved,6/18/1987,8/31/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,101-250,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,SEPARATE ACCOUNT,Y,N,N,Y,N,Y,N,,Y,"2,347,910,600.00","50,000,000.00","2,397,910,600.00",54,1,55,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,N
NYRO,153055,801-71132,BROCK FIDUCIARY SERVICES LLC,BROCK FIDUCIARY SERVICES LLC,622 THIRD AVENUE,12TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-209-3000,212-209-3030,,,,,,,120-Day Approval,3/4/2010,8/31/2010,Y,HTTP://WWW.BROCKCAPITAL.COM/FIDUCIARY.ASPX.HTM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"4,587,000,000.00",0,"4,587,000,000.00",1,0,1,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,128621,801-65581,"ALJ CAPITAL MANAGEMENT, LLC","ALJ CAPITAL MANAGEMENT, LLC",6300 WILSHIRE BOULEVARD,SUITE 700,LOS ANGELES,CA,UNITED STATES,90048,323-651-3508,323-866-0838,,,,,,,Approved,1/27/2006,8/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"55,547,108.00",0,"55,547,108.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,OTHER POOLED FUNDS (HEDGE FUNDS),,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,154125,801-71523,"PATHWAYS WEALTH MANAGEMENT, LLC","PATHWAYS WEALTH MANAGEMENT, LLC",10735 FALLS CREEK LANE,,CENTERVILLE,OH,UNITED STATES,45458,614-390-0479,937-886-0275,,,,,,,120-Day Approval,6/7/2010,8/31/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139877,801-66388,MACARTHURCOOK INVESTMENT MANAGERS LIMITED,MACARTHURCOOK INVESTMENT MANAGERS LIMITED,"LEVEL 9, 350 COLLINS STREET",,"MELBOURNE, VICTORIA",,AUSTRALIA,3000,61(0)3 9660 4555,61(0)3 9639 1440,,,,,,,Approved,3/6/2006,8/31/2010,Y,WWW.MACARTHURCOOK.COM.AU,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,,AUSTRALIA,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"68,394,515.00",0,"68,394,515.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,329,801-60335,RUSSELL INVESTMENTS,RUSSELL IMPLEMENTATION SERVICES INC.,909 A STREET,,TACOMA,WA,UNITED STATES,98402-1616,253-572-9500,253-596-2491,PO BOX 1616,,TACOMA,WA,UNITED STATES,98402-1616,Approved,6/13/2001,8/31/2010,Y,WWW.RUSSELL.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,INVESTMENT ADVISERS; INSURANCE COMPANIES,Y,N,N,Y,Y,Y,N,,Y,"58,826,131,405.00",0,"58,826,131,405.00","1,493",0,"1,493",N,N,Y,Y,N,N,N,N,N,Y,TRANSITION MANAGEMENT; PORTFOLIO SOLUTIONS; PORTFOLIO IMPLEMENTATION SERVICES; CURRENCY MANAGEMENT SERVICES,,,N,N,Y,N,N,N,N,N,N,,N,,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
FWRO,146900,801-69188,"CIM WEALTH ADVISORS, LLC","CIM WEALTH ADVISORS, LLC",,,,,,,972-346-4204,972-346-4208,P.O. BOX 130,,PROSPER,TX,UNITED STATES,75078,Approved,5/22/2008,8/31/2010,Y,WWW.CIMWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,SOVEREIGN NATION,Y,Y,N,Y,Y,N,N,,Y,"43,123,632.00","6,500,000.00","49,623,632.00",136,15,151,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105739,801-17157,RUSSELL INVESTMENT GROUP,FRANK RUSSELL COMPANY,909 A STREET,,TACOMA,WA,UNITED STATES,98402-1616,253-572-9500,253-591-3495,P.O. BOX 1616,,TACOMA,WA,UNITED STATES,98402-1616,Approved,6/1/1982,8/31/2010,Y,WWW.RUSSELL.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,251-500,0,51-250,0,Nov-50,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,NON-U.S. COLLECTIVE INVESTMENT VEHICLES NOT REGISTERED UNDER THE 1940 ACT,Y,N,N,Y,N,N,N,,Y,"903,351,588.00",0,"903,351,588.00",33,0,33,N,N,N,Y,Y,Y,N,N,N,Y,CASH EQUITIZATION FOR NON-U.S. COLLECTIVE INVESTMENT VEHICLES NOT REGISTERED UNDER THE 1940 ACT,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
CHRO,122916,801-69270,"CAPITAL CITIES, L.L.C.","CAPITAL CITIES, L.L.C.",47 SOUTH MERIDIAN STREET,SUITE 425,INDIANAPOLIS,IN,USA,46204-3580,317-475-4500,317-475-4505,,,,,,,Approved,6/17/2008,8/31/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,51-75 percent,0 percent,,Y,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,Y,INVESTMENT CONSULTATIONS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,150406,801-70281,"FORESEE MANAGEMENT, LLC","FORESEE MANAGEMENT, LLC",11650 S. STATE ST.,SUITE 314,DRAPER,UT,UNITED STATES,84020,801-553-0333,801-553-0247,,,,,,,Approved,6/22/2009,8/31/2010,Y,WWW.FORESEESTRATEGIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,10-Jun,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"61,711,083.00",0,"61,711,083.00",2,0,2,N,N,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145668,801-68579,"HEARTWOOD INVESTMENTS, INC.","HEARTWOOD INVESTMENTS, INC.",216 EAST FOURTH STREET,,WATERLOO,IA,UNITED STATES,50703-4702,(319) 233-1717,(319) 223-1987,PO BOX 1197,,WATERLOO,IA,UNITED STATES,50704-1197,Approved,12/3/2007,8/31/2010,Y,HTTP://WWW.HEARTWOODINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"31,604,780.00","3,063,116.00","34,667,896.00",33,2,35,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,124777,801-61779,"ST. JAMES INVESTMENT COMPANY, LLC","ST. JAMES INVESTMENT COMPANY, LLC",2716 FAIRMOUNT STREET,,DALLAS,TX,UNITED STATES,75201,214-484-7250,214-889-5057,,,,,,,Approved,2/14/2003,8/24/2010,Y,WWW.STJIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,Nov-50,0,More than 500,500,26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"256,820,245.00","14,727,667.00","271,547,912.00",663,36,699,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,111524,801-43321,"RESOURCE PLANNING GROUP, LTD.","RESOURCE PLANNING GROUP, LTD.",10 GLENLAKE PARKWAY,SUITE 150,ATLANTA,GA,UNITED STATES,30328,770-671-9500,770-671-1272,,,,,,,Approved,2/11/1993,8/24/2010,Y,RPGPLANNER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"332,485,000.00","147,500,000.00","479,985,000.00",322,193,515,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,109492,801-55717,FLORIDA INVESTMENT ADVISORS,FLORIDA INVESTMENT ADVISORS INC,601 BAYSHORE BLVD.,SUITE 960,TAMPA,FL,UNITED STATES,33606,813-872-1239,813-254-5024,P.O. BOX ONE,,TAMPA,FL,UNITED STATES,33601-0001,Approved,7/9/1998,8/24/2010,Y,WWW.FIABROKER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,Nov-50,0,251-500,0,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"438,905,000.00",0,"438,905,000.00",333,0,333,N,Y,N,Y,N,Y,N,N,N,N,,,,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,Y,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,148312,801-69629,RICE BROWN FINANCIAL SERVICES,"RBFS OUTSIDE SERVICES, INC.","3225 TEMPLETON GAP RD., STE 210",,COLORADO SPRINGS,CO,UNITED STATES,80907,719-634-6400,719-634-6600,,,,,,,Approved,10/24/2008,8/24/2010,Y,WWW.RICEBROWN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,SALES OF LIFE INSURANCE - INSURANCE PAYS COMMISSION,Y,"51,436,055.00",0,"51,436,055.00","1,054",0,"1,054",N,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109944,801-60062,"G.I.F. SERVICES, LLC","G.I.F. SERVICES, LLC",,,,,,,770-319-0037,770-319-0580,"1266 WEST PACES FERRY RD, #442",,ATLANTA,GA,UNITED STATES,30327,Approved,3/1/2001,8/24/2010,Y,HTTP://WWW.GIFSERVICES.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"58,390,000.00","58,390,000.00",0,4,4,N,N,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,43242,801-49302,SILICON VALLEY CAPITAL MANAGEMENT,SILICON VALLEY CAPITAL MANAGEMENT,807 MONTGOMERY ST.,,SAN FRANCISCO,CA,UNITED STATES,94133,415-378-4117,415-762-0588,,,,,,,Approved,6/5/1995,8/24/2010,Y,HTTP://WWW.SVCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"35,000,000.00","15,000,000.00","50,000,000.00",50,4,54,N,Y,N,N,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,116214,801-61161,DEWAAY CAPITAL MANAGEMENT,"DEWAAY CAPITAL MANAGEMENT, INC.",13001 UNIVERSITY AVENUE,,CLIVE,IA,UNITED STATES,50325,515-224-9861,515-224-0305,,,,,,,Approved,5/20/2002,8/24/2010,Y,WWW.DEWAAY.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"1,000",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,Y,SHARE IN THIRD PARTY ADVISORY FEES,Y,"325,246,715.00","138,009,664.00","463,256,379.00","4,020","1,332","5,352",Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,105564,801-20962,ST JOHNS WEALTH MANAGEMENT,ST. JOHNS INVESTMENT MANAGEMENT COMPANY,10060 SKINNER LAKE DR.,SUITE 501,JACKSONVILLE,FL,UNITED STATES,32246,904-399-0662,904-346-0047,,,,,,,Approved,3/28/1984,8/24/2010,Y,WWW.STJOHNSINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,SEE SCHEDULE D,Y,"172,945,761.00","7,397,659.00","180,343,420.00",560,39,599,Y,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
CHRO,112602,801-57364,PRIVATE WEALTH CONSULTANTS LTD,PRIVATE WEALTH CONSULTANTS LTD,"6591 WEST CENTRAL AVE, SUITE 108",,TOLEDO,OH,USA,43617,419-842-0334,419-842-0338,,,,,,,Approved,3/13/2000,8/24/2010,Y,WWW.PRIVATEWEALTHCONSULTANTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"51,413,725.00","30,925,500.00","82,339,225.00",440,491,931,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110476,801-56131,BBVA WEALTH SOLUTIONS INC.,BBVA WEALTH SOLUTIONS INC.,1300 POST OAK BLVD STE 1500,,HOUSTON,TX,UNITED STATES,77056-3093,713-552-9277,713-552-0906,,,,,,,Approved,1/7/1999,8/24/2010,Y,WWW.BBVAWEALTHSOLUTIONS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,5-Jan,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"553,417,546.00","22,791,520.00","576,209,066.00","1,071",27,"1,098",Y,Y,N,Y,N,N,N,N,N,Y,ADVICE NOT INVOLVING SECURITIES,51-100,,N,N,N,N,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
LARO,111041,801-21175,ECLECTIC ASSOCIATES INC,ECLECTIC ASSOCIATES INC,1021 W. BASTANCHURY ROAD,SUITE 120,FULLERTON,CA,USA,92833,714-738-0220,714-738-0483,,,,,,,Approved,5/14/1984,8/24/2010,Y,WWW.ECLECTICASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"287,213,508.00","45,278,743.00","332,492,251.00",422,56,478,Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,152248,801-67636,"AMERICAFIRST CAPITAL MANAGEMENT, LLC","AMERICAFIRST CAPITAL MANAGEMENT, LLC",8150 SIERRA COLLEGE BLVD.,SUITE 290,ROSEVILLE,CA,UNITED STATES,95661-9417,916-787-9940,916-787-9943,,,,,,,Approved,5/3/2007,8/24/2010,Y,WWW.AFCM-QUANT.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,000,000.00",0,"25,000,000.00",40,0,40,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,Y,N,N,N,N,N,Y,ADVISOR TO MUTUAL FUNDS,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138595,801-65078,GARTMORE INVESTMENT LIMITED,GARTMORE INVESTMENT LIMITED,8 FENCHURCH PLACE,,LONDON,,UNITED KINGDOM,EC3M 4PB,44-20-7782-2000,44-20-7782-2039,,,,,,,Approved,1/3/2006,8/24/2010,Y,WWW.GARTMORE.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,251-500,0,51-250,0,5-Jan,0,0,0,101-250,0,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,PRIVATE EQUITY FUND MANDATE/INSURANCE COMPANY SEGREGATED PORTFOLIO,Y,N,N,N,N,Y,N,,Y,"21,258,939,697.00",0,"21,258,939,697.00",114,0,114,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N
DRO,112024,801-19008,"THE WEALTH CONSERVANCY, INC.","THE WEALTH CONSERVANCY, INC.",1525 SPRUCE STREET,SUITE 300,BOULDER,CO,UNITED STATES,80302,303-444-1919,303-444-1479,,,,,,,Approved,6/3/1983,8/24/2010,Y,WWW.THEWEALTHCONSERVANCY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,DAILY RATE,Y,"188,001,077.00",0,"188,001,077.00",359,0,359,Y,Y,N,N,N,N,N,N,N,Y,WEALTH COACHING,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,107819,801-48811,GARTMORE GLOBAL PARTNERS,GARTMORE GLOBAL PARTNERS,GARTMORE HOUSE,8 FENCHURCH PLACE,LONDON,,UNITED KINGDOM,EC3M 4PB,+44 (20) 7782-2000,+44 (20) 7782-2039,,,,,,,Approved,4/20/1995,8/24/2010,Y,WWW.GARTMORE.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,251-500,0,Nov-50,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,51-75 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,376,537,365.00",0,"2,376,537,365.00",17,0,17,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123842,801-71619,"REGAL ADVISORY SERVICES, INC.","REGAL ADVISORY SERVICES, INC.",950 NORTH MILWAUKEE AVENUE,SUITE 307,GLENVIEW,IL,UNITED STATES,60025-3771,847-375-6063,847-375-6033,,,,,,,Approved,7/12/2010,8/24/2010,Y,HTTP://WWW.REGALSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,TRUSTS,Y,N,N,N,N,N,N,,Y,"34,163,263.00","1,056,595.00","35,219,858.00",334,11,345,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,13162,801-25803,"DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC.","DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC.",10251 VISTA SORRENTO PKY,SUITE 200,SAN DIEGO,CA,UNITED STATES,92121,858-964-0500,858-964-0505,P.O. BOX 910309,,SAN DIEGO,CA,UNITED STATES,92191,Approved,11/29/1985,8/24/2010,Y,WWW.DUNHAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,5-Jan,0,More than 500,"1,500",Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"734,474,026.00","17,651,738.00","752,125,764.00","1,042",486,"1,528",N,Y,Y,Y,N,Y,N,N,N,Y,ASSET-ALLOCATION SERVICES,,,Y,Y,Y,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,131580,801-63914,"TELEMUS INVESTMENT MANAGEMENT, LLC","TELEMUS INVESTMENT MANAGEMENT, LLC",TWO TOWNE SQUARE,SUITE 800,SOUTHFIELD,MI,UNITED STATES,48076,248-827-1800,248-827-1808,,,,,,,Approved,2/3/2005,8/24/2010,Y,WWW.TELEMUSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,10-Jun,0,More than 500,500,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"854,236,748.00","11,299,565.00","865,536,313.00","2,023",1,"2,024",N,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,29357,801-71300,"BANCWEST INVESTMENT SERVICES, INC. (BWIS) AND BWIS D/B/A FHIS","BANCWEST INVESTMENT SERVICES, INC.",13505 CALIFORNIA STREET,,OMAHA,NE,UNITED STATES,68154,800-338-3919,402-827-3108,,,,,,,Approved,5/11/2010,8/24/2010,Y,HTTPS://WWW.BANKOFTHEWEST.COM/PERSONAL-BANKING/WEALTH-MANAGEMENT/BANCWEST-INVESTMENT-SERVICES.HTML,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,501-1000,0,51-250,0,51-250,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"367,593,394.00","367,593,394.00",0,87,87,N,Y,N,Y,Y,Y,N,N,N,Y,SELECTION OF WRAP FEE PROGRAMS,0,,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N
NYRO,154787,801-71800,ARCHVIEW INVESTMENT GROUP LP,ARCHVIEW INVESTMENT GROUP LP,"70 EAST 55TH STREET, 14TH FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-728-2500,212-728-2599,,,,,,,Approved,8/26/2010,8/24/2010,Y,WWW.ARCHVIEWLP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"341,254,237.00",0,"341,254,237.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,124435,801-61978,"GUGGENHEIM ADVISORS, LLC","GUGGENHEIM ADVISORS, LLC",135 EAST 57TH STREET,11TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-884-6225,212-756-9997,,,,,,,Approved,4/22/2003,8/24/2010,Y,WWW.GUGGENHEIMADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"704,298,769.00",0,"704,298,769.00",11,0,11,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,Y,N,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,146371,801-68839,CUTTINGEDGE ADVISORS,CUTTINGEDGE ADVISORS CORPORATION,9201 WATSON ROAD,SUITE 300,ST. LOUIS,MO,UNITED STATES,63126,800-227-8711,314-961-6744,,,,,,,Approved,2/6/2008,8/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,FLAT FEES,Y,"27,500,000.00","12,301,450.00","39,801,450.00",224,102,326,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,866,801-16720,"WADDELL & REED, INC.","WADDELL & REED, INC.",6300 LAMAR AVENUE,,OVERLAND PARK,KS,USA,66202-4200,913-236-2000,913-236-3512,P.O. BOX 29217,,SHAWNEE MISSION,KS,USA,66201-9217,Approved,1/15/1982,8/24/2010,Y,WWW.WADDELL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,More than 1000,"3,000",More than 1000,"2,000",More than 1000,"2,000",0,0,More than 500,"35,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,VARIABLE FEES,Y,"2,993,543,512.00","5,943,883.00","2,999,487,395.00","33,301",17,"33,318",Y,Y,N,Y,N,Y,N,N,N,Y,ASSET ALLOCATION SERVICES,More than 500,13500,Y,Y,Y,N,N,N,N,N,N,,N,,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
NYRO,109001,801-56844,CAPITAL COUNSEL LLC,CAPITAL COUNSEL LLC,"527 MADISON AVE., 19TH FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-350-9333,212-371-0651,,,,,,,Approved,10/6/1999,3/30/2010,Y,WWW.CAPCOUNSEL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,095,533,342.00","4,242,247.00","1,099,775,589.00",566,1,567,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,104628,801-17567,SMITH BREEDEN ASSOCIATES INC,SMITH BREEDEN ASSOCIATES INC,280 SOUTH MANGUM STREET,SUITE 301,DURHAM,NC,UNITED STATES,27701-3676,919-967-7221,919-869-8928,,,,,,,Approved,9/17/1982,3/30/2010,Y,HTTP://WWW.SMITHBREEDEN.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,Up to 10 percent,11-25 percent,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,"FOUNDATIONS, INSURANCE FUNDS",Y,Y,N,Y,N,Y,N,,Y,"8,184,321,422.00","20,355,192.00","8,204,676,614.00",31,2,33,N,Y,Y,Y,N,N,N,N,N,Y,ENGAGED IN SPECIAL PROJECTS RELATED TO THE FINANCIAL INDUSTRY BUT WHICH MAY NOT INVOLVE INVESTMENT ADVICE.,0,,N,N,N,N,Y,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106974,801-49007,PENNANT MANAGEMENT INC,PENNANT MANAGEMENT INC,11270 WEST PARK PLACE,SUITE 1025,MILWAUKEE,WI,USA,53224,414-359-1044,414-359-1008,,,,,,,Approved,4/1/1995,3/30/2010,Y,WWW.PENNANTMANAGEMENT.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,26-50 percent,Up to 10 percent,11-25 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,N,N,N,Y,A RETAINER AS OPPOSED TO AN HOURLY CHARGE.,Y,"4,282,169,304.00","411,588,905.00","4,693,758,209.00",726,89,815,N,Y,Y,Y,N,N,Y,N,N,Y,SPECIALIZED ACCOUNTING AND CONSULTING SERVICES FOR BANKS AND INSURANCE COMPANIES.,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108913,801-55069,INVESTMENT PARTNERS LTD,INVESTMENT PARTNERS LTD,419 W HIGH AVE,,NEW PHILADELPHIA,OH,UNITED STATES,44663,330-308-9707,330-308-9303,419 W HIGH AVE,PO BOX 309,NEW PHILADELPHIA,OH,UNITED STATES,44663,Approved,11/21/1997,3/30/2010,Y,WWW.INVP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,770,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"194,786,605.00","12,690,548.00","207,477,153.00",740,30,770,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105879,801-14828,DANA INVESTMENT ADVISORS INC,DANA INVESTMENT ADVISORS INC,15800 W. BLUEMOUND RD. SUITE 250,,BROOKFIELD,WI,UNITED STATES,53005,262-782-3631,262-782-0581,P.O. BOX 1067,,BROOKFIELD,WI,UNITED STATES,53008-1067,Approved,9/21/1979,3/30/2010,Y,WWW.DANAINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,Nov-50,0,More than 500,"2,500",11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,273,620,051.00","412,918,724.00","2,686,538,775.00","2,680",49,"2,729",N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,144123,801-68183,ARCUS CAPITAL PARTNERS LLC,ARCUS CAPITAL PARTNERS LLC,"369 SAN MIGUEL, STE. 300",,NEWPORT BEACH,CA,USA,92660,949-706-5044,949-706-5040,,,,,,,Approved,7/26/2007,6/20/2008,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,Y,N,,Y,"13,745,420.00","112,414,746.00","126,160,166.00",6,9,15,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111321,801-57223,DAVID WHITE - INVESTMENT COUNSEL,"WHITE, DAVID PHIPPS",1901 FIRST AVENUE,2ND FLOOR,SAN DIEGO,CA,UNITED STATES,92101,619-239-8800,619-239-8801,,,,,,,Approved,2/4/2000,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"15,802,000.00","30,890,000.00","46,692,000.00",50,34,84,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105556,801-35638,"RAINIER INVESTMENT MANAGEMENT,INC.","RAINIER INVESTMENT MANAGEMENT, INC.",601 UNION ST STE 2801,,SEATTLE,WA,UNITED STATES,98101-2327,206-518-6600,206-518-6601,,,,,,,Approved,12/7/1989,3/30/2010,Y,WWW.RAINIERFUNDS.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,101-250,0,0 percent,0 percent,0 percent,11-25 percent,51-75 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"17,142,458,958.00",0,"17,142,458,958.00",190,0,190,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,134021,801-63945,"TEN ASSET MANAGEMENT, INC.","TEN ASSET MANAGEMENT, INC.",171 SAXONY ROAD,SUITE 105,ENCINITAS,CA,UNITED STATES,92024,760-943-7799,760-943-8197,,,,,,,Approved,2/11/2005,3/30/2010,Y,WWW.TENASSET.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"390,909,537.00",0,"390,909,537.00",19,0,19,N,Y,Y,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108457,801-56163,BUCKHORN CAPITAL MANAGEMENT LLC,BUCKHORN CAPITAL MANAGEMENT LLC,1724 EAST BLVD. SUITE 100,,CHARLOTTE,NC,USA,28203,704-358-8336,704-358-8316,,,,,,,Approved,1/6/1999,3/30/2010,Y,WWW.BUCKHORNCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"35,951,653.00","1,441,353.00","37,393,006.00",87,17,104,N,Y,N,Y,N,N,N,N,N,Y,GENERAL CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110150,801-16774,"PHILIPPE INVESTMENT MANAGEMENT, INC","PHILIPPE INVESTMENT MANAGEMENT, INC",TWO PENN PLAZA,SUITE 1920A,NEW YORK,NY,UNITED STATES,10121,212-687-3290,212-687-3418,,,,,,,Approved,1/29/1982,3/30/2010,Y,WWW.PHILIPPE-GROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"114,447,787.00","179,353,995.00","293,801,782.00",20,2,22,N,Y,N,Y,N,N,N,N,N,Y,TRUSTS AND ESTATES AND CHARITABLE INSTITUTIONS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,108694,801-54688,NATIONAL EQUITIES MANAGEMENT CO,NEMCO INSURANCE & FINANCIAL SERVICES CORP,"399 WEST PALMETTO PARK ROAD, SUITE 200",,BOCA RATON,FL,USA,33432,561-394-3519,561-394-3203,P.O. BOX 272916,,BOCA RATON,FL,USA,33427-2916,Approved,7/3/1997,12/6/2005,Y,NEMCOCORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,0,"161,866,588.00","161,866,588.00",0,148,148,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
SFRO,111839,801-58274,"DBA,SCS SYSTEMS",ROBERT WILLIAM SCHWARZ,,,,,,,360-376-2763,360-376-3913,PO BOX 1419,,EAST SOUND,WA,UNITED STATES,98245,Approved,1/19/2001,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,WA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,0,"42,000,000.00","42,000,000.00",0,330,330,Y,Y,N,Y,Y,N,N,N,Y,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147589,801-69601,"ISECTORS, LLC","ISECTORS, LLC",W6240 COMMUNICATION COURT,SUITE 1,APPLETON,WI,UNITED STATES,54914-8549,920-731-4455,920-731-9679,,,,,,,Approved,10/3/2008,3/30/2010,Y,ISECTORS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,LICENSE FEES FOR INVESTMENT MODELS,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,MARKET ASSET ALLOCATION MODELS TO TRADING PLATFORMS AND/OR INVESTMENT ADVISERS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,133503,801-66877,THE MUTUAL FUND STORE - CHARLOTTE,"TMFS-CHARLOTTE, LLC","4724 SHARON RD, SUITE 2J",,CHARLOTTE,NC,UNITED STATES,28210,704-553-9553,704-553-9496,,,,,,,Approved,6/27/2006,3/30/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"78,339,860.00",0,"78,339,860.00",898,0,898,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,147533,801-69696,"LIBERTY ADVISORY SERVICES, LLC","LIBERTY ADVISORY SERVICES, LLC",1811 EAST GARRY AVENUE,,SANTA ANA,CA,UNITED STATES,92705,949-724-8848,949-724-8805,,,,,,,Approved,11/12/2008,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"32,611,702.00","32,611,702.00",0,118,118,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105484,801-29581,"FIDUCIARY CAPITAL MANAGEMENT, INC.","FIDUCIARY CAPITAL MANAGEMENT, INC.",1062 BARNES ROAD,SUITE 202,WALLINGFORD,CT,UNITED STATES,06492-0080,203 269-0440,203 269-6440,P.O. BOX 80,,WALLINGFORD,CT,UNITED STATES,06492-0080,Approved,5/14/1987,3/30/2010,Y,WWW.FCMSTABLEVALUE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,TAFT HARTLEY RETIREMENT PLAN,Y,N,N,Y,N,N,N,,Y,"1,649,789,387.00","46,728,623.00","1,696,518,010.00",338,2,340,N,N,N,Y,N,Y,N,Y,N,Y,ANNUITY PURCHASE SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,3254,801-35917,"SAGE, RUTTY & CO., INC.","SAGE, RUTTY & CO., INC.",100 CORPORATE WOODS,SUITE 300,ROCHESTER,NY,UNITED STATES,14623,585-232-3760,866-902-0273,,,,,,,Approved,1/26/1990,3/30/2010,Y,SAGERUTTY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,000",51-75 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"19,671,078.00","412,807,710.00","432,478,788.00",43,"1,459","1,502",Y,Y,N,N,N,Y,Y,N,N,N,,51-100,,N,N,Y,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126486,801-62070,TRAXIS PARTNERS LP,TRAXIS PARTNERS LP,600 FIFTH AVENUE,26TH FLOOR,NEW YORK,NY,UNITED STATES,10020,212-332-5158,212-332-5178,,,,,,,Approved,5/15/2003,3/30/2010,Y,HTTP://WWW.TRAXISPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"1,486,106,834.00",0,"1,486,106,834.00",29,0,29,N,Y,N,Y,N,N,N,N,N,Y,PROVIDE INVESTMENT ADVICE TO LIMITED PARTNERSHIP FUNDS,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,105921,801-28717,ASSET MANAGEMENT ADVISORS INC,ASSET MANAGEMENT ADVISORS INC,6363 WOODWAY,STE 900,HOUSTON,TX,UNITED STATES,77057,713-977-9600,713-977-7582,,,,,,,Approved,1/9/1987,3/30/2010,Y,TAXAWARE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"57,756,217.00","86,895,293.00","144,651,510.00",274,377,651,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,140515,801-66669,BHK INVESTMENT ADVISORS,"BHK INVESTMENT ADVISORS, LLC",2200 LAKESHORE DRIVE,SUITE 250,BIRMINGHAM,AL,USA,35209-8803,205-322-2025,205-322-9025,,,,,,,Approved,5/17/2006,3/30/2010,Y,HTTP://WWW.BHKLLC.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"50,000,000.00","680,500,000.00","730,500,000.00",32,33,65,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105330,801-30680,"TIA, TRUST INVESTMENT ADVISORS, TRUST & INVESTMENT ADVISORS",TRUST & INVESTMENTADVISERS INC,8440 WOODFIELD CROSSING BLVD.,SUITE 100,INDIANAPOLIS,IN,USA,46240,317-253-2000,317-254-5845,,,,,,,Approved,10/15/1987,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,0 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"131,400,424.00",0,"131,400,424.00",412,0,412,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,132252,801-63379,"JACKSON FINANCIAL SERVICES, LLC","JACKSON FINANCIAL SERVICES, LLC","940 JOHNNIE DODDS BLVD.,",,MT. PLEASANT,SC,USA,29464,843-881-3434,843-881-1557,P. O. BOX 1028,,MT. PLEASANT,SC,USA,29465,Approved,7/30/2004,3/30/2010,Y,WWW.JACKSONFINANCIAL.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,Up to 10 percent,11-25 percent,0 percent,0 percent,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,REFERRAL FEES,Y,"39,000,000.00","580,634,266.00","619,634,266.00",5,"3,024","3,029",N,N,N,N,Y,Y,N,N,N,Y,POOLED INVESTMENT VEHICLES & CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,107317,801-40319,"COMPASS ADVISORS, LLC","COMPASS ADVISORS, LLC",201 S. BISCAYNE BLVD,TWENTY-EIGHTH FLOOR,MIAMI,FL,USA,33131,305-461-1681,305-461-1683,1125 NW COUCH STREET,EIGHTH FLOOR,PORTLAND,OR,USA,97209,Approved,12/5/1991,3/30/2010,Y,WWW.COMPASSADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"67,510,571.00","545,203,894.00","612,714,465.00",29,78,107,N,Y,N,Y,Y,Y,N,N,N,Y,INVESTMENT CONSULTING NOT INVOLVING SECURITIES SELECTION,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,150827,801-70413,"D LITTLE, L.L.C.","D LITTLE, L.L.C.",,,,,,,404-931-3973,,,,,,,,Approved,7/16/2009,7/14/2009,N,,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,11-25 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,CONSULTING SERVICES,Y,N,N,Y,N,N,N,,Y,0,"26,000,000.00","26,000,000.00",0,2,2,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,114797,801-56757,PENSER ERIK FONDKOMMISSION AB,PENSER ERIK FONDKOMMISSION AB,BIBLIOTEKSGATAN 9,,STOCKHOLM (SWEDEN),,SWEDEN,SE-10391,46-8-4638000,46-8-6788033,P.O BOX 7405,,STOCKHOLM,,SWEDEN,SE-10391,Approved,10/27/1999,3/26/2004,Y,WWW.PENSER.SE,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SWEDEN,51-250,0,Nov-50,0,Nov-50,0,0,0,More than 500,"2,000",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"20,000,000.00",0,"20,000,000.00",100,0,100,N,Y,N,Y,N,N,Y,N,N,Y,ALL PUBLISHED RESEARCH IS FOR CLIENTS OF ERIK PENSER ONLY,,,N,N,Y,N,N,N,N,N,N,,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,Y,Y,Y,Y,N,Y,Y,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,120178,801-62803,"CHARLES J. MEANS & CO., LLC","CHARLES J. MEANS & CO., LLC",312 WICKENDEN STREET,,PROVIDENCE,RI,USA,2903,401-282-6600,401-282-6601,,,,,,,Approved,2/13/2004,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,RI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"24,693,498.00","3,669,127.00","28,362,625.00",47,1,48,N,Y,N,Y,N,N,N,N,N,Y,"FINANCIAL CONSULTING REGARDING HOUSEHOLD FINANCIAL MANAGEMENT, TAX PREPARATION AND ESTATE PLANNING",0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,141040,801-66947,"DAVISSON INVESTMENT, LLC","DAVISSON INVESTMENT, LLC",235 HERITAGE #2,,PORTSMOUTH,NH,USA,3801,603-868-0342,,,,,,,,Approved,6/26/2006,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"16,387,794.00","18,440,075.00","34,827,869.00",9,1,10,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109612,801-57885,"MOS CAPITAL, INC.","MOS CAPITAL, INC",500 E. MAIN ST.,SUITE 1135,NORFOLK,VA,UNITED STATES,23510,757-222-3710,757-222-3720,,,,,,,Approved,9/22/2000,3/12/2010,Y,WWW.MOSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"55,548,871.00",0,"55,548,871.00",252,0,252,Y,Y,N,Y,N,N,N,N,N,Y,FIXED-INCOME RESEARCH,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,112096,801-56592,"AGINCOURT CAPITAL MANAGEMENT, LLC","AGINCOURT CAPITAL MANAGEMENT, LLC",600 EAST MAIN STREET,SUITE 2120,RICHMOND,VA,UNITED STATES,23219,804-648-1111,804-648-4475,,,,,,,Approved,7/1/1999,3/12/2010,Y,WWW.AGINCOURTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,0 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,11-25 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,010,000,830.00",0,"4,010,000,830.00",171,0,171,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,2655,801-62628,"V.M. MANNING & CO., INC.","V. M. MANNING & CO., INC.",211 E. WASHINGTON ST,SUITE B,GREENVILLE,SC,USA,29601,854-232-8231,864-232-8232,,,,,,,Approved,1/2/2004,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,SC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"27,500,000.00","2,000,000.00","29,500,000.00",23,1,24,N,Y,N,N,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
BRO,126816,801-62617,"MORE FOR LESS FINANCIAL SOLUTIONS, LLC","MORE FOR LESS FINANCIAL SOLUTIONS, LLC",,,,,,,860-521-7779,860-561-1961,,,,,,,Approved,1/2/2004,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"87,771,596.00","718,251.00","88,489,847.00",531,1,532,Y,Y,N,N,N,N,N,N,N,Y,"INVESTMENT CONSULTING, TAX PREPARTION, BILL PAYMENT ASSISTENCE",25-Nov,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105732,801-7288,BOUNTY MANAGEMENT CORP,BOUNTY MANAGEMENT CORP,10 HIGH STREET,SUITE 905,BOSTON,MA,UNITED STATES,02110-1605,617-357-8285,617-451-9064,,,,,,,Approved,3/18/1971,3/12/2010,Y,WWW.BOUNTYMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"48,046,304.00",0,"48,046,304.00",116,0,116,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,108806,801-49420,ICC CAPITAL MANAGEMENT INC,ICC CAPITAL MANAGEMENT INC,390 NORTH ORANGE AVENUE,27TH FLOOR,ORLANDO,FL,USA,32801,800-480-6445,407-841-2814,,,,,,,Approved,6/20/1995,3/12/2010,Y,WWW.ICCCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,51-75 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,842,445,030.00",0,"2,842,445,030.00",150,0,150,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,112112,801-45568,STANLEY-LAMAN GROUP LTD.,STANLEY-LAMAN GROUP LTD.,1235 WESTLAKES DR,SUITE 295,BERWYN,PA,UNITED STATES,19312,610-993-9100,610-993-8382,,,,,,,Approved,1/6/1994,3/12/2010,Y,WWW.STANLEYLAMAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,SEE SCHEDULE D,Y,"274,243,574.00","82,108,660.00","356,352,234.00",283,169,452,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,Y,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,150816,801-70505,"DJM WEALTH STRATEGIES, LLC","DJM WEALTH STRATEGIES, LLC",10751 N. FRANK LLOYD WRIGHT,SUITE 201,SCOTTSDALE,AZ,UNITED STATES,85259,480-250-2603,480-383-6195,,,,,,,Approved,9/14/2009,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,907,214.00",0,"34,907,214.00",155,0,155,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,110313,801-53089,ANDERSON GRIGGS PORTFOLIO MANAGEMENT,"ANDERSON GRIGGS & COMPANY, INC.","113 E. MAIN STREET, SUITE 310",,ROCK HILL,SC,UNITED STATES,29730,803-324-5044,803-324-5146,,,,,,,Approved,9/15/1996,3/12/2010,Y,WWW.ANDERSONGRIGGS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"30,863,544.00",0,"30,863,544.00",159,0,159,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114690,801-60734,"QUEST CAPITAL MANAGEMENT, INC.","QUEST CAPITAL MANAGEMENT, INC.","8235 DOUGLAS AVENUE, SUITE 500",,DALLAS,TX,UNITED STATES,75225,214-691-6090,214-691-6171,,,,,,,Approved,11/26/2001,3/12/2010,Y,WWW.QUESTADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISER / MANAGER FEES,Y,"87,930,622.00","593,601,786.00","681,532,408.00",156,"2,852","3,008",Y,Y,N,N,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,106262,801-10647,DOUGLAS CAPITAL MANAGEMENT INC,DOUGLAS CAPITAL MANAGEMENT INC,13500 SUTTON PARKD DRIVE S,SUITE 803,JACKSONVILLE,FL,UNITED STATES,32224,904-285-7866,904-285-7677,,,,,,,Approved,3/21/1975,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"212,121,565.00","718,268.00","212,839,833.00",56,4,60,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,118458,801-60800,"KANAWHA CAPITAL MANAGMENT, LLC","KANAWHA CAPITAL MANAGEMENT, LLC",2235 STAPLES MILL ROAD,SUITE 100,RICHMOND,VA,UNITED STATES,23230,804-359-3900,804-359-2153,P. O. BOX 6862,,RICHMOND,VA,UNITED STATES,23230-0682,Approved,11/15/2001,3/12/2010,Y,HTTP://WWW.KANCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"499,994,574.00","52,363,546.00","552,358,120.00",762,36,798,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,120338,801-61115,"EVANSTON CAPITAL MANAGEMENT, LLC","EVANSTON CAPITAL MANAGEMENT, LLC","1560 SHERMAN AVENUE, SUITE 960",,EVANSTON,IL,USA,60201-4811,847-328-4961,847-328-4676,,,,,,,Approved,5/2/2002,3/12/2010,Y,WWW.EVANSTONCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,538,226,327.00",0,"3,538,226,327.00",9,0,9,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,18033,801-29011,"ARMA FINANCIAL SERVICES, INC.","ARMA FINANCIAL SERVICES, INC.",8585 E. HARTFORD DRIVE,SUITE 118,SCOTTSDALE,AZ,UNITED STATES,85255-5473,480-505-4004,480-505-4099,,,,,,,Approved,3/13/1987,3/12/2010,Y,WWW.ARMAFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"72,455,389.00","3,673,246.00","76,128,635.00",344,23,367,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,Y,N,N,N,Y,N,N,,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146399,801-68848,"F&V CAPITAL MANAGEMENT, L.L.C.","F&V CAPITAL MANAGEMENT, L.L.C.",767 THIRD AVENUE,7TH FLOOR,NEW YORK,NY,UNITED STATES,10017-9026,212-326-9533,347-632-0268,,,,,,,Approved,2/21/2008,3/12/2010,Y,FVCM.US,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,LUXEMBOURG-BASED MUTUAL FUND,Y,N,N,N,N,Y,N,,Y,"69,412,384.00","1,167,363.00","70,579,747.00",64,3,67,N,Y,N,Y,N,N,N,N,N,Y,LUXEMBOURG-BASED MUTUAL FUND,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106980,801-43095,GRANT STREET ASSET MANAGEMENT INC,GRANT STREET ASSET MANAGEMENT INC,"2600 BOYCE PLAZA II, STE 241",,UPPER ST CLAIR,PA,UNITED STATES,15241,412-257-8060,412-257-8435,"2600 BOYCE PLAZA II, STE 241",,PITTSBURGH,PA,UNITED STATES,15241,Approved,1/14/1993,3/12/2010,Y,GSAMINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"224,932,258.00","21,194,872.00","246,127,130.00",668,74,742,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,127310,801-64697,"UNION FINANCIAL PARTNERS, SAN FRANCISCO, INC.","UNION FINANCIAL PARTNERS, SAN FRANCISCO, INC.",2001 UNION STREET,SUITE 540,SAN FRANCISCO,CA,USA,94123,415-563-3000,415-563-1175,,,,,,,Approved,9/15/2005,3/12/2010,Y,WWW.UFPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"41,739,854.00",0,"41,739,854.00",281,0,281,Y,Y,N,N,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,Y,FINANCIAL PLANNING,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122641,801-65036,HARMAN INVESTMENT ADVISORS,HARMAN INVESTMENT ADVISORS INCORPORATED,20 NORTH WACKER DRIVE,SUITE 3310,CHICAGO,IL,UNITED STATES,60606-3102,312-364-9490,312-364-9492,,,,,,,Approved,1/3/2006,3/12/2010,Y,WWW.4HARMAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,RELIGIOUS ORGANIZATION'S NON-ERISA PENSION PLAN,Y,N,N,N,N,N,N,,Y,"57,184,836.00",0,"57,184,836.00",150,0,150,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108467,801-55081,"IRONWOOD INVESTMENT MANAGEMENT, LLC","IRONWOOD INVESTMENT MANAGEMENT, LLC",21 CUSTOM HOUSE STREET,SUITE 240,BOSTON,MA,UNITED STATES,2110,617-757-7600,617-757-7605,,,,,,,Approved,12/15/1997,3/12/2010,Y,WWW.IRONWOODFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"304,957,333.00",0,"304,957,333.00",345,0,345,N,Y,N,Y,N,N,N,N,N,N,,251-500,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,120645,801-61293,DIVI-VEST ADVISORS,DIVI-VEST ADVISORS,650 E. SWEDESFORD ROAD,STE 100,WAYNE,PA,USA,19087,610-688-5501,610-688-5404,,,,,,,Approved,8/9/2002,3/12/2010,Y,WWW.DIVI-VEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"39,679,517.00",0,"39,679,517.00",80,0,80,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122222,801-61408,"PROXYVOTE PLUS, LLC","PROXYVOTE PLUS, LLC",1200 SHERMER ROAD,SUITE 216,NORTHBROOK,IL,USA,60062,847-205-0275,847-205-0293,,,,,,,Approved,8/19/2002,3/12/2010,Y,WWW.PROXYVOTEPLUS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,Y,PROXY VOTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108971,801-57021,PRIVATE WEALTH MANAGEMENT GROUP INC,PRIVATE WEALTH MANAGEMENT GROUP INC,512 EXECUTIVE DRIVE,,PRINCETON,NJ,USA,8540,609-921-7002,609-921-2858,,,,,,,Approved,11/23/1999,3/12/2010,Y,WWW.MYPRIVATEWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"59,753,100.00","52,701,041.00","112,454,141.00",181,157,338,Y,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,118469,801-69151,"LAUREL WEALTH ADVISORS, LLC","LAUREL WEALTH ADVISORS, LLC",309 S. LAUREL AVENUE,,CHARLOTTE,NC,UNITED STATES,28207,704-927-4379,704-909-5400,,,,,,,Approved,5/21/2008,2/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"86,261,655.00","19,218,315.00","105,479,970.00",578,44,622,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,105479,801-33835,WEB401KCOM INC,WEB401KCOM INC,13 ROSZEL ROAD,SUITE C205,PRINCETON,NJ,UNITED STATES,8540,609-275-2909,609-275-8887,,,,,,,Approved,9/7/1989,2/24/2010,Y,WWW.WEB401K.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105959,801-31084,"WILLIAM HOWARD & CO FINANCIAL ADVISORS, INC",WILLIAM HOWARD & CO FINANCIAL ADVISORS INC,6410 POPLAR AVE,SUITE 330,MEMPHIS,TN,UNITED STATES,38119,901-761-5068,901-761-2217,,,,,,,Approved,1/28/1988,2/24/2010,Y,WWW.WHCFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"103,704,284.00","10,459,513.00","114,163,797.00",267,79,346,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105906,801-31544,GEOVEST ADVISORS INC,GEOVEST ADVISORS INC,245 WILLOWBROOK OFFICE PARK,1451 PITTSFORD VICTOR RD,FAIRPORT,NY,UNITED STATES,14450-4221,585-248-5050,585-248-8784,,,,,,,Approved,3/24/1988,2/24/2010,Y,WWW.GEOVESTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"124,615,238.00","12,311,198.00","136,926,436.00",296,9,305,N,Y,N,Y,N,N,N,N,N,Y,FINANCIAL ANALYSIS TO INSTITUTIONS,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,110819,801-49934,NOESIS CAPITAL MANAGEMENT CORP,NOESIS CAPITAL MANAGEMENT CORP,1801 CLINT MOORE ROAD,SUITE 100,BOCA RATON,FL,USA,33487,561-999-9888,561-994-2893,,,,,,,Approved,9/5/1995,2/24/2010,Y,WWW.NOESIS-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"182,000,000.00","7,000,000.00","189,000,000.00",286,6,292,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,133255,801-63907,"CHRISTIAN CURRY BATCHELDER, CFP","BATCHELDER, CHRISTIAN CURRY",91 GLEN AVENUE,,OAKLAND,CA,USA,94611,510-428-9952,510-291-2866,,,,,,,Approved,2/15/2005,2/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"56,000,000.00",0,"56,000,000.00",150,0,150,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,152077,801-70929,WAYPOINT STRATEGIC ADVISORS,"WAYPOINT STRATEGIC ADVISORS, LLC",10570 DORCHESTER RD.,,SUMMERVILLE,SC,UNITED STATES,29485,843-873-4420,843-873-5313,,,,,,,Approved,1/19/2010,2/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"29,235,565.00","29,235,565.00",0,325,325,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111073,801-58201,PRIVATE ADVISORY GROUP,"BEAN FINANCIAL ADVISORS, INC.",16640  NE 83RD STREET,,REDMOND,WA,UNITED STATES,98052,(425) 498-2320,425-498-2321,,,,,,,Approved,12/29/2000,2/24/2010,Y,WWW.EWEALTHMANAGER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"85,000,000.00","85,000,000.00",0,65,65,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,134506,801-64219,"ODER & STEWART INVESTMENT MANAGEMENT, LLC","ODER & STEWART INVESTMENT MANAGEMENT, LLC",21300 VICTORY BLVD,SUITE 1050,WOODLAND HILLS,CA,USA,91367,(818) 676-0036,(818) 676-0017,,,,,,,Approved,5/10/2005,2/24/2010,Y,WWW.ODERSTEWART.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"74,000,000.00",0,"74,000,000.00",107,0,107,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110156,801-58278,"ROBINSON VALUE MANAGEMENT, LTD.","ROBINSON VALUE MANAGEMENT, LTD.","342 WEST WOODLAWN AVENUE, #201",,SAN ANTONIO,TX,UNITED STATES,78212-3314,210-490-2545,210-490-2353,,,,,,,Approved,1/8/2001,2/24/2010,Y,WWW.ROBINSONVALUE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,ASSET BASED INDEPENDENT SOLICITOR FEE,Y,"54,749,664.00",0,"54,749,664.00",83,0,83,N,Y,N,Y,N,N,Y,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,141007,801-67668,FINANCIAL SOLUTIONS GROUP LLC,FINANCIAL SOLUTIONS GROUP LLC,6700 E PACIFIC COAST HIGHWAY,SUITE 291,LONG BEACH,CA,UNITED STATES,90803,562-430-2223,562-431-4451,6700 E PACIFIC COAST HIGHWAY,SUITE 291,LONG BEACH,CA,UNITED STATES,90803,Approved,4/12/2007,2/24/2010,Y,WWW.FINANCIAL-SOLUTIONS-GROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"37,786,415.00",0,"37,786,415.00",183,0,183,Y,Y,N,Y,N,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106489,801-52034,NORTH STAR ASSET MANAGEMENT INC,NORTH STAR ASSET MANAGEMENT INC,"59 RACINE STREET, STE. A",,MENASHA,WI,USA,54952,920-729-7900,920-729-7904,,,,,,,Approved,6/7/1996,2/24/2010,Y,WWW.NORTHSTARINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,More than 500,"1,000",Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"794,465,461.00","16,188,706.00","810,654,167.00","1,326",9,"1,335",Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,109628,801-54790,THE BORNHOFT GROUP CORPORATION,THE BORNHOFT GROUP CORPORATION,1660 LINCOLN ST,STE 100,DENVER,CO,UNITED STATES,80264-3103,303-572-1000,303-832-9354,,,,,,,Approved,9/4/1997,2/24/2010,N,,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,CO,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"759,020,982.00","605,000.00","759,625,982.00",4,19,23,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,109875,801-60075,"ASSET ALLOCATION & MANAGEMENT COMPANY, LLC","ASSET ALLOCATION & MANAGEMENT COMPANY, LLC",30 NORTH LASALLE STREET,SUITE 3500,CHICAGO,IL,UNITED STATES,60602,312-263-2900,312-263-1196,,,,,,,Approved,3/1/2001,2/24/2010,Y,WWW.AAMCOMPANY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,INSURANCE COMPANIES,Y,N,N,N,N,Y,N,,Y,"14,257,390,691.00","287,209,444.00","14,544,600,135.00",91,3,94,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,134081,801-64154,KELLING INVESTMENT ADVISORS,ROBERT SOMERVILLE KELLING JR.,596 GRIZZLY PEAK BLVD,,BERKELEY,CA,USA,94708,510-898-3468,510-295-2909,,,,,,,Approved,5/6/2005,2/24/2010,Y,WWW.KELLING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"50,391,598.00",0,"50,391,598.00",72,0,72,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,31338,,ST ONGE PAUL P CO,"ST. ONGE, PAUL, PHILIP",5586 POST RD,,EAST GREENWICH,RI,UNITED STATES,2818,401-884-9080,401-884-9088,,,,,,,Approved,7/21/1983,2/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,RI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"145,000,000.00","5,000,000.00","150,000,000.00",110,10,120,Y,Y,N,N,Y,Y,N,N,N,Y,TAX RELATED SERVICES,101-250,,N,N,Y,N,N,N,Y,N,N,,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,131194,801-63234,"INCA INVESTMENTS, LLC","INCA INVESTMENTS, LLC",9350 SOUTH DIXIE HIGHWAY,SUITE 1470,MIAMI,FL,UNITED STATES,33156,305-670-2230,305-670-2290,,,,,,,Approved,6/18/2004,3/31/2010,Y,WWW.INCAINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,26-50 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"315,764,631.00",0,"315,764,631.00",7,0,7,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109296,801-48199,WENDEL ANDREW MARTIN,WENDEL ANDREW MARTIN,,,,,,,914-937-1984,914-937-5110,,,,,,,Approved,1/6/1995,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,Y,"26,592,870.00","14,404,347.00","40,997,217.00",20,18,38,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,125352,801-62894,"OAK HILL ADVISORS, L.P.","OAK HILL ADVISORS, L.P.",1114 AVENUE OF THE AMERICAS,27TH FLOOR,NEW YORK,NY,UNITED STATES,10036,212-326-1500,212-735-5287,,,,,,,Approved,3/25/2004,3/31/2010,Y,WWW.OAKHILLADVISORS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"13,393,630,112.00",0,"13,393,630,112.00",64,0,64,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR COLLATERALIZED DEBT OBLIGATIONS AND OTHER INVESTMENT FUNDS; CAPITAL MARKETS ADVISORY SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,124613,801-61792,"MARATHON ASSET MANAGEMENT, L.P.","MARATHON ASSET MANAGEMENT, L.P.",ONE BRYANT PARK,38TH FLOOR,NEW YORK,NY,UNITED STATES,10036,212-500-3000,212-205-8800,,,,,,,Approved,2/21/2003,3/31/2010,Y,WWW.MARATHONFUND.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,51-250,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,51-75 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,UNIVERSITY ENDOWMENT,Y,N,N,N,N,Y,Y,ANCILLARY FEES (AS DEFINED IN THE RELEVANT FUND'S OFFERING DOCS),Y,"16,366,000,000.00",0,"16,366,000,000.00",37,0,37,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE POOLED INVESTMENT VEHICLES,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107290,801-39638,"T. ROWE PRICE (CANADA), INC.",T. ROWE PRICE (CANADA) INC.,100 EAST PRATT STREET,,BALTIMORE,MD,UNITED STATES,21202,410-345-2000,410-345-6575,,,,,,,Approved,8/9/1991,3/31/2010,Y,WWW.TROWEPRICE.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,10-Jun,0,0,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"644,212,994.00",0,"644,212,994.00",5,0,5,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110251,801-60108,"CADOGAN MANAGEMENT, L.L.C.","CADOGAN MANAGEMENT, L.L.C.",149 FIFTH AVENUE - 15TH FLOOR,,NEW YORK,NY,UNITED STATES,10010-6801,212-585-1600,212-585-1620,,,,,,,Approved,3/29/2001,3/31/2010,Y,WWW.CADOGANMANAGEMENT.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,10-Jun,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,867,945,595.00",0,"2,867,945,595.00",32,0,32,N,N,Y,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR DOMESTIC AND OFFSHORE UNREGISTERED INVESTMENT COMPANIES AND POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,43285,801-57304,"M HOLDINGS SECURITIES, INC.","M HOLDINGS SECURITIES, INC.",1125 N.W. COUCH STREET,SUITE 900,PORTLAND,OR,USA,97209,800-656-6960,503-238-1621,,,,,,,Approved,3/14/2000,3/31/2010,Y,WWW.MFIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,"2,000",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"276,626,581.00","55,221,763.00","331,848,344.00",896,144,"1,040",Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,Y,Y,Y,N,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153497,801-71307,HALCYON MANAGEMENT ACQUISITION COMPANY  LLC,HALCYON MANAGEMENT ACQUISITION  COMPANY  LLC,477 MADISON AVENUE,8TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-303-9400,212-935-1831,,,,,,,Approved,5/13/2010,3/31/2010,Y,HTTP://WWW.HALCYONLLC.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,CLO ENTITIES,Y,N,N,N,N,Y,Y,COLLATERAL MANAGEMENT FEES,Y,"300,000,000.00",0,"300,000,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,133233,801-66678,THE MUTUAL FUND STORE,"TMFS-ALBUQUERQUE, LLC",6600 INDIAN SCHOOL ROAD NE,SUITE J,ALBUQUERQUE,NM,UNITED STATES,87110,505-888-0303,505-880-0303,,,,,,,Approved,5/23/2006,3/31/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NM,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"77,708,541.00",0,"77,708,541.00",874,0,874,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109962,801-55496,"ESSEX INVESTMENT MANAGEMENT COMPANY, LLC","ESSEX INVESTMENT MANAGEMENT COMPANY, LLC",125 HIGH STREET,29TH FLOOR,BOSTON,MA,USA,02110-2702,617-342-3200,617-342-3280,,,,,,,Approved,3/20/1998,3/31/2010,Y,WWW.ESSEXINVEST.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,101-250,0,0 percent,51-75 percent,0 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,930,074,000.00",0,"1,930,074,000.00",210,0,210,N,Y,Y,Y,N,N,N,N,N,Y,HEDGE FUNDS,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,150593,801-70290,"SENTRY, LLC","SENTRY, LLC",,,,,,,901-820-0515,901-820-0517,,,,,,,Approved,6/24/2009,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,PROJECT FEE BASED,Y,"460,785,892.00",0,"460,785,892.00",82,0,82,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109946,801-60220,"MSDW OIP INVESTORS, INC.","MSDW OIP INVESTORS, INC.",MORGAN STANLEY,1585 BROADWAY C/O DAVID BERSH,NEW YORK,NY,UNITED STATES,10036,212-761-41646,212-404-9055,,,,,,,Approved,5/11/2001,3/31/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,EXPENSES,Y,"1,455,793.00",0,"1,455,793.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107359,801-47370,WIESE CAPITAL MANAGEMENT INC,WIESE CAPITAL MANAGEMENT INC,200 PEQUOT AVENUE,,SOUTHPORT,CT,USA,6890,203-255-3331,203-254-7193,,,,,,,Approved,9/7/1994,3/31/2010,N,,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"15,395,000.00","53,265,000.00","68,660,000.00",49,13,62,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109357,801-56496,HUGHES C G CO LLC,HUGHES C G CO LLC,21 MAPLE AVE,,BAY SHORE,NY,USA,11706-8723,631-665-7881,631-665-7894,,,,,,,Approved,4/30/1999,3/31/2010,Y,WWW.CGHUGHESCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"57,464,264.00","57,464,264.00",0,247,247,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,119235,801-65123,"KLEINHEINZ CAPITAL PARTNERS, INC.","KLEINHEINZ CAPITAL PARTNERS, INC.",301 COMMERCE STREET,SUITE 1900,FORT WORTH,TX,USA,76102,817-348-8100,817-348-8010,,,,,,,Approved,1/10/2006,3/31/2010,Y,WWW.KLEINHEINZ.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,756,000,000.00",0,"1,756,000,000.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
SFRO,105281,801-32726,JENSEN INVESTMENT MANAGEMENT INC.,JENSEN INVESTMENT MANAGEMENT INC,5300 MEADOWS ROAD,SUITE 250,LAKE OSWEGO,OR,UNITED STATES,97035-8234,503-726-4384,503-726-4385,,,,,,,Approved,8/19/1988,3/31/2010,Y,WWW.JENSENINVESTMENT.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,101-250,0,11-25 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,336,000,000.00",0,"3,336,000,000.00",319,0,319,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110292,801-52530,RUSHMORE INVESTMENT ADVISORS INC,RUSHMORE INVESTMENT ADVISORS INC,4965 PRESTON PARK BLVD,SUITE 350,PLANO,TX,UNITED STATES,75093,972-599-9550,972-964-1928,,,,,,,Approved,7/29/1996,3/31/2010,Y,WWW.RUSHADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,Y,CONSULTING FEES,Y,"673,334,494.00","171,476,918.00","844,811,412.00","1,476",46,"1,522",N,Y,N,Y,Y,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110803,801-58249,"ASSET MANAGEMENT SERVICES, INC.","ASSET MANAGEMENT SERVICES, INC.",,,,,,,410-538-6800,410-538-6805,,,,,,,Approved,12/22/2000,3/31/2010,Y,WWW.ASSET-MANAGEMENT-SERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"35,083,660.00","8,341,183.00","43,424,843.00",290,4,294,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,132920,801-63622,"TREESDALE PARTNERS, LLC","TREESDALE PARTNERS, LLC",1325 AVENUE OF THE AMERICAS,SUITE 2302,NEW YORK,NY,USA,10019,212-299-5532,212-757-0697,,,,,,,Approved,1/3/2005,3/31/2010,Y,WWW.TREESDALELLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"549,000,000.00",0,"549,000,000.00",21,0,21,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR OTHER POOLED INVESTMENT VEHICLES,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108160,801-56343,GRANDVIEW CAPITAL MANAGEMENT LLC,GRANDVIEW CAPITAL MANAGEMENT LLC,820 MANHATTAN AVENUE,SUITE 200,MANHATTAN BEACH,CA,UNITED STATES,90266,310-376-5274,310-376-1274,,,,,,,Approved,3/17/1999,3/31/2010,Y,WWW.GRANDVIEWCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,INVESTMENT PARTNERSHIP,Y,N,N,N,N,N,N,,Y,"282,106,993.00",0,"282,106,993.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,127300,801-67468,"COLE ASSET MANAGEMENT, LLC & (DBA) TELLUS ASSET MANAGEMENT","COLE PARTNERS ASSET MANAGEMENT, LLC","415 NORTH LASALLE STREET,",SUITE 501,CHICAGO,IL,UNITED STATES,60654,312-644-4486,312-644-4043,,,,,,,Approved,1/11/2007,3/31/2010,Y,TELLUSASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"32,000,000.00",0,"32,000,000.00",4,0,4,N,N,N,N,N,Y,N,N,N,Y,MARKETING AND EDUCATION REGARDING ALTERNATIVE INVESTMENT PRODUCTS,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,142672,801-70583,GYROSCOPE CAPITAL MANAGEMENT LLC,GYROSCOPE CAPITAL MANAGEMENT LLC,"999 VANDERBILT BEACH ROAD, SUITE 602",,NAPLES,FL,UNITED STATES,34108,239-449-7999,239-790-0928,,,,,,,Approved,9/24/2009,6/24/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"18,758,566.00",0,"18,758,566.00",19,0,19,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138482,801-65238,CENTRECOURT ASSET MANAGEMENT LLC,CENTRECOURT ASSET MANAGEMENT LLC,350 MADISON AVENUE,8TH FLOOR,NY,NY,UNITED STATES,10017,646 758-6750,646 758-6751,,,,,,,Approved,1/20/2006,6/24/2010,Y,WWW.CENTRECOURTAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,"CONSULTING, FINANCIAL ADVISORY, AND INVESTMENT BANKING FEES",Y,"151,000,000.00",0,"151,000,000.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HEDGE FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,13348,801-67354,CURBSTONE FINANCIAL MANAGEMENT CORP.,CURBSTONE FINANCIAL MANAGEMENT CORPORATION,741 CHESTNUT STREET,,MANCHESTER,NH,UNITED STATES,03104-3002,603-624-8462,603-624-8274,,,,,,,Approved,12/4/2006,6/24/2010,Y,WWW.CURBSTONEFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"100,244,511.00",0,"100,244,511.00",273,0,273,Y,Y,N,Y,N,N,N,N,N,Y,PRESENT VALUE CALCULATIONS FOR STRUCTURED SETTLEMENTS,25-Nov,,N,N,Y,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
SFRO,118911,801-67985,"AMERICAN PEGASUS LDG, LLC","AMERICAN PEGASUS LDG, LLC","142 SANSOME STREET, 2ND FLOOR",,SAN FRANCISCO,CA,UNITED STATES,94104,(415) 963-9965,(415) 963-9981,,,,,,,Approved,7/5/2007,6/24/2010,Y,WWW.AMERICANPEGASUS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"106,952,251.00",0,"106,952,251.00",9,0,9,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,N,N,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,133402,801-63750,MELLON HEDGE ADVISORS,"MELLON HEDGE ADVISORS, LLC",BNY MELLON CENTER,201 WASHINGTON STREET,BOSTON,MA,UNITED STATES,02108-4407,617-722-7018,617-722-7367,,,,,,,Approved,1/3/2005,6/24/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"574,195,679.00",0,"574,195,679.00",1,0,1,N,N,Y,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109979,801-50707,CONTRARIAN CAPITAL MANAGEMENT LLC,CONTRARIAN CAPITAL MANAGEMENT LLC,"411 WEST PUTNAM AVENUE, SUITE 425",,GREENWICH,CT,UNITED STATES,6830,203-862-8200,203-629-1977,,,,,,,Approved,12/15/1995,6/24/2010,Y,WWW.CONTRARIANCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,352,000,000.00",0,"3,352,000,000.00",28,0,28,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111795,801-39426,SLOCUM,"JEFFREY SLOCUM & ASSOCIATES, INC.",43 MAIN STREET SOUTHEAST,#148,MINNEAPOLIS,MN,USA,55414-1032,612-338-7020,612-338-7034,,,,,,,Approved,7/25/1991,6/24/2010,Y,WWW.JSLOCUM.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,51-250,0,51-250,0,0,0,0,0,101-250,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,11-25 percent,Up to 10 percent,26-50 percent,"HEALTH CARE ORGANIZATIONS, INSURANCE POOLS, AND FAMILY OFFICES",Y,N,N,Y,N,N,N,,Y,"240,000,000.00",0,"240,000,000.00",1,0,1,N,N,N,Y,Y,Y,N,N,N,Y,"INVESTMENT CONSULTING FOR INSTITUTIONAL POOLS, E.G. ENDOWMENTS, FOUNDATIONS, OPERATING ASSETS, INSURANCE RESERVES, FAMILY OFFICE",0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110096,801-57921,HILLMAN CAPITAL MANAGEMENT INC,HILLMAN CAPITAL MANAGEMENT INC,7501  WISCONSIN AVENUE,SUITE 1100 E,BETHESDA,MD,UNITED STATES,20814,240-744-4500,240-599-7668,,,,,,,Approved,9/12/2000,6/24/2010,Y,WWW.HILLMANCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,10-Jun,0,5-Jan,0,0,0,Nov-50,0,More than 500,"1,000",26-50 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"545,220,948.00","162,950.00","545,383,898.00",742,1,743,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,118937,801-61751,PENLAND LEGACY ADVISORS,"SMILEY, WILLIAM, MICHAEL",,,,,,,704-399-7010,704-399-4870,3611-204 MT HOLLY-HUNTERSVILLE RD,BOX 245,CHARLOTTE,NC,UNITED STATES,28216,Approved,1/23/2003,6/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,THIRD-PARTY ADVISORY FEES,Y,"39,130,000.00","12,550,000.00","51,680,000.00",93,222,315,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,136713,801-64816,"CYRUS CAPITAL PARTNERS, L.P.","CYRUS CAPITAL PARTNERS, L.P.",399 PARK AVENUE,39TH FLOOR,NEW YORK,NY,UNITED STATES,10022-4608,212-380-5800,212-380-5801,,,,,,,Approved,11/4/2005,6/24/2010,Y,WWW.CYRUSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,980,480,570.00",0,"1,980,480,570.00",12,0,12,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,131315,801-68996,"AMICUS FINANCIAL ADVISORS, L.L.P.","AMICUS FINANCIAL ADVISORS, L.L.P.",9075 S. 1300 E.,SUITE 102B,SANDY,UT,UNITED STATES,84094-3177,801-938-1226,888-826-4287,,,,,,,Approved,4/3/2008,6/24/2010,Y,WWW.AMICUSADVISERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,TX,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"26,205,823.00","907,432.00","27,113,255.00",351,3,354,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,124776,801-71634,PALISADE INVESTMENTS,"DESOTA, ROBIN NOEL",,,,,,,775-790-0176,775-299-4641,,,,,,,Approved,7/14/2010,6/24/2010,Y,WWW.PALISADEINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"40,000,000.00","40,000,000.00",0,58,58,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144059,801-67952,"SUMMIT ROCK ADVISORS, LLC","SUMMIT ROCK ADVISORS, LLC",9 WEST 57TH STREET,12TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-993-7140,212-993-7149,,,,,,,Approved,5/29/2007,6/24/2010,Y,HTTP://SUMMIT-ROCK.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,Y,BASED ON A CLIENT'S TOTAL WEALTH,Y,"1,123,600,000.00",0,"1,123,600,000.00",28,0,28,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,107155,801-52601,INVESCO ASSET MANAGEMENT (JAPAN) LIMITED,INVESCO ASSET MANAGEMENT (JAPAN) LIMITED,"25TH FL, SHIROYAMA TRUST TOWER","3-1, TORANOMON 4-CHOME, MINATO-KU",TOKYO,,JAPAN,105-6025,-8974,-9135,,,,,,,Approved,7/1/1996,6/24/2010,Y,HTTP://WWW.INVESCO.CO.JP,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,JAPAN,51-250,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,11-25 percent,0 percent,26-50 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,720,811,026.00","114,538,965.00","5,835,349,991.00",96,5,101,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,154101,801-71573,"DYMAXION CAPITAL MANAGEMENT, LLC","DYMAXION CAPITAL MANAGEMENT, LLC",2710 THOMAS AVENUE,SUITE 1255,CHEYENNE,WY,UNITED STATES,82001,917-535-2154,914-472-0753,,,,,,,Approved,7/27/2010,6/24/2010,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"50,000.00",0,"50,000.00",1,0,1,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,143478,801-67727,"CHECCHI CAPITAL ADVISERS, LLC","CHECCHI CAPITAL ADVISERS, LLC",190 N. CANON DRIVE,SUITE 402,BEVERLY HILLS,CA,USA,90210,310-432-0010,310-432-0013,,,,,,,Approved,4/17/2007,6/25/2010,Y,WWW.CHECCHICAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"99,800,000.00",0,"99,800,000.00",24,0,24,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,150875,801-71600,"AUTOSPORT FUND ADVISORS, INC.","AUTOSPORT FUND ADVISORS, INC.",,,,,,,661-586-8549,661-206-8950,,,,,,,120-Day Approval,6/24/2010,6/25/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107774,801-56681,PORTFOLIO SOLUTIONS LLC,PORTFOLIO SOLUTIONS LLC,900 WILSHIRE DRIVE,SUITE 200,TROY,MI,UNITED STATES,48084,248-689-1550,248-689-7611,,,,,,,Approved,7/13/1999,6/25/2010,Y,WWW.PORTFOLIOSOLUTIONS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"751,186,480.00",0,"751,186,480.00","1,412",0,"1,412",N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110938,801-45731,FIL INVESTMENTS (JAPAN) LIMITED,FIL INVESTMENTS (JAPAN) LIMITED,SHIROYAMA TRUST TOWER,"4-3-1, TORANOMON, MINATO-KU",TOKYO,,JAPAN,105-6019,00813-4560-5000,441-2925282,,,,,,,Approved,3/22/1994,6/25/2010,Y,FIDELITY.CO.JP,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,JAPAN,51-250,0,51-250,0,0,0,0,0,101-250,0,0 percent,0 percent,0 percent,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,A % OF FEE REC'D BY ADVISOR RETAINING REGISTRANT OR 100% OF COST,Y,"27,356,000,000.00",0,"27,356,000,000.00",124,0,124,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,142766,801-67809,"CANARAS CAPITAL MANAGEMENT, LLC","CANARAS CAPITAL MANAGEMENT, LLC",130 WEST 42ND STREET,15TH FLOOR,NEW YORK,NY,UNITED STATES,10036-7907,212-372-7444,212-372-7449,,,,,,,Approved,4/19/2007,6/25/2010,Y,WWW.CANARAS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,"COST, PLUS 10% OF COST",Y,"635,000,000.00","30,000,000.00","665,000,000.00",5,1,6,N,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,154361,801-71627,BLUE CRAB PARTNERS,"BLUE CRAB PARTNERS, LLC",,,,,,,317-773-8075,317-773-8075,,,,,,,Approved,6/28/2010,6/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"49,535,168.00",0,"49,535,168.00",146,0,146,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,148222,801-71114,GEOWEALTH MANAGEMENT LLC,GEOWEALTH MANAGEMENT LLC,8301 EAST 21ST STREET NORTH,SUITE 420,WICHITA,KS,UNITED STATES,67206,316-630-0247,316-462-0651,,,,,,,Approved,2/25/2010,6/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"100,000,000.00",0,"100,000,000.00",225,0,225,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT ADVISER TO PRIVATE POOLED INVESTMENT VEHICLES. PROVIDES SOFTWARE BASED QUANTITATIVE TRADING STRATEGIES FOR A FEE.,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144990,801-68347,"PARADIGM CONSULTING, INC.","PARADIGM CONSULTING, INC.",2717 GENESEE STREET,SECOND FLOOR,UTICA,NY,UNITED STATES,13501,315-797-8400,315-797-8403,,,,,,,Approved,9/19/2007,6/25/2010,Y,WWW.PARADIGMCI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"54,491,258.00","25,438.00","54,516,696.00",417,4,421,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,Y,N,N,N,N,Y,N,N,,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,122055,801-61438,NORTHERN LIGHT ASSETS LIMITED,NORTHERN LIGHT ASSETS LIMITED,,,,,,,562-492-7680,562-492-7679,,,,,,,Approved,9/5/2002,3/1/2006,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,BRITISH VIRGIN ISLANDS,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,Y,Y,N,,Y,"1,000,000.00",0,"1,000,000.00",4,0,4,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,138655,801-66801,"MCCARTER INVESTMENTS, LLC","MCCARTER INVESTMENTS, LLC",,,,,,,865-579-5868,865-573-1642,,,,,,,Approved,5/23/2006,5/11/2009,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"20,519,602.00",0,"20,519,602.00",64,0,64,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137291,801-65190,TACONIC CAPITAL ADVISORS UK LLP,TACONIC CAPITAL ADVISORS UK LLP,55 GROSVENOR STREET,5TH FLOOR,LONDON,,UNITED KINGDOM,W1K 3HY,44 20 7518 2500,44 20 7518 2501,,,,,,,Approved,1/23/2006,4/29/2010,Y,WWW.TACONICCAP.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,A PERCENTAGE OF EXPENSES INCURRED.,Y,"8,172,748,753.00",0,"8,172,748,753.00",10,0,10,N,N,N,N,N,N,N,N,N,Y,"PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES (E.G., HEDGE FUNDS)",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,129104,801-62533,AFA ADVISOR SERVICES LLC,AFA ADVISOR SERVICES LLC,26637 WEST AGOURA ROAD,SUITE 100,CALABASAS,CA,UNITED STATES,91302,818-708-0111,818-444-8866,,,,,,,Approved,12/1/2003,4/29/2010,Y,WWW.AFAHOLDING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,986,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"141,562,821.00","63,783,049.00","205,345,870.00",800,186,986,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N
MIRO,145635,801-68695,"ACCOLADE INVESTMENT ADVISORY, LLC","ACCOLADE INVESTMENT ADVISORY, LLC",3692 COOLIDGE COURT,SUITE 217,TALLAHASEE,FL,USA,32311,866-537-7302,850-201-3583,,,,,,,Approved,1/23/2008,4/29/2010,Y,WWW.ACCOLADEADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,CREDIT UNIONS,Y,Y,N,N,N,N,N,,Y,0,"732,335,199.00","732,335,199.00",0,3,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105339,801-20608,"MORLEY CAPITAL MANAGEMENT, INC.","MORLEY CAPITAL MANAGEMENT, INC.","1300 SW FIFTH AVENUE, SUITE 3300",,PORTLAND,OR,UNITED STATES,97201-5602,503-484-9300,866-319-6658,,,,,,,Approved,2/23/1984,4/29/2010,Y,WWW.MEMBER.MORLEY.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,26-100,0,0 percent,0 percent,26-50 percent,11-25 percent,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,406,386,375.00","11,571,385,031.00","14,977,771,406.00",13,20,33,N,N,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,135441,801-64296,TETREM CAPITAL MANAGEMENT LTD.,TETREM CAPITAL MANAGEMENT LTD.,1450 - 201 PORTAGE AVENUE,,"WINNIPEG, MANITOBA CANADA",,CANADA,R3B 3K6,204-975-2865,204-975-2866,,,,,,,Approved,5/6/2005,4/29/2010,Y,WWW.TETREM.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"5,439,202,332.00",0,"5,439,202,332.00",95,0,95,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,149990,801-70218,ASSETPLUS INVESTMENT MANAGEMENT CO.,ASSETPLUS INVESTMENT MANAGEMENT CO.,21ST FL GANGNAM FINANCE CENTER,737 YOKSAMDONG GANGNAMGU,SEOUL,,"KOREA, SOUTH",135-984,(82)2-3490-9877,(82)2-507-7717,,,,,,,Approved,5/26/2009,5/11/2009,Y,HTTP://WWW.ASSETPLUS.CO.KR,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"KOREA, SOUTH",51-250,0,Nov-50,0,0,0,0,0,101-250,0,51-75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"262,148,537.00",0,"262,148,537.00",63,0,63,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,133535,801-67165,"SIMONDAVIS ASSET MANAGEMENT, INC.","SIMONDAVIS ASSET MANAGEMENT, INC.",600 GRANT ST. #650,,DENVER,CO,UNITED STATES,80203,303-837-1119,303-860-8956,,,,,,,Approved,9/20/2006,4/29/2010,Y,WWW.SIMONDAVISINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,PORTION OF FEES RECEIVED AS THIRD PARTY ADVISER,Y,"57,631,358.00","23,205,445.00","80,836,803.00",400,129,529,Y,Y,N,N,N,Y,Y,N,N,Y,SEMINARS,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,121382,801-62990,SHUTTLEWORTH & COMPANY,SHUTTLEWORTH & COMPANY,7263 SAWMILL ROAD,SUITE 100,DUBLIN,OH,USA,43016-9000,614-760-7738,614-760-9101,,,,,,,Approved,4/14/2004,4/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"45,404,881.00","549,685.00","45,954,566.00",102,2,104,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109227,801-56359,BRISTLECONE ADVISORS LLC,BRISTLECONE ADVISORS LLC,"1000 2ND AVENUE, SUITE 3110",,SEATTLE,WA,UNITED STATES,98104,206-664-2500,206-260-9143,,,,,,,Approved,3/23/1999,4/29/2010,Y,WWW.BRISTLECONEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"248,255,314.00",0,"248,255,314.00",293,0,293,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105612,801-26787,C&O FUNDS ADVISOR INC,C&O FUNDS ADVISOR INC,5185 PEACHTREE PARKWAY,SUITE 370,NORCROSS,GA,UNITED STATES,30092-6541,678-533-7850,770-797-9725,,,,,,,Approved,4/24/1986,4/30/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"404,774,500.00",0,"404,774,500.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105366,801-17451,CALDWELL & ORKIN INC,CALDWELL & ORKIN INC,5185 PEACHTREE PARKWAY,SUITE 370,NORCROSS,GA,UNITED STATES,30092-6541,678-533-7850,770-797-9725,,,,,,,Approved,7/7/1982,4/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"77,436,068.00",0,"77,436,068.00",33,0,33,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110617,801-44864,PISCATAQUA RESEARCH INC.,PISCATAQUA RESEARCH INC.,1 NEW HAMPSHIRE AVENUE,SUITE 125,PORTSMOUTH,NH,UNITED STATES,3801,603-431-7872,603-430-4027,,,,,,,Approved,10/5/1993,4/30/2010,Y,WWW.PISCATAQUARESEARCH.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,Y,N,Y,Y,Y,N,N,N,Y,PORTFOLIO SUPERVISION AND INVESTMENT CONSULTING,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,13366,801-67061,BROOKSTONE INVESTMENT ADVISORY SERVICES,"BROOKSTONE SECURITIES, INC.",2920 DRANE FIELD ROAD,,LAKELAND,FL,UNITED STATES,33813,863-687-9670,863-682-3490,,,,,,,Approved,8/3/2006,4/30/2010,Y,WWW.BROOKSTONESECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,51-250,0,Nov-50,0,51-250,0,0,0,More than 500,700,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"94,220,533.00",0,"94,220,533.00",630,0,630,Y,Y,N,N,N,Y,N,N,N,Y,MEDICAID AID PLANNING,26-50,,N,N,Y,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
HQ,153098,801-71286,THEOREMA ADVISORS LTD.,THEOREMA ADVISORS LTD.,171 OLD BAKERY STREET,,VALLETTA,,MALTA,VLT 1455,1 441 238 0458,1 441 238 0226,SUITE 1264,48 PAR-LA-VILLE RD,SOUTHAMPTON,,BERMUDA,SN04,Approved,5/10/2010,4/30/2010,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,,MALTA,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,050,000,000.00",0,"1,050,000,000.00",9,0,9,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137489,801-71329,THEOREMA ASSET MANAGEMENT LTD.,THEOREMA ASSET MANAGEMENT LTD.,13 HANOVER SQUARE,,LONDON,,UNITED KINGDOM,W1S 1HN,0207-318-5330,0207-318-5350,,,,,,,Approved,5/10/2010,4/30/2010,Y,WWW.THEOREMAFUNDS.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,080,000,000.00",0,"1,080,000,000.00",9,0,9,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES AND SEPARATE ACCOUNTS,,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,151675,801-70837,"CAHABA WEALTH MANAGEMENT, INC.","CAHABA WEALTH MANAGEMENT, INC.",999 PEACHTREE STREET,SUITE 790,ATLANTA,GA,UNITED STATES,30309-4400,404-549-7678,404-549-7896,,,,,,,Approved,11/23/2009,4/30/2010,Y,WWW.CAHABAWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"52,500,000.00",0,"52,500,000.00",130,0,130,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,123835,801-68984,"LEGACY PLANNING GROUP, INC.","LEGACY PLANNING GROUP, INC.",,,,,,,423-913-2950,703-564-9155,105 KEEVIEW COURT,,JOHNSON CITY,TN,UNITED STATES,37615,Approved,4/15/2008,4/30/2010,Y,WWW.CHRISTIANMONEYMANAGER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"23,303,100.00","1,895,210.00","25,198,310.00",215,48,263,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,143616,801-67738,PARAMETRIC RISK ADVISORS,PARAMETRIC RISK ADVISORS LLC,274 RIVERSIDE AVENUE,1ST FLOOR,WESTPORT,CT,USA,6880,203-227-1700,203-227-1712,,,,,,,Approved,4/18/2007,4/30/2010,Y,WWW.PARAPORT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"2,979,879,275.00",0,"2,979,879,275.00",95,0,95,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114347,801-68682,FORRESTER FINANCIAL ADVISORS,"JAMES FRANKLIN FORRESTER, JR.","1111 MAIN STREET, SUITE 101",,GRAPEVINE,TX,UNITED STATES,76051,817-865-5001,817-421-2443,,,,,,,Approved,1/24/2008,4/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"39,290,514.00",0,"39,290,514.00",103,0,103,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109691,801-15948,DAIWA SB INVESTMENTS USA LTD,DAIWA SB INVESTMENTS USA LTD,"32 OLD SLIP, 11TH FLOOR",,NEW YORK,NY,UNITED STATES,10005-3504,212-612-8500,212-612-8518,,,,,,,Approved,4/20/1981,4/30/2010,Y,WWW.DAIWASBI.CO.JP,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,11-25 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"551,286,621.00",0,"551,286,621.00",5,0,5,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150592,801-70257,"STONECASTLE CASH MANAGEMENT, LLC","STONECASTLE CASH MANAGEMENT, LLC",120 WEST 45TH STREET,14TH FLOOR,NEW YORK,NY,UNITED STATES,10036,212-354-6500 X301,212-354-6565,,,,,,,Approved,6/2/2009,4/30/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,000,000.00",0,"2,000,000.00",1,0,1,N,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111755,801-42372,RAULIN INC.,RAULIN INC.,"600 TAYLOR WAY, SUITE 201",,BRIDGEVILLE,PA,UNITED STATES,15017-1842,412-221-3044,412-221-2955,,,,,,,Approved,9/23/1992,4/30/2010,Y,WWW.RAULININC.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,11-25 percent,11-25 percent,11-25 percent,HEALTH AND WELFARE PLANS,N,Y,N,Y,N,N,Y,ASSET-BASED FEES,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110362,801-60199,"SHENANDOAH ASSET MANAGEMENT, LLC","SHENANDOAH ASSET MANAGEMENT, LLC",121 SHOCKOE SLIP,,RICHMOND,VA,USA,23219,804-343-1400,804-343-1401,,,,,,,Approved,4/27/2001,4/30/2010,Y,WWW.SAMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"272,242,683.00",0,"272,242,683.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110179,801-57823,GEN FINANCIAL MANAGEMENT INC.,GEN FINANCIAL MANAGEMENT INC.,10800 OLD COUNTY ROAD 15,SUITE 200,PLYMOUTH,MN,UNITED STATES,55441,952-513-1466,952-513-1464,,,,,,,Approved,8/2/2000,2/10/2010,Y,WWW.GENFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"74,076,000.00",0,"74,076,000.00",468,0,468,Y,Y,N,N,Y,Y,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,121897,801-66728,ALTRUIST FINANCIAL ADVISORS LLC,ALTRUIST FINANCIAL ADVISORS LLC,,,,,,,269-857-2743,269-857-3753,,,,,,,Approved,5/10/2006,2/16/2010,Y,HTTP://WWW.ALTRUISTFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"37,215,493.00","40,735,526.00","77,951,019.00",2,21,23,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106582,801-52745,AVALON FINANCIAL MANAGEMENT,SCHIEL ARTHUR L,290 KING OF PRUSSIA ROAD,"BUILDING #1, STE 304",RADNOR,PA,UNITED STATES,19087,610-293-8020,610-293-8020,,,,,,,Approved,8/26/1996,2/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"42,647,508.00",0,"42,647,508.00",33,0,33,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,120529,801-63107,"MARC J. LANE INVESTMENT MANAGEMENT,INC.","MARC J. LANE INVESTMENT MANAGEMENT,INC.",180 NORTH LASALLE STREET,SUITE 2100,CHICAGO,IL,UNITED STATES,60601-2701,312-372-1040,312-346-1040,,,,,,,Approved,4/29/2004,2/16/2010,Y,WWW.MARCJLANE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,12B-1 FEES,Y,"40,955,664.00",0,"40,955,664.00",104,0,104,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,Y,Y,N,Y,N,Y,Y,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,128055,801-62544,"THE LAM GROUP, INC.","THE LAM GROUP, INC.",,,,,,,503-730-9345,503-210-9344,P.O. BOX 850,,LAKE OSWEGO,OR,USA,97034,Approved,1/2/2004,2/16/2010,Y,WWW.THELAMGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"107,400,000.00","65,400,000.00","172,800,000.00",157,4,161,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,112773,801-55499,"COLUMBIA CAPITAL MANAGEMENT, LLC","COLUMBIA CAPITAL MANAGEMENT, LLC",6330 LAMAR AVENUE,SUITE 200,OVERLAND PARK,KS,USA,66202,913-248-8500,913-248-8900,,,,,,,Approved,5/15/1998,2/16/2010,Y,WWW.COLUMBIACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"293,498,163.00","143,232,939.00","436,731,102.00",1,1,2,N,N,N,Y,N,N,N,N,N,Y,FINANCIAL ADVISORY SERVICES FOR GOVERNMENTAL BOND TRANSACTIONS,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151024,801-70442,"BELSTAR MANAGEMENT COMPANY, LLC","BELSTAR MANAGEMENT COMPANY, LLC",1330 AVENUE OF THE AMERICAS,6TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-245-2800,212-202-3830,,,,,,,Approved,8/5/2009,2/16/2010,Y,WWW.BELSTARGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"155,000,000.00",0,"155,000,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,143999,801-67923,WMG ASIA LIMITED,WMG ASIA LIMITED,"UNIT 2605, 26TH FLOOR",9 QUEEN'S ROAD CENTRAL,HONG KONG,,HONG KONG,,-9105,-8917,,,,,,,Approved,5/25/2007,1/24/2008,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"269,670,243.00",0,"269,670,243.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,134076,801-66359,"WILSON & BOUCHER CAPITAL MANAGEMENT, LLC","WILSON & BOUCHER CAPITAL MANAGEMENT, LLC","533 MORAGA RD., SUITE 120",,MORAGA,CA,UNITED STATES,94556,(800) 381-8610,(925) 631-0473,,,,,,,Approved,3/9/2006,2/16/2010,Y,WWW.WILSONBOUCHER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"76,191,764.00",0,"76,191,764.00",257,0,257,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,131435,801-63095,"THE RIKOON GROUP, LLC","THE RIKOON GROUP, LLC",,,,,,,505-989-3581,505-983-8086,,,,,,,Approved,5/12/2004,2/16/2010,Y,WWW.RIKOONGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SERVICES WITH ADVISORY CLIENTS IN CERTAIN PRIVATE INVESTMENTS,Y,"360,110,218.00","56,397,681.00","416,507,899.00",896,18,914,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULATION SERVICES/FAMILY MEETINGS,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,N,Y,N,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105090,801-11216,"HEROLD ADVISORS, INC.","HEROLD ADVISORS, INC.",805 3RD AVE,,NEW YORK,NY,UNITED STATES,10022-7513,212-371-3950,212-758-4967,,,,,,,Approved,1/2/1976,2/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,Nov-50,0,26-100,0,11-25 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"42,012,131.00",0,"42,012,131.00",110,0,110,N,Y,N,N,N,N,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,10603,801-16717,LYLE & FORSYTH INVESTMENT MANAGERS,"LYLE, ALLAN GLEN",145 NORTH REDWOOD DRIVE,,SAN RAFAEL,CA,UNITED STATES,94903-1974,415-492-9240,415-499-9014,,,,,,,Approved,1/14/1982,2/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"137,944,173.00",0,"137,944,173.00",67,0,67,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,145611,801-68557,PROCHE CAPITAL MANAGEMENT,"PROCHE CAPITAL MANAGEMENT, INC.",,,,,,,205-969-7969,,,,,,,,Approved,11/23/2007,2/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"35,655,810.00",0,"35,655,810.00",63,0,63,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112737,801-56544,ALLEN G B ASSOCIATES INC.,ALLEN G B ASSOCIATES INC.,140 RT. 17 NORTH,STE. 350,PARAMUS,NJ,UNITED STATES,7652,201-262-7878,201-262-7861,,,,,,,Approved,5/26/1999,2/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"35,000,000.00",0,"35,000,000.00",85,0,85,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,129174,801-67777,"R.G HURLEY & ASSOCIATES, INC.","R.G HURLEY & ASSOCIATES, INC.",1099 BLOOMFIELD AVE. SUITE 16,,WEST CALDWELL,NJ,UNITED STATES,7006,973-227-6006,973-227-1922,,,,,,,Approved,5/3/2007,2/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"45,132,315.00","45,132,315.00",0,326,326,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106563,801-41118,"AEQUUS WEALTH MANAGEMENT RESOURCES, LLC","AEQUUS WEALTH MANAGEMENT RESOURCES, LLC","303 WEST ERIE STREET, STE 311",,CHICAGO,IL,UNITED STATES,60654,312-664-4090,312-664-9709,,,,,,,Approved,3/9/1992,2/26/2010,Y,WWW.AEQUUSWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"95,576,067.00","95,576,067.00",0,251,251,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,3394,801-66673,"CARL P. SHERR & CO., LLC","CARL P. SHERR & CO., LLC",446 MAIN STREET,SUITE 2100,WORCESTER,MA,USA,1608,508-791-7126,508-753-0315,,,,,,,Approved,5/10/2006,2/26/2010,Y,WWW.CARLPSHERR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"65,636,716.00",0,"65,636,716.00",341,0,341,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,Y,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111414,801-37202,CARLSON CAPITAL MANAGEMENT,CARLSON CAPITAL MANAGEMENT INC,11 BRIDGE SQUARE,,NORTHFIELD,MN,UNITED STATES,55057,507-645-8887,507-645-6408,,,,,,,Approved,9/21/1990,2/26/2010,Y,WWW.CARLSONCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,"1,000",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"729,758,616.00",0,"729,758,616.00","3,224",0,"3,224",Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,132731,801-63538,WINDOWPANE ADVISORS L.L.C.,WINDOWPANE ADVISORS L.L.C.,600 WEST BROADWAY STREET,SUITE 1225,SAN DIEGO,CA,USA,92101,619-231-9102,619-231-0636,,,,,,,Approved,9/24/2004,2/26/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"111,200,000.00",0,"111,200,000.00",1,0,1,N,N,Y,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139037,801-66379,CYPRESS CAPITAL MANAGEMENT US LIMITED,CYPRESS CAPITAL MANAGEMENT US LIMITED,66 WELLINGTON ST.,W. TD BANK TOWER 31ST FLOOR,TORONTO,,CANADA,M5K 1E9,416-367-1900,416-865-4220,,,,,,,Approved,4/6/2006,2/26/2010,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"24,878,091.00",0,"24,878,091.00",21,0,21,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108127,801-57395,"RANDOLPH CAPITAL MANAGEMENT, INC.",RANDOLPH CAPITAL MANAGEMENT INC,,,,,,,973-895-2625,973-895-2645,P.O. BOX 161,,MT. FREEDOM,NJ,UNITED STATES,7970,Approved,4/6/2000,2/26/2010,Y,WWW.RANDOLPHCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"34,033,200.00","10,362,447.00","44,395,647.00",44,19,63,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107903,801-49266,COHEN CAPITAL MANAGEMENT INC,COHEN CAPITAL MANAGEMENT INC,"21 TAMAL VISTA BLVD, STE 245",,CORTE MADERA,CA,UNITED STATES,94925,415-927-6700,415-927-8010,,,,,,,Approved,6/5/1995,3/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"98,000,000.00",0,"98,000,000.00",50,0,50,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,135440,801-68451,PRISM CAPITAL MANAGEMENT,"PRISM CAPITAL MANAGEMENT, LLC",720 E WASHINGTON ST,SUITE 111,SEQUIM,WA,UNITED STATES,98382-3801,360-683-2450,866-294-5926,P.O. BOX 4166,,SEQUIM,WA,UNITED STATES,98382-4166,Approved,2/7/2008,3/3/2010,Y,WWW.PRISM-CM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,294,463.00","2,454,999.00","27,749,462.00",270,30,300,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,126665,801-62078,"PRIVATE CAPITAL GROUP, LLC","PRIVATE CAPITAL GROUP, LLC",29 SOUTH MAIN STREET,,WEST HARTFORD,CT,USA,6107,860.561.1162,860.561.1018,,,,,,,Approved,5/27/2003,3/3/2010,Y,WWW.PCGCT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"249,137,758.00","2,142,699.00","251,280,457.00",626,8,634,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104804,801-18338,SCHIAVI + DATTANI,SCHIAVI & COMPANY LLC,2710 CENTERVILLE ROAD,SUITE 201,WILMINGTON,DE,USA,19808-1644,302-994-4444,302-994-4443,,,,,,,Approved,1/31/1983,3/3/2010,Y,WWW.SDFINANCIALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"165,142,000.00","58,177,000.00","223,319,000.00",99,25,124,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107632,801-56205,BUSH POLEN & ASSOCIATES INC,BUSH POLEN & ASSOCIATES INC,7282 STINSON AVE NW STE A,,GIG HARBOR,WA,UNITED STATES,98335,253-851-9162,253-851-7294,P.O. BOX 1326,,GIG HARBOR,WA,UNITED STATES,98335,Approved,1/26/1999,3/3/2010,Y,WWW.RAYMONDJAMES.COM/BUSHPOLEN,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISER/MANAGER FEES,Y,0,"52,398,667.00","52,398,667.00",0,849,849,Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106956,801-33091,FIDUCIARY CONSULTANTS INC,FIDUCIARY CONSULTANTS INC,12444 POWERSCOURT DRIVE,SUITE 200,ST. LOUIS,MO,UNITED STATES,63131,314-822-4444,314-822-4401,,,,,,,Approved,9/1/1988,3/3/2010,Y,WWW.FIDUCIARYCONSULTANTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"4,154,106,256.00","4,154,106,256.00",0,22,22,N,N,N,N,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
MIRO,106180,801-44986,H.B. GOFMAN ASSOCIATES INC,H.B. GOFMAN ASSOCIATES INC,"2055 WOOD STREET, SUITE 200",,SARASOTA,FL,UNITED STATES,34237,941-955-8100,941-955-8395,,,,,,,Approved,10/20/1993,3/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"97,697,347.00","11,131,826.00","108,829,173.00",46,5,51,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150031,801-70113,"KELLOGG ASSET MANAGEMENT, LLC","KELLOGG ASSET MANAGEMENT, LLC",200 NORTH ADAMS STREET,,GREEN BAY,WI,UNITED STATES,54301,920-433-3200,920-433-3140,,,,,,,Approved,5/11/2009,3/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,0,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,357,921,000.00",0,"1,357,921,000.00",1,0,1,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106072,801-4068,FIRST MANHATTAN CO INC,FIRST MANHATTAN CO INC,437 MADISON AVE,,NEW YORK,NY,USA,10022,212-756-3300,212-751-0497,,,,,,,Approved,8/30/1966,3/3/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,0,0,10-Jun,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N
PLRO,125025,801-61850,GUIDANCE CAPITAL,"GUIDANCE CAPITAL, LLC",500 DELAWARE AVENUE,SUITE 720,WILMINGTON,DE,USA,19801,302-573-6883,302-691-1449,,,,,,,Approved,3/21/2003,3/3/2010,Y,WWW.GUIDANCECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"280,000,000.00","101,000,000.00","381,000,000.00",13,1,14,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107932,801-56063,"WABASH CAPITAL, INC.","WABASH CAPITAL, INC.",2901 OHIO BLVD,STE 242,TERRE HAUTE,IN,USA,47803,812-242-9113,812-231-0127,,,,,,,Approved,11/25/1998,3/3/2010,Y,WWW.WABASHCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"67,211,440.00","27,893,087.00","95,104,527.00",460,4,464,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110047,801-36146,INVESTMENT PLANNING ASSOCIATES INC,INVESTMENT PLANNING ASSOCIATES INC,11140 ROCKVILLE PIKE,SUITE 600,ROCKVILLE,MD,UNITED STATES,20852,240-430-3000,240-430-3001,,,,,,,Approved,3/2/1990,3/3/2010,Y,WWW.IPA-RIA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"62,000,000.00","62,000,000.00",0,110,110,Y,Y,N,N,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,120243,801-61243,THE RESOURCE GROUP ASSET AND TRUST MANAGERS,MMGC INC.,78-000 FRED WARING DRIVE,SUITE 204,PALM DESERT,CA,UNITED STATES,92211,760-836-9052,760-360-1440,,,,,,,Approved,6/10/2002,5/3/2010,Y,WWW.THERESOURCEGROUPADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"45,578,206.00","45,578,206.00",0,97,97,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,131162,801-71401,SMI MANAGEMENT & RESEARCH LLC,SMI MANAGEMENT & RESEARCH LLC,4 HAMMOND STREET,,DAMARISCOTTA,ME,UNITED STATES,4543,207-563-1934,,,,,,,,Approved,5/5/2010,5/3/2010,Y,WWW.SMI-MANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,ME,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,327,576.00",0,"34,327,576.00",187,0,187,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,117667,801-62959,"BERKELEY, INC","BERKELEY, INC",3778 PLANTATION RIVER DRIVE,SUITE 102,BOISE,ID,USA,83703,208-853-6980,208-853-6982,,,,,,,Approved,3/30/2004,5/3/2010,Y,WWW.BERKELEYINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,ID,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"122,739,120.00",0,"122,739,120.00",677,0,677,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,126653,801-62003,"CAPITAL VIEW WEALTH MANAGEMENT, LLC","CAPITAL VIEW WEALTH MANAGEMENT, LLC",801 GRAND AVENUE,SUITE 3301,DES MOINES,IA,USA,50309,515-288-5140,515-288-5143,,,,,,,Approved,5/1/2003,5/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"85,000,000.00","32,000,000.00","117,000,000.00",52,9,61,N,Y,N,N,N,N,N,N,N,Y,CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,125280,801-62037,"HARBOUR POINTE FINANCIAL ADVISORS, LLC","HARBOUR POINTE FINANCIAL ADVISORS, LLC",12199 VILLAGE CENTER PLACE,SUITE 201,MUKILTEO,WA,UNITED STATES,98275,425-493-6788,425-493-2940,,,,,,,Approved,5/7/2003,5/3/2010,Y,WWW.HPFINANCIALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"50,257,034.00",0,"50,257,034.00",197,0,197,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,38535,801-64722,"MOLONEY SECURITIES CO., INC.","MOLONEY SECURITIES CO., INC.",13537 BARRETT PARKWAY DRIVE,SUITE 300,MANCHESTER,MO,UNITED STATES,63021,314-909-0600,314-909-0606,,,,,,,Approved,10/18/2005,5/3/2010,Y,WWW.MOSECO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"38,657,668.00","27,749,362.00","66,407,030.00",286,164,450,N,Y,N,N,N,Y,Y,N,N,N,,0,,N,N,Y,N,N,N,Y,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
HQ,137891,801-66247,ELMWOOD ADVISORS PTE. LTD.,ELMWOOD ADVISORS PTE. LTD.,"PRUDENTIAL TOWER, LEVEL 14",30 CECIL STREET,SINGAPORE,,SINGAPORE,49712,81-3-5408-5834,81-3-5408-5874,,,,,,,Approved,2/24/2006,2/21/2006,Y,HTTP://WWW.ALPHA-PAC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),PRIVATE LIMITED COMPANY,,SINGAPORE,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"160,000,000.00",0,"160,000,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105596,801-17219,ENNIS KNUPP & ASSOCIATES INC,ENNIS KNUPP & ASSOCIATES INC,10 S RIVERSIDE PLAZA,STE 1600,CHICAGO,IL,UNITED STATES,60606-3830,(312)715-1700,(312)715-1952,,,,,,,Approved,5/21/1982,5/3/2010,Y,HTTP://WWW.ENNISKNUPP.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,51-250,0,51-250,0,5-Jan,0,0,0,101-250,0,0 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,11-25 percent,11-25 percent,11-25 percent,Up to 10 percent,VARIOUS,Y,Y,N,Y,N,N,N,,Y,"258,000,000.00",0,"258,000,000.00",1,0,1,N,N,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,125303,801-65975,"ATIVO CAPITAL MANAGEMENT, LLC","ATIVO CAPITAL MANAGEMENT, LLC",11 S LASALLE STREET  SUITE 820,,CHICAGO,IL,UNITED STATES,60603-1232,312-263-7600,312-263-0007,,,,,,,Approved,1/31/2006,5/3/2010,Y,WWW.ATIVOCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"160,003,160.00",0,"160,003,160.00",113,0,113,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO CONSULTANT TO UNIT INVESTMENT TRUST,,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,125621,801-65240,"CAPITAL RESEARCH ADVISORS, LLC","CAPITAL RESEARCH ADVISORS, LLC",4185-B SILVER PEAK PARKWAY,,SUWANEE,GA,UNITED STATES,30024,770-925-1000,770-932-9685,,,,,,,Approved,2/1/2006,5/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"33,000,000.00","5,000,000.00","38,000,000.00",138,16,154,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,143035,801-67532,CORINTHIAN WEALTH MANAGEMENT,"CORINTHIAN WEALTH MANAGEMENT, LLC","1871 THE ALAMEDA, SUITE 240",,SAN JOSE,CA,USA,95126,408-995-0915,408-995-0931,,,,,,,Approved,1/29/2007,5/3/2010,Y,WWW.DSAMUELSFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"27,111,421.00","8,629,033.00","35,740,454.00",254,41,295,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,104517,801-26292,"FRANKLIN ADVISERS, INC.","FRANKLIN ADVISERS, INC.",ONE FRANKLIN PARKWAY,,SAN MATEO,CA,UNITED STATES,94403-1906,(650) 312-3000,(650) 525-7141,,,,,,,Approved,1/30/1986,5/3/2010,Y,WWW.FRANKLINTEMPLETON.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,51-250,0,51-250,0,5-Jan,0,0,0,101-250,0,0 percent,0 percent,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"233,935,074,024.00",0,"233,935,074,024.00",242,0,242,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
BRO,107565,801-41412,"NEWMAN DIGNAN & SHEERAR, INC",NEWMAN DIGNAN & SHEERAR INC,30 EXCHANGE TERRACE,,PROVIDENCE,RI,UNITED STATES OF AMERICA,2903,401-351-4010,401-351-4011,,,,,,,Approved,5/7/1992,5/3/2010,Y,WWW.NEWMANDIGNAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,RI,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,CONSULTING FEE,Y,"271,803,205.00","30,347,110.00","302,150,315.00",945,16,961,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109542,801-58066,"JAMES R. MARTIN CONSULTING, INC","JAMES R. MARTIN CONSULTING, INC.",1111 MAIN ST. SUITE 612,,VANCOUVER,WA,UNITED STATES,98660,360-567-1822,360-567-1824,P O BOX 1369,,VANCOUVER,WA,UNITED STATES,98666,Approved,11/3/2000,5/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,SOME ARE FREE,Y,"180,843,983.00",0,"180,843,983.00",255,0,255,N,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,151230,801-70616,SEAWORTHY INVESTMENTS,"SEAWORTHY INVESTMENTS, LLC",,,,,,,831-239-2445,,,,,,,,Approved,9/24/2009,5/3/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"8,000,000.00",0,"8,000,000.00",6,0,6,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,17427,801-21444,"H.L. ZEVE ASSOCIATES, INC.","H.L. ZEVE ASSOCIATES, INC.",600 THREE PPG PLACE,,PITTSBURGH,PA,UNITED STATES,15222,412-281-4567,412-281-2725,,,,,,,Approved,5/24/1984,5/3/2010,Y,WWW.ZEVE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"307,554,813.00","1,344,761.00","308,899,574.00",828,3,831,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,106722,801-38262,HARBOR CAPITAL MANAGEMENT INC,HARBOR CAPITAL MANAGEMENT INC,"831 EAST MOREHEAD STREET, SUITE 350",,CHARLOTTE,NC,USA,28202,704-377-6945,704-319-3189,,,,,,,Approved,2/11/1991,5/3/2010,Y,WWW.HARBORCAPITALMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"256,825,513.00","475,000.00","257,300,513.00",690,4,694,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109339,801-56106,WALT ST WSIM LTD,WALT ST INVESTMENT MANAGEMENT LTD,,,,,,,330-677-1950,330-677-1951,,,,,,,Approved,12/18/1998,5/3/2010,Y,WWW.WALTST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"49,059,042.00",0,"49,059,042.00",509,0,509,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,146973,801-69454,"GEARY ADVISORS, LLC","GEARY ADVISORS, LLC","ONE LEADERSHIP SQUARE,","SUITE 200, 211 N. ROBINSON",OKLAHOMA CITY,OK,UNITED STATES,73102,405-235-5700,405-231-0664,,,,,,,Approved,8/7/2008,5/3/2010,Y,WWW.OOKETF.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106295,801-45209,PARSONS CAPITAL MANAGEMENT INC,PARSONS CAPITAL MANAGEMENT INC,"10 WEYBOSSET STREET, STE 1000",,PROVIDENCE,RI,UNITED STATES,2903,401-521-2440,401-521-4870,,,,,,,Approved,11/23/1993,5/3/2010,Y,PARSONSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,RI,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,More than 500,"1,000",11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"699,744,768.00","14,990,779.00","714,735,547.00","1,095",16,"1,111",N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,153674,801-71425,"FUTURESELECT PORTFOLIO MANAGEMENT, INC.","FUTURESELECT PORTFOLIO MANAGEMENT, INC.",,,,,,,425-868-2907,425-868-4133,,,,,,,Approved,5/25/2010,5/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"199,594,000.00",0,"199,594,000.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,PORTOLIO MANAGEMENT OF PRIVATE FUNDS OF FUNDS,,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108342,801-41980,"SELECT EQUITY GROUP, INC.","SELECT EQUITY GROUP, INC.",380 LAFAYETTE ST 6TH FLOOR,,NEW YORK,NY,UNITED STATES,10003,212-475-8335,212-475-1786,,,,,,,Approved,7/21/1992,5/3/2010,Y,WWW.SELECTEQUITY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,644,580,021.00",0,"2,644,580,021.00",710,0,710,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138295,801-65486,"SELECT OFFSHORE ADVISORS, LLC","SELECT OFFSHORE ADVISORS, LLC","380 LAFAYETTE STREET, 6TH FLOOR",,NEW YORK,NY,UNITED STATES,10003,212-475-8335,212-475-1786,,,,,,,Approved,1/24/2006,5/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,041,607,948.00",0,"1,041,607,948.00",6,0,6,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110999,801-55360,AMBASSADOR CAPITAL MANAGEMENT,AMBASSADOR CAPITAL MANAGEMENT LLC,500 GRISWOLD STREET,SUITE 2800,DETROIT,MI,UNITED STATES,48226,313-961-3111,313-961-2875,,,,,,,Approved,3/27/1998,5/3/2010,Y,WWW.AMBASSADOR-CAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,11-25 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"837,029,486.00",0,"837,029,486.00",17,0,17,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112265,801-66530,"INVESTMENT MANAGEMENT ADVISORS, INC.","INVESTMENT MANAGEMENT ADVISORS, INC.",41 MADISON AVENUE,33RD FLOOR,NEW YORK,NY,USA,10010,212-741-0200,212-576-1893,,,,,,,Approved,4/3/2006,5/3/2010,Y,WWW.PRUDENTPORTFOLIOS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"51,709,229.00",0,"51,709,229.00",169,0,169,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110718,801-41736,ALL STAR FINANCIAL INC,ALL STAR FINANCIAL INC,3800 AMERICAN BLVD. WEST,#1450,MINNEAPOLIS,MN,UNITED STATES,55431,952-896-3820,952-896-3819,,,,,,,Approved,6/18/1992,5/3/2010,Y,WWW.ALLSTARFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"457,000,000.00",0,"457,000,000.00",436,0,436,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,108268,801-38868,"ICON ADVISERS, INC.","ICON ADVISERS, INC.",5299 DTC BOULEVARD,SUITE 1200,GREENWOOD VILLAGE,CO,USA,80111,303-790-1600,303-328-9296,,,,,,,Approved,5/17/1991,4/19/2010,Y,WWW.ICONADVISERS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,51-250,0,10-Jun,0,Nov-50,0,251-500,0,More than 500,"7,000",More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,413,942,220.00","284,110,543.00","2,698,052,763.00","126,782",357,"127,139",N,Y,Y,Y,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153608,801-71383,"WEALTH PRESERVERS, LLC","WEALTH PRESERVERS, LLC",1095 PINGREE ROAD,SUITE 221,CRYSTAL LAKE,IL,UNITED STATES,60014,815-788-6018,815-788-6019,,,,,,,120-Day Approval,5/21/2010,4/19/2010,Y,WWW.WEALTHPRESERVERS.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,128606,801-67854,"KFG WEALTH MANAGEMENT, LLC","KFG WEALTH MANAGEMENT, LLC",6910 NORTH MAIN STREET,"BUILDING 16, UNIT 41",GRANGER,IN,USA,46530-8855,574-247-5898,574-243-2639,,,,,,,Approved,4/27/2007,4/19/2010,Y,WWW.KORHORN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"46,208,109.00",0,"46,208,109.00",692,0,692,Y,Y,N,N,N,Y,N,N,N,N,,251-500,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,142195,801-67291,INDEPENDENCE WEALTH ADVISORS INC.,INDEPENDENCE WEALTH ADVISORS INC.,300 NORTH WASHINGTON STREET,SUITE 102,FALLS CHURCH,VA,UNITED STATES,22046,703-752-6003,703-752-6015,,,,,,,Approved,12/8/2006,4/19/2010,Y,WWW.INWEALTHINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"62,417,669.00","9,566,819.00","71,984,488.00",351,12,363,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,129398,801-67455,SIMS CAPITAL MANAGEMENT LLC,SIMS CAPITAL MANAGEMENT LLC,205 E. WISCONSIN AVE.,SUITE 120,MILWAUKEE,WI,USA,53202,(414) 765-1107,N/A,,,,,,,Approved,1/12/2007,4/19/2010,Y,WWW.SIMSCAPITAL.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"24,330,508.00",0,"24,330,508.00",2,0,2,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139036,801-65925,MARCO POLO PURE ASSET MANAGEMENT (CAYMAN ISLANDS) LIMITED,MARCO POLO PURE ASSET MANAGEMENT (CAYMAN ISLANDS) LIMITED,"SUITE 1203, THE CENTRIUM",60 WYNDHAM STREET,CENTRAL,,HONG KONG,,852-3426-8806,852-3426-8801,,,,,,,Approved,2/21/2006,4/19/2010,Y,WWW.MARCOPOLOFUND.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CAYMAN ISLANDS,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"103,000,000.00",0,"103,000,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105311,801-16947,KALMAR INVESTMENTS INC,KALMAR INVESTMENTS INC,BARLEY MILL HOUSE,3701 KENNETT PIKE,WILMINGTON,DE,UNITED STATES,19807,302-658-7575,302-658-7513,,,,,,,Approved,3/19/1982,4/20/2010,Y,WWW.KALMARINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"950,610,477.00",0,"950,610,477.00",274,0,274,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106282,801-53608,KALMAR INVESTMENT ADVISERS,KALMAR INVESTMENT ADVISERS,BARLEY MILL HOUSE,3701 KENNETT PIKE,WILMINGTON,DE,USA,19807,302-658-7575,302-658-7513,,,,,,,Approved,1/9/1997,4/20/2010,Y,WWW.KALMARINVESTMENTS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),BUSINESS TRUST,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,226,853,880.00",0,"2,226,853,880.00",3,0,3,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,117198,801-27265,ROCHDALE INVESTMENT MANAGEMENT,ROCHDALE INVESTMENT MANAGEMENT LLC,570 LEXINGTON AVE.,9TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-702-3500,212-702-3535,,,,,,,Approved,6/20/1986,4/20/2010,Y,WWW.ROCHDALE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,251-500,0,More than 500,"1,500",11-25 percent,51-75 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,702,803,753.00","101,342,568.00","2,804,146,321.00","5,117",920,"6,037",N,Y,Y,Y,N,N,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,N,N,N,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,123503,801-66524,"FRANTZEN CAPITAL MANAGEMENT, INC.","FRANTZEN CAPITAL MANAGEMENT, INC.",302 KNIGHTS RUN AVENUE,SUITE 930,TAMPA,FL,UNITED STATES,33602,813-223-6400,813-223-6409,,,,,,,Approved,5/25/2006,4/20/2010,Y,WWW.FRANTZENCAPITAL.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"29,657,916.00","1,260,127.00","30,918,043.00",113,5,118,N,Y,Y,Y,N,Y,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135603,801-64456,SYMPHONIC FINANCIAL ADVISORS LLC,SYMPHONIC FINANCIAL ADVISORS LLC,570 LEXINGTON AVENUE,9TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-702-3500,212-702-3535,,,,,,,Approved,7/14/2005,4/20/2010,Y,WWW.SYMPHONICFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,10-Jun,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"69,217,912.00","2,383,821.00","71,601,733.00","1,524",149,"1,673",Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,N,N,N,N,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153358,801-71382,"AZARIAS CAPITAL PARTNERS, LLC","AZARIAS CAPITAL PARTNERS, LLC",61 WEST PALISADE AVENUE,,ENGLEWOOD,NJ,UNITED STATES,7631,201-705-1200,201-705-1201,,,,,,,120-Day Approval,5/5/2010,4/20/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,135406,801-70817,WILLNER & HELLER LLC,WILLNER & HELLER LLC,15760 VENTURA BLVD,SUITE 2026,ENCINO,CA,UNITED STATES,91436,818-501-7590,818-501-9266,,,,,,,Approved,11/25/2009,1/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"25,405,366.00",0,"25,405,366.00",181,0,181,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,133776,801-63810,"FARAH FINANCIAL SERVICES, LLC","FARAH FINANCIAL SERVICES, LLC",511 EAST BALBOA BLVD.,,NEWPORT BEACH,CA,UNITED STATES,92661,949-719-2625,949-719-2650,,,,,,,Approved,1/28/2005,1/27/2010,Y,WWW.FARAHAS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"40,000,000.00",0,"40,000,000.00",262,0,262,N,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,140722,801-67097,TED BUCHAN & COMPANY,"TED BUCHAN & COMPANY, LLC",11777 BERNARDO PLAZA COURT,SUITE 109,SAN DIEGO,CA,UNITED STATES,92128,858-605-0686,858-762-4082,,,,,,,Approved,8/18/2006,1/27/2010,Y,WWW.TEDBUCHAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"22,159,127.00","13,429,495.00","35,588,622.00",379,199,578,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,147980,801-69680,"LCM ADVISORY SERVICES, LLC","LCM ADVISORY SERVICES, LLC",1811 EAST GARRY AVENUE,,SANTA ANA,CA,UNITED STATES,92705,949-724-8848,949-724-8805,,,,,,,Approved,10/22/2008,1/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,0,0,5-Jan,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"46,000,701.00","46,000,701.00",0,148,148,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,122867,801-64063,"PACIFIC PARK FINANCIAL, INC.","PACIFIC PARK FINANCIAL, INC.","101 COLUMBIA, SUITE 190",,ALISO VIEJO,CA,USA,92656,949-600-6294,949-600-6292,,,,,,,Approved,4/20/2005,1/27/2010,Y,HTTP://WWW.MYPACIFICPARK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,Y,Y,N,N,N,,Y,"68,000,000.00",0,"68,000,000.00",485,0,485,N,Y,N,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,150357,801-70211,"MOSS BOOTH WEALTH ADVISORS, L.L.C.","MOSS BOOTH WEALTH ADVISORS, L.L.C.","14850 N. SCOTTSDALE ROAD, SUITE 385",,SCOTTSDALE,AZ,UNITED STATES,85254,480-948-2600,480-948-2615,,,,,,,Approved,6/3/2009,1/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"124,968,332.00","9,294,504.00","134,262,836.00",279,52,331,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,38485,801-71066,"HANDELSBANKEN ASSET MANAGEMENT, USA","HANDELSBANKEN MARKETS SECURITIES, INC.",875 THIRD AVENUE,4TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-326-5178,212-326-2730,,,,,,,Approved,3/9/2010,1/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,FOREIGN REGISTERED INVESTMENT COMPANIES UNDER COMMON CONTROL (NO US INVESTORS),N,N,N,N,N,N,Y,FIXED IA CONTRACT FEE AND GROUP PERFORMANCE BASED BONUS,Y,"741,000,000.00",0,"741,000,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR TWO PORTFOLIOS UNDER COMMON CONTROL (NOT US REGISTERED INVESTMENT COMPANIES),,,N,N,Y,N,N,N,N,N,N,,N,Y,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,30339,801-39767,BHIRUD ASSOCIATES INC,"BHIRUD ASSOCIATES, INC.",6  THORNDAL CIRCLE,SUITE 205,DARIEN,CT,UNITED STATES,6820,203-662-6659,203-621-2240,,,,,,,Approved,9/3/1991,1/27/2010,Y,WWW.BHIRUD.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"600,000.00",0,"600,000.00",5,0,5,N,Y,Y,N,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,145256,801-68502,KISTLER-TIFFANY ADVISORS,"KISTLER-TIFFANY COMPANIES, LLC",1205 WESTLAKES DRIVE,SUITE 290,BERWYN,PA,USA,19312,610-722-3300,610-722-3301,,,,,,,Approved,11/2/2007,1/27/2010,Y,WWW.KISTLERTIFFANY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"309,152,726.00","122,138,817.00","431,291,543.00","1,019",137,"1,156",Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,Y,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105705,801-31899,V.H. KING ASSOCIATES,KING VIRGINIA HIMMELSTEIB,,,,,,,510-528-0271,510-528-0273,,,,,,,Approved,4/25/1988,1/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"121,472,762.00",0,"121,472,762.00",348,0,348,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,115332,801-60741,"WARREN, AVERETT, KIMBROUGH AND MARINO WEALTH MANAGEMENT, LLC","WARREN, AVERETT, KIMBROUGH AND MARINO WEALTH MANAGEMENT, LLC",2500 ACTON ROAD,,BIRMINGHAM,AL,UNITED STATES,35243,205-979-4100,205-271-0346,,,,,,,Approved,11/30/2001,1/27/2010,Y,WWW.WAKMWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AL,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,Up to 10 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"220,718,144.00","184,092,786.00","404,810,930.00",458,113,571,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,140700,801-66777,STRATA CAPITAL MANAGEMENT LP,STRATA CAPITAL MANAGEMENT LP,9665 WILSHIRE BLVD. SUITE 505,,BEVERLY HILLS,CA,UNITED STATES,90212,310-228-4185,310-860-0838,,,,,,,Approved,6/8/2006,1/27/2010,Y,WWW.STRATACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"71,700,000.00",0,"71,700,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS AND OTHER POOLED INVESTMENT VEHICLES AND ACCOUNTS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108635,801-43630,JJM FINANCIAL STRATEGIES INC,JJM FINANCIAL STRATEGIES INC,301 SOUTH STATE STREET,SUITE 202S,NEWTOWN,PA,USA,18940,215-504-9610,215-504-9820,,,,,,,Approved,5/1/1993,1/27/2010,Y,WWW.JJMFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"22,847,461.00","80,329,239.00","103,176,700.00",3,504,507,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,140153,801-68986,INVESTUS FINANCIAL,"INVESTUS FINANCIAL PLANNING, INC.",,,,,,,949-645-1403,,P.O BOX 2043,,NEWPORT BEACH,CA,USA,92659,Approved,3/31/2008,1/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"25,557,874.00","3,864,018.00","29,421,892.00",102,6,108,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108834,801-57629,WRAPMANAGER INC,WRAPMANAGER INC,703 MARKET ST,18TH FLOOR,SAN FRANCISCO,CA,USA,94103,415-541-7774,415-541-9760,,,,,,,Approved,5/26/2000,1/27/2010,Y,WWW.WRAPMANAGER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"20,071,512.00","158,064,683.00","178,136,195.00",76,445,521,N,Y,N,N,N,Y,Y,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,124042,801-62099,"KAHLER FINANCIAL GROUP, INC.","KAHLER FINANCIAL GROUP, INC.","1010 9TH STREET, SUITE 1",,RAPID CITY,SD,UNITED STATES,57701,605-343-1400,605-721-0194,,,,,,,Approved,6/5/2003,1/27/2010,Y,WWW.KAHLERFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,SD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,"BLENDED FEE BASED ON PERCENTAGE OF AUM, NW AND SCOPE OF ENGAGEME",Y,"98,939,404.00","12,778,805.00","111,718,209.00",71,1,72,Y,Y,N,Y,N,N,Y,N,N,Y,"CONSULTATION,FINANCIAL COACHING (INDIVIDUAL & GROUP), COLUMNIST & AUTHOR, EDUCATIONAL WORKSHOPS AND SEMINARS",51-100,,N,N,N,N,N,Y,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,140115,801-66566,"WEALTH ANALYTICS PARTNERS, LLC","WEALTH ANALYTICS PARTNERS, LLC",12651 HIGH BLUFF DR.,SUITE 350,SAN DIEGO,CA,UNITED STATES,92130,858-794-2100,858-794-2109,,,,,,,Approved,5/3/2006,6/4/2010,Y,WWW.WEALTHANALYTICS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"48,164,805.00",0,"48,164,805.00",144,0,144,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105986,801-25709,PLANNED ASSET MANAGEMENT,PLANNED ASSET MANAGEMENT INC,"26135 MUREAU ROAD, SUITE 201",,CALABASAS,CA,UNITED STATES,91302,818-708-6888,818-444-8866,,,,,,,Approved,11/15/1985,6/4/2010,Y,WWW.EARN4U.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"51,100,000.00",0,"51,100,000.00",92,0,92,Y,Y,N,N,N,N,N,N,N,Y,"ESTATE PLANNING, RETIREMENT PLANNING",25-Nov,,N,N,N,Y,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,131530,801-66729,"STRATEGIC ASSET MANAGEMENT GROUP, LLC","STRATEGIC ASSET MANAGEMENT GROUP, LLC",12651 HIGH BLUFF DR.,SUITE 350,SAN DIEGO,CA,UNITED STATES,92130,858-794-2100,858-794-2109,,,,,,,Approved,5/26/2006,6/4/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"6,134,811.00",0,"6,134,811.00",36,0,36,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109480,801-56225,DEAN CONSULTING & ASSOCIATES,DEAN MARY KATHERINE,"16885 WEST BERNARDO DRIVE, SUITE 209",,SAN DIEGO,CA,UNITED STATES,92127,858-485-8547,858-485-8577,P.O. BOX 270408,,SAN DIEGO,CA,UNITED STATES,92198-2408,Approved,2/2/1999,6/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,0,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"86,514,589.00","5,786,258.00","92,300,847.00",319,65,384,Y,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR TRUSTS & RETIREMENT PLANS,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112203,801-57360,"S4 CAPITAL, LLC","S4 CAPITAL, LLC",ONE SOUTH DEARBORN,SUITE 2100,CHICAGO,IL,UNITED STATES,60603-2302,312-334-1500,312-334-1501,,,,,,,Approved,3/10/2000,6/4/2010,Y,HTTP://WWW.S4CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"32,826,001.00","382,516,778.00","415,342,779.00",5,2,7,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,5845,801-7566,"A. R. SCHMEIDLER & CO., INC.","A. R. SCHMEIDLER & CO., INC.",500 FIFTH AVE,,NEW YORK,NY,UNITED STATES,10110-1405,212-687-9800,212-687-1392,,,,,,,Approved,7/12/1971,6/7/2010,Y,ARSCHMEIDLER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"1,500",26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,211,312,086.00","71,769,367.00","1,283,081,453.00","1,337",57,"1,394",N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,Y,N,N,N,N,N,N,,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
BRO,104942,801-14255,"CAMBRIDGE ASSOCIATES, LLC","CAMBRIDGE ASSOCIATES, LLC",100 SUMMER STREET,,BOSTON,MA,UNITED STATES,02110-2112,617-457-7500,617-457-7501,,,,,,,Approved,12/14/1978,6/5/2010,Y,WWW.CAMBRIDGEASSOCIATES.COM,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,501-1000,0,51-250,0,0,0,0,0,More than 500,500,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,INTERNATIONAL QUASI GOVERNMENT AGENCIES,Y,Y,Y,Y,N,N,Y,PERCENT OF ASSETS INVESTED,Y,"3,665,695,144.00","638,722,475.00","4,304,417,619.00",17,12,29,Y,N,N,Y,Y,Y,Y,N,N,Y,ENDOWMENT CONSULTING SERVICE; INVESTMENT PLANNING SERVICES,More than 500,500,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137024,801-65243,"GABELLI SECURITIES, INC.","GABELLI SECURITIES, INC.",ONE CORPORATE CENTER,,RYE,NY,UNITED STATES,10580,914-921-5000,914-921-5098,,,,,,,Approved,1/19/2006,6/7/2010,Y,WWW.GABELLI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"281,000,000.00",0,"281,000,000.00",14,0,14,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,104950,801-14132,GAMCO ASSET MANAGEMENT INC.,GAMCO ASSET MANAGEMENT INC.,ONE CORPORATE CENTER,,RYE,NY,UNITED STATES,10580-1422,914-921-5000,914-921-5098,,,,,,,Approved,9/5/1978,6/7/2010,Y,WWW.GABELLI.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,51-250,0,Nov-50,0,51-250,0,Nov-50,0,More than 500,"2,000",0 percent,51-75 percent,Up to 10 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,FOUNDATIONS,Y,N,N,Y,N,Y,Y,ADMINISTRATIVE FEES,Y,"11,207,000,000.00","7,000,000.00","11,214,000,000.00","1,590",4,"1,594",N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
NYRO,107791,801-54418,GABELLI FIXED INCOME LLC,GABELLI FIXED INCOME LLC,ONE CORPORATE CENTER,,RYE,NY,UNITED STATES,10580-1422,914-921-5000,,,,,,,,Approved,5/27/1997,6/7/2010,Y,HTTP://WWW.GABELLI.COM/,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153777,801-71561,"CITI GLOBAL ADVISORY, LLC","CITI PRIVATE ADVISORY, LLC",666 FIFTH AVENUE,,NEW YORK,NY,UNITED STATES,10103,212-816-6000,212-783-3845,,,,,,,120-Day Approval,6/30/2010,6/7/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,N,Y,N
MIRO,153863,801-71474,MONARCH WEALTH MANAGEMENT LLC,MONARCH WEALTH MANAGEMENT LLC,20 N. ORANGE AVE,SUITE 804,ORLANDO,FL,UNITED STATES,32801,407-648-5289,407-641-9286,,,,,,,120-Day Approval,5/1/2010,6/7/2010,Y,WWW.MONARCH-US.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,132464,801-67544,"RK CAPITAL MANAGEMENT, LLC","RK CAPITAL MANAGEMENT, LLC",3033 EAST FIRST AVE.,SUITE 307,DENVER,CO,UNITED STATES,80206-5619,303-394-0101,303-394-0112,,,,,,,Approved,2/20/2007,6/7/2010,Y,WWW.RKCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"177,892,201.00",0,"177,892,201.00",4,0,4,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR LIMITED PARTNERSHIPS AND SIMILAR POOLED INVESTMENTS,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110970,801-23620,FIL INVESTMENT ADVISORS (UK) LTD.,FIL INVESTMENT ADVISORS (UK) LTD.,OAKHILL HOUSE,130 TONBRIDGE ROAD,HILDENBOROUGH,,UNITED KINGDOM,TN119DZ,+44 (0)1732 361144,+44 (0)1732 838886,25 CANNON STREET,,LONDON,,UNITED KINGDOM,EC4M 5TA,Approved,9/4/1984,6/7/2010,N,,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,10-Jun,0,25-Nov,0,0 percent,0 percent,Up to 10 percent,26-50 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,% OF FEE REC'D BY ADVISOR RETAINING REGISTRANT OR 110% OF COSTS,Y,"5,300,582,613.00",0,"5,300,582,613.00",21,0,21,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137990,801-64983,ASIA DEBT MANAGEMENT HONG KONG LIMITED,ASIA DEBT MANAGEMENT HONG KONG LIMITED,"1008 ICBC TOWER, 3 GARDEN ROAD",,HONG KONG,,HONG KONG,,852-2536-4567,852-2147-2813,,,,,,,Approved,12/6/2005,6/7/2010,Y,WWW.ADMCAP.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,Y,COST PLUS FEES,Y,0,"1,634,650,393.00","1,634,650,393.00",0,10,10,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES TO UNREGISTERED INVESTMENT COMPANIES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,150195,801-70135,SERVUS CAPITAL MANAGEMENT,SERVUS CAPITAL MANAGEMENT LLC,1149A VISTA PARK DRIVE,,FOREST,VA,UNITED STATES,24551,434-316-0246,866-797-6711,,,,,,,Approved,5/4/2009,6/7/2010,Y,WWW.SERVUSCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,000,000.00","92,000,000.00","93,000,000.00",5,155,160,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,107194,801-13770,OHIGGINS ASSET MANAGEMENT INC,OHIGGINS ASSET MANAGEMENT INC,300 71ST STREET STE 425,,MIAMI BEACH,FL,UNITED STATES,33141,305-861-1883,305-861-9852,,,,,,,Approved,4/10/1978,6/7/2010,Y,WWW.OHIGGINS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"35,246,167.00",0,"35,246,167.00",30,0,30,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,151307,801-70507,LEWIS ADVISORY GROUP,"LEWIS, MICHAEL, ANDREW",7290 NAVAJO RD.,SUITE 213,SAN DIEGO,CA,UNITED STATES,92119,619-203-8847,,,,,,,,Approved,8/20/2009,6/7/2010,Y,WWW.LEWISADVISORYGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"32,131,103.00","1,002,345.00","33,133,448.00",184,1,185,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,120973,801-71563,"PINKERTON RETIREMENT SPECIALISTS, LLC","PINKERTON RETIREMENT SPECIALISTS, LLC",2141 MERRITT CREEK LOOP,,COEUR D'ALENE,ID,UNITED STATES,83814,800-634-2008,208-667-5868,,,,,,,120-Day Approval,6/15/2010,6/7/2010,Y,WWW.PINKERTONRETIREMENT.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,ID,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PORTION OF FEE MANAGED BY THIRD-PARTY INVESTMENT ADVISORS,Y,0,0,0,0,0,0,Y,Y,N,Y,N,Y,Y,N,Y,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,141677,801-67677,"KINGSBURY BRIDGE ADVISORS, LLC","KINGSBURY BRIDGE ADVISORS, LLC",TWO PRUDENTIAL PLAZA,"180 N. STETSON AVE., SUITE 3625",CHICAGO,IL,USA,60601-6710,312-957-4100,312-957-4090,,,,,,,Approved,3/30/2007,6/7/2010,Y,WWW.KINGSBURYBRIDGE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,FOUNDATIONS AND ENDOWMENTS,Y,Y,N,Y,N,N,N,,Y,0,"43,322,901.00","43,322,901.00",0,6,6,Y,Y,N,Y,N,Y,N,N,N,Y,WEALTH MANAGEMENT SERVICES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,151245,801-70957,REVIVE MY PORTFOLIO,PATRICK TOWNE,,,,,,,847-975-3171,512-567-3233,2205 SEMINOLE CT.,,PLANO,TX,UNITED STATES,75074,Approved,1/5/2010,6/7/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,000,000.00","24,000,000.00","58,000,000.00",17,13,30,N,Y,N,Y,N,N,N,N,Y,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,137342,801-64812,"REYNDERS, MCVEIGH CAPITAL MANAGEMENT, LLC","REYNDERS, MCVEIGH CAPITAL MANAGEMENT, LLC",4 LIBERTY SQUARE,2ND FLOOR,BOSTON,MA,USA,2109,617-226-9999,617-226-9998,,,,,,,Approved,11/21/2005,6/7/2010,Y,WWW.REYNDERSMCVEIGH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"185,956,807.00","221,988,991.00","407,945,798.00",279,111,390,N,Y,Y,Y,N,Y,Y,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,153898,801-71468,"VALENTINE INVESTMENTS, LLC","VALENTINE INVESTMENTS, LLC",,,,,,,214-793-4849,,,,,,,,120-Day Approval,5/20/2010,6/25/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,149613,801-70094,"D'ARCANGELO FINANCIAL GROUP, LLC","D'ARCANGELO FINANCIAL GROUP, LLC",2717 GENESEE STREET,2ND FLOOR,UTICA,NY,UNITED STATES,13501,315-797-8401,315-797-8403,,,,,,,Approved,4/21/2009,6/25/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"379,776.00",0,"379,776.00",2,0,2,Y,Y,N,Y,Y,Y,N,N,N,Y,TAX PLANNING SERVICES,0,,N,Y,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153132,801-71637,PFS ADVISORS,PLEXUS FINANCIAL SERVICES,21805 FIELD PARKWAY,SUITE 300,DEER PARK,IL,UNITED STATES,60010,847-307-6100,847-307-6199,,,,,,,120-Day Approval,7/2/2010,6/25/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"32,000,000.00","32,000,000.00",0,2,2,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,Y,Y,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,105967,801-16194,ASSET MANAGEMENT CORP,ASSET MANAGEMENT CORP,1400 PRESTON ROAD,SUITE 400,PLANO,TX,UNITED STATES,75093,972-608-8804,972-608-8816,,,,,,,Approved,7/8/1981,6/25/2010,Y,WWW.ASSETMANAGEMENTCORPORATION.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"85,000,114.00","85,000,114.00",0,46,46,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,154149,801-71541,ADVISOR GROUP WEALTH MANAGEMENT,VISION2020 WEALTH MANAGEMENT CORP.,ONE WORLD FINANCIAL CENTER,15TH FL.,NEW YORK,NY,UNITED STATES,10281,212-551-5732,212-551-5377,,,,,,,Approved,6/21/2010,6/25/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,0,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,DUALLY REGISTERED AND AFFILIATED BROKER DEALER/INVESTMENT ADVISORS,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,Y,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,N
ARO,107861,801-43509,"MURPHY MIDDLETON HINKLE & PARKER, INC.","MURPHY MIDDLETON HINKLE & PARKER, INC.",240 SOUTH HANSELL STREET,,THOMASVILLE,GA,UNITED STATES,31792,229-228-1822,229-228-0825,P.O. BOX 1374,,THOMASVILLE,GA,UNITED STATES,31799,Approved,5/3/1993,6/25/2010,Y,WWW.MURPHYINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"196,302,809.00",0,"196,302,809.00",658,0,658,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,146758,801-69183,"VEZZETTI CAPITAL MANAGEMENT, L.L.C.","VEZZETTI CAPITAL MANAGEMENT, L.L.C.","260 BUCKLIN STREET, SUITE A",,LA SALLE,IL,UNITED STATES,61301,815-220-0511,815-220-0520,,,,,,,Approved,5/21/2008,6/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"139,001,613.00",0,"139,001,613.00",227,0,227,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137267,801-64916,BAILLIE GIFFORD INTERNATIONAL LLC,BAILLIE GIFFORD INTERNATIONAL LLC,CALTON SQUARE,1 GREENSIDE ROW,EDINBURGH,,SCOTLAND,EH1 3AN,44 131 275 2000,44 131 275 3999,,,,,,,Approved,12/6/2005,6/25/2010,Y,WWW.BAILLIEGIFFORD.COM,Y,N,N,Y,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,501-1000,0,51-250,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,SEE SCHEDULE D MISCELLANEOUS,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,SEE SCHEDULE D MISCELLANEOUS,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,134660,801-64360,"STERLING STAMOS CAPITAL MANAGEMENT, L.P.","STERLING STAMOS CAPITAL MANAGEMENT, L.P.",450 PARK AVENUE,29TH FLOOR,NEW YORK,NY,USA,10022,212-287-2800,212-287-2900,,,,,,,Approved,6/8/2005,6/25/2010,Y,WWW.STERLINGSTAMOS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,231,130,279.00","1,908,809,791.00","6,139,940,070.00",65,11,76,N,Y,N,Y,N,Y,N,N,N,Y,ADVISE PRIVATE INVESTMENT FUNDS AND MANAGED ACCOUNTS,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,N,Y
CHRO,105895,801-35836,"LJPR, LLC","LJPR, LLC",4555 INVESTMENT DRIVE,SUITE 304,TROY,MI,UNITED STATES,48098,248-641-7400,248-641-7405,,,,,,,Approved,2/9/1990,6/25/2010,Y,WWW.LJPR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"318,569,990.00",0,"318,569,990.00","1,775",0,"1,775",Y,Y,N,Y,Y,N,N,N,N,Y,"CONSULTATION SERVICES, WORKSHOPS AND SEMINARS",More than 500,1000,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110399,801-7333,CHELSEA MANAGEMENT COMPANY,CHELSEA COUNSEL COMPANY,444 SO FLOWER ST,SUITE 2340,LOS ANGELES,CA,USA,90071-2924,213-362-9200,213-627-7463,,,,,,,Approved,4/3/1971,6/25/2010,Y,WWW.CHELSEAMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,010,583,000.00","4,354,000.00","1,014,937,000.00",318,2,320,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
LARO,151887,801-70732,AQUA CAPITAL ADVISORS,AQUA CAPITAL ADVISORS LLC,1100 GLENDON AVE,17TH FLOOR,LOS ANGELES,CA,UNITED STATES,90024,310-689-7401,310-689-7272,,,,,,,Approved,10/21/2009,6/25/2010,Y,WWW.AQUACAPITALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"28,000,000.00",0,"28,000,000.00",16,0,16,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,134503,801-64034,"DOYLE WEALTH MANAGEMENT, INC.","DOYLE WEALTH MANAGEMENT, INC.",333 3RD AVENUE NORTH,SUITE 300,ST. PETERSBURG,FL,UNITED STATES,33701,727-898-3063,727-898-3073,,,,,,,Approved,3/9/2005,6/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"195,285,067.00","12,265,476.00","207,550,543.00",587,21,608,Y,Y,N,Y,N,N,N,N,N,Y,TAX PREPARATION SERVICES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,113439,801-68503,PONDER FINANCIAL GROUP,"PONDER, RANDALL SCOTT",755 MAIN STREET,,HALF MOON BAY,CA,USA,94019-1924,650-726-0850,650-726-0849,,,,,,,Approved,11/6/2007,6/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"44,970,000.00","2,000,000.00","46,970,000.00",266,20,286,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,146690,801-69047,MACQUARIE CAPITAL FUNDS INC.,MACQUARIE CAPITAL FUNDS INC.,125 W. 55TH STREET,L15,NEW YORK,NY,UNITED STATES,10019,212-231-1000,212-231-1828,,,,,,,Approved,4/11/2008,6/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,10-Jun,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,,N,N,N,N,N,Y,Y,FEES BASED ON SPECIFIC FORMULAS UNRELATED TO THOSE LISTED ABOVE.,Y,0,"2,382,000,000.00","2,382,000,000.00",0,9,9,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112338,801-21,BARTLETT & CO,BARTLETT & CO,"600 VINE STREET, SUITE 2100",,CINCINNATI,OH,USA,45202,513-621-4612,513-621-6462,,,,,,,Approved,11/1/1940,6/25/2010,Y,WWW.BARTLETT1898.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,More than 500,"1,000",Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"2,557,959,661.00","48,323,258.00","2,606,282,919.00","2,053",30,"2,083",Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110125,801-18453,"AM&M FINANCIAL SERVICES, INC.",AM&M PLANNERS INC,179 SULLY'S TRAIL,SUITE 200,PITTSFORD,NY,UNITED STATES,14534-4599,585.248.0050,585.248.0238,,,,,,,Approved,2/25/1983,6/25/2010,Y,AMMFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,Nov-50,0,More than 500,"1,000",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"517,799,151.00",0,"517,799,151.00","1,477",0,"1,477",Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,146696,801-69049,MACQUARIE INFRASTRUCTURE PARTNERS INC.,MACQUARIE INFRASTRUCTURE PARTNERS INC.,125 W. 55TH STREET,L15,NEW YORK,NY,UNITED STATES,10019,212-231-1000,212-231-1828,,,,,,,Approved,4/11/2008,6/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,724,279,181.00",0,"3,724,279,181.00",7,0,7,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146688,801-69048,MACQUARIE GLOBAL OPPORTUNITIES PARTNERS LLC,MACQUARIE GLOBAL OPPORTUNITIES PARTNERS LLC,125 W. 55TH STREET,L15,NEW YORK,NY,UNITED STATES,10019,212-231-1000,212-231-1828,,,,,,,Approved,4/11/2008,6/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,MULTIPLE OF ANNUAL COSTS.,Y,"93,803,863.00",0,"93,803,863.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,117399,801-71640,"CENTURY CAPITAL, LLC","CENTURY CAPITAL, LLC",2135 112TH AVENUE NE,SUITE 100,BELLEVUE,WA,USA,98004,425-451-1850,425-818-9440,,,,,,,Approved,7/15/2010,6/25/2010,Y,WWW.CENTURYCAPITALLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"32,299,751.00",0,"32,299,751.00",117,0,117,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,112014,801-58055,REES & ASSOCIATES LLC,REES & ASSOCIATES LLC,11777 SAN VICENTE BLVD,SUITE 710,LOS ANGELES,CA,USA,90049,310-826-9800,310-826-1660,,,,,,,Approved,10/26/2000,4/9/2001,N,,N,N,N,N,N,N,N,N,N,N,,N,Y,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,TRUSTS AND ESTATES,Y,N,N,N,N,Y,Y,ASSET BASED FEES,Y,"13,047,000.00",0,"13,047,000.00",40,0,40,N,Y,N,Y,N,N,N,N,N,Y,"TRUSTS, ESTATES, OR CHARITABLE ORGANIZATIONS AND PRIVATE INVESTMENT LIMITED PARTNERSHIPS",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,138164,801-65931,"FORTIGENT, LLC","FORTIGENT, LLC",2600 TOWER OAKS BOULEVARD,SUITE 500,ROCKVILLE,MD,UNITED STATES,20852,301-816-1200,240-778-2400,,,,,,,Approved,1/24/2006,5/28/2010,Y,WWW.FORTIGENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,FEE BASED ON THE NUMBER OF CUSTODIAL ACCOUNTS RECONCILED,Y,"291,900,000.00",0,"291,900,000.00",198,0,198,N,N,N,Y,N,Y,N,N,N,Y,PROVIDING ADVISORY SUPPORT SERVICES TO OTHER INVESTMENT ADVISORS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,N,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,145669,801-68681,AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC.,AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC.,66 WELLINGTON ST. W.,33RD FLOOR,TORONTO,,CANADA,M5K 1E9,1-888-216-4424,416-367-4807,,,,,,,Approved,1/2/2008,5/28/2010,Y,WWW.AGFINVESTMENTS.COM,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"347,922,613.00",0,"347,922,613.00",4,0,4,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,134446,801-66451,"FULLER ASSET MANAGEMENT, LLC","FULLER ASSET MANAGEMENT, LLC",7135 EAST CAMELBACK ROAD,SUITE 230,SCOTTSDALE,AZ,UNITED STATES,85251,(480) 553-6352,(480) 553-6353,,,,,,,Approved,4/21/2006,5/28/2010,Y,WWW.FULLERASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"11,800,000.00","19,300,000.00","31,100,000.00",38,204,242,N,Y,N,N,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,130651,801-65018,"ASCENTIA CAPITAL PARTNERS, LLC","ASCENTIA CAPITAL PARTNERS, LLC",5485 KIETZKE LANE,,RENO,NV,UNITED STATES,89511,775.828.4200,775.828.4201,,,,,,,Approved,10/3/2005,5/28/2010,Y,WWW.ASCENTIAFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,386,484.00",0,"34,386,484.00",17,0,17,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,132498,801-63413,CYPRESS WEALTH ADVISORS,CYPRESS WEALTH ADVISORS LLC,101 CALIFORNIA STREET,SUITE 1025,SAN FRANCISCO,CA,UNITED STATES,94111,(415)489-2100,(415)489-2109,,,,,,,Approved,8/13/2004,7/20/2010,Y,WWW.CYPRESSWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"461,366,269.00","17,991,431.00","479,357,700.00",171,2,173,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,N,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,10639,,SEATTLE-NORTHWEST ASSET MANAGEMENT LLC,SEATTLE-NORTHWEST ASSET MANAGEMENT LLC,1420 FIFTH AVE. SUITE 4300,,SEATTLE,WA,USA,98101,206-628-2882,206-628-2863,,,,,,,Approved,1/28/2003,7/20/2010,Y,WWW.SEATTLENORTHWEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,NGO'S,Y,N,N,Y,N,N,N,,Y,"1,151,190,495.00",0,"1,151,190,495.00",438,0,438,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT ADVICE THROUGH CONSULTATIONS NOT INCLUDED ABOVE,,,N,N,Y,Y,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
SFRO,132035,801-63313,"FIRST REPUBLIC WEALTH ADVISORS, LLC","FIRST REPUBLIC WEALTH ADVISORS, LLC",111 PINE ST,7TH FLOOR,SAN FRANCISCO,CA,USA,94111,415-392-1400,415-392-6535,111 PINE ST,7TH FLOOR,SAN FRANCISCO,CA,USA,94111,Approved,7/15/2004,7/20/2010,Y,WWW.FIRSTREPUBLIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,10-Jun,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"788,084,266.00","199,165,765.00","987,250,031.00",502,345,847,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,124038,801-63046,BEVERLY INVESTMENT ADVISORS LLC,BEVERLY INVESTMENT ADVISORS LLC,9701 WILSHIRE BOULEVARD,10TH FL.,BEVERLY HILLS,CA,UNITED STATES,90212,310-246-1200,310-246-5778,,,,,,,Approved,4/15/2004,7/20/2010,Y,WWW.BEVERLYADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"40,048,034.00","56,720,860.00","96,768,894.00",108,32,140,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,140068,801-66487,"CVAGS, LLC","CVAGS, LLC",1350 DRESDEN DRIVE NE,,ATLANTA,GA,UNITED STATES,30319,404-781-1700,404-537-4103,,,,,,,Approved,5/22/2006,7/21/2010,Y,WWW.AGSBENEFITS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,Y,N,Y,PERCENTAGE OF TOTAL PLAN ASSETS,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,120870,801-64808,CHARTER OAK CAPITAL MANAGEMENT,CHARTER OAK CAPITAL MANAGEMENT,68 MAIN STREET,SUITE 3,KENNEBUNK,ME,UNITED STATES,4043,800-646-5720,866-289-0903,,,,,,,Approved,11/2/2005,7/21/2010,Y,WWW.CHARTEROAKCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,ME,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"111,550,909.00",0,"111,550,909.00",953,0,953,Y,Y,N,Y,N,Y,N,N,N,Y,SEMINARS,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,153010,801-71253,"SANCHEZ WEALTH MANAGEMENT, LLC","SANCHEZ WEALTH MANAGEMENT, LLC",5585 KIETZKE LANE,,RENO,NV,UNITED STATES,89511,775-853-1600,775-853-1602,,,,,,,Approved,3/23/2010,7/21/2010,Y,WWW.SANCHEZWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,Y,Y,Y,N,Y,PERCENTAGE OF PLAN ASSETS,Y,"13,654,242.00","14,873,449.00","28,527,691.00",95,110,205,Y,Y,N,Y,Y,N,Y,N,N,Y,SEMINARS AND EDUCATION PRODUCTS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,104561,801-8138,THE VARIABLE ANNUITY LIFE INSURANCE COMPANY,THE VARIABLE ANNUITY LIFE INSURANCE COMPANY,2929 ALLEN PARKWAY,L4-01,HOUSTON,TX,UNITED STATES,77019,713-831-3164,713-831-5011,P.O. BOX 3206,,HOUSTON,TX,UNITED STATES,77253,Approved,12/12/1971,7/21/2010,Y,WWW.VALIC.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,More than 1000,"3,000",5-Jan,0,More than 1000,"2,000",0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"18,403,124,381.00",0,"18,403,124,381.00",48,0,48,N,N,Y,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,Y,N
MIRO,142403,801-67643,"MICHAEL S. CARRIER & ASSOCIATES, INC.","MICHAEL S. CARRIER & ASSOCIATES, INC.",,,,,,,407-549-5968,407-322-4057,,,,,,,Approved,3/20/2007,7/21/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"48,000,000.00",0,"48,000,000.00",233,0,233,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,152884,801-71077,"OVERLAND ADVISORS, LLC","OVERLAND ADVISORS, LLC",333 MARKET STREET,SUITE 510,SAN FRANCISCO,CA,UNITED STATES,94105,877-400-0790,415-371-3066,,,,,,,Approved,2/4/2010,7/21/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,11-25 percent,0 percent,11-25 percent,TRUST,Y,N,N,Y,N,Y,N,,Y,"4,197,380,769.00",0,"4,197,380,769.00",4,0,4,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109732,801-38301,HARRIS SBSB,SULLIVAN BRUYETTE SPEROS & BLAYNEY INC,8180 GREENSBORO DRIVE,SUITE 1000,MCLEAN,VA,UNITED STATES,22102-3823,703-734-9300,703-356-2549,,,,,,,Approved,1/3/1991,7/21/2010,Y,WWW.HARRIS-SBSB.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,More than 500,"1,000",11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,900,000,000.00","100,000,000.00","2,000,000,000.00",850,100,950,Y,Y,N,Y,Y,N,N,N,N,N,,More than 500,500,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,152687,801-70988,"O'CONNOR CAPITAL ADVISORY, LLC","O'CONNOR CAPITAL ADVISORY, LLC",,,,,,,602-402-8687,602-224-9048,3104 E. CAMELBACK RD #576,,PHOENIX,AZ,UNITED STATES,85016,Approved,1/14/2010,7/21/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"27,000,000.00",0,"27,000,000.00",40,0,40,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,147329,801-69452,"CQS (US), LLC","CQS (US), LLC",152 WEST 57TH STREET,41ST FLOOR,NEW YORK,NY,UNITED STATES,10019,917-206-4002,917-206-4099,,,,,,,Approved,7/25/2008,7/21/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"160,000,000.00",0,"160,000,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,126246,801-70558,"IRA GROUP, INC.","INVESTMENT RESEARCH & ADVISORY GROUP, INC.",1180 WEST PEACHTREE ST,SUITE 2475,ATLANTA,GA,UNITED STATES,30309,404-760-3730,404-760-3731,,,,,,,Approved,10/2/2009,7/21/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,148783,801-71668,BIG 5 ASSET MANAGEMENT LLC,BIG 5 ASSET MANAGEMENT LLC,2401 EAST 2ND AVENUE,#500,DENVER,CO,UNITED STATES,80206,303-302-9090,303-302-9095,,,,,,,Approved,7/29/2010,7/21/2010,Y,WWW.BIG5AM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"74,411,965.00",0,"74,411,965.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,MANAGE INVESTMENT FUND,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,153141,801-71242,"ANDERSON FINANCIAL MANAGEMENT, L.L.C.","ANDERSON FINANCIAL MANAGEMENT, L.L.C.",,,,,,,512-327-4447,512-327-4453,,,,,,,120-Day Approval,3/19/2010,7/21/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,116511,801-67807,CHANEY CAPITAL MANAGEMENT INC.,CHANEY CAPITAL MANAGEMENT INC.,3500 188TH STREET SW,SUITE #328,LYNNWOOD,WA,UNITED STATES,98037,425-673-4060,425-778-3481,,,,,,,Approved,4/19/2007,7/21/2010,Y,WWW.CHANEYCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"54,543,136.00",0,"54,543,136.00",435,0,435,Y,Y,N,N,N,N,N,N,N,Y,CONSULTATION SERVICES AND PUBLIC SERVICES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,132560,801-67032,"SOUTHWEST FINANCIAL SERVICES, LLC","SOUTHWEST FINANCIAL SERVICES, LLC",2250 E. 73RD STREET,SUITE 400,TULSA,OK,UNITED STATES,74136,918-592-6810,918-585-2791,"8177 SOUTH HARVARD, PMB 336",,TULSA,OK,UNITED STATES,74137,Approved,7/24/2006,7/21/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,FOUNDATIONS,Y,Y,N,Y,N,N,N,,Y,"30,617,679.00",0,"30,617,679.00",27,0,27,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,112363,801-17953,CREATIVE CAPITAL MANAGEMENT INC,CREATIVE CAPITAL MANAGEMENT INC,8880 RIO SAN DIEGO DR#1150,,SAN DIEGO,CA,UNITED STATES,92108-1690,619-298-3993,619-298-1976,,,,,,,Approved,11/26/1982,7/21/2010,Y,WWW.CREATIVECAPITALMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"181,119,277.00",0,"181,119,277.00",486,0,486,Y,Y,N,N,Y,Y,N,N,N,Y,TAX PLANNING AND PREPARATION,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106487,801-49780,GALLIARD CAPITAL MANAGEMENT INC,GALLIARD CAPITAL MANAGEMENT INC,"800 LASALLE AVE., STE 1100",,MINNEAPOLIS,MN,UNITED STATES,55402-2033,612-667-3220,1-866-219-1007,,,,,,,Approved,8/10/1995,7/21/2010,Y,WWW.GALLIARD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,51-250,0,Nov-50,0,0,0,10-Jun,0,101-250,0,0 percent,0 percent,Up to 10 percent,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,TAFT HARTLEY,Y,N,N,Y,N,Y,N,,Y,"52,677,762,051.00",0,"52,677,762,051.00",193,0,193,N,N,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,104702,801-11916,WCM INVESTMENT MANAGEMENT,WCM INVESTMENT MANAGEMENT,281 BROOKS STREET,,LAGUNA BEACH,CA,UNITED STATES,92651-2974,949-380-0200,949-380-0819,,,,,,,Approved,8/12/1976,7/21/2010,Y,WWW.WCMINVEST.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,26-50 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,NON-DISCRETIONARY MODEL RELATIONSHIPS,Y,N,N,N,N,N,N,,Y,"1,344,326,988.00","2,132,837.00","1,346,459,825.00",489,2,491,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,152800,801-71020,"LEWIS WEALTH MANAGEMENT, LLC","LEWIS WEALTH MANAGEMENT, LLC",26 W. DRY CREEK CIRCLE,SUITE 510,LITTLETON,CO,UNITED STATES,80120,303-500-0980,303-395-1529,,,,,,,120-Day Approval,1/20/2010,7/21/2010,Y,WWW.LEWISWM.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"12,475,000.00",0,"12,475,000.00",50,0,50,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,2288,801-5016,INGALLS & SNYDER LLC,INGALLS & SNYDER LLC,61 BROADWAY,,NEW YORK,NY,UNITED STATES,10006,212-269-7800,212-269-7893,,,,,,,Approved,8/21/1968,11/10/2009,Y,WWW.INGALLS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"4,000",11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,FOUNDATIONS,Y,N,N,Y,N,Y,N,,Y,"2,428,495,402.00","3,231,914.00","2,431,727,316.00","4,228",4,"4,232",N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N
LARO,136577,801-64637,"SAGE CAPITAL ADVISORS, LLC","SAGE CAPITAL ADVISORS, LLC",5672 LA JOLLA BOULEVARD,,LA JOLLA,CA,USA,92037,858-459-0172,858-459-0173,,,,,,,Approved,8/22/2005,11/10/2009,Y,WWW.SAGE-CAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"151,331,086.00",0,"151,331,086.00",60,0,60,N,Y,N,Y,N,Y,Y,N,N,N,,,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,146778,801-69089,"TAX EFFICIENT ASSET MANAGEMENT SOLUTION, INC.","TAX EFFICIENT ASSET MANAGEMENT SOLUTION, INC.",18200 VON KARMAN,SUITE200,IRVINE,CA,UNITED STATES,92618,949-878-9400,949-878-9401,,,,,,,Approved,4/23/2008,11/10/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,10-Jun,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"27,523,822.00","27,523,822.00",0,101,101,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,140324,801-66822,PICUS CAPITAL MANAGEMENT LLP,PICUS CAPITAL MANAGEMENT LLP,18B CHARLES STREET,,LONDON,,UK,W1J 5DU,+44 20 7667 6551,+44 20 7667 6651,,,,,,,Approved,6/9/2006,8/17/2007,Y,WWW.PICUSCAPITAL.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"78,600,556.00",0,"78,600,556.00",25,0,25,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,113242,801-60344,"SECURITIES MONITORING GROUP, LLC","SECURITIES MONITORING GROUP, LLC",103 MARTY DRIVE,SUITE 101,BUFFALO,MN,UNITED STATES,55313,763-682-4014,763-682-4461,,,,,,,Approved,6/25/2001,7/30/2010,Y,WWW.THEDOUGH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"51,990,513.00","86,100,406.00","138,090,919.00","1,234",369,"1,603",Y,Y,N,Y,N,N,N,N,N,Y,SEMINARS & ASSET ALLOCATION/PORTFOLIO MONITORING SERVICES,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,140963,801-66927,RS INVESTMENTS,RS INVESTMENT MANAGEMENT CO. LLC,388 MARKET STREET,SUITE 1700,SAN FRANCISCO,CA,UNITED STATES,94111,415-591-2700,415-591-2869,,,,,,,Approved,7/12/2006,7/30/2010,Y,WWW.RSINVESTMENTS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,11-25 percent,ENDOWMENTS & FOUNDATIONS,Y,N,N,N,N,Y,N,,Y,"13,913,106,539.00",0,"13,913,106,539.00",103,0,103,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N
SFRO,139728,801-69479,"SUMMIT ASSET STRATEGIES WEALTH MANAGEMENT, LLC","SUMMIT ASSET STRATEGIES WEALTH MANAGEMENT, LLC",10655 NE 4TH STREET STE 500,,BELLEVUE,WA,UNITED STATES,98004,425-646-7101,425-646-6445,,,,,,,Approved,8/14/2008,7/30/2010,Y,HTTP://WWW.SUMMITASSETSTRATEGIES.COM,N,N,N,N,N,N,N,N,N,Y,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"22,744,436.00",0,"22,744,436.00",120,0,120,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,Y,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,150140,801-70239,"EURO PACIFIC HALTER ASIA MANAGEMENT, INC.","EURO PACIFIC HALTER ASIA MANAGEMENT, INC.",1201 DOVE ST.,SUITE 370,NEWPORT BEACH,CA,UNITED STATES,92660,949-387-2450,,,,,,,,Approved,6/17/2009,7/30/2010,Y,WWW.EPHASIAFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"50,800,000.00",0,"50,800,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
SFRO,154249,801-71658,"VALUEACT CAPITAL MANAGEMENT, L.P.","VALUEACT CAPITAL MANAGEMENT, L.P.",435 PACIFIC AVE.,4TH FLOOR,SAN FRANCISCO,CA,UNITED STATES,94133,415-362-3700,415-362-5727,,,,,,,Approved,8/2/2010,7/31/2010,Y,WWW.VALUEACT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,800,000,000.00",0,"3,800,000,000.00",7,0,7,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVICE TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
SFRO,154245,801-71659,"VALUEACT SMALLCAP MANAGEMENT, L.P.","VALUEACT SMALLCAP MANAGEMENT, L.P.",435 PACIFIC AVE,4TH FLOOR,SAN FRANCISCO,CA,UNITED STATES,94133,415-362-3700,415-362-5727,,,,,,,Approved,8/2/2010,7/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"235,000,000.00",0,"235,000,000.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVICE TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,153513,801-71328,"GRANT CAPITAL PARTNERS, LLC","GRANT CAPITAL PARTNERS, LLC",1482 E. VALLEY ROAD,SUITE 716,SANTA BARBARA,CA,UNITED STATES,93108,805-695-7345,805-695-8596,,,,,,,Approved,4/26/2010,8/2/2010,Y,WWW.GRANTCAPITALPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"145,000,000.00",0,"145,000,000.00",4,0,4,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,148823,801-69758,BLUECREST CAPITAL MANAGEMENT LLP,BLUECREST CAPITAL MANAGEMENT LLP,LEVEL 6,29 THE HIGH STREET,ST. PETER PORT,,GUERNSEY,GY1 2JX,-735237,-735238,,,,,,,Approved,11/28/2008,8/2/2010,Y,WWW.BLUECRESTCAPITAL.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"18,300,000,000.00",0,"18,300,000,000.00",55,0,55,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,117491,801-60922,KCPAG FINANCIAL ADVISORS LLC,KCPAG FINANCIAL ADVISORS LLC,302 E. WALNUT STREET,P. O. BOX 529,ROBINSON,IL,USA,62454,618-544-4993,618-544-2140,,,,,,,Approved,2/11/2002,8/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"25,838,882.00","51,532,418.00","77,371,300.00",51,261,312,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107434,801-41464,UNITED ASSET STRATEGIES INC.,UNITED ASSET STRATEGIES INC.,666 OLD COUNTRY RD,SUITE 104,GARDEN CITY,NY,UNITED STATES,11530,516-222-0021,516-222-0163,,,,,,,Approved,6/9/1992,8/2/2010,Y,WWW.UNITEDASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"272,000,000.00","53,000,000.00","325,000,000.00","1,265",366,"1,631",Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,138235,801-65173,"CENTAUR MANAGEMENT CO, LLC","CENTAUR MANAGEMENT CO, LLC",500 WEST PUTNAM AVENUE,,GREENWICH,CT,UNITED STATES,06830-6086,203-618-3400,203-618-3402,,,,,,,Approved,1/18/2006,8/2/2010,Y,WWW.CENTAURFUNDS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,109091,801-54946,POM PORTFOLIO MANAGEMENT AG,POM PORTFOLIO MANAGEMENT AG,WALDMANNSTRASSE 6,,ZURICH,,SWITZERLAND,8001,011 41 44 254 3200,011 41 44 254 3201,,,,,,,Approved,10/17/1997,8/2/2010,Y,WWW.POMAG.CH,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SWITZERLAND,10-Jun,0,5-Jan,0,0,0,10-Jun,0,More than 500,500,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"90,000,000.00",0,"90,000,000.00",986,0,986,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
PLRO,136361,801-65717,"DYNAMIS ADVISORS, LLC","DYNAMIS ADVISORS, LLC","919 EAST MAIN STREET, 16TH FLOOR",,RICHMOND,VA,UNITED STATES,23219,804-643-1100,804-643-7599,,,,,,,Approved,2/1/2006,8/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"90,969,942.00",0,"90,969,942.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,HEDGE FUND MANAGEMENT,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109149,801-15164,"FIDUCIARY MANAGEMENT, INC.","FIDUCIARY MANAGEMENT, INC.",100 EAST WISCONSIN AVENUE,SUITE 2200,MILWAUKEE,WI,UNITED STATES,53202,414-226-4545,414-226-4522,,,,,,,Approved,4/18/1980,8/2/2010,Y,WWW.FIDUCIARYMGT.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,More than 500,668,26-50 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"7,248,243,131.00",0,"7,248,243,131.00",668,0,668,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,127880,801-62239,"KOVITZ INVESTMENT GROUP, LLC","KOVITZ INVESTMENT GROUP, LLC",115 S. LASALLE ST.,27TH FLOOR,CHICAGO,IL,USA,60603,312-334-7300,312-334-7308,,,,,,,Approved,7/22/2003,8/2/2010,Y,WWW.KOVITZINVESTMENT.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"1,000",11-25 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,434,000,000.00",0,"1,434,000,000.00","2,262",0,"2,262",Y,Y,Y,Y,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,136172,801-65170,"CENTAUR PERFORMANCE GROUP, LLC","CENTAUR PERFORMANCE GROUP, LLC",500 WEST PUTNAM AVENUE,,GREENWICH,CT,UNITED STATES,06830-6086,203-618-3400,203-618-3402,,,,,,,Approved,1/13/2006,8/2/2010,Y,WWW.CENTAURFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"110,821,036.00",0,"110,821,036.00",8,0,8,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108624,801-54988,AUSTIN CAPITAL MANAGEMENT LTD,AUSTIN CAPITAL MANAGEMENT LTD,127 PUBLIC SQUARE,,CLEVELAND,OH,UNITED STATES,44114,216 689-0830,216 689-7179,,,,,,,Approved,10/21/1997,8/2/2010,Y,NO LONGER AVAILABLE,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"696,749,565.00",0,"696,749,565.00",17,0,17,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR INVESTMENT LIMITED PARTNERSHIPS AND OFFSHORE INVESTMENT COMPANIES,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,Y,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,143592,801-70372,THE DANIEL FINANCIAL GROUP,"THE DANIEL FINANCIAL GROUP, LLC",3100 FIVE FORKS TRICKUM ROAD,SUITE 203,LILBURN,GA,UNITED STATES,30047,678-672-1490,678-672-1495,,,,,,,Approved,7/15/2009,8/2/2010,Y,WWW.DANIELFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"42,400,000.00","8,700,000.00","51,100,000.00",286,111,397,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,138600,801-65663,"ANDERSON GROWTH PARTNERS, LLC","ANDERSON GROWTH PARTNERS, LLC",402 INDUSTRIAL LANE,,BIRMINGHAM,AL,UNITED STATES,35211,205-909-3551,205-942-2740,,,,,,,Approved,1/27/2006,8/2/2010,Y,WWW.ANDERSONGROWTHPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"218,525,708.00",0,"218,525,708.00",35,0,35,N,N,N,Y,N,N,N,N,N,Y,MANAGER OF FUNDS OF FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105679,801-34359,"THE DARROW COMPANY, INC.","THE DARROW COMPANY, INC.",801 MAIN STREET,,CONCORD,MA,USA,01742-3313,978-369-5144,978-369-7578,,,,,,,Approved,7/6/1989,8/2/2010,Y,WWW.DARROWWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,BUSINESSES 401KS,Y,Y,N,Y,N,N,N,,Y,"107,147,514.00",0,"107,147,514.00",208,0,208,Y,Y,N,Y,N,Y,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,149653,801-69968,"HIGHLAND FUNDS ASSET MANAGEMENT, L.P.","HIGHLAND FUNDS ASSET MANAGEMENT, L.P.",13455 NOEL ROAD,SUITE 900,DALLAS,TX,UNITED STATES,75240,972-419-4444,972-628-4171,,,,,,,Approved,3/24/2009,8/2/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N
SFRO,146759,801-69650,FORT POINT CAPITAL PARTNERS LLC,FORT POINT CAPITAL PARTNERS LLC,275 SACRAMENTO STREET,8TH FLOOR,SAN FRANCISCO,CA,UNITED STATES,94111,(415) 449-0570,(415) 449-0571,,,,,,,Approved,10/24/2008,8/2/2010,Y,WWW.FORTPOINTCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,REFERRAL FEES,Y,"196,242,208.00",0,"196,242,208.00",324,0,324,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119088,801-70088,THE JUST COMPANY,THE JUST COMPANY,5635 CASTLE CREEK PARKWAY NORTH DRIVE,,INDIANAPOLIS,IN,UNITED STATES,46250,317-577-7915,317-577-7922,,,,,,,Approved,4/23/2009,8/2/2010,Y,THEJUSTCOMPANY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"43,488,457.00",0,"43,488,457.00",660,0,660,Y,Y,N,Y,N,Y,N,N,Y,N,,26-50,,N,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110937,801-55646,COMPREHENSIVE FINANCIAL PLANNING INC,COMPREHENSIVE FINANCIAL PLANNING INC,5995 LEMON STREET,,EAST PETERSBURG,PA,UNITED STATES,17520-1329,717-569-6667,717-569-6466,,,,,,,Approved,7/10/1998,8/2/2010,Y,COMPCOS.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"47,172,073.00","47,172,073.00",0,184,184,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107186,801-46193,"SHERLOCK INVESTMENT MANAGEMENT, INC.","SHERLOCK INVESTMENT MANAGEMENT, INC.",86 LINDEN STREET,,BRATTLEBORO,VT,UNITED STATES,5301,802-258-2370,802-258-2896,P.O. BOX 6329,,BRATTLEBORO,VT,UNITED STATES,5302,Approved,3/29/1994,8/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"116,741,724.00",0,"116,741,724.00",113,0,113,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108743,801-57674,FINANCIAL COUNSELING RESOURCES LLC,FINANCIAL COUNSELING RESOURCES LLC,4281 KATELLA AVENUE,SUITE 221,LOS ALAMITOS,CA,UNITED STATES,90720,714-236-8290,714-236-4150,,,,,,,Approved,6/16/2000,8/2/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"16,297,958.00","16,297,958.00",0,143,143,Y,Y,N,N,Y,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,18387,801-29618,THRIVENT INVESTMENT MANAGEMENT INC.,THRIVENT INVESTMENT MANAGEMENT INC.,625 FOURTH AVENUE SOUTH,,MINNEAPOLIS,MN,UNITED STATES,55415-1665,800-847-4836,612-844-4307,,,,,,,Approved,5/18/1987,8/2/2010,Y,WWW.THRIVENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,More than 1000,"4,000",501-1000,0,501-1000,0,5-Jan,0,More than 500,"20,600",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,NON-PROFIT ORGANIZATIONS,Y,N,N,Y,N,N,N,,Y,"311,820,702.00","3,906,946,559.00","4,218,767,261.00","1,717","19,845","21,562",Y,Y,N,Y,N,N,N,N,N,Y,ASSET ALLOCATION,More than 500,1000,Y,Y,Y,N,N,N,N,N,N,,N,,Y,N,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N
MIRO,112028,801-60187,"ARGENT ADVISORS, INC.","ARGENT ADVISORS, INC.",1609 STUBBS AVENUE,,MONROE,LA,USA,71201,318-324-8000,318-324-8098,,,,,,,Approved,4/6/2001,8/2/2010,Y,WWW.ARGENTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,LA,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,More than 500,"1,000",51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"208,745,618.00","8,317,552.00","217,063,170.00","1,079",45,"1,124",Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,133000,801-63599,ROSENBERG ASSET MANAGEMENT,"ROSENBERG FINANCIAL GROUP, LLC",2 N. TAMIAMI TRAIL,SUITE 310,SARASOTA,FL,UNITED STATES,34236,941-366-8801,941-366-8443,,,,,,,Approved,10/22/2004,5/10/2010,Y,WWW.THEMUTUALFUNDGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,360,246.00","22,000,000.00","47,360,246.00",105,365,470,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153189,801-71252,FSI CAPITAL HOLDINGS,"FSI CAPITAL HOLDINGS, LLC",150 EAST 52ND STREET,6TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-430-6200,212-430-6219,,,,,,,Approved,4/6/2010,5/10/2010,Y,WWW.FSICAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,"COLLATERALIZED DEBT OBLIGATIONS (""CDO'S"") AND OTHER ASSET BACKED SECURITIES (""ABS'S"")",Y,N,N,Y,N,Y,N,,Y,"4,513,931,348.00",0,"4,513,931,348.00",23,0,23,N,N,N,N,N,N,N,N,N,Y,INVESTMENT MANAGEMENT OF CDO'S AND ABS'S,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,116763,801-66477,"ACORN FINANCIAL ADVISORY SERVICES, INC.","ACORN FINANCIAL ADVISORY SERVICES, INC.",3600 CHAIN BRIDGE RD.,,FAIRFAX,VA,UNITED STATES,22030,703-293-3100,703-273-6959,,,,,,,Approved,5/1/2006,5/10/2010,Y,WWW.ACORN-FINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"91,499,480.00","91,499,480.00",0,625,625,Y,Y,N,N,Y,Y,N,N,N,N,,251-500,,N,N,Y,Y,N,N,Y,N,N,,Y,Y,Y,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N
DRO,127666,801-64035,"PLUS SIGMA, INC.","PLUS SIGMA, INC.",,,,,,,303-494-5639,303-484-7987,,,,,,,Approved,4/7/2005,5/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"41,571,013.00",0,"41,571,013.00",157,0,157,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137860,801-64919,BLACKSTONE FUND SERVICES INDIA PRIVATE LIMITED,BLACKSTONE FUND SERVICES INDIA PRIVATE LIMITED,"EXPRESS TOWERS, 5TH FLOOR",NARIMAN POINT,MUMBAI,,INDIA,400021,011 91 22 6752 8520,011 91 22 6752 8530,,,,,,,Approved,11/28/2005,5/10/2010,Y,WWW.BLACKSTONE.COM,N,N,N,Y,Y,N,N,N,N,N,N,N,N,Other (specify),PRIVATE LIMITED CO.,,INDIA,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,SUB-ADVISOR PROVIDES RESEARCH SERVICES,N,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,Y,INVESTMENT RESEARCH SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,106034,801-24840,DAIWA SB INVESTMENTS UK LTD,DAIWA SB INVESTMENTS UK LTD,5 KING WILLIAM STREET,,LONDON,,UNITED KINGDOM,EC4N 7JA,+44 (0) 20 7597-7000,+44 (0) 20-7597-7001,,,,,,,Approved,12/23/1985,5/11/2010,Y,WWW.DAIWASBI.CO.UK,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,Up to 10 percent,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"7,336,040,000.00",0,"7,336,040,000.00",10,0,10,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106181,801-49390,SONTAG ADVISORY LLC,SONTAG ADVISORY LLC,261 MADISON AVE 14TH FLOOR,,NEW YORK,NY,UNITED STATES,10016,(212) 973-1200,(212) 973-1210,,,,,,,Approved,6/16/1995,5/11/2010,Y,WWW.SONTAGADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,More than 500,"1,000",11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,Y,PERCENTAGE OF FEES CHARGED BY DISCRETIONARY MANAGERS,Y,"1,220,672,998.00","4,126,816,102.00","5,347,489,100.00","2,968","5,687","8,655",Y,Y,N,N,Y,Y,N,N,N,Y,REGISTRANT PROVIDES ADVISORY SERVICES TO THE GENERAL PARTNER OF THE SONTAG SPECIAL OPPORTUNITIES FUND LP,More than 500,1000,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,Y,N,Y,Y,N,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105963,801-47568,"TETON ADVISORS, INC.","TETON ADVISORS, INC.",401 THEODORE FREMD AVENUE,,RYE,NY,UNITED STATES,10580-1422,914-457-1070,,,,,,,,Approved,10/6/1994,5/11/2010,Y,HTTP://WWW.TETONADV.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"560,000,000.00",0,"560,000,000.00",7,0,7,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
BRO,104863,801-29482,INCOME RESEARCH & MANAGEMENT,INCOME RESEARCH & MANAGEMENT,100 FEDERAL STREET,31ST FLOOR,BOSTON,MA,USA,02110-1835,617-330-9333,617-330-9222,,,,,,,Approved,5/1/1987,5/11/2010,Y,WWW.INCOMERESEARCH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),BUSINESS TRUST,MA,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,More than 500,500,0 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"21,949,136,210.00","13,543,196.00","21,962,679,406.00",680,1,681,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,111949,801-64251,"ADVANCED FINANCIAL PLANNING, L.P.","ADVANCED FINANCIAL PLANNING, L.P.",1720 OAK VILLAGE BLVD. SUITE 100,,ARLINGTON,TX,UNITED STATES,76017,817-468-3388,817-465-8811,,,,,,,Approved,5/19/2005,5/11/2010,Y,WWW.ADVFP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,TX,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,REFERRAL/SOLICITOR FEES,Y,"40,129,948.00","8,927,235.00","49,057,183.00",952,310,"1,262",Y,Y,N,N,N,Y,N,N,Y,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,148852,801-70134,REPUBLIC INVESTMENT MANAGEMENT PTE. LTD.,REPUBLIC INVESTMENT MANAGEMENT PTE. LTD.,63 MARKET STREET,#08-01,SINGAPORE,,SINGAPORE,48942,+(65)6533 3313,+(65) 6536 1033,,,,,,,Approved,5/1/2009,4/14/2009,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SINGAPORE,Nov-50,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"119,300,000.00",0,"119,300,000.00",15,0,15,N,Y,N,Y,N,N,N,N,N,Y,MANAGEMENT OF PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108864,801-56566,RESOLUTE CAPITAL MANAGEMENT LLC,RESOLUTE CAPITAL MANAGEMENT LLC,919 18TH ST NW,SUITE 350,WASHINGTON,DC,UNITED STATES,20006,202-638-7600,202-638-6071,,,,,,,Approved,6/1/1999,5/11/2010,Y,WWW.RESOLUTECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"100,609,558.00","520,000.00","101,129,558.00",105,1,106,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,124560,801-61722,AEA QP ADVISERS LLC,AEA QP ADVISERS LLC,55 EAST 52ND STREET,35TH FLOOR,NEW YORK,NY,UNITED STATES,10055,212-644-6900,212-702-0518,,,,,,,Approved,1/16/2003,3/31/2010,Y,AEAINVESTORS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,089,671,159.00",0,"2,089,671,159.00",103,0,103,N,N,N,N,N,N,N,N,N,Y,SEEK INVESTMENTS FOR CLIENTS EITHER UNDER THEIR COMMITMENT AGREEMENTS OR IN INVESTMENT FUNDS MANAGED BY APPLICANT.,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,107621,801-48036,DFA AUSTRALIA LIMITED,DFA AUSTRALIA LIMITED,"LEVEL 43, GATEWAY",1 MACQUARIE PLACE,SYDNEY,,AUSTRALIA,2000,011-612-8336-7100,011-612-8336-7199,P.O. BOX R1830,ROYAL EXCHANGE,SYDNEY,,AUSTRALIA,1225,Approved,12/1/1994,3/31/2010,Y,WWW.DIMENSIONAL.COM.AU,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,AUSTRALIA,51-250,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,Y,EXPENSES PLUS A FIXED PERCENTAGE OF EXPENSES.,Y,"9,643,290,517.00",0,"9,643,290,517.00",14,0,14,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,140212,801-66626,"TURTLE CREEK MANAGEMENT, LLC","TURTLE CREEK MANAGEMENT, LLC",2626 COLE AVENUE,SUITE 705,DALLAS,TX,UNITED STATES,75204,214.468.0100,214.468.0106,,,,,,,Approved,5/17/2006,3/31/2010,Y,WWW.TURTLECREEKDALLAS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"374,032,577.00","831,290,083.00","1,205,322,660.00",238,1,239,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108858,801-56292,SUN VALLEY GOLD LLC,SUN VALLEY GOLD LLC,620 SUN VALLEY RD,,KETCHUM,ID,UNITED STATES,83340,208-726-2327,208-726-2469,P.O. BOX 2759,,SUN VALLEY,ID,UNITED STATES,83353,Approved,2/22/1999,3/31/2010,Y,WWW.SVGOLD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"914,715,420.00",0,"914,715,420.00",5,0,5,N,Y,N,Y,N,N,N,N,N,Y,CONSULTATIONS WITH CLIENTS.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,147663,801-69398,"JACOBI CAPITAL MANAGEMENT, LLC","JACOBI CAPITAL MANAGEMENT, LLC",620 BALTIMORE DRIVE,,WILKES BARRE,PA,UNITED STATES,18702,570-826-1801,570-826-0502,,,,,,,Approved,8/7/2008,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,Y,SOLICITOR FEE,Y,"146,208,107.00",0,"146,208,107.00",500,0,500,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,147271,801-69194,PAYDEN/KRAVITZ INVESTMENT ADVISERS LLC,PAYDEN/KRAVITZ INVESTMENT ADVISERS LLC,333 SOUTH GRAND AVENUE,32ND FLOOR,LOS ANGELES,CA,UNITED STATES,90071,213-625-1900,213-628-8488,,,,,,,Approved,5/27/2008,3/31/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"70,334,943.00",0,"70,334,943.00",2,0,2,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,130935,801-71040,"HARBORVIEW CAPITAL MANAGEMENT, LLC","HARBORVIEW CAPITAL MANAGEMENT, LLC",140 SOUTH LAKE AVENUE,SUITE 352,PASADENA,CA,USA,91101,(626) 405-4012,(626) 405-4019,,,,,,,Approved,2/2/2010,3/31/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"5,899,000.00",0,"5,899,000.00",1,0,1,N,N,N,N,N,Y,N,N,N,Y,FUND SELECTION FOR ONE PARTNERSHIP,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,N,N,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,138818,801-65293,"EXCELSIOR CAPITAL MANAGEMENT, LLC","EXCELSIOR CAPITAL MANAGEMENT, LLC",200 WEST MADISON STREET,SUITE 2420,CHICAGO,IL,UNITED STATES,60606,312-782-7855,312-782-7814,,,,,,,Approved,1/23/2006,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"31,832,549.00",0,"31,832,549.00",20,0,20,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANGEMENT FOR PRIVATE FUNDS AND POOLS,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108783,801-18273,ICMA RETIREMENT CORP,INTERNATIONAL CITY MANAGEMENT ASSOCIATION RETIREMENT CORPORATION,"777 NORTH CAPITOL STREET NE, SUITE 600",,WASHINGTON,DC,USA,20002-4240,202-962-4600,202-962-4601,,,,,,,Approved,1/19/1983,3/31/2010,Y,WWW.ICMARC.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,501-1000,0,51-250,0,251-500,0,0,0,More than 500,"5,500",More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"22,544,846,659.00",0,"22,544,846,659.00",66,0,66,Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107114,801-38031,"MARK BELL ADVISORY SERVICES, INC.","MARK BELL ADVISORY SERVICES, INC.",401 N MICHIGAN AVE,SUITE 1200,CHICAGO,IL,UNITED STATES,60611,312-840-8265,312-840-8201,,,,,,,Approved,12/10/1990,3/31/2010,Y,WWW.MARKBELLADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"89,653,385.00","89,653,385.00",0,168,168,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110877,801-54099,HORSLEY BRIDGE PARTNERS LLC,HORSLEY BRIDGE PARTNERS LLC,"505 MONTGOMERY STREET, 21ST FL.",,SAN FRANCISCO,CA,UNITED STATES,94111,415-986-7733,415-986-7744,,,,,,,Approved,3/31/1997,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,Y,FEE BASED ON CAPITAL COMMITMENTS,Y,"3,612,639,353.00","92,274,801.00","3,704,914,154.00",19,2,21,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,140994,801-68054,SWBC INVESTMENT COMPANY,SWBC INVESTMENT COMPANY,9311 SAN PEDRO AVENUE,SUITE 600,SAN ANTONIO,TX,UNITED STATES,78216-4459,210-321-7252,210-635-1201,,,,,,,Approved,6/25/2007,3/31/2010,Y,WWW.SWBC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,101-250,0,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"150,265,790.00","150,265,790.00",0,201,201,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,Y,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,125040,801-62049,"ASSET STRATEGIES PORTFOLIO SERVICES, INC.","ASSET STRATEGIES PORTFOLIO SERVICES, INC.",2635 LAPEER ROAD,,AUBURN HILLS,MI,UNITED STATES,48326,248-373-9900,248-373-9943,,,,,,,Approved,5/12/2003,3/31/2010,Y,WWW.ASSETSTRATEGIE.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,Y,N,N,Y,"CONSULTATION AND ANALYSIS SERVICES, SEMINARS AND WORKSHOPS",0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,151419,801-70589,"SOVEREIGN PRIVATE WEALTH, INC.","SOVEREIGN PRIVATE WEALTH, INC.",1312 ALTERNATE 19 NORTH,,PALM HARBOR,FL,UNITED STATES,34683,727-784-4841,727-784-6181,,,,,,,Approved,10/8/2009,3/31/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,REFERRAL FEES FOR SELECTION OF OTHER ADVISORS,Y,"5,039,998.00","677,346.00","5,717,344.00",98,9,107,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135305,801-67883,"RAYLIGN ADVISORY, LLC","RAYLIGN ADVISORY, LLC",35 MASON STREET,4TH FLOOR,GREENWICH,CT,UNITED STATES,6830,203-742-5450,203-702-5476,,,,,,,Approved,5/30/2007,3/31/2010,Y,WWW.RAYLIGN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"23,084,381.00","79,597,363.00","102,681,744.00",56,29,85,Y,Y,N,N,N,Y,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,132976,801-63629,CAVALRY ASSET MANAGEMENT,"CAVALRY MANAGEMENT GROUP, LLC",ONE CALIFORNIA STREET,SUITE 3000,SAN FRANCISCO,CA,UNITED STATES,94111,415-439-7000,415-439-7172,,,,,,,Approved,11/5/2004,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,105,000,000.00",0,"1,105,000,000.00",13,0,13,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,131458,801-63078,"WATTS GWILLIAM & COMPANY, LLC","WATTS GWILLIAM & COMPANY, LLC",2730 S. VAL VISTA DR.,SUITE 124,GILBERT,AZ,USA,85295,480-889-8998,480-889-8999,,,,,,,Approved,4/23/2004,3/31/2010,Y,WWW.WATTSGWILLIAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"110,000,000.00","5,000,000.00","115,000,000.00",517,8,525,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111128,801-52462,CARLYLE INVESTMENT MANAGEMENT L.L.C.,CARLYLE INVESTMENT MANAGEMENT L.L.C.,"1001 PENNSYLVANIA AVENUE, N.W.",SUITE 220 SOUTH,WASHINGTON,DC,UNITED STATES,20004-2505,202-729-5626,202-729-5266,,,,,,,Approved,8/6/1996,3/31/2010,Y,WWW.CARLYLE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,0,0,Nov-50,0,251-500,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"81,940,000,000.00",0,"81,940,000,000.00",313,0,313,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105757,801-18439,DRIEHAUS CAPITAL MANAGEMENT LLC,DRIEHAUS CAPITAL MANAGEMENT LLC,25 EAST ERIE STREET,,CHICAGO,IL,UNITED STATES,60611-2703,312-587-3800,312-587-3234,,,,,,,Approved,3/11/1983,3/31/2010,Y,WWW.DRIEHAUS.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,26-50 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,INSURANCE COMPANY,Y,N,N,N,N,Y,N,,Y,"4,883,502,918.00",0,"4,883,502,918.00",227,0,227,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,113859,801-60411,"COOKE & BIELER, L.P.","COOKE & BIELER, L.P.",1700 MARKET STREET,SUITE 3222,PHILADELPHIA,PA,UNITED STATES,19103,215-246-2030,215-567-1681,,,,,,,Approved,6/8/2001,3/31/2010,Y,WWW.COOKE-BIELER.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP (LP),PA,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,251-500,0,11-25 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,OEIC,Y,N,N,Y,N,Y,N,,Y,"4,070,318,507.00","933,694,822.00","5,004,013,329.00",295,10,305,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109491,801-54665,"DESCHUTES INVESTMENT ADVISORS, INC.","DESCHUTES INVESTMENT ADVISORS, INC.",1211 SW 5TH AVENUE,SUITE 2830,PORTLAND,OR,USA,97204,503-223-2500,503-223-8938,,,,,,,Approved,6/25/1997,3/31/2010,Y,WWW.DESCHUTESADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"81,000,000.00","725,000,000.00","806,000,000.00",335,108,443,Y,Y,N,Y,Y,Y,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,130096,801-70862,"FUNDAMENTAL CAPITAL MANAGEMENT, LLC",FUNDAMENTAL CAPITAL MANAGEMENT LLC,140 SOUTH LAKE AVENUE,SUITE 352,PASADENA,CA,UNITED STATES,91101,(626) 405-4012,626-405-4019,,,,,,,Approved,1/4/2010,3/31/2010,Y,WWW.FUNDAMENTALLP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"51,449,000.00",0,"51,449,000.00",2,0,2,N,N,N,N,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,119174,801-70100,"WALLACE CAPITAL MANAGEMENT, INC.","WALLACE CAPITAL MANAGEMENT, INC.",300 CRESCENT COURT,SUITE 830,DALLAS,TX,UNITED STATES,75201,214-303-0200,214-303-0204,,,,,,,Approved,4/30/2009,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"96,168,224.00",0,"96,168,224.00",124,0,124,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,149659,801-70433,"WHITE OAK GLOBAL ADVISORS, LLC","WHITE OAK GLOBAL ADVISORS, LLC",88 KEARNY STREET,FOURTH FLOOR,SAN FRANCISCO,CA,UNITED STATES,94108,415-644-4100,415-373-3868,,,,,,,Approved,8/11/2009,3/31/2010,Y,WWW.WHITEOAKSF.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"252,618,139.00",0,"252,618,139.00",6,0,6,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106184,801-37873,"BELMONT GLOBAL ADVISORS, INC.","BELMONT GLOBAL ADVISORS, INC.",2999 TURTLE CREEK BLVD.,,DALLAS,TX,UNITED STATES,75219,214-559-9790,214-559-9075,,,,,,,Approved,12/7/1990,3/31/2010,Y,WWW.BELMONTWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"438,662,512.00",0,"438,662,512.00",68,0,68,N,Y,N,N,N,Y,N,N,N,Y,PRIVATE FUNDS INVESTING IN SECURITIES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,135878,801-65880,INVICTA,INVICTA INVESTMENT MANAGEMENT LLP,32 CURZON STREET,,LONDON ENGLAND,,UK,W1J 7TS,-8984,-77293,,,,,,,Approved,4/25/2006,6/23/2006,Y,WWW.IIML.CO.UK,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"63,000,000.00",0,"63,000,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,126400,801-65530,COMPASS ADVISORS LLC,COMPASS ADVISORS LLC,,,,,,,706-579-1235,815-301-2950,11584 BIG CANOE,,BIG CANOE,GA,USA,30143-5115,Approved,2/1/2006,3/30/2010,Y,WWW.FEEONLYPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"33,343,802.00","2,786,065.00","36,129,867.00",125,12,137,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,151650,801-70637,401KFUNDADVICE LLC,401KFUNDADVICE LLC,203 LANDON LANE,,HARRISON,AR,UNITED STATES,72601,870-414-1215,870-741-1122,,,,,,,Approved,9/24/2009,4/30/2010,Y,WWW.401KFUNDADVICE.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,AR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVICE THRU INTERACTIVE WEBSITE.,0,,N,N,N,N,N,N,Y,N,N,,Y,Y,N,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,41438,801-52357,CAPITAL CONSULTING & ASSET MANAGEMENT,"CAPITAL CONSULTING & ASSET MANAGEMENT, INC.",140 N. 8TH STREET,410 THE APOTHECARY,LINCOLN,NE,UNITED STATES,68508,402-477-2500,866-884-8816,,,,,,,Approved,7/3/1996,4/30/2010,Y,HTTP://WWW.CCAM.NET/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"87,955,678.00",0,"87,955,678.00",780,0,780,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,134062,801-64033,GELLER FAMILY OFFICE SERVICES LLC,GELLER FAMILY OFFICE SERVICES LLC,909 THIRD AVENUE,,NEW YORK,NY,UNITED STATES,10022,(212) 583-6000,(212) 583-6241,P.O. BOX 1510,,NEW YORK,NY,UNITED STATES,10150-1510,Approved,3/31/2005,4/30/2010,Y,WWW.GELLERCO.COM/FAMILY-OFFICE.HTML,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,713,714,563.00","353,053,059.00","2,066,767,622.00",188,90,278,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110392,801-10203,COLUMBIA FINANCIAL ADVISORS INC,COLUMBIA FINANCIAL ADVISORS INC,12 E. GREENWAY PLAZA STE 700,,HOUSTON,TX,UNITED STATES,77046-1292,713-629-7007,713-629-9036,,,,,,,Approved,9/8/1974,4/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,FAMILY PARTNERSHIPS,Y,N,N,Y,N,Y,N,,Y,"80,993,840.00",0,"80,993,840.00",5,0,5,N,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,113826,801-66952,"RICHARD BROTHERS, FINANCIAL ADVISORS","ALLEGIANCE FINANCIAL GROUP, INC.",50 DONALD B. DEAN DRIVE,SUITE ONE,SOUTH PORTLAND,ME,UNITED STATES,4106,207-879-2352,207-879-2374,,,,,,,Approved,6/27/2006,3/31/2009,Y,WWW.RICHARDBROTHERSFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,ME,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,% OF ASSETS UNDER ADVISEMENT,Y,"42,376,715.00",0,"42,376,715.00",258,0,258,Y,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING SERVICES,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108385,801-55803,WATCH HILL CAPITAL LLC,WATCH HILL CAPITAL LLC,,,,,,,404-264-8686,404-264-8690,2870 PEACHTREE RD NW,PMB 424,ATLANTA,GA,UNITED STATES,30305,Approved,8/14/1998,4/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"35,310,531.00",0,"35,310,531.00",13,0,13,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135096,801-64433,RJR ASSOCIATES INC,RJR ASSOCIATES INC,101 SOUTH SALINA ST,SUITE 750,SYRACUSE,NY,UNITED STATES,13202,315-476-8200,315-476-8208,,,,,,,Approved,6/24/2005,4/30/2010,Y,WWW.RJRASSOCIATES.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"228,781,200.00","184,317,600.00","413,098,800.00",557,5,562,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,5478,801-9678,CAPITAL ANALYSTS INCORPORATED,"CAPITAL ANALYSTS, INCORPORATED",303 BROADWAY,SUITE 1500,CINCINNATI,OH,UNITED STATES,45202,513-361-8700,513-362-8671,,,,,,,Approved,12/17/1973,4/30/2010,Y,WWW.CAPITALANALYSTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,251-500,0,251-500,0,251-500,0,5-Jan,0,More than 500,"7,500",26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"666,000,000.00","1,450,000,000.00","2,116,000,000.00","2,187","4,290","6,477",Y,Y,N,Y,N,Y,Y,N,N,N,,251-500,,Y,Y,Y,N,N,N,Y,N,N,,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,Y,N,N,N,N,Y,N,Y,N
NYRO,106862,801-6482,FURGUESON CAPITAL MANAGEMENT INCORPORATED,BEACON GLOBAL ASSET MANAGEMENT,19 WEST 44TH ST,SUITE 812,NEW YORK,NY,UNITED STATES,10036-6090,212-840-1781,212-768-0977,,,,,,,Approved,4/8/1970,4/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"296,000,000.00",0,"296,000,000.00",370,0,370,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107585,801-41174,ALTER ASSET MANAGEMENT INC,ALTER ASSET MANAGEMENT INC,182 NASSAU STREET,SUITE 201,PRINCETON,NJ,UNITED STATES,08542-7000,609-688-9500,609-688-9300,,,,,,,Approved,4/2/1992,4/30/2010,Y,WWW.ALTERASSET.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"15,040,869.00",0,"15,040,869.00",39,0,39,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,148083,801-69519,"ROUNDVIEW CAPITAL, LLC","ROUNDVIEW CAPITAL, LLC",182 NASSAU STREET,SUITE 201,PRINCETON,NJ,UNITED STATES,08542-7000,609-688-9500,609-688-9300,,,,,,,Approved,9/2/2008,4/30/2010,Y,WWW.ROUNDVIEWCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"164,301,683.00","4,654.00","164,306,337.00",584,1,585,N,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,132495,801-63438,"STONECASTLE ADVISORS, LLC","STONECASTLE ADVISORS, LLC",120 WEST 45TH STREET,14TH FLOOR,NEW YORK,NY,UNITED STATES,10036,212-354-6500,212-354-6565,,,,,,,Approved,8/20/2004,4/30/2010,Y,WWW.STONECASTLEPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,498,000,000.00",0,"1,498,000,000.00",9,0,9,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,135919,801-64404,"GRAVER CAPITAL MANAGEMENT, LLC","GRAVER CAPITAL MANAGEMENT, LLC",585 BANK LANE,SUITE 2300,LAKE FOREST,IL,UNITED STATES,60045,847-735-2602,847-735-9021,,,,,,,Approved,7/25/2005,4/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"60,000,000.00","20,000,000.00","80,000,000.00",20,5,25,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138435,801-71374,BLUE ALTERNATIVE ASSET MANAGEMENT L.L.C.,BLUE ALTERNATIVE ASSET MANAGEMENT L.L.C.,546 5TH AVENUE,14TH FLOOR,NEW YORK,NY,UNITED STATES,10036,212 338-3100,212 338-3199,,,,,,,Approved,4/23/2010,4/30/2010,Y,WWW.BLUEELITEFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,10-Jun,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"262,080,812.00",0,"262,080,812.00",4,0,4,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT ADVICE TO PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109701,801-33422,"LASALLE ST. INVESTMENT ADVISORS, L.L.C.","LASALLE ST. INVESTMENT ADVISORS, L.L.C.",940 N. INDUSTRIAL DR.,,ELMHURST,IL,UNITED STATES,60126-1131,630-600-0500,630-225-5172,,,,,,,Approved,2/10/1989,4/30/2010,Y,WWW.LASALLE-ST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,5-Jan,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"97,006,557.00","142,050,479.00","239,057,036.00",462,754,"1,216",Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
DRO,142904,801-67454,EXCELLERE CAPITAL MANAGEMENT LLC,EXCELLERE CAPITAL MANAGEMENT LLC,100 FILLMORE PLACE,SUITE 300,DENVER,CO,UNITED STATES,80206,303-765-2400,303-765-2411,,,,,,,Approved,1/18/2007,4/30/2010,Y,WWW.EXCELLEREPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,PRIVATELY OFFERED INVESTMENT FUND,Y,N,N,N,N,Y,N,,Y,"254,166,470.00",0,"254,166,470.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE FUND,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,143238,801-67712,INVESCO ASSET MANAGEMENT DEUTSCHLAND GMBH,INVESCO ASSET MANAGEMENT DEUTSCHLAND GMBH,AN DER WELLE 5,,FRANKFURT,,GERMANY,60322,49 69 29807 400,49 69 29807 159,,,,,,,Approved,3/23/2007,4/30/2010,Y,WWW.DE.INVESCO.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,GERMANY,51-250,0,Nov-50,0,0,0,0,0,101-250,0,0 percent,0 percent,11-25 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"104,000,000,000.00",0,"104,000,000,000.00",95,0,95,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,142422,801-69756,ALTIN HOLDINGS LLC,ALTIN HOLDINGS LLC,"805 OAKWOOD, STE. 125",,ROCHESTER,MI,UNITED STATES,48307,(248) 413-6100,(248) 413-6110,,,,,,,Approved,11/19/2008,4/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,"35,500,500.00","35,500,500.00",0,10,10,N,N,N,N,N,Y,N,N,N,Y,"GENERAL PARTNER AND COMMODITY POOL OPERATOR FOR ALTIN:PRIVATE FUND, LIMITED PARTNERSHIP",,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,117756,801-61089,"SEQUOIA FINANCIAL ADVISORS, L.L.C.","SEQUOIA FINANCIAL ADVISORS, L.L.C.",121 SOUTH MAIN STREET,SUITE 300,AKRON,OH,UNITED STATES,44308,330-375-9480,330-535-0111,,,,,,,Approved,4/19/2002,4/30/2010,Y,WWW.SEQUOIA-FINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"1,500",26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE OF ASSETS UNDER SELECTED SUB-ADVISOR MANAGEMENT,Y,"289,193,642.00","43,947,940.00","333,141,582.00","1,852",35,"1,887",Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105916,801-50177,RENAISSANCE INVESTMENT MANAGEMENT,THE RENAISSANCE GROUP LLC,"50 EAST RIVERCENTER BLVD., SUITE 1200",,COVINGTON,KY,UNITED STATES,41011,513-723-4500,513-723-4512,,,,,,,Approved,9/26/1995,4/30/2010,Y,WWW.RENINV.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,500,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,"WRAP PROGRAMS, UMA PROGRAMS, MSP ADVISORS",Y,N,N,N,N,N,N,,Y,"5,104,508,835.00","158,837,587.00","5,263,346,422.00",677,10,687,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,13623,801-58158,FIRST WESTERN ADVISORS,FIRST WESTERN ADVISORS,"6440 S MILLROCK DR, STE 150",,HOLLADAY,UT,UNITED STATES,84121,801-930-6500,801-930-6501,,,,,,,Approved,11/21/2000,4/30/2010,Y,WWW.FWAINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"164,028,618.00",0,"164,028,618.00","1,047",0,"1,047",Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,Y,N,Y,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111538,801-60180,GLOBALBRIDGE,"GLOBALBRIDGE ADVISORS, INC.",903 WASHINGTON AVE S,SUITE 100,MINNEAPOLIS,MN,UNITED STATES,55415,612-746-5850,612-746-5856,,,,,,,Approved,4/12/2001,4/30/2010,Y,WWW.GLOBALBRIDGE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,51-250,0,101-250,0,Up to 10 percent,26-50 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,"SEE SCHEDULE D, PAGE 5",Y,"401,000,000.00",0,"401,000,000.00",232,0,232,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110283,801-29690,WESTMINSTER FINANCIAL ADVISORY CORP,WESTMINSTER FINANCIAL ADVISORY CORP,865 SOUTH DIXIE DRIVE,,VANDALIA,OH,UNITED STATES,45377,937-898-5010,937-898-0119,,,,,,,Approved,6/15/1987,4/30/2010,Y,WWW.WESTMINSTERFINANICAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,MONTHLY ENHANCED STATEMENT FEE,Y,"81,237,823.00",0,"81,237,823.00",430,0,430,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,Y,Y,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,125389,801-71419,"MIDWEST CAPITAL ADVISORS, LLC","MIDWEST CAPITAL ADVISORS, LLC",3001 ORCHARD VISTA DR. SE,,GRAND RAPIDS,MI,UNITED STATES,49546,616-454-9600,616-454-9608,,,,,,,Approved,5/10/2010,4/30/2010,Y,WWW.MIDWESTCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"32,430,480.00",0,"32,430,480.00",96,0,96,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,150660,801-71105,"CREATIVE CAPITAL FIDUCIARIES, LLC","CREATIVE CAPITAL FIDUCIARIES, LLC",2450 NORTH CITRUS HILLS BOULEVARD,,HERNANDO,FL,UNITED STATES,34442-5348,352-746-4460,352-746-0816,,,,,,,Approved,2/23/2010,4/30/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,139022,801-66131,"TERRA RESOURCE INVESTMENT MANAGEMENT, INC.","TERRA RESOURCE INVESTMENT MANAGEMENT, INC.",7770 EL CAMINO REAL,,CARLSBAD,CA,USA,92009,866-531-8746,760-943-3957,,,,,,,Approved,2/1/2006,4/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,More than 500,500,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"112,040,687.00",0,"112,040,687.00",700,0,700,N,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N
LARO,120232,801-63474,"TROVENA, LLC.","TROVENA, LLC.",417 BERYL STREET,,REDONDO BEACH,CA,USA,90277,310-697-0400,310-861-1755,,,,,,,Approved,9/2/2004,4/30/2010,Y,WWW.TROVENA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,10-Jun,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"305,010,000.00",0,"305,010,000.00",884,0,884,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138148,801-64964,MONTGOMERY CAPITAL ADVISORS LLC,MONTGOMERY CAPITAL ADVISORS LLC,1560 BROADWAY,10TH FLOOR,NEW YORK,NY,UNITED STATES,10036,212-201-7911,212-586-7505,,,,,,,Approved,11/29/2005,4/30/2010,Y,WWW.MONTCAPITAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"48,903,441.00","48,903,441.00",0,103,103,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,113322,801-61163,"WASATCH MANAGEMENT PARTNERS, L.L.C.","WASATCH MANAGEMENT PARTNERS, L.L.C.",1 SOUTH MAIN ST.,8TH FLOOR,SALT LAKE CITY,UT,UNITED STATES,84133,801-524-8939,801-524-8941,,,,,,,Approved,5/10/2002,4/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"41,000,000.00",0,"41,000,000.00",22,0,22,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,128012,801-62261,"LATASH INVESTMENTS, LLC","LATASH INVESTMENTS, LLC","301 W. NORTHERN LIGHTS BLVD.,",SUITE 412,ANCHORAGE,AK,USA,99503,907-868-7580,907-868-7582,,,,,,,Approved,9/5/2003,4/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AK,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"587,612,918.00","188,270,256.00","775,883,174.00",12,2,14,N,Y,N,Y,N,Y,N,N,N,Y,PROVIDE FINANCIAL REPORTING AND OPERATIONAL SERVICES FOR SOME CLIENTS,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,113320,801-61165,"ZWMC, L.L.C.","ZWMC, L.L.C.",1 SOUTH MAIN STREET,8TH FLOOR,SALT LAKE CITY,UT,UNITED STATES,84133,801-524-8939,801-524-8941,,,,,,,Approved,5/10/2002,4/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"25,000,000.00",0,"25,000,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,139507,801-66296,"WASATCH NEW MEXICO MANAGEMENT PARTNERS, LLC","WASATCH NEW MEXICO MANAGEMENT PARTNERS, LLC",1 SOUTH MAIN STREET,8TH FLOOR,SALT LAKE CITY,UT,UNITED STATES,84133,801-524-8939,801-524-8941,,,,,,,Approved,3/6/2006,4/30/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"10,851,875.00",0,"10,851,875.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,143587,801-67938,"ZWMC IV, L.L.C.","ZWMC IV, L.L.C.",ONE SOUTH MAIN STREET,SUITE 800,SALT LAKE CITY,UT,UNITED STATES,84133,801-524-8939,801-524-8941,,,,,,,Approved,5/29/2007,4/30/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"15,625,000.00",0,"15,625,000.00",13,0,13,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,133586,801-63774,SANSOTERRA GROUP LLC,SANSOTERRA GROUP LLC,,,,,,,408-253-3568,408-253-3568,,,,,,,Approved,1/3/2005,4/30/2010,Y,WWW.SANSGROUPLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"27,000,000.00","9,000,000.00","36,000,000.00",37,2,39,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,148357,801-69819,"A & I FINANCIAL SERVICES, LLC","A & I FINANCIAL SERVICES, LLC",9780 MT. PYRAMID COURT,SUITE 130,ENGLEWOOD,CO,UNITED STATES,80112,303-690-5070,303-699-8945,,,,,,,Approved,1/5/2009,4/30/2010,Y,WWW.ASSETSANDINCOME.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,SOLICITOR/REFERRAL FEES,Y,"41,850,407.00","1,419,783.00","43,270,190.00","1,357",20,"1,377",Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110213,801-60042,ANGELES INVESTMENT ADVISORS,"ANGELES INVESTMENT ADVISORS, LLC.",429 SANTA MONICA BLVD.,SUITE 500,SANTA MONICA,CA,USA,90401,310-393-6300,310-393-6200,,,,,,,Approved,2/20/2001,4/30/2010,Y,WWW.ANGELESADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"745,000,000.00","189,000,000.00","934,000,000.00",24,6,30,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109591,801-57396,NEW YORK LIFE INVESTMENT MANAGEMENT LLC,NEW YORK LIFE INVESTMENT MANAGEMENT LLC,51 MADISON AVENUE,,NEW YORK,NY,UNITED STATES,10010,212-576-7000,973-394-4635,,,,,,,Approved,3/20/2000,4/30/2010,Y,WWW.NYLIM.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,More than 1000,"1,000",51-250,0,251-500,0,5-Jan,0,More than 500,"4,500",More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,Y,ORIGINATION FEES IN CONNECTION WITH REAL ESTATE LOANS,Y,"180,708,347,851.00","546,194,319.00","181,254,542,170.00","4,478",6,"4,484",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,Y,N,N,N,,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N
LARO,150141,801-70138,CONCENTRIC CAPITAL LLC,CONCENTRIC CAPITAL LLC,9200 W. SUNSET BLVD.,SUITE 402,WEST HOLLYWOOD,CA,UNITED STATES,90069,310-734-0230,310-275-4257,,,,,,,Approved,4/23/2009,4/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"30,969,614.00",0,"30,969,614.00",25,0,25,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111539,801-57967,"FURTHER LANE ASSET MANAGEMENT, LLC","FURTHER LANE ASSET MANAGEMENT, LLC","250 E. 54TH STREET, PENTHOUSE 1",,NEW YORK,NY,UNITED STATES,10022,212-808-4800,212-935-2059,,,,,,,Approved,9/13/2000,5/14/2009,Y,WWW.FURTHERLANE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"150,000,000.00","50,000,000.00","200,000,000.00",200,200,400,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,139723,801-70705,GEOLOGIC RESOURCE PARTNERS LLC,GEOLOGIC RESOURCE PARTNERS LLC,535 BOYLSTON STREET,,BOSTON,MA,UNITED STATES,2116,617-424-9900,617-424-9921,,,,,,,Approved,10/20/2009,10/19/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"339,168,485.00",0,"339,168,485.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109783,801-17824,"HANCOCK VENTURE PARTNERS, INC.","HANCOCK VENTURE PARTNERS, INC.","ONE FINANCIAL CENTER, 44TH FL",,BOSTON,MA,UNITED STATES,2111,617-348-3707,617-350-0305,,,,,,,Approved,11/1/1982,7/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,LIMITED PARTNERSHIPS,Y,N,N,N,N,Y,Y,PERCENTAGE OF PARTNERSHIPS' COMMITTED CAPITAL,Y,"75,139,651.00",0,"75,139,651.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR LIMITED PARTNERSHIPS WHERE THE LIMITED PARTNERS ARE PRIMARILY INSTITUTIONAL INVESTORS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y
NYRO,112307,801-60202,"RAY MIGNONE & CO., INC.","RAY MIGNONE & CO., INC.",,,,,,,718-229-2514,815-642-8749,,,,,,,Approved,5/4/2001,7/1/2010,Y,WWW.RAYMIGNONE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"179,604,000.00","12,700,000.00","192,304,000.00",543,42,585,Y,Y,N,N,N,N,N,N,N,Y,TAX ADVICE,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107373,801-37083,"TCI WEALTH ADVISORS, INC.","TCI WEALTH ADVISORS, INC.",4011 EAST SUNRISE DRIVE,,TUCSON,AZ,UNITED STATES,85718,520-733-1477,520-733-1488,,,,,,,Approved,8/30/1990,7/1/2010,Y,WWW.TCIWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,Nov-50,0,10-Jun,0,0,0,Nov-50,0,More than 500,"1,000",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"805,950,922.00","38,063,487.00","844,014,409.00","3,513",59,"3,572",Y,Y,N,N,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,127398,801-62121,"CHICKASAW CAPITAL MANAGEMENT, LLC","CHICKASAW CAPITAL MANAGEMENT, LLC",6075 POPLAR AVE SUITE 402,,MEMPHIS,TN,UNITED STATES,38119,901-537-1866,901-537-1890,,,,,,,Approved,6/12/2003,7/1/2010,Y,WWW.CHICKASAWCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,Y,N,,Y,"274,856,182.00","33,046,580.00","307,902,762.00",275,10,285,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT SERVICES FOR RELATED INVESTMENT PARTNERSHIPS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,2881,801-8095,"NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC","NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC",611 EAST WISCONSIN AVE,,MILWAUKEE,WI,UNITED STATES,53202-4797,866-664-7737,414-665-6297,,,,,,,Approved,12/10/1971,7/1/2010,Y,WWW.NORTHWESTERNMUTUAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,More than 1000,"2,000",More than 1000,"2,000",More than 1000,"2,000",0,0,More than 500,"10,500",11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,REFERRAL FEES,Y,"1,323,909,486.00",0,"1,323,909,486.00","6,698",0,"6,698",Y,Y,N,Y,N,N,N,N,N,Y,COMPENSATED BY OTHER ADVISERS FOR REFERRALS. FINANCIAL PLANNING SERVICES ARE OFFERED ON A NON-FEE BASIS ONLY.,More than 500,4000,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,Y
NYRO,108604,801-54909,LADENBURG THALMANN ASSET MANAGEMENT INC,LADENBURG THALMANN ASSET MANAGEMENT INC,520 MADISON AVENUE,9TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-409-2000,212-409-2014,,,,,,,Approved,10/16/1997,7/1/2010,Y,WWW.LADENBURG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,5-Jan,0,More than 500,"1,400",11-25 percent,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,Y,N,,Y,"54,786,679.00","364,118,616.00","418,905,295.00",146,"1,271","1,417",N,Y,N,N,N,Y,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,118994,801-61051,"THE PLANNING CENTER, INC.","THE PLANNING CENTER, INC.",1701 RIVER DRIVE,SUITE 300,MOLINE,IL,UNITED STATES,61265,309-797-4030,309-797-4026,,,,,,,Approved,4/12/2002,7/1/2010,Y,WWW.THEPLANNINGCENTER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE OF NET WORTH,Y,"164,870,690.00",0,"164,870,690.00","1,046",0,"1,046",Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,142512,801-67491,PICTET NORTH AMERICA ADVISORS SA,PICTET NORTH AMERICA ADVISORS SA,"60, RTE DES ACACIAS",,GENEVA,,SWITZERLAND,1211GENEVA,0041.22.307.9000,0041.22.307.9001,,,,,,,Approved,2/13/2007,7/1/2010,Y,WWW.PICTETADVISORS.COM,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SWITZERLAND,10-Jun,0,5-Jan,0,0,0,10-Jun,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"667,974,292.00","977,280,448.00","1,645,254,740.00",161,223,384,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,Y,MARKETING OF THE PICTET EUROPSTAR FUND,N,,N,Y,Y,Y,N,Y,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
LARO,152990,801-71104,"IPG INVESTMENT ADVISORS, LLC","IPG INVESTMENT ADVISORS, LLC",350 10TH AVENUE,SUITE 1150,SAN DIEGO,CA,UNITED STATES,92101,619-326-1249,619-325-1213,,,,,,,Approved,3/3/2010,7/1/2010,Y,WWW.INVESTIPG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,Y,FAMILY OFFICE SERVICE FEES,Y,"198,968,508.00",0,"198,968,508.00",269,0,269,N,Y,N,Y,N,N,N,N,N,Y,MAY SELECT ADVISE ON AND/OR OFFER PRIVATE FUNDS AND LIMITED PARTNERSHIPS AND/OR PROVIDE FAMILY OFFICE SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,130320,801-69335,"CAPITAL DYNAMICS, INC.","CAPITAL DYNAMICS, INC.",645 MADISON AVENUE,19TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-798-3400,212-798-3499,,,,,,,Approved,6/19/2008,7/1/2010,Y,WWW.CAPDYN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"2,371,000,000.00","31,978,000,000.00","34,349,000,000.00",20,1,21,N,N,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150897,801-70552,"HARTSHORNE GROUP, INC.","HARTSHORNE GROUP, INC.",34 SYCAMORE AVE.,SUITE 1-E,LITTLE SILVER,NJ,UNITED STATES,7739,732-842-4920,732-842-8049,,,,,,,Approved,9/11/2009,7/1/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,NJ,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,Y,% OF ASSETS MANAGED BY WBI INVESTMENTS AND OUTSIDE ADVISOR FIRMS,N,0,0,0,0,0,0,Y,N,N,N,N,Y,Y,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,125689,801-69021,"CAPITAL FINANCIAL ADVISORS OF NEW YORK, LLC","CAPITAL FINANCIAL ADVISORS OF NEW YORK, LLC",7 CORPORATE DRIVE,,CLIFTON PARK,NY,UNITED STATES,12065,518-280-0030,518-280-0031,,,,,,,Approved,4/2/2008,7/1/2010,Y,WWW.CFANY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"47,300,000.00",0,"47,300,000.00",44,0,44,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,134846,801-64263,"PEAK INVESTMENT SOLUTIONS, LLC","PEAK INVESTMENT SOLUTIONS, LLC",1508 EUREKA ROAD,SUITE 180,ROSEVILLE,CA,USA,95661,916-772-5022,916-772-5042,,,,,,,Approved,5/9/2005,7/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"36,123,601.00","1,532,359.00","37,655,960.00",289,14,303,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105099,801-21084,AMERICAN ASSET MANAGEMENT GROUP INC,AMERICAN ASSET MANAGEMENT GROUP INC,50 WEST MONTGOMERY AVE.,SUITE 260,ROCKVILLE,MD,UNITED STATES,20850,301-251-1002,301-340-6959,,,,,,,Approved,5/3/1984,7/1/2010,Y,WWW.AAMG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"45,000,000.00",0,"45,000,000.00",130,0,130,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,127372,801-71451,CAPITAL PORTFOLIO MANAGEMENT L.L.C.,CAPITAL PORTFOLIO MANAGEMENT L.L.C.,505 SW WASHBURN AVE.,,TOPEKA,KS,UNITED STATES,66606-1523,785-271-5555,785-228-9186,,,,,,,Approved,5/14/2010,7/1/2010,Y,WWW.CPM-LLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"32,331,842.00",0,"32,331,842.00",349,0,349,N,Y,N,Y,N,N,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124339,801-68650,ADAMCZYK ADVISERS L.L.C.,ADAMCZYK ADVISERS L.L.C.,37642 8 MILE RD,,NORTHVILLE,MI,UNITED STATES,48167,248-705-6480,248-474-7802,,,,,,,Approved,12/18/2007,7/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"33,400,000.00",0,"33,400,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,127207,801-67624,INSTITUTE FOR WEALTH,INSTITUTE FOR WEALTH MANAGEMENT LLC,1775 SHERMAN ST.,SUITE 2750,DENVER,CO,UNITED STATES,80203,303-572-3500,303-572-3515,,,,,,,Approved,3/7/2007,7/1/2010,Y,WWW.INSTITUTEFORWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,Nov-50,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"94,093,176.00","35,000.00","94,128,176.00",643,2,645,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,122141,801-60449,PFM ASSET MANAGEMENT LLC,PFM ASSET MANAGEMENT LLC,ONE KEYSTONE PLAZA,"N. FRONT & MARKET STREETS, SUITE 300",HARRISBURG,PA,USA,17101-2044,717-231-6200,717-233-6073,,,,,,,Approved,8/3/2001,7/1/2010,Y,WWW.PFM.COM,N,Y,N,N,Y,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,"1,500",0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,51-75 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"36,980,252,568.00","2,292,871,665.00","39,273,124,233.00",675,961,"1,636",N,N,Y,Y,Y,Y,N,N,N,Y,ADVICE TO CLIENTS ON MATTERS NOT INVOLVING SECURITIES,0,,Y,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,144710,801-70677,THE MUTUAL FUND STORE,"TMFS-DAYTON, LLC",4412 INDIAN RIPPLE RD.,,DAYTON,OH,UNITED STATES,45440,937-431-1925,937-431-5515,,,,,,,Approved,10/16/2009,7/1/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"32,500,000.00",0,"32,500,000.00",456,0,456,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,142633,801-67401,SPEARS ABACUS ADVISORS LLC,SPEARS ABACUS ADVISORS LLC,147 EAST 48TH STREET,,NEW YORK,NY,USA,10017,212-230-9842,212-230-9849,,,,,,,Approved,1/3/2007,7/1/2010,Y,WWW.SPEARSABACUS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,10-Jun,0,101-250,0,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"738,994,332.00","73,752,490.00","812,746,822.00",312,4,316,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,153387,801-71323,RAVENNA INVESTMENT LLC,RAVENNA INVESTMENT LLC,,,,,,,206-526-1383,206-526-7032,,,,,,,Approved,4/27/2010,7/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"33,117,182.00",0,"33,117,182.00",61,0,61,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106937,801-40961,HARRINGTON ASSET MANAGEMENT INC,HARRINGTON ASSET MANAGEMENT INC,6195 EMERALD PARKWAY,ONE NORTH,DUBLIN,OH,USA,43016-3248,614-798-1345,614-798-1382,,,,,,,Approved,4/27/1992,7/1/2010,Y,HTTP:\\WWW.HAM-INC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,10-Jun,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"70,341,934.00",0,"70,341,934.00",462,0,462,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110814,801-24357,"NOMURA ASSET MANAGEMENT CO., LTD.","NOMURA ASSET MANAGEMENT CO., LTD.","1-12-1, NIHONBASHI, CHUO-KU",,TOKYO,,JAPAN,103-8260,81 (3) 3241-9511,81 (3) 3241-8275,,,,,,,Approved,5/22/1985,7/1/2010,Y,HTTP://WWW.NOMURA-AM.CO.JP/ENGLISH/,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,JAPAN,501-1000,0,251-500,0,0,0,5-Jan,0,More than 500,"1,000",0 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"229,877,739,750.00","6,416,564,825.00","236,294,304,575.00","1,072",31,"1,103",N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N
CHRO,113328,801-63133,NETOLS ASSET MANAGEMENT INC,NETOLS ASSET MANAGEMENT INC,1045 W. GLEN OAKS LANE,SUITE 202,MEQUON,WI,UNITED STATES,53092,262-240-2930,262-240-2931,,,,,,,Approved,5/14/2004,7/1/2010,Y,WWW.NETOLSMGT.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,26-100,0,26-50 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"924,000,000.00",0,"924,000,000.00",72,0,72,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,148345,801-69587,FIRST SECURITY CAPITAL MANAGEMENT LLC,FIRST SECURITY CAPITAL MANAGEMENT LLC,125 WEST MIAMI AVE SUITE B,,VENICE,FL,UNITED STATES,34285,941-483-3732,941-483-3818,,,,,,,Approved,9/26/2008,7/1/2010,Y,WWW.FSCMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"31,020,821.00","3,062,000.00","34,082,821.00",182,52,234,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106139,801-36951,BAHL & GAYNOR INC,BAHL & GAYNOR INC,212 EAST 3RD STREET,SUITE 200,CINCINNATI,OH,UNITED STATES,45202,513-287-6100,513-287-6110,,,,,,,Approved,7/13/1990,3/31/2010,Y,WWW.BAHL-GAYNOR.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"2,573,015,385.00","195,099,722.00","2,768,115,107.00","1,218",41,"1,259",Y,Y,Y,Y,N,N,Y,N,N,N,,25-Nov,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105989,801-29752,WESCOTT FINANCIAL ADVISORY GROUP LLC,WESCOTT FINANCIAL ADVISORY GROUP LLC,30 SOUTH 17TH STREET,,PHILADELPHIA,PA,USA,19103-4196,215-979-1600,215-979-1617,,,,,,,Approved,6/11/1987,3/31/2010,Y,WWW.WESCOTT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,251-500,0,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"741,461,337.00","427,456,864.00","1,168,918,201.00",270,11,281,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106783,801-50449,"NEEDHAM INVESTMENT MANAGEMENT, LLC","NEEDHAM INVESTMENT MANAGEMENT, LLC","445 PARK AVENUE, 15TH FLOOR",,NEW YORK,NY,USA,10022,212-371-8300,212-705-0375,,,,,,,Approved,11/17/1995,3/31/2010,Y,WWW.NEEDHAMFUNDS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"414,265,599.00",0,"414,265,599.00",6,0,6,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y
PLRO,105512,801-17044,CALVERT ASSET MANAGEMENT CO INC,"CALVERT ASSET MANAGEMENT COMPANY, INC.",4550 MONTGOMERY AVE. STE 1000N,,BETHESDA,MD,UNITED STATES,20814,301-951-4881,301-657-7014,,,,,,,Approved,4/29/1982,3/31/2010,Y,WWW.CALVERT.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,SOCIAL RESEARCH SERVICES,Y,"14,269,231,921.00",0,"14,269,231,921.00",71,0,71,N,N,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106197,801-41364,"BRYN MAWR CAPITAL MANAGEMENT, INC.",BRYN MAWR CAPITAL MANAGEMENT INC,ONE TOWN PLACE,SUITE 200,BRYN MAWR,PA,USA,19010-3495,484-380-8100,484-380-8150,,,,,,,Approved,4/30/1992,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,11-25 percent,LIMITED PARTNERSHIP,Y,N,N,N,N,Y,N,,Y,"874,400,000.00",0,"874,400,000.00",9,0,9,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,142292,801-67261,"WALDEN CAPITAL ADVISORS, LLC","WALDEN CAPITAL ADVISORS, LLC","TWO BALA PLAZA, SUITE 300",,BALA CYNWYD,PA,UNITED STATES,19004-1512,610-660-7718,610-660-0172,,,,,,,Approved,11/2/2006,3/31/2010,Y,WWW.WALDENADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"77,119,465.00",0,"77,119,465.00",215,0,215,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,150580,801-70436,"ANLYAN & HIVELY ASSET MANAGEMENT, LLC","ANLYAN & HIVELY ASSET MANAGEMENT, LLC","131 RACINE DRIVE, SUITE 250",,WILMINGTON,NC,UNITED STATES,28403,888-223-2979,910-794-7883,,,,,,,Approved,8/14/2009,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"71,467,000.00",0,"71,467,000.00",63,0,63,Y,Y,N,Y,N,Y,N,N,N,N,,0,,Y,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,149670,801-70008,"ADVANCED INVESTMENT PARTNERS, LLC","ADVANCED INVESTMENT PARTNERS, LLC","100 MAIN  STREET, #301",,SAFETY HARBOR,FL,UNITED STATES,34695,727-799-3671,727-799-1232,,,,,,,Approved,3/12/2009,3/31/2010,Y,WWW.AIPLLC.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,More than 500,"1,000",0 percent,51-75 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,FLAT FEE FOR RESEARCH,Y,"498,276,278.00","68,900,034.00","567,176,312.00","1,214",670,"1,884",N,Y,Y,Y,N,N,N,N,N,Y,RESEARCH,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138306,801-65608,TIG ADVISORS LLC,TIG ADVISORS LLC,535 MADISON AVENUE,36TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-759-0340,212-644-4470,,,,,,,Approved,1/27/2006,3/31/2010,Y,WWW.TIGFUNDS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,814,800,750.00",0,"1,814,800,750.00",23,0,23,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,148537,801-69679,ALPHA VISTA ADVISORS LLC,ALPHA VISTA ADVISORS LLC,,,,,,,404-243-5166,404-243-5167,,,,,,,Approved,10/23/2008,3/31/2010,Y,WWW.ALPHAVISTACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"15,000,000.00","10,000,000.00","25,000,000.00",25,15,40,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,138099,801-66699,INTERLACHEN CAPITAL GROUP LP,INTERLACHEN CAPITAL GROUP LP,800 NICOLLET MALL,SUITE 2500,MINNEAPOLIS,MN,UNITED STATES,55402-2034,612-659-4450,612-659-4401,,,,,,,Approved,5/10/2006,3/31/2010,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"362,560,000.00",0,"362,560,000.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,129991,801-69433,"LUSTRIN FINANCIAL, LLC","LUSTRIN FINANCIAL, LLC",28 WEST 44TH STREET,SUITE 920,NEW YORK,NY,UNITED STATES,10036,212-991-9590,212-991-9595,,,,,,,Approved,8/11/2008,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"6,237,327.00","19,743,875.00","25,981,202.00",4,39,43,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131071,801-63029,AM INVESTMENT PARTNERS LLC,AM INVESTMENT PARTNERS LLC,ONE LIBERTY PLAZA,27TH FLOOR,NEW YORK,NY,UNITED STATES,10006,212-508-8900,212-508-8917,,,,,,,Approved,4/13/2004,3/31/2010,Y,HTTP://AMIP.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"257,400,000.00",0,"257,400,000.00",12,0,12,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,116398,801-67638,EQUITY ADVISORS OF KENTUCKY INC,EQUITY ADVISORS OF KENTUCKY INC,,,,,,,502-419-5959,502-829-9246,PO BOX 5009,,WADDY,KY,UNITED STATES,40059,Approved,4/11/2007,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,0,"39,643,167.00","39,643,167.00",0,82,82,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,N
LARO,130179,801-62890,GSG CAPITAL ADVISORS,"GOODSTEIN, GLENN S.",2035 CORTE DEL NOGAL,,CARLSBAD,CA,UNITED STATES,92009,(760) 804-3814,760-683-6500,,,,,,,Approved,4/13/2004,3/31/2010,Y,WWW.GSGCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"65,000,000.00",0,"65,000,000.00",125,0,125,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105259,801-17864,FISCHER INVESTMENT ADVISORS INC,FISCHER INVESTMENT ADVISORS INC,7373 NORTH SCOTTSDALE  ROAD,SUITE D120,SCOTTSDALE,AZ,USA,85253,480-483-2222,480-483-6533,,,,,,,Approved,10/29/1982,3/31/2010,Y,WWW.FFEC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"76,877,000.00",0,"76,877,000.00",170,0,170,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,Y,Y,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,N,N,N,N
PLRO,133561,801-29235,"BILL FEW ASSOCIATES, INC.","BILL FEW ASSOCIATES, INC.",107 MT. NEBO POINTE,SUITE 200,PITTSBURGH,PA,UNITED STATES,15237,412 630-6000,412 630-6001,,,,,,,Approved,4/10/1987,3/31/2010,Y,WWW.BILLFEW.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,600,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"300,000,000.00","195,000,000.00","495,000,000.00","2,757","1,009","3,766",Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,112592,801-47268,MILESTONE CAPITAL MANAGEMENT,"MILESTONE CAPITAL MANAGEMENT, LLC",115 E. PUTNAM AVENUE,,GREENWICH,CT,UNITED STATES,6830,203-983-7500,203-983-7518,,,,,,,Approved,9/14/1994,3/31/2010,Y,WWW.MILECAP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,668,720,408.00",0,"1,668,720,408.00",2,0,2,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,112057,801-60991,FAIRSON MANAGEMENT LIMITED,FAIRSON MANAGEMENT LIMITED,16TH FLOOR WORLDWIDE HOUSE,19 DES VOEUX ROAD CENTRAL,HONG KONG,,CHINA,,852-36069229,852-25598852,,,,,,,Approved,3/18/2002,3/17/2009,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,11-25 percent,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"23,757,148.00",0,"23,757,148.00",5,0,5,N,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR INVESTMENT COMPANIES NOT REGISTERED UNDER THE INVESTMENT COMPANY ACT OF 1940,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,145050,801-68335,"NOVANT ASSET MANAGEMENT, LLC","NOVANT ASSET MANAGEMENT, LLC",110 OAKWOOD DRIVE,SUITE 210,WINSTON-SALEM,NC,UNITED STATES,27103,(336) 277-6605,(336) 277-6975,,,,,,,Approved,10/15/2007,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"672,932,396.00",0,"672,932,396.00",6,0,6,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,139162,801-66139,"S.B. VALUE PARTNERS, L.P.","S.B. VALUE PARTNERS, L.P.",16414 SAN PEDRO,STE 150,SAN ANTONIO,TX,UNITED STATES,78232,210-308-8800,866-539-1570,,,,,,,Approved,2/16/2006,3/31/2010,Y,WWW.SBVALUE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,0,"41,109,850.00","41,109,850.00",0,6,6,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,141473,801-67079,WEALTHQUEST CORPORATION,WEALTHQUEST CORPORATION,50 E-BUSINESS WAY,SUITE 120,CINCINNATI,OH,,45241,513-530-9700,513-530-9776,50 E-BUSINESS WAY,SUITE 120,CINCINNATI,OH,USA,45241,Approved,8/17/2006,3/31/2010,Y,WWW.WQCORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,600,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"270,320,675.00",0,"270,320,675.00","1,949",0,"1,949",Y,Y,N,N,N,N,N,N,N,Y,TAX RETURN PREP,251-500,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,142034,801-67235,"AMERICAN DEVELOPMENT AND INVESTMENT ADVISORS, LLC","AMERICAN DEVELOPMENT AND INVESTMENT ADVISORS, LLC",,,,,,,561-450-8144,561-637-9696,,,,,,,Approved,10/16/2006,3/31/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107480,801-46803,STEGNER INVESTMENT ASSOCIATES INC,STEGNER INVESTMENT ASSOCIATES INC,233 BRECKENRIDGE LANE,,LOUISVILLE,KY,UNITED STATES,40207,502-895-0122,502-895-0316,,,,,,,Approved,7/5/1994,3/31/2010,Y,WWW.STEGNERINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),SUB CHAPTER S,KY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"198,315,267.00","324,531,705.00","522,846,972.00",123,18,141,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,116197,801-62604,"CHADWICK & D'AMATO, LLC","CHADWICK & D'AMATO, LLC",224 MAIN STREET,,NEW LONDON,NH,UNITED STATES,3257,603-526-2409,603-526-8639,PO BOX 1978,,NEW LONDON,NH,UNITED STATES,3257,Approved,1/12/2004,3/31/2010,Y,WWW.CHADWICK-DAMATO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"596,048.00","110,265,862.00","110,861,910.00",3,726,729,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,120533,801-61183,"PATTON FUND MANAGEMENT, INC.","PATTON FUND MANAGEMENT, INC.",6510 TELECOM DRIVE,SUITE 195,INDIANAPOLIS,IN,UNITED STATES,46278,317-630-0141,317-630-0143,,,,,,,Approved,5/23/2002,3/31/2010,Y,PATTONFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ADMINSTRATIVE FEE EXPENSES AND REIMBURSEMENT OF EXPENSES,Y,"25,200,000.00",0,"25,200,000.00",97,0,97,N,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,118910,801-61208,"SANDERSON & COMPANY INVESTMENT CONSULTANTS, LLC","SANDERSON & COMPANY INVESTMENT CONSULTANTS, LLC",750 KEY TOWER,50 FOUNTAIN PLAZA,BUFFALO,NY,UNITED STATES,14202,716-566-2420,716-566-2410,,,,,,,Approved,5/28/2002,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"423,075,712.00","423,075,712.00",0,826,826,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,118427,801-60831,"J M BROWN & ASSOCIATES, INC.","J M BROWN & ASSOCIATES, INC.",7060 S. YALE,SUITE 701,TULSA,OK,USA,74136-5740,918-496-5460,918-496-5160,,,,,,,Approved,1/22/2002,3/31/2010,Y,PERFECTCALENDAR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,10-Jun,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,ANY COMBINATION OF THE ABOVE.,Y,"30,610,000.00","25,260,000.00","55,870,000.00",280,256,536,Y,Y,N,Y,Y,Y,N,N,N,Y,ACTIVE INVESTMENT MANAGEMENT,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,118315,801-61036,BURNS MATTESON CAPITAL MANAGEMENT,BURNS MATTESON CAPITAL MANAGEMENT,42 E. MARKET ST.,,CORNING,NY,USA,14830,607-937-9282,607-937-9280,,,,,,,Approved,3/25/2002,3/31/2010,Y,WWW.BURNSMATTESON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"128,256,471.00",0,"128,256,471.00",138,0,138,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150907,801-70414,BARTHELEMY GROUP LLC,BARTHELEMY GROUP LLC,ONE PENN PLAZA,36TH FLR,NEW YORK,NY,UNITED STATES,10119,212-786-7379,888-495-0122,,,,,,,Approved,7/16/2009,3/31/2010,Y,BARTHELEMYGROUPLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,0,"26,580,482.00","26,580,482.00",0,73,73,Y,Y,N,N,Y,N,N,N,N,Y,WEALTH MANAGEMENT SERVICES,51-100,,N,N,N,N,N,N,Y,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,122342,801-64353,FINANCIAL CONCEPTS,"FINANCIAL CONCEPTS, INC.",3195 WEST RAY ROAD,SUITE 9,CHANDLER,AZ,USA,85226,480-963-1300,480-963-0100,,,,,,,Approved,6/17/2005,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"52,873,367.00",0,"52,873,367.00",126,0,126,Y,Y,N,Y,N,N,N,N,N,Y,CONSULTING,101-250,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
ARO,106298,801-39328,STEARNS FINANCIAL SERVICES GROUP INC,STEARNS FINANCIAL SERVICES GROUP INC,"324 W WENDOVER, STE 204",,GREENSBORO,NC,UNITED STATES,27408,336-230-1811,336-230-2160,,,,,,,Approved,6/26/1991,3/31/2010,Y,WWW.SFSG.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"356,495,092.00","3,318,932.00","359,814,024.00","1,138",66,"1,204",Y,Y,N,N,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,150279,801-70331,"ASHEN INVESTMENT MANAGEMENT, LLC","ASHEN INVESTMENT MANAGEMENT, LLC",126 W. EDGEWOOD DRIVE,,MCMURRAY,PA,UNITED STATES,15317,724-941-6730,724-941-7899,,,,,,,Approved,6/23/2009,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"40,000,000.00","40,000,000.00",0,3,3,N,Y,N,Y,N,N,N,N,N,Y,DUE DILIGENCE AND INVESTMENT MANAGER RECOMMENDATIONS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,117592,801-63767,"STRATEGIC INVESTMENT ADVISORS, INC.","STRATEGIC INVESTMENT ADVISORS, INC.",132 NORTH FIRST STREET,,ALBEMARLE,NC,UNITED STATES,28001,704-983-5959,704-982-4520,P.O. BOX 1517,,ALBEMARLE,NC,UNITED STATES,28002,Approved,1/3/2005,3/31/2010,Y,WWW.STRATEGICINVESTMENTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,10-Jun,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,LOAN POOLS,Y,"99,692,913.00",0,"99,692,913.00",577,0,577,Y,Y,N,Y,Y,N,N,N,N,Y,LOAN POOL MANAGEMENT,0,,Y,Y,N,N,N,N,N,N,Y,LOAN POOL MANAGEMENT,N,N,Y,Y,N,N,N,Y,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,135432,801-69134,"HORIZONS FINANCIAL GROUP, INC.","HORIZONS FINANCIAL GROUP, INC.",3500 BLUE LAKE DRIVE,SUITE 198,BIRMINGHAM,AL,UNITED STATES,35243,205-871-7743,205-871-7641,,,,,,,Approved,5/5/2008,3/31/2010,Y,HORIZONSFINANCIAL.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"9,731,685.00","9,731,685.00",0,42,42,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,129675,801-62641,"BROWNLIE & BRADEN, LLC","BROWNLIE & BRADEN, LLC",2820 LINCOLN PLAZA,500 NORTH AKARD,DALLAS,TX,UNITED STATES,75201,214-219-4650,214-219-4654,,,,,,,Approved,1/2/2004,3/31/2010,Y,WWW.BROWNLIEBRADEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,"FAMILY LP'S, TRUSTS",Y,Y,N,Y,Y,Y,Y,INTEREST IN INVESTMENTS,Y,"52,032,419.00","277,896,617.00","329,929,036.00",8,14,22,Y,N,N,N,N,Y,N,N,N,Y,PROVIDES ADVICE IN PRIVATE EQUITY TRANSACTIONS,51-100,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,143490,801-67787,CALAMOS WEALTH MANAGEMENT LLC,CALAMOS WEALTH MANAGEMENT LLC,2020 CALAMOS COURT,,NAPERVILLE,IL,USA,60563-2787,630.245.7200,630.245.7511,,,,,,,Approved,4/25/2007,3/31/2010,Y,WWW.CALAMOS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,000",51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,"ENDOWMENT FOUNDATION, NONTRUSTS, PUBLIC NRA, TRUSTS, OTHER",Y,N,N,N,N,N,N,,Y,"720,187,525.00",0,"720,187,525.00","1,180",0,"1,180",N,Y,N,Y,N,N,N,N,N,Y,MANAGED MUTUAL FUND PROGRAM,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,151197,801-70485,FAITHSHARES ADVISORS,"FAITHSHARES ADVISORS, LLC",3555 NW 58TH ST.,STE. 410,OKLAHOMA CITY,OK,UNITED STATES,73112,405-778-8377,405-778-8375,,,,,,,Approved,8/18/2009,3/31/2010,Y,WWW.FAITHSHARES.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"14,000,000.00","14,000,000.00",0,5,5,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,130321,801-63641,"BAYSTATE FIDUCIARY ADVISORS, INC.","BAYSTATE FIDUCIARY ADVISORS, INC.",,,,,,,866-411-4015,508-478-2041,101 FEDERAL ST,STE. 1900,BOSTON,MA,UNITED STATES,2110,Approved,11/17/2004,3/31/2010,Y,WWW.BAYSTATE401K.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,"650,000,000.00","650,000,000.00",0,21,21,N,N,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107205,801-50676,VAN WAGONER CAPITAL MANAGEMENT INC,VAN WAGONER CAPITAL MANAGEMENT INC,"3 EMBARCADERO CTR., SUITE 1120",,SAN FRANICISCO,CA,UNITED STATES,94111,415-835-5000,415-835-5050,,,,,,,Approved,11/28/1995,6/21/2010,Y,WWW.VANWAGONER.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"19,634,595.00",0,"19,634,595.00",4,0,4,N,Y,Y,Y,N,N,N,N,N,Y,POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,140849,801-67263,JUTLAND CAPITAL MANAGEMENT LTD,JUTLAND CAPITAL MANAGEMENT LIMITED,236-470 GRANVILLE ST,,VANCOUVER,,CANADA,V6C 1V5,+1 604 633 1434,+1 866 421 0549,,,,,,,Approved,11/20/2006,10/18/2006,Y,WWW.JUTLANDCAPITAL.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"4,000,000.00",0,"4,000,000.00",12,0,12,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105423,801-27876,LOWRY HILL INVESTMENT ADVISORS INC,LOWRY HILL INVESTMENT ADVISORS INC,90 SOUTH SEVENTH STREET,SUITE 5300,MINNEAPOLIS,MN,UNITED STATES,55402,612-667-1764,612-667-1791,,,,,,,Approved,10/17/1986,6/21/2010,Y,WWW.LOWRYHILL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,Nov-50,0,Nov-50,0,0,0,51-250,0,10-Jan,0,0 percent,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,COST INCURRED,Y,"4,462,219,825.00","89,471,377.00","4,551,691,202.00","2,032",19,"2,051",N,Y,Y,Y,N,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,Y,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,Y,N,Y,N,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138837,801-71554,LIONGATE CAPITAL MANAGEMENT LLP,LIONGATE CAPITAL MANAGEMENT LLP,4TH FLOOR,103 MOUNT STREET,LONDON,,UNITED KINGDOM,W1K2TJ,+44 (0)20 70734600,+44 (0)20 70734601,,,,,,,Approved,7/30/2010,6/21/2010,Y,WWW.LIONGATE.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,"2,420,000,000.00","2,420,000,000.00",0,14,14,N,N,N,N,N,N,N,N,N,Y,ADVICE TO PORTFOLIO MANAGEMERS ON INVESTMENT OF FUNDS OF HEDGE FUNDS,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107125,801-43327,WINANS INTERNATIONAL,WINANS INTERNATIONAL,"330 IGNACIO BLVD., SUITE 203",,NOVATO,CA,UNITED STATES,94949,415-506-3070,415-883-1646,,,,,,,Approved,2/17/1993,6/21/2010,Y,WWW.WINANSINTL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,11-25 percent,0 percent,11-25 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"125,283,321.00",0,"125,283,321.00",125,0,125,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104645,801-28012,"R.W. ROGE & COMPANY, INC","R.W. ROGE & COMPANY, INC",630 JOHNSON AVE,,BOHEMIA,NY,UNITED STATES,11716-2618,631-218-0077,631-218-0147,,,,,,,Approved,9/26/1986,6/21/2010,Y,WWW.RWROGE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,INITIAL ONE-TIME CONTRACT FEE,Y,"200,000,000.00",0,"200,000,000.00","1,048",0,"1,048",Y,Y,Y,N,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,126777,801-64265,"SAGEVIEW ADVISORY GROUP, LLC","SAGEVIEW ADVISORY GROUP, LLC","2010 MAIN ST.,",SUITE 1220,IRVINE,CA,USA,92614,949-955-1395,949-955-1991,,,,,,,Approved,5/31/2005,6/21/2010,Y,WWW.SAGEVIEWADVISORY.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,251-500,0,11-25 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"59,000,000.00","8,500,000,000.00","8,559,000,000.00",4,169,173,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y
FWRO,17028,801-61133,"FETTERMAN INVESTMENTS, INC","FETTERMAN INVESTMENTS, INC.",12720 HILLCREST RD,STE 900,DALLAS,TX,USA,75230,(972)233-1120,(972)503-7096,,,,,,,Approved,5/7/2002,6/21/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,0,"56,479,531.00","56,479,531.00",0,60,60,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131924,801-65677,FORUM ASSET MANAGEMENT LLC,FORUM ASSET MANAGEMENT LLC,2 GRAND CENTRAL TOWER,"140 EAST 45TH ST, SUITE 14A",NEW YORK,NY,UNITED STATES,10017,212-599-2781,212-599-2730,,,,,,,Approved,1/23/2006,6/21/2010,Y,WWW.FORUMHEDGE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,10-Jan,0,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,51-75 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"186,167,137.00",0,"186,167,137.00",5,0,5,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105674,801-33554,HARTLAND & CO,HARTLAND & CO,"1100 SUPERIOR AVE EAST, SUITE 1616",,CLEVELAND,OH,UNITED STATES,44114,216-621-1090,216-621-1093,,,,,,,Approved,12/29/1988,6/21/2010,Y,WWW.HARTLANDCO.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,"TRUSTS, 401(K) PLANS, ENDOWMENTS, FOUNDATIONS, HEALTHCARE INSTITUTIONS",Y,N,N,Y,N,Y,Y,A PERCENTAGE OF ASSETS UNDER ADVISEMENT OR A FLAT FEE.,Y,"71,600,000.00",0,"71,600,000.00",27,0,27,N,Y,N,N,Y,N,N,N,N,Y,"INVESTMENT CONSULTING SERVICES TO 401(K), ENDOWMENT, FOUNDATION AND HEALTHCARE CLIENTS",0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138475,801-65883,HULL CAPITAL MANAGEMENT LLC,HULL CAPITAL MANAGEMENT LLC,350 MADISON AVENUE,,NEW YORK,NY,UNITED STATES,10017,212-333-4800,212-381-7386,,,,,,,Approved,1/24/2006,6/21/2010,Y,WWW.HULLCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"294,961,399.00",0,"294,961,399.00",8,0,8,N,N,N,N,N,N,N,N,N,Y,FUNDS OF HEDGE FUND AND HEDGE FUND ADVISORY AND MANGEMENT SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,7438,801-25300,VALLEY FORGE ASSET MANAGEMENT CORP.,VALLEY FORGE ASSET MANAGEMENT CORP.,150 S. WARNER RD,SUITE 200,KING OF PRUSSIA,PA,UNITED STATES,19406,610-687-6800,610-687-1848,PO BOX 960,,VALLEY FORGE,PA,UNITED STATES,19482,Approved,9/4/1985,6/21/2010,Y,WWW.VFAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,Nov-50,0,More than 500,"2,000",11-25 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"2,304,194,741.00","142,353,799.00","2,446,548,540.00","1,903",79,"1,982",Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,Y,Y,N,N,N,Y,N,N,,Y,N,N,N,Y,Y,N,Y,N,Y,Y,Y,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
HQ,149222,801-69870,"UTC FUND SERVICES, INC.","UTC FUND SERVICES, INC.",C/O TRINIDAD & TOBAGO UNIT TRUST CORPORATION,UTC FINANCIAL CENTRE 82 INDEPENDENCE SQUARE,PORT OF SPAIN,,TRINIDAD AND TOBAGO,,868-624-8648,868-623-2877,,,,,,,Approved,2/26/2009,6/21/2010,N,,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,617,707.00",0,"34,617,707.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N
CHRO,105534,801-35331,"ALPHA ADVISORS, INC","ALPHA ADVISORS, INC",70 WEST MADISON,SUITE 5300,CHICAGO,IL,UNITED STATES,60602-4379,312-263-7673,312-263-7738,,,,,,,Approved,10/2/1989,6/21/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"863,479,182.00",0,"863,479,182.00",7,0,7,N,N,N,Y,N,N,N,N,N,Y,INSTITUTIONAL CONSULTING SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139120,801-66135,UMJ (SINGAPORE) PTE. LTD.,UMJ (SINGAPORE) PTE. LTD.,"SOHO @ CENTRAL, # 11-83",8 EU TONG SEN STREET,SINGAPORE,,SINGAPORE,59818,65 6428 8330,65 6428 8329,,,,,,,Approved,2/8/2006,6/21/2010,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SINGAPORE,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"93,900,000.00",0,"93,900,000.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT SERVICES FOR OTHER POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,22011,801-53844,JAG ADVISORS,J.A. GLYNN & CO.,9841 CLAYTON ROAD,,ST. LOUIS,MO,UNITED STATES,63124-1603,314-997-1277,314-997-7307,,,,,,,Approved,2/11/1997,6/21/2010,Y,WWW.JAGLYNN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,500,26-50 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,INVESTMENT CLUBS,Y,N,N,N,Y,N,N,,Y,"673,212,043.00","2,714,804.00","675,926,847.00",530,6,536,N,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,Y,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,132612,801-71599,"CARRINGTON STRATEGIC ADVISORS, LLC","CARRINGTON STRATEGIC ADVISORS, LLC",1238 POST ROAD,,FAIRFIELD,CT,UNITED STATES,6824,203-254-7975,1 314 271 7462,,,,,,,Approved,6/24/2010,6/21/2010,Y,WWW.CARRINGTONSTRATEGICADVISORS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,SEPARATELY MANAGED ACCOUNT,Y,N,N,N,N,Y,N,,Y,"6,372,231.00","8,000,000.00","14,372,231.00",3,1,4,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,129731,801-63480,"CORNERSTONE ASSET MANAGEMENT, INC.","CORNERSTONE ASSET MANAGEMENT, INC.",2021 SPERRY AVE,STE. 43,VENTURA,CA,USA,93003,805-642-7506,805-642-3005,,,,,,,Approved,9/9/2004,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,"32,016,793.00","32,016,793.00",0,60,60,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,114626,801-60678,"CNH PARTNERS, LLC","CNH PARTNERS, LLC",TWO GREENWICH PLAZA,3RD FLOOR,GREENWICH,CT,USA,6830,203-742-3600,203-742-3100,,,,,,,Approved,11/5/2001,3/31/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,862,562,969.00",0,"1,862,562,969.00",11,0,11,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147433,801-70513,"FASCIANO ASSOCIATES, LLC","FASCIANO ASSOCIATES, LLC",737 NORTH MICHIGAN AVENUE,SUITE 2210,CHICAGO,IL,UNITED STATES,60011-2615,312-255-1355,,,,,,,,Approved,9/18/2009,3/31/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,000,000.00",0,"2,000,000.00",1,0,1,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109488,801-57105,BLUE ROCK ADVISORS INC,BLUE ROCK ADVISORS INC,445 EAST LAKE STREET,SUITE 230,WAYZATA,MN,UNITED STATES,55391,952-229-8700,952-229-8701,,,,,,,Approved,12/27/1999,3/31/2010,Y,WWW.BLUE-ROCK.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"986,500,000.00",0,"986,500,000.00",6,0,6,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107203,801-36836,VICTORY ASSET MANAGEMENT CO INC,VICTORY ASSET MANAGEMENT CO INC,1050 MANTUA PIKE,SUITE 105,WENONAH,NJ,USA,08090-1141,856-464-3100,856-464-3101,,,,,,,Approved,6/15/1990,3/31/2010,Y,WWW.VICTORYASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,Nov-50,0,More than 500,502,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"26,105,158.00","75,357,000.00","101,462,158.00",349,153,502,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,112278,801-55771,CORNERSTONE FINANCIAL SERVICES INC,CORNERSTONE FINANCIAL SERVICES INC,14901 QUORUM DRIVE,SUITE 785,DALLAS,TX,UNITED STATES,75254,972-241-7107,972-241-9541,,,,,,,Approved,8/16/1998,3/31/2010,Y,HTTP://WWW.CORNERSTONEFINANCIAL-TX.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,Y,Y,Y,N,N,,Y,"61,438,530.00",0,"61,438,530.00",413,0,413,Y,Y,N,Y,N,Y,Y,N,Y,N,,10-Jan,,N,N,N,Y,N,N,Y,N,Y,PRECIOUS METALS,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N
NYRO,105080,801-21340,VAN ECK ASSOCIATES CORP.,VAN ECK ASSOCIATES CORPORATION,335 MADISON AVENUE,19TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-293-2000,212-293-2033,,,,,,,Approved,5/17/1984,3/31/2010,Y,WWW.VANECK.COM AND WWW.HARDASSETSINVESTOR.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,NEGOTIATED FEES,Y,"19,975,320,000.00","247,170,000.00","20,222,490,000.00",42,2,44,N,Y,Y,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,13041,801-50706,"NATIONAL FINANCIAL SERVICES, LLC","NATIONAL FINANCIAL SERVICES, LLC",82 DEVONSHIRE STREET,MAIL ZONE Z2H,BOSTON,MA,UNITED STATES,2109,617-563-7000,603-579-7120,,,,,,,Approved,12/7/1995,3/31/2010,Y,HTTP://WWW.NATIONALFINANCIAL.COM/,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,More than 1000,"2,500",0,0,More than 1000,"1,000",0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,CURRENTLY PROVIDE SERVICES ACTING SOLELY IN CAPAVITY AS A REGISTERED BROKER-DEALER,0,,N,N,Y,N,N,N,N,N,N,,Y,N,N,Y,Y,Y,N,Y,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
NYRO,122352,801-61456,FORTRESS FUND MM II LLC,FORTRESS FUND MM II LLC,1345 AVENUE OF THE AMERICAS,46TH FLOOR,NEW YORK,NY,UNITED STATES,10105,212-798-6100,917-591-8633,,,,,,,Approved,9/18/2002,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"493,655,832.00",0,"493,655,832.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,137177,801-65186,VAN ECK ABSOLUTE RETURN ADVISERS CORP.,VAN ECK ABSOLUTE RETURN ADVISERS CORPORATION,335 MADISON AVENUE,19TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-293-2000,212-293-2033,,,,,,,Approved,1/18/2006,3/31/2010,Y,"THE ADVISER'S PARENT COMPANY, VAN ECK ASSOCIATES CORP., HAS TWO WEB SITE ADDRESSES: WWW.VANECK.COM & WWW.HARDASSETSINVESTORS.COM",Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,NEGOTIATED FEES,Y,"715,430,000.00",0,"715,430,000.00",13,0,13,N,Y,N,Y,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES.,0,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,132753,801-63692,AEA INVESTORS SBF LLC,AEA INVESTORS SBF LLC,C/O AEA INVESTORS LLC,55 EAST 52ND STREET - 35TH FLOOR,NEW YORK,NY,U.S.A.,10055,212-702-0513,212-702-0518,,,,,,,Approved,11/22/2004,3/31/2010,Y,WWW.AEAINVESTORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"214,822,163.00",0,"214,822,163.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,IDENTIFY AND MANAGE INVESTMENTS FOR SMALL BUSINESS INVESTMENT COMPANY,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146105,801-68721,"INTERNATIONAL VALUE ADVISERS, LLC","INTERNATIONAL VALUE ADVISERS, LLC",645 MADISON AVENUE,12TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-584-3580,212-584-3583,,,,,,,Approved,1/22/2008,3/31/2010,Y,WWW.IVAFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,10-Jun,0,25-Nov,0,Up to 10 percent,0 percent,0 percent,51-75 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,455,688,569.00",0,"5,455,688,569.00",15,0,15,N,Y,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE FUNDS AND A LUXEMBOURG BASED UCITS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109334,801-55437,STANLEY & STANLEY,STANLEY D J & CO INC,,,,,,,310-472-6319,310-472-6319,,,,,,,Approved,5/15/1998,3/31/2006,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,VALUATIONS,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,ESOT VALUATIONS,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,140246,801-66636,CAMULOS CAPITAL LP,CAMULOS CAPITAL LP,3 LANDMARK SQUARE,4TH FLOOR,STAMFORD,CT,UNITED STATES,6901,203-658-0800,203-658-0735,,,,,,,Approved,5/3/2006,3/31/2010,Y,WWW.CAMULOSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"1,466,637,000.00","23,110,000.00","1,489,747,000.00",5,2,7,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111936,801-60297,"GREYCOURT & CO., INC.","GREYCOURT & CO., INC.",607 COLLEGE AVENUE,,PITTSBURGH,PA,UNITED STATES,15232,412-361-0100,412-361-0300,,,,,,,Approved,6/22/2001,3/31/2010,Y,WWW.GREYCOURT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"2,831,308,400.00","2,831,308,400.00",0,62,62,N,N,N,Y,N,Y,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,142499,801-67335,AMP CAPITAL BROOKFIELD (US) LLC,AMP CAPITAL BROOKFIELD (US) LLC,71 S. WACKER DRIVE,SUITE 3400,CHICAGO,IL,UNITED STATES,60606,312-377-8300,312-377-8299,,,,,,,Approved,11/20/2006,3/31/2010,N,,N,Y,N,N,Y,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,378,313,871.00","788,873,706.00","3,167,187,577.00",35,3,38,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,11053,801-56498,SHIELDS CAPITAL CORPORATION,SHIELDS CAPITAL CORPORATION,"140 BROADWAY,44TH FLOOR",,NEW YORK,NY,USA,10005,212-320-3000,212-320-3040,,,,,,,Approved,5/5/1999,3/31/2010,Y,SHIELDSANDCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,25-Nov,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"25,971,998.00",0,"25,971,998.00",16,0,16,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
NYRO,139322,801-66928,DRAWBRIDGE LONG DATED VALUE ADVISORS LLC,DRAWBRIDGE LONG DATED VALUE ADVISORS LLC,1345 AVENUE OF THE AMERICAS,46TH FLOOR,NEW YORK,NY,UNITED STATES,10105,212-798-6100,917-591-8633,,,,,,,Approved,6/23/2006,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"901,847,053.00",0,"901,847,053.00",8,0,8,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,132728,801-63595,GENERATION INVESTMENT MANAGEMENT US LLP,GENERATION INVESTMENT MANAGEMENT US LLP,ONE BRYANT PARK,48TH FLOOR,NEW YORK,NY,UNITED STATES,10036,212-584-3650,212-584-3652,,,,,,,Approved,10/22/2004,3/31/2010,Y,WWW.GENERATIONIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,"NEGOTIATED FEE ARRANGEMENTS, INCLUDING SET FEES",Y,"1,983,099,542.00",0,"1,983,099,542.00",10,0,10,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137813,801-65113,"METROPOLITAN REAL ESTATE EQUITY MANAGEMENT, LLC","METROPOLITAN REAL ESTATE EQUITY MANAGEMENT, LLC",135 EAST 57TH STREET,16TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-812-4923,212-207-8242,,,,,,,Approved,1/6/2006,3/31/2010,Y,HTTP://WWW.MREEM.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,951,856,002.00",0,"1,951,856,002.00",32,0,32,N,N,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,14974,801-68283,"R. SEELAUS & CO., INC.","R. SEELAUS & CO.,INC.",25 DE FOREST AVENUE,SUITE 102,SUMMIT,NJ,UNITED STATES,7901,908-273-3011,908-273-7730,,,,,,,Approved,8/30/2007,3/31/2010,Y,WWW.RSEELAUS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),S CORP,NJ,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"4,903,223.00","29,780,624.00","34,683,847.00",5,85,90,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,Y,N,N,N,Y,N,N,,Y,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
DRO,150630,801-70284,"BALANCE POINT WEALTH MANAGEMENT, INC.","BALANCE POINT WEALTH MANAGEMENT, INC.",204 EAST 3RD AVENUE,,CHEYENNE,WY,UNITED STATES,82001,916-865-7062,916-865-7062,1474 STONE POINT DRIVE,,ROSEVILLE,CA,UNITED STATES,95661,Approved,6/8/2009,3/31/2010,Y,WWW.BALANCEPOINTWEALTH.COM,N,N,Y,N,N,N,N,N,N,N,N,N,N,Corporation,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,145813,801-68638,INVESCO AUSTRALIA LIMITED,INVESCO AUSTRALIA LIMITED,"LEVEL 26, 333 COLLINS STREET",,MELBOURNE,,AUSTRALIA,3000,+613 9611 3600,+613 9611 3800,,,,,,,Approved,1/10/2008,3/31/2010,Y,WWW.INVESCO.COM.AU,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,AUSTRALIA,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,528,310,000.00",0,"3,528,310,000.00",37,0,37,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106538,801-31791,SONORA INVESTMENT MANAGEMENT LLC,SONORA INVESTMENT MANAGEMENT LLC,2343 E BROADWAY,STE 116,TUCSON,AZ,UNITED STATES,85719,520-624-4554,520-624-1401,,,,,,,Approved,2/2/1988,3/31/2010,Y,WWW.INVMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"132,939,400.00",0,"132,939,400.00",922,0,922,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,139675,801-68653,RAYLOR INVESTMENTS LLC,RAYLOR INVESTMENTS LLC,"35 MASON STREET, 4TH FLOOR",,GREENWICH,CT,UNITED STATES,6830,203-742-5450,203-702-5476,,,,,,,Approved,1/4/2008,3/31/2010,Y,WWW.RAYLORINVESTMENTS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"21,898,863.00",0,"21,898,863.00",56,0,56,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,112019,801-56533,BISCAYNEAMERICAS ADVISERS L.L.C.,BISCAYNEAMERICAS ADVISERS L.L.C.,1111 BRICKELL AVENUE,SUITE 2750,MIAMI,FL,UNITED STATES,33131,(305)577-0995,(305)577-4394,,,,,,,Approved,5/17/1999,3/31/2010,Y,WWW.BISCAYNEAMERICAS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,Nov-50,0,5-Jan,0,0,0,10-Jun,0,26-100,0,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"520,000,000.00",0,"520,000,000.00",99,0,99,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106259,801-39127,ACG ADVISORY SERVICES INC,ACG ADVISORY SERVICES INC,1640 HUGUENOT ROAD,,MIDLOTHIAN,VA,USA,23113,804-323-1886,804-323-1889,,,,,,,Approved,6/26/1991,3/31/2010,Y,ACGWORLDWIDE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"1,782,056.00","223,051,582.00","224,833,638.00",4,274,278,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,Y,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106684,801-50971,INDEPENDENT ADVISERS GROUP CORP,INDEPENDENT ADVISERS GROUP CORP,ONE BEACON STREET,22ND FLOOR,BOSTON,MA,UNITED STATES,02108-3106,617-423-3644,617-556-2811,,,,,,,Approved,1/22/1996,3/31/2010,Y,WWW.IAG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"4,500",More than 75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"10,553,208.00","276,928,228.00","287,481,436.00",221,"1,429","1,650",N,Y,N,Y,N,N,N,N,N,N,,0,,Y,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,N,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,8174,801-7163,UBS FINANCIAL SERVICES INC.,UBS FINANCIAL SERVICES INC.,1200 HARBOR BOULEVARD,,WEEHAWKEN,NJ,USA,7086,201-352-3000,,"1200 HARBOR BLVD., 10TH FLOOR",,WEEHAWKEN,NJ,,7086,Approved,1/22/1971,3/31/2010,Y,WWW.UBS.COM/FINANCIALSERVICESINC,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,More than 1000,"14,600",More than 1000,"8,534",More than 1000,"11,564",51-250,0,More than 500,"617,900",More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SEE SCHEDULE D - MISCELLANEOUS,Y,"82,338,330,690.00","95,220,800,140.00","177,559,130,830.00","333,074","284,838","617,912",Y,Y,Y,Y,Y,Y,Y,Y,N,N,,More than 500,40000,Y,Y,Y,N,Y,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y
NYRO,144862,801-68334,"ARQUE ADVISORS, LLC","ARQUE ADVISORS, LLC",101 MILTON ROAD,,RYE,NY,UNITED STATES,10580,914-316-8800,914-921-1336,,,,,,,Approved,9/24/2007,3/31/2010,Y,WWW.ARQUEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"9,650,000.00","21,489,000.00","31,139,000.00",13,45,58,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,N,N,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107228,801-44268,SELECT PORTFOLIO MANAGEMENT INC,SELECT PORTFOLIO MANAGEMENT INC,26800 ALISO VIEJO PARKWAY,SUITE 150,ALISO VIEJO,CA,UNITED STATES,92656,949-975-7900,949-900-8181,,,,,,,Approved,7/9/1993,3/31/2010,Y,WWW.SELECTPORTFOLIO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"17,427,023.00","21,187,060.00","38,614,083.00",132,143,275,Y,Y,N,Y,N,Y,N,N,Y,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,124561,801-61721,AEA ADVISERS LLC,AEA ADVISERS LLC,55 EAST 52ND STREET,35TH FLOOR,NEW YORK,NY,UNITED STATES,10055,212-644-6900,212-702-0518,,,,,,,Approved,1/16/2003,3/31/2010,Y,WWW.AEAINVESTORS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,281,636.00",0,"25,281,636.00",40,0,40,N,N,N,N,N,N,N,N,N,Y,"APPLICANT SEEKS OUT INVESTMENT OPPORTUNITIES FOR ITS CLIENTS, WHO HAVE EACH ENTERED INTO COMMITMENT AGREEMENTS WITH APPLICANT.",0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,41791,801-56796,SANTANDER SECURITIES,SANTANDER SECURITIES CORPORATION,SANTANDER TOWER B7 TABONUCO STREET,SUITE 1800,GUAYNABO,PR,USA,00968-3028,787-759-5330,787-759-5366,,,,,,,Approved,9/2/1999,3/31/2010,Y,WWW.SANTANDERSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PR,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"213,199,475.00",0,"213,199,475.00",330,0,330,Y,Y,N,Y,Y,Y,Y,N,N,N,,251-500,,Y,Y,Y,N,N,N,Y,N,N,,N,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,140783,801-66828,FORTRESS FUND IV GP L.P.,FORTRESS FUND IV GP L.P.,1345 AVENUE OF THE AMERICAS,,NEW YORK,NY,UNITED STATES,10105,212-798-6100,917-591-8633,,,,,,,Approved,7/19/2006,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,,CAYMAN ISLANDS,5-Jan,0,0,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,"3,028,686,554.00",0,"3,028,686,554.00",13,0,13,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
SFRO,147324,801-69267,GARMAN RESEARCH LLC,GARMAN RESEARCH LLC,1201 VILLAGE SQUARE #136,,ORINDA,CA,USA,94563,212-994-3779,212-504-9506,,,,,,,120-Day Approval,6/18/2008,6/17/2008,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,N,Y,Y,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,Y,Y,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,1037,801-10334,ALEXANDER INVESTMENT SERVICES CO.,ALEXANDER INVESTMENT SERVICES CO.,"12701 TOWNEPARK WAY, SUITE 303",,LOUISVILLE,KY,USA,40243-2301,502-459-4414,502-459-7535,,,,,,,Approved,11/7/1974,8/18/2009,Y,WWW.AISRETIREMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KY,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,0,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,0,"240,223,680.00","240,223,680.00",0,"2,715","2,715",Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,Y,N,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144305,801-69381,"OLSON, RUSSELL L.",RUSSELL LEONARD OLSON,,,,,,,585-442-5564,585-473-1729,,,,,,,Approved,8/6/2008,8/15/2008,Y,WWW.THEINDEPENDENTFIDUCIARY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,11-25 percent,SOVEREIGN COUNTRY FUND,N,N,N,Y,N,N,N,,Y,0,"73,000,000.00","73,000,000.00",0,3,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,120871,801-61359,PLUSFUNDS GROUP INC.,PLUSFUNDS GROUP INC.,1500 BROADWAY,11TH FLOOR,NEW YORK,NY,USA,10036,212-653-1900,212-653-1970,,,,,,,Approved,8/2/2002,4/4/2006,Y,WWW.PLUSFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,Nov-50,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,"LICENSE FEES, WHICH ARE BASED ON AUM",Y,"1,165,333,320.00",0,"1,165,333,320.00",25,0,25,N,N,N,N,N,N,N,N,N,Y,ADVISORY SERVICES AS A MANAGER OF FUND OF HEDGE FUNDS,,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
DRO,154166,801-71555,THE MUTUAL FUND STORE,"TMFS-WICHITA, LLC",9747 E. 21ST STREET NORTH,SUITE 123,WICHITA,KS,UNITED STATES,67206,(316)260-5200,(316)260-8959,,,,,,,120-Day Approval,6/25/2010,7/20/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,135296,801-64338,ANCHOR INVESTMENT MANAGEMENT,"ANCHOR INVESTMENT MANAGEMENT, LLC",6 CALENDAR COURT,SUITE 4,COLUMBIA,SC,UNITED STATES,29206,803-790-6654,803-790-6651,,,,,,,Approved,5/23/2005,7/20/2010,Y,WWW.ANCHORINVESTMENTMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"103,000,000.00","2,200,000.00","105,200,000.00",319,3,322,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151214,801-71272,"AURIGA CAPITAL MANAGEMENT, LLC","AURIGA CAPITAL MANAGEMENT, LLC",ONE PENNSYLVANIA PLAZA,SUITE 4625,NEW YORK,NY,UNITED STATES,10119,212-231-9020,212-231-9035,,,,,,,Approved,3/30/2010,7/20/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"31,378,766.00",0,"31,378,766.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,127654,801-63389,"MJP ASSOCIATES, INC.","MJP ASSOCIATES, INC.","790 FARMINGTON AVE., BLDG 3E",,FARMINGTON,CT,USA,6032,860-677-7755,860-674-9336,,,,,,,Approved,9/1/2004,7/20/2010,Y,WWW.MJPASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"116,218,021.00","2,721,730.00","118,939,751.00",235,13,248,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,Y,N,Y,N,N,Y,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,120990,801-61305,CERTIFIED ADVISORY CORP,CERTIFIED ADVISORY CORP,1111 DOUGLAS AVENUE,,ALTAMONTE SPRINGS,FL,UNITED STATES,32714-2033,407-869-9800,407-869-9700,,,,,,,Approved,7/23/2002,7/20/2010,Y,WWW.FINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,10-Jun,0,More than 500,"1,000",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,FINDERS AND/OR SOLICITATION FEES,Y,"330,989,144.00",0,"330,989,144.00","1,012",0,"1,012",Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,5475,801-34462,USAA INVESTMENT MANAGEMENT COMPANY,USAA INVESTMENT MANAGEMENT COMPANY,9800 FREDERICKSBURG ROAD,,SAN ANTONIO,TX,UNITED STATES,78288-0227,800-531-USAA,210-498-4022,,,,,,,Approved,5/11/1989,7/20/2010,Y,HTTPS://WWW.USAA.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,251-500,0,51-250,0,51-250,0,5-Jan,0,More than 500,"25,000",51-75 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,Y,AT-COST REIMBURSEMENT,Y,"72,846,773,886.00",0,"72,846,773,886.00","24,929",0,"24,929",N,Y,Y,Y,N,Y,N,N,N,N,,0,,Y,Y,Y,N,N,N,N,N,N,,N,,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,154306,801-71690,"SAGE CAPITAL HOLDINGS, LLC","SAGE CAPITAL HOLDINGS, LLC","1100 ABERNATHY ROAD, 500 NORTHPARK",SUITE 400,ATLANTA,GA,UNITED STATES,30327,404-965-7286,404-965-7371,,,,,,,Approved,7/23/2010,7/20/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"19,644,870.00","6,254,167.00","25,899,037.00",113,22,135,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108458,801-56486,"TEMENOS ADVISORY, INC.","TEMENOS ADVISORY, INC.",,,,,,,888-769-9149,800-466-9603,,,,,,,Approved,5/3/1999,7/20/2010,Y,WWW.TEMENOSADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,"60,000,000.00","10,000,000.00","70,000,000.00",459,22,481,Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,104841,801-15398,MONTAG & CALDWELL INC,MONTAG & CALDWELL INC,3455 PEACHTREE RD NE STE 1200,,ATLANTA,GA,UNITED STATES,30326-3248,404-836-7100,404-836-7168,,,,,,,Approved,6/2/1980,7/20/2010,Y,WWW.MONTAG.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,More than 500,"1,000",51-75 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,NON-PENSION TAFT HARTLEY AND TAX EXEMPT TRUSTS,Y,N,N,Y,N,Y,N,,Y,"12,655,729,881.00","1,630,316,680.00","14,286,046,561.00",865,4,869,N,Y,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR EUROPEAN FUNDS,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,154556,801-71714,KULI CAPITAL MANAGEMENT,"KULI CAPITAL MANAGEMENT, LLC",,,,,,,989-799-9313,,,,,,,,120-Day Approval,7/29/2010,7/20/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,116632,801-61884,VAN HULZEN ASSET MANAGEMENT,"VAN HULZEN ASSET MANAGEMENT, LLC",950 IRON POINT ROAD,STE. 290,FOLSOM,CA,USA,95630,(916) 608-4284,(916) 608-4296,,,,,,,Approved,3/14/2003,7/20/2010,Y,WWW.GOALPATH-FINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"184,632,468.00","1,863,013.00","186,495,481.00",552,12,564,Y,Y,N,N,N,Y,N,N,N,Y,CONSULTING SERVICES,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108050,801-55564,"VALMARK ADVISERS, INC.",VALMARK ADVISERS INC,130 SPRINGSIDE DRIVE,SUITE 300,AKRON,OH,UNITED STATES,44333,800-765-5201,330-576-1250,,,,,,,Approved,5/29/1998,7/20/2010,Y,WWW.VALMARKSECURITIES.COM,N,Y,N,N,N,N,N,N,N,Y,N,N,N,Corporation,,OH,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,10-Jun,0,More than 500,"4,500",26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"737,431,712.00","264,572,351.00","1,002,004,063.00","3,051","1,235","4,286",Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,Y,Y,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,104661,801-24109,CPIC INTERNATIONAL,CALIFORNIA PRIVATE INVESTMENT CORP.,388 MARKET ST SUITE 1450,,SAN FRANCISCO,CA,USA,94111,415-989-1915,415-989-1614,,,,,,,Approved,5/3/1985,7/20/2010,Y,WWW.CPIC.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"92,589,000.00",0,"92,589,000.00",176,0,176,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146029,801-68743,SEIX INVESTMENT ADVISORS LLC,SEIX INVESTMENT ADVISORS LLC,10 MOUNTAINVIEW ROAD,SUITE C-200,UPPER SADDLE RIVER,NJ,USA,7458,201-391-0300,201-391-5023,,,,,,,Approved,1/25/2008,7/20/2010,Y,WWW.SEIXADVISORS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,FOREIGN GOVERNMENTS AND SUPRANATIONALS,Y,N,N,Y,N,Y,N,,Y,"24,730,530,445.00",0,"24,730,530,445.00",279,0,279,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,3496,801-15510,STEPHENS,STEPHENS INC.,111 CENTER ST,,LITTLE ROCK,AR,UNITED STATES,72201,501-377-2000,501-377-2495,,,,,,,Approved,9/19/1980,7/20/2010,Y,WWW.STEPHENS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AR,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"4,000",11-25 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,PARTNERSHIPS,Y,Y,N,Y,Y,N,N,,Y,"2,344,681,865.00","779,727,871.00","3,124,409,736.00","2,730","1,142","3,872",N,Y,N,Y,Y,Y,Y,N,N,N,,0,,Y,Y,Y,N,Y,N,N,N,N,,N,N,Y,N,Y,Y,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,N
PLRO,154321,801-71635,KAGAN COCOZZA ASSET MANAGEMENT,"KC ASSET MANAGEMENT, INC.",200 BARR HARBOR DRIVE,SUITE 400,WEST CONSHOHOCKEN,PA,UNITED STATES,19428,215-519-6001,,,,,,,,120-Day Approval,7/16/2010,7/20/2010,Y,WWW.KAGANCOCOZZA.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107680,801-33673,PRIME ADVISORS INC,PRIME ADVISORS INC,22635 NE MARKETPLACE DRIVE,SUITE 160,REDMOND,WA,UNITED STATES,98053,425-202-2000,425-202-2001,,,,,,,Approved,1/13/1989,7/20/2010,Y,WWW.PRIMEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,PRIME PROVIDES SUB-ADVISORY SERVICES FOR HIGH NET WORTH FAMILY OFFICES.,Y,Y,N,Y,N,N,N,,Y,"10,120,088,666.00","219,262,018.00","10,339,350,684.00",64,2,66,N,N,N,Y,N,N,N,N,N,Y,PRIME PROVIDES SUB-ADVISORY SERVICES FOR HIGH NET WORTH FAMILY OFFICES.,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,153410,801-71464,"GALVIN, GAUSTAD & STEIN, L.L.C.","GALVIN, GAUSTAD & STEIN, L.L.C.",7373 E. DOUBLETREE RANCH RD.,SUITE # 135,SCOTTSDALE,AZ,UNITED STATES,85258,480-776-1442,480-306-6155,,,,,,,Approved,6/7/2010,7/20/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"147,000,000.00","80,000,000.00","227,000,000.00",245,133,378,Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150777,801-70514,"BRYN MAWR FINANCIAL, LLC","BRYN MAWR FINANCIAL, LLC",401 HALL ST SW,STE 498,GRAND RAPIDS,MI,UNITED STATES,49503,866-390-1133,781-240-8253,,,,,,,Approved,8/19/2009,7/14/2010,Y,WWW.BRYNMAWRFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"590,000,000.00","590,000,000.00",0,3,3,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109199,801-54880,SAI CAPITAL MANAGEMENT LLC,SAI CAPITAL MANAGEMENT LLC,3010 OLD RANCH PKWY,STE 260,SEAL BEACH,CA,USA,90740-2750,800-597-0890,562-493-6036,,,,,,,Approved,9/16/1997,6/13/2007,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,10-Jun,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"57,369,045.00",0,"57,369,045.00",298,0,298,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N
BRO,154057,801-71699,MARINUS CAPITAL MANAGEMENT LLC,MARINUS CAPITAL MANAGEMENT LLC,177 BROAD STREET,,STAMFORD,CT,UNITED STATES,6901,203-567-6400,203-316-9123,,,,,,,120-Day Approval,8/12/2010,7/14/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,124697,801-62694,"VOYAGER CAPITAL MANAGEMENT, LLC","VOYAGER CAPITAL MANAGEMENT, LLC",875 TOWNLINE RD.,SUITE 100,LAKE GENEVA,WI,UNITED STATES,53147,262-348-9981,262-348-9982,,,,,,,Approved,1/14/2004,7/14/2010,Y,WWW.VOYAGERCAPITALMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,10-Jun,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"162,871,032.00","2,288,265.00","165,159,297.00","1,084",23,"1,107",Y,Y,N,Y,Y,N,N,N,N,Y,INVESTMENT CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109141,801-57126,"MERISTEM, LLP","MERISTEM, LLP",601 CARLSON PARKWAY,SUITE 800,MINNETONKA,MN,USA,55305,952-835-2577,952-835-8283,,,,,,,Approved,2/25/2000,7/14/2010,Y,WWW.MERISTEMMFO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,MN,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,FAMILY PARTNERSHIPS,Y,N,N,Y,Y,N,N,,Y,"447,351,256.00","629,649,891.00","1,077,001,147.00",136,280,416,Y,Y,N,Y,N,Y,N,N,N,Y,WEALTH TRANSFER PLANNING,251-500,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,145238,801-68430,"MINIS & CO., INC.","SAVANNAH ADVISORS, INC.",25 BULL STREET,SUITE 502,SAVANNAH,GA,UNITED STATES,31401,912-629-6644,912-629-6655,,,,,,,Approved,11/9/2007,7/14/2010,Y,WWW.MINISINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"405,574,000.00",0,"405,574,000.00",340,0,340,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,141893,801-68802,"BYRON FINANCIAL, LLC","BYRON FINANCIAL, LLC",6100 FAIRVIEW ROAD,SUITE 1215,CHARLOTTE,NC,UNITED STATES,28210,704-442-4402,704-442-4403,,,,,,,Approved,1/28/2008,7/14/2010,Y,WWW.BYRONFIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,RECEIPT OF TRUST ADMINISTRATION FEES,Y,0,"51,064,112.00","51,064,112.00",0,192,192,Y,Y,N,Y,N,Y,N,N,N,Y,"EXECUTIVE BENEFIT SERVICES, BUSINESS ADVISORY SERVICES",10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144827,801-68383,"IMC ASSET MANAGEMENT, INC","IMC ASSET MANAGEMENT, INC",500 FIFTH AVENUE,SUITE 3530,NEW YORK,NY,UNITED STATES,10110,212-575-1988,212-616-6698,,,,,,,Approved,10/23/2007,7/14/2010,Y,WWW.IMC-AM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,IMC ASSET MANAGEMENT B.V.,N,N,N,N,N,N,Y,ON A COST-PLUS BASIS,Y,"1,020,000,000.00",0,"1,020,000,000.00",1,0,1,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,Y,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,131750,801-63216,"MUTUALS ADVISORS, INC.","MUTUALS ADVISORS, INC.",700 N. PEARL,STE. 900,DALLAS,TX,USA,75201,214-953-0066,214-953-1545,,,,,,,Approved,5/20/2004,7/14/2010,Y,WWW.MUTUALS.COM (PORTAL TO FUND SITES),N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"101,492,004.00",0,"101,492,004.00",2,0,2,N,N,Y,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
SFRO,133600,801-63959,"KATZ FAMILY FINANCIAL ADVISORS, LLC","KATZ FAMILY FINANCIAL ADVISORS, LLC",1605 NW SAMMAMISH ROAD,SUITE 250,ISSAQUAH,WA,UNITED STATES,98027,425-657-2205,301-542-0033,,,,,,,Approved,2/17/2005,7/14/2010,Y,WWW.KATZFAMILYFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"975,000.00","53,725,000.00","54,700,000.00",6,618,624,Y,Y,N,N,N,N,N,N,N,Y,ESTATE PLANNING; ADVISE EMPLOYEES OF 401K,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,153263,801-71294,"EAGLE EYE ADVISORS, LLC","EAGLE EYE ADVISORS, LLC",,,,,,,(561) 319-7030,(561) 828-3371,,,,,,,120-Day Approval,4/20/2010,7/14/2010,Y,WWW.EAGLEEYEADVISORS.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,133786,801-63842,"QUANTUM FAMILY OFFICE GROUP, LLC","QUANTUM FAMILY OFFICE GROUP, LLC",1500 SAN REMO AVENUE,SUITE 210,CORAL GABLES,FL,UNITED STATES,33146,305-740-2508,305-740-2509,,,,,,,Approved,1/28/2005,7/14/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,Y,PERCENTAGE OF ANNUAL INCOME,Y,"59,514,109.00",0,"59,514,109.00",92,0,92,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,Y,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,108017,801-56194,GARCIA HAMILTON & ASSOCIATES LP,GARCIA HAMILTON & ASSOCIATES LP,5 HOUSTON CENTER,"1401 MCKINNEY ST., SUITE 1600",HOUSTON,TX,UNITED STATES,77010,713-853-2322,713-853-2300,,,,,,,Approved,12/31/1998,7/14/2010,Y,WWW.DHJA.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,939,019,478.00","21,192,600.00","1,960,212,078.00",202,1,203,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106186,801-47230,"REICH & TANG ASSET MANAGEMENT, LLC","REICH & TANG ASSET MANAGEMENT,LLC",600 FIFTH AVE,8TH FLOOR,NEW YORK,NY,UNITED STATES,10020-2302,212-830-5200,212-830-5350,,,,,,,Approved,8/26/1994,7/14/2010,Y,WWW.REICHANDTANG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,Up to 10 percent,Up to 10 percent,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"16,397,500,000.00",0,"16,397,500,000.00",19,0,19,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,125623,801-67397,"BROMFIELD FINANCIAL ADVISORY GROUP, INC.","BROMFIELD FINANCIAL ADVISORY GROUP, INC.",10 ROGERS STREET,UNIT 102,CAMBRIDGE,MA,UNITED STATES,2142,617-252-3400,617-252-3777,,,,,,,Approved,12/14/2006,7/14/2010,Y,WWW.BROMFIELDFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"142,913,466.00",0,"142,913,466.00",254,0,254,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,114556,801-63322,"KC INVESTMENT ADVISORS, LLC","KC INVESTMENT ADVISORS, LLC",1605 NORTH WATERFRONT PARKWAY,SUITE 200,WICHITA,KS,UNITED STATES,67206,316-682-8344,316-682-8345,,,,,,,Approved,7/2/2004,7/14/2010,Y,WWW.KCOEWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"70,292,520.00","3,985,871.00","74,278,391.00",493,35,528,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,132028,801-63536,GEMS MANAGEMENT,GEMS MANAGEMENT LIMITED,"NORFOLK HOUSE, 1ST FLOOR",FREDERICK STREET,NASSAU,,BAHAMAS,,242-326-1904,242-326-3839,"NORFOLK HOUSE, FREDERICK STREET",P.O. BOX CB-12809,NASSAU,,BAHAMAS,,Approved,10/6/2004,7/14/2010,Y,WWW.GEMSADVISORS.COM,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),INTERNATIONAL BUSINESS COMPANY,,"BAHAMAS, THE",51-250,0,Nov-50,0,0,0,51-250,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,396,379,000.00",0,"2,396,379,000.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,FUND OF FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,109011,801-57738,INVESTACORP ADVISORY SERVICES INC,INVESTACORP ADVISORY SERVICES INC,15450 NEW BARN ROAD,,MIAMI LAKES,FL,UNITED STATES,33014,305-828-2888,305-821-1216,,,,,,,Approved,7/14/2000,7/14/2010,Y,WWW.INVESTACORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"4,000",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"65,335,452.00","750,797,663.00","816,133,115.00",367,"5,093","5,460",Y,Y,N,N,N,Y,N,N,N,N,,101-250,,Y,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,N
BRO,105377,801-170,"LOOMIS, SAYLES & COMPANY, L.P.","LOOMIS, SAYLES & COMPANY, L.P.",ONE FINANCIAL CENTER,,BOSTON,MA,USA,02111-2621,617-482-2450,617-357-6158,,,,,,,Approved,6/2/1977,7/14/2010,Y,WWW.LOOMISSAYLES.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,251-500,0,51-250,0,51-250,0,Nov-50,0,More than 500,"1,000",0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,11-25 percent,11-25 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,Y,MINIMUM ANNUAL FEE AND/OR MINIMUM ACCOUNT SIZE,Y,"140,142,847,626.00","2,165,371,949.00","142,308,219,575.00","1,192",54,"1,246",N,Y,Y,Y,N,N,N,N,N,Y,NON-DISCRETIONARY INVESTMENT ADVICE;PORTFOLIO MANAGEMENT FOR INVESTMENT POOLS NOT REGISTERED UNDER INV. CO. ACT OF 1940,,,N,Y,N,N,Y,N,N,N,Y,SPONSOR OF POOLED INVESTMENT VEHICLES,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N
SFRO,128407,801-62358,"LUCRUM CAPITAL, LLC","LUCRUM CAPITAL, LLC",100 SPEAR STREET,SUITE 380,SAN FRANCISCO,CA,UNITED STATES,94105,415-536-3801,415-704-3102,,,,,,,Approved,1/23/2006,7/14/2010,Y,WWW.LUCRUMCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"30,000,000.00",0,"30,000,000.00",1,0,1,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105746,801-26693,WADDELL & ASSOCIATES INC,WADDELL & ASSOCIATES INC,5188 WHEELIS DRIVE,,MEMPHIS,TN,UNITED STATES,38117,901-767-9187,901-767-0056,,,,,,,Approved,4/7/1986,7/14/2010,Y,WWW.WADDELLANDASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"459,075,416.00","14,744,389.00","473,819,805.00","2,173",12,"2,185",Y,Y,N,Y,Y,N,N,N,N,N,,251-500,,N,Y,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,145060,801-68378,NEW FRONTIERS WEALTH MANAGEMENT,NEW FRONTIERS WEALTH MANAGEMENT,,,,,,,002721  674-2275,002721 674-2275,54 RUE LIOTARD,,GENEVA,,SWITZERLAND,1202,Approved,9/26/2007,8/29/2008,Y,WWW.NFWM.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),SOUTH AFRICAN CLOSE CORPORATION,,SOUTH AFRICA,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"9,200,000.00","100,000.00","9,300,000.00",5,1,6,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,113535,801-60392,ALLIED CONSULTING GROUP,"SCS RESOURCES, INC",10900 WILSHIRE BLVD.,SUITE 750,LOS ANGELES,CA,USA,90024,310-474-9801,310-474-5094,,,,,,,Approved,7/3/2001,4/28/2006,Y,WWW.ALLIEDCONSULTING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"233,400,000.00","300,000,000.00","533,400,000.00",499,100,599,Y,Y,N,Y,Y,N,Y,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,101-250,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153996,801-71620,"VERITAS SPECIALIZED INVESTMENT SERVICES, LLC","VERITAS SPECIALIZED INVESTMENT SERVICES, LLC",50 LOUIS STREET NW SUITE 400,,GRAND RAPIDS,MI,UNITED STATES,49503,800-553-7526,800-501-0543,,,,,,,Approved,7/22/2010,7/12/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,"SHARE A PORTION OF RIA FEE, A PERCENTAGE OF ASSETS UNDER MMGT.",Y,0,0,0,0,0,0,N,N,N,Y,N,Y,Y,N,N,Y,"PROVIDE ACCOUNT RECONCILATION, BILLING STATEMENTS, PERFORMANCE REPORTING, COMPLIANCE SERVICES AND TRADING SERVICES FOR RIAS",0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N
BRO,146601,801-69144,"SAFE HAVEN ADVISORS, INC.","SAFE HAVEN ADVISORS, LLC",,,,,,,781-790-1776,NONE,,,,,,,Approved,5/9/2008,7/12/2010,Y,WWW.SAFEHAVENADVISORS.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,Y,N,,N,0,0,0,0,0,0,N,N,Y,N,N,Y,N,N,N,Y,SINGLE STOCK RISK MANAGEMENT,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107184,801-41521,SACHEM INVESTMENT COUNSEL INC,SACHEM INVESTMENT COUNSEL INC,3550 LANDER ROAD,STE 160,PEPPER PIKE,OH,USA,44124,216-591-0988,216-292-6887,,,,,,,Approved,6/10/1992,2/11/2005,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"28,789,901.00",0,"28,789,901.00",27,0,27,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,137370,801-65140,"IVORY INVESTMENT MANAGEMENT, L.P.","IVORY INVESTMENT MANAGEMENT, L.P.",11755 WILSHIRE BOULEVARD,SUITE 1350,LOS ANGELES,CA,UNITED STATES,90025,310-899-7300,310-899-7350,,,,,,,Approved,1/4/2006,7/12/2010,Y,WWW.IVORYCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,415,546,915.00",0,"3,415,546,915.00",11,0,11,N,N,N,N,N,N,N,N,N,Y,"PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS (I.E., HEDGE FUNDS)",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,128356,801-62448,"ALPHASIMPLEX GROUP, LLC","ALPHASIMPLEX GROUP, LLC",ONE CAMBRIDGE CENTER,,CAMBRIDGE,MA,USA,2142,617-475-7100,617-588-1925,,,,,,,Approved,10/23/2003,7/12/2010,Y,WWW.ALPHASIMPLEX.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"563,139,543.00",0,"563,139,543.00",9,0,9,N,N,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,Y,N,N,N,N,,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,152536,801-71079,"CAZENOVIA CREEK INVESTMENT MANAGEMENT, LLC","CAZENOVIA CREEK INVESTMENT MANAGEMENT, LLC",101 SOUTH TRYON STREET,SUITE 2560,CHARLOTTE,NC,UNITED STATES,28280,704.654.3900,,,,,,,,Approved,2/9/2010,7/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,0,0,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"50,000,000.00",0,"50,000,000.00",2,0,2,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,154430,801-71693,"COOMBS CAPITAL MANAGEMENT, LLC","COOMBS CAPITAL MANAGEMENT, LLC",109 EAST 17TH STREET,SUITE 1,CHEYENNE,WY,UNITED STATES,82001,858-792-0560,858-792-0560,"3525 DEL MAR HEIGHTS ROAD, #177",,SAN DIEGO,CA,UNITED STATES,92130,Approved,7/29/2010,7/12/2010,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,11-25 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,135448,801-64681,"STRATEGIC INVESTMENT ADVISORS, LLC","STRATEGIC INVESTMENT ADVISORS, LLC",5580 MONROE STREET,,SYLVANIA,OH,UNITED STATES,43560-2564,419-517-9100,419-517-9101,,,,,,,Approved,8/26/2005,7/12/2010,Y,WWW.SIADVISORS.US,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"43,150,514.00","30,770,151.00","73,920,665.00",414,22,436,Y,Y,N,Y,Y,Y,N,N,N,Y,ADVISORY SERVICES RELATED TO MORTGAGES AND INSURANCE PRODUCTS.,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,109327,801-56627,PERSONAL FINANCIAL PROFILES INC,PERSONAL FINANCIAL PROFILES INC,2801 UNIVERSITY DR,STE 201B,CORAL SPRINGS,FL,USA,33065,954-755-8647,954-755-6863,,,,,,,Approved,6/23/1999,7/12/2010,Y,WWW.PFPROFILES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"70,293,610.00",0,"70,293,610.00",153,0,153,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110224,801-57927,"STORIE ADVISORS, L.L.C.","STORIE ADVISORS, L.L.C.",100 PINE STREET,SUITE 2700,SAN FRANCISCO,CA,UNITED STATES,94111,415-229-9000,415-434-8043,,,,,,,Approved,8/29/2000,7/12/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,PERFORMANCE-BASED PARTNER PROFIT ALLOCATION,Y,"23,856,943.00",0,"23,856,943.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,SERVES AS GEN. PARTNER OF INVESTMENT LIMITED PARTNERSHIP,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
LARO,108162,801-57158,JRL CAPITAL ADVISORS LLC,JRL CAPITAL ADVISORS LLC,,,,,,,949-650-2928,949-650-2927,1048 IRVINE AVE,STE 628,NEWPORT BEACH,CA,UNITED STATES,92660-4602,Approved,1/11/2000,7/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"58,061,875.00","58,061,875.00",0,454,454,N,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,131556,801-63118,"EPOCH INVESTMENT PARTNERS, INC.","EPOCH INVESTMENT PARTNERS, INC.",640 FIFTH AVENUE,18TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-303-7200,212-202-4948,,,,,,,Approved,5/11/2004,7/12/2010,Y,WWW.EIPNY.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,101-250,0,0 percent,Up to 10 percent,0 percent,26-50 percent,11-25 percent,51-75 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"11,344,164,683.00",0,"11,344,164,683.00",194,0,194,N,Y,Y,Y,N,N,N,N,N,Y,CASH MANAGEMENT & INVESTMENT ADVICE TO POOLED INVESTMENT VEHICLES,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105734,801-17141,RUSSELL INVESTMENTS,RUSSELL INVESTMENT MANAGEMENT COMPANY,909 A STREET,,TACOMA,WA,UNITED STATES,98402-1616,253-572-9500,253-439-3495,P.O. BOX 1616,,TACOMA,WA,UNITED STATES,98402-1616,Approved,5/21/1982,7/12/2010,Y,WWW.RUSSELL.COM,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,251-500,0,51-250,0,51-250,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,11-25 percent,PRIVATE SCHOOL,Y,N,N,Y,N,N,Y,% OF REVENUE (INTRACOMPANY); ASSET BASED LICENSE FEE,Y,"40,111,138,813.00",0,"40,111,138,813.00",20,0,20,N,Y,Y,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
ARO,127333,801-63326,TEGRA FINANCIAL PARTNERS,"HA&W WEALTH MANAGEMENT, LLC",5 CONCOURSE PARKWAY,SUITE 600,ATLANTA,GA,UNITED STATES,30328,404-898-7518,770-351-3480,,,,,,,Approved,7/9/2004,7/13/2010,Y,WWW.HAWCAPITALPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,REFERRAL/SOLICITOR FEES,Y,"172,816,684.00","173,510,433.00","346,327,117.00","1,168",502,"1,670",Y,Y,N,Y,Y,Y,N,N,N,Y,SEMINARS/WORKSHOPS,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111665,801-60641,"J/M FINANCIAL ADVISERS, INC.","J/M FINANCIAL ADVISERS, INC.","6515 MAIN STREET,  SUITE 4",,TRUMBULL,CT,UNITED STATES,6611,203-261-7117,203-445-1661,,,,,,,Approved,10/16/2001,7/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"31,433,000.00","31,433,000.00",0,40,40,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,122693,801-66968,KUNTZ LESHER CAPITAL LLC,KUNTZ LESHER CAPITAL LLC,1800 FRUITVILLE PIKE,P. O. BOX 8408,LANCASTER,PA,UNITED STATES,17601,717-399-1700,717-291-0691,P.O. BOX 8408,,LANCASTER,PA,UNITED STATES,17604,Approved,6/30/2006,7/13/2010,Y,WWW.KLCINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,ASSETS UNDER ADVISEMENT,Y,"140,315,647.00","2,451,739.00","142,767,386.00",600,16,616,N,Y,N,Y,Y,Y,N,N,N,Y,"TAX PREPARATION & PLANNING, ESTATE PLANNING, BILL PAYING SERVICES",0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,147092,801-69141,"SEACREST WEALTH MANAGEMENT, LLC","SEACREST WEALTH MANAGEMENT, LLC",3010 WESTCHESTER AVENUE,SUITE 307,PURCHASE,NY,UNITED STATES,10577,914-502-1900,914-251-1312,,,,,,,Approved,5/12/2008,4/1/2010,Y,WWW.SEACRESTWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"114,000,000.00","3,600,000.00","117,600,000.00",886,20,906,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
PLRO,117808,801-64686,"STEBEN & COMPANY, INC.","STEBEN & COMPANY, INC.","2099 GAITHER ROAD, SUITE 200",,ROCKVILLE,MD,UNITED STATES,20850,240-631-9808,240-631-9595,,,,,,,Approved,9/13/2005,4/1/2010,Y,HTTP://WWW.STEBEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,PERCENTAGE OF OUTSIDE RIA FEES ON INTRODUCED ACCOUNTS.,Y,"1,166,759,283.00",0,"1,166,759,283.00",3,0,3,N,N,N,N,N,Y,N,N,N,Y,INTRODUCTION OF CLIENTS TO OTHER RIAS AND CASH MANAGEMENT FOR COMMODITY POOLS IN SHORT TERM FIXED INCOME INSTRUMENTS,0,,N,N,Y,N,Y,N,N,N,Y,NFA REGISTERED INTRODUCING BROKER,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,140959,801-66973,CANNON BEACH CONSULTANTS,CHANG MOORE JONES INC.,12647 ALCOSTA BLVD.,SUITE 428,SAN RAMON,CA,UNITED STATES,94583,925-937-7771,925-270-1011,,,,,,,Approved,7/12/2006,4/1/2010,Y,WWW.CANNONBEACHCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"57,345,057.00","5,576,337.00","62,921,394.00",686,61,747,Y,Y,N,Y,N,N,N,N,N,Y,TAX SERVICES,101-250,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,147681,801-70086,ARISTOS CAPITAL MANAGEMENT LLC,ARISTOS CAPITAL MANAGEMENT LLC,1251 AVENUE OF THE AMERICAS,SUITE 2370,NEW YORK,NY,UNITED STATES,10020-1104,212-468-2705,212-468-2750,,,,,,,Approved,4/7/2009,4/1/2010,Y,WWW.ARISTOSLLC.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,51-75 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"45,600,000.00",0,"45,600,000.00",4,0,4,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,150343,801-70271,"HOLLANDER ASSET MANAGEMENT, LLC","HOLLANDER ASSET MANAGEMENT, LLC",355 ALHAMBRA CIRCLE,SUITE 1550,CORAL GABLES,FL,UNITED STATES,33134,305-579-9255,,,,,,,,Approved,6/23/2009,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"26,666,472.00","50,770,072.00","77,436,544.00",7,6,13,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107222,801-29301,"CENTRAL PLAINS ADVISORS, INC.","CENTRAL PLAINS ADVISORS, INC.",200 W. DOUGLAS AVE.,STE. 100,WICHITA,KS,UNITED STATES,67202,316-682-5148,316-682-5736,,,,,,,Approved,4/3/1987,4/1/2010,Y,WWW.CENTRALPLAINSADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,Nov-50,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,Y,N,N,N,N,,Y,"32,500,000.00",0,"32,500,000.00",258,0,258,N,Y,N,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,148966,801-70074,"ORION INVESTMENT ADVISORS, LLC","ORION INVESTMENT ADVISORS, LLC",2010 CORPORATE RIDGE,#560,MCLEAN,VA,UNITED STATES,22102,703-720-5990,703-720-5998,,,,,,,Approved,4/16/2009,4/1/2010,Y,WWW.ORIONRIA.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"7,800,708.00","12,745,056.00","20,545,764.00",1,5,6,N,N,N,Y,Y,N,N,N,N,Y,INVESTMENT CONSULTING SERVICES,,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110678,801-54885,"VM JONES FINANCIAL CONSULTING, L.L.C.","VM JONES FINANCIAL CONSULTING, L.L.C.",1772 E. BOSTON,SUITE 103,GILBERT,AZ,UNITED STATES,85295,480-756-6010,480-756-6018,,,,,,,Approved,3/15/1999,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"30,930,454.00","4,272,913.00","35,203,367.00",114,33,147,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,121344,801-68799,"SOUNDMARK WEALTH MANAGEMENT, LLC","SOUNDMARK WEALTH MANAGEMENT, LLC","11400 98TH AVENUE NE, SUITE 301",,KIRKLAND,WA,UNITED STATES,98033,425-820-1769,425-820-1973,,,,,,,Approved,2/8/2008,4/1/2010,Y,WWW.SOUNDMARKWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"264,746,024.00","10,721,403.00","275,467,427.00","1,050",14,"1,064",Y,Y,N,Y,Y,N,Y,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,112160,801-56579,"QUARVE ASSOCIATES, LLC","QUARVE ASSOCIATES, LLC",ONE ATLANTIC STREET,,STAMFORD,CT,USA,6901,203-356-1910,203-348-6344,,,,,,,Approved,6/8/1999,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"46,639,516.00",0,"46,639,516.00",21,0,21,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,146052,801-68696,UNIVERSA INVESTMENTS L.P.,UNIVERSA INVESTMENTS L.P.,1414 SECOND STREET,,SANTA MONICA,CA,USA,90401,310-566-5560,310-566-5561,,,,,,,Approved,1/17/2008,4/1/2010,Y,WWW.UNIVERSA.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,PERFORMANCE-BASED PROFIT ALLOCATIONS,Y,"3,719,845,954.00",0,"3,719,845,954.00",18,0,18,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,147192,801-69161,CAPITAL ADVISORY GROUP,"CAG TAMPA, LLC",442 W. KENNEDY BLVD.,SUITE 380,TAMPA,FL,USA,33606-1494,813-254-1070,813-253-0571,,,,,,,Approved,5/7/2008,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,CLIENT SPECIAL REQUESTS AS DETERMINED PRIOR TO ENGAGEMENT.,Y,"49,622,300.00",0,"49,622,300.00",36,0,36,Y,Y,N,N,N,Y,N,N,Y,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,113996,801-64216,"L.J. BREY, INC.","L.J. BREY, INC.",,,,,,,808-526-2644,808-528-3117,,,,,,,Approved,4/21/2005,4/1/2010,Y,WWW.LJBREYINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,HI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"32,947,677.00",0,"32,947,677.00",155,0,155,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,135689,801-64343,WP GLOBAL PARTNERS INC.,WP GLOBAL PARTNERS INC.,155 N. WACKER DRIVE,SUITE 4400,CHICAGO,IL,UNITED STATES,60606-1727,312-277-1300,312-277-2011,,,,,,,Approved,5/26/2005,4/1/2010,Y,WWW.WPGLOBALPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,734,000,000.00",0,"1,734,000,000.00",10,0,10,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112182,801-41001,NEUMANN CAPITAL MANAGEMENT,"NEUMANN CAPITAL MANAGEMENT, LLC","303 VINTAGE PARK DRIVE, SUITE 100",,FOSTER CITY,CA,UNITED STATES,94404,650-548-9200,650-548-9209,,,,,,,Approved,3/13/1992,4/1/2010,Y,NEUMANNCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"151,541,014.00",0,"151,541,014.00",289,0,289,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,21572,801-54006,"MARQUETTE ASSOCIATES, INC.","MARQUETTE ASSOCIATES, INC.",180 NORTH LASALLE STREET,SUITE 3500,CHICAGO,IL,UNITED STATES,60601,312-527-5500,312-527-9064,,,,,,,Approved,3/25/1997,4/1/2010,Y,HTTP://WWW.MARQUETTEASSOCIATES.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,11-25 percent,Up to 10 percent,11-25 percent,11-25 percent,HEALTH & WELFARE PLANS,Y,N,N,Y,N,N,Y,RETAINER BASED FEE,Y,0,"68,015,861,405.00","68,015,861,405.00",0,167,167,N,N,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106648,801-50553,M FINANCIAL INVESTMENT ADVISERS INC,M FINANCIAL INVESTMENT ADVISERS INC,M FINANCIAL PLAZA,1125 NW COUCH STREET,PORTLAND,OR,USA,97209,503-232-6960,503-238-1621,,,,,,,Approved,11/24/1995,4/1/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"656,050,288.00",0,"656,050,288.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111641,801-64492,"PLEXUS FINANCIAL GROUP, INC.","PLEXUS FINANCIAL GROUP, INC.","23591 EL TORO ROAD, SUITE 270",,LAKE FOREST,CA,UNITED STATES,92630,949-768-3310,947-768-3918,,,,,,,Approved,8/10/2005,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"56,382,000.00",0,"56,382,000.00",240,0,240,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111124,801-25982,CAPITAL FORMATION STRATEGIES INC,CAPITAL FORMATION STRATEGIES INC,2550 UNIVERSITY AVE,SUITE 145N,ST PAUL,MN,UNITED STATES,55114,651-644-8412,651-644-8696,,,,,,,Approved,12/19/1985,4/1/2010,Y,WWW.CAPFORM.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"58,703,078.00","3,061,662.00","61,764,740.00",318,7,325,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,139671,801-66337,DAY HAGAN ASSET MANAGEMENT,"DONALD L. HAGAN, LLC",330 SOUTH ORANGE AVE.,,SARASOTA,FL,UNITED STATES,34236,941-330-1702,941-684-0723,,,,,,,Approved,3/9/2006,4/1/2010,Y,WWW.DAYHAGAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,THIRD PARTY ADVISORY FEES,Y,"30,061,877.00","66,170,352.00","96,232,229.00",92,435,527,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,143514,801-67905,"PCG ASSET MANAGEMENT, LLC","PCG ASSET MANAGEMENT, LLC","1200 PROSPECT ST., SUITE 200",,LA JOLLA,CA,USA,92037,858-456-6000,858-456-6018,,,,,,,Approved,5/21/2007,4/1/2010,Y,HTTP://WWW.PCGFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,26-50 percent,0 percent,0 percent,51-75 percent,Up to 10 percent,INTERNATIONAL ENTITIES,Y,Y,N,Y,N,Y,N,,Y,"429,708,920.00","18,773,711,809.00","19,203,420,729.00",7,10,17,N,N,Y,Y,Y,N,N,N,N,Y,INVESTMENT SUPERVISORY SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,104986,801-34774,FELL CAPITAL MANAGEMENT,FELL CAPITAL MANAGEMENT,"1001 DOVE STREET, SUITE 230",,NEWPORT BEACH,CA,USA,92660,949-476-5056,949-476-1101,,,,,,,Approved,8/10/1989,4/1/2010,Y,WWW.FELLCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,"94,967,213.00",0,"94,967,213.00",319,0,319,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109333,801-56852,"UBS EUCALYPTUS MANAGEMENT, L.L.C.","UBS EUCALYPTUS MANAGEMENT, L.L.C.",1285 AVENUE OF THE AMERICAS,11TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-882-5819,212-882-6838,,,,,,,Approved,9/30/1999,4/1/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"157,572,969.00",0,"157,572,969.00",2,0,2,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,Y,N,N,Y
CHRO,139065,801-65805,C2 ASSET MANAGEMENT L.L.C.,C2 ASSET MANAGEMENT L.L.C.,1 NORTH WACKER DRIVE,SUITE 3950,CHICAGO,IL,USA,60606,312-456-9682,312-456-9690,,,,,,,Approved,1/30/2006,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"45,000,000.00",0,"45,000,000.00",5,0,5,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111982,801-58232,"WEST COAST ASSET MANAGEMENT,INC.","WEST COAST ASSET MANAGEMENT,INC.",1205 COAST VILLAGE ROAD,,MONTECITO,CA,UNITED STATES,93108,805-653-5333,805-648-6466,,,,,,,Approved,12/22/2000,4/1/2010,Y,WWW.WCAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"253,372,443.00","24,222,159.00","277,594,602.00",155,3,158,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110886,801-60101,"SASSER INVESTMENT MANAGEMENT, INC.","SASSER INVESTMENT MANAGEMENT, INC.",436 14TH STREET,SUITE 1118,OAKLAND,CA,UNITED STATES,94612-2710,510-835-0960,510-835-0960,,,,,,,Approved,3/22/2001,4/1/2010,Y,WWW.SASSERINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,LOAN ORIGINATION FEES,Y,"21,363,080.00","7,783,713.00","29,146,793.00",160,67,227,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,46838,801-70070,"AVONDALE PARTNERS, LLC","AVONDALE PARTNERS, LLC",3102 WEST END AVENUE,SUITE 1100,NASHVILLE,TN,UNITED STATES,37203,615-467-3500,615-467-3479,,,,,,,Approved,4/14/2009,7/31/2009,Y,WWW.AVONDALEPARTNERSLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,51-250,0,5-Jan,0,5-Jan,0,0,0,0,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"180,000,000.00","180,000,000.00",0,4,4,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,Y,N,Y,N,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,130678,801-62983,"BLUFFVIEW RIA, LP","BLUFFVIEW RIA, LP",2000 MCKINNEY AVENUE,6TH FLOOR,DALLAS,TX,UNITED STATES,75201,214-855-2550,214-855-2555,,,,,,,Approved,4/9/2004,4/9/2010,Y,WWW.BLUFFVIEWWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"248,383,921.00","500,125,010.00","748,508,931.00",71,417,488,Y,Y,N,Y,Y,Y,N,N,N,Y,"INV MANAGER TO GATESHORE AND SELECT HIGH YIELD FUNDS, SUB-FUNDS OF SOLLERTIA FUNDS, PLC. INC IN IRELAND FOR NON-US INVESTORS.",25-Nov,,Y,N,N,N,N,N,N,N,N,,N,,Y,Y,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147063,801-69121,"WEALTHSPRING ADVISORS, LLC","WEALTHSPRING ADVISORS, LLC",7900 INTERNATIONAL DRIVE,SUITE 200,BLOOMINGTON,MN,USA,55425,952-851-5550,952-513-2060,,,,,,,Approved,4/30/2008,4/9/2010,Y,WWW.WEALTHSPRINGADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"27,355,412.00",0,"27,355,412.00",201,0,201,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTATION SERVICES,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,104749,801-12784,MOUNTAIN PACIFIC INVESTMENT ADVISERS INC,MOUNTAIN PACIFIC INVESTMENT ADVISERS INC,877 MAIN ST STE #704,,BOISE,ID,USA,83702,208-336-1422,208-336-1428,,,,,,,Approved,2/12/1977,4/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,ID,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"583,998,541.00",0,"583,998,541.00",481,0,481,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152601,801-71345,CARL M. LOEB ADVISORY PARTNERS L.P.,CARL M. LOEB ADVISORY PARTNERS L.P.,61 BROADWAY,,NEW YORK,NY,UNITED STATES,10006,212-483-7000,212-574-2001,,,,,,,Approved,4/29/2010,4/9/2010,Y,WWW.LOEBCAP.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,0,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,HEDGE FUND MANAGEMENT,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
LARO,115167,801-64700,CONTEXT CAPITAL MANAGEMENT LLC,CONTEXT CAPITAL MANAGEMENT LLC,2223 AVENIDA DE LA PLAYA,SUITE 104,LA JOLLA,CA,UNITED STATES,92037,858-481-3666,858-481-3667,,,,,,,Approved,8/26/2005,4/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"65,000,000.00",0,"65,000,000.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,113354,801-60884,"RNP ADVISORY SERVICES, INC.","RNP ADVISORY SERVICES, INC.",17190 S MONTEREY ROAD,STE 202,MORGAN HILL,CA,UNITED STATES,95037,408-779-0699,408-778-5413,,,,,,,Approved,1/30/2002,4/9/2010,Y,RNPADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"179,725,900.00","179,725,900.00",0,503,503,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,Y,N,Y,N,N,Y,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
MIRO,139038,801-66196,"EXCALIBUR PARTNERS, LLC","EXCALIBUR PARTNERS, LLC",16260 VIA VENETIA EAST,,DELRAY BEACH,FL,USA,33484,561-499-8489,561-499-8390,,,,,,,Approved,2/1/2006,2/1/2006,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"50,000,000.00",0,"50,000,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,139563,801-66223,"ORACLE ASSET ADVISORS, L.P.","ORACLE ASSET ADVISORS, L.P.",,,,,,,817-233-7360,817-887-5311,,,,,,,Approved,2/1/2006,4/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"25,500,000.00",0,"25,500,000.00",9,0,9,N,Y,N,Y,N,N,N,N,N,Y,FIRM OFFERS INVESTMENT ADVISORY SERVICES TO A POOLED INVESTMENT VEHICLE,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105478,801-12134,R.A.RIGG & CO,RIGG RICHARD ARTHUR,,,,,,,415-441-0400,415-771-1814,,,,,,,Approved,10/14/1976,4/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"37,850,330.00",0,"37,850,330.00",12,0,12,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105350,801-16929,LAW & ASSOCIATES INC,LAW & ASSOCIATES INC,6111 TULANE AVE,,GLEN ECHO,MD,UNITED STATES,20812-1205,[301]229-8500,[301]229-8504,,,,,,,Approved,3/22/1982,4/12/2010,Y,WWW.LAWANDASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,Y,N,Y,"FINANCIAL, WEALTH PLNG, INVESTMENT",Y,0,"338,841,800.00","338,841,800.00",0,"1,382","1,382",Y,N,N,N,N,Y,N,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108154,801-57519,AFFILIATED FINANCIAL ADVISORS INC,AFFILIATED FINANCIAL ADVISORS INC,2300 NORTH MAYFAIR RD.,SUITE 640,MILWAUKEE,WI,USA,53226,414-476-4999,414-476-4889,,,,,,,Approved,4/21/2000,4/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"73,037,721.00","73,037,721.00",0,"1,026","1,026",N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,Y,TAX PREPARATION,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,113016,801-49645,RETIREMENT FUNDING ADVISORS INC.,RETIREMENT FUNDING ADVISORS INC.,8031 M-15,SUITE 220,CLARKSTON,MI,UNITED STATES,48348,248-620-8035,248-620-8111,,,,,,,Approved,7/14/1995,4/12/2010,N,,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,FOUNDATION,Y,Y,N,Y,N,N,N,,Y,"74,509,287.00","144,287,563.00","218,796,850.00",2,210,212,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,107183,801-40494,ING INVESTMENT MANAGEMENT,ING INVESTMENT MANAGEMENT ADVISORS B V,PRINSES BEATRIXLAAN 15,,THE HAGUE,,NETHERLANDS,2595AK,31703781835,31703781817,P.O. BOX 90470,,THE HAGUE,,NETHERLANDS,2509 LL,Approved,2/7/1992,4/12/2010,Y,WWW.INGIM.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,NETHERLANDS,51-250,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,Y,FEES BASED ON % OF ASSETS FOR PROVIDING SERVICES TO AFFILIATES,Y,"2,436,778,720.00",0,"2,436,778,720.00",11,0,11,N,N,Y,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT AND BACKOFFICE SUPPORT SERVICES TO AFFILIATES,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,27704,801-37906,"THE WINCHESTER GROUP, INC.","THE WINCHESTER GROUP, INC.",780 THIRD AVENUE,,NEW YORK,NY,UNITED STATES,10017-2024,212-486-8181,212-486-9482,,,,,,,Approved,12/13/1990,4/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,FIXED FEES,Y,"487,988,426.00","26,033,887.00","514,022,313.00",445,17,462,N,Y,N,N,N,N,N,N,N,N,,0,,Y,Y,Y,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
PLRO,113426,801-28429,"THETFORD INVESTMENT MANAGEMENT, INC.","THETFORD INVESTMENT MANAGEMENT, INC.",823 EAST MAIN STREET,SUITE 1313,RICHMOND,VA,UNITED STATES,23219,804-782-9338,804-643-8206,P.O. BOX 1397,,RICHMOND,VA,UNITED STATES,23218-1397,Approved,12/15/1986,4/28/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"85,678,369.00","14,519,644.00","100,198,013.00",99,10,109,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,129367,801-62743,S&F INVESTMENT ADVISORS,"FOX, ROGER BENNETT",11661 SAN VICENTE BLVD,SUITE 408,LOS ANGELES,CA,UNITED STATES,90049,310-481-9320,310-481-9321,,,,,,,Approved,2/12/2004,4/28/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"71,500,000.00",0,"71,500,000.00",552,0,552,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,129822,801-62792,"MATHON MANAGEMENT COMPANY, LLC","MATHON MANAGEMENT, LLC",6816 EAST BROWN ROAD,,MESA,AZ,USA,85207,480-558-8400,480-854-6760,,,,,,,Approved,3/2/2004,1/28/2005,Y,WWW.MATHONMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,MANAGER OF MATHON FUND LLC,Y,N,N,N,N,N,Y,PERCENTAGE OF PLACED ASSETS IS PAID AS ORIGINATION FEE TO MGR,Y,"65,000,000.00",0,"65,000,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,125618,801-67783,"KLINGMAN AND ASSOCIATES, LLC","KLINGMAN AND ASSOCIATES, LLC",1133 AVENUE OF THE AMERICAS,SUITE 2725,NEW YORK,NY,USA,10036,212-867-7647,212-752-2150,,,,,,,Approved,4/17/2007,4/28/2010,Y,WWW.KLINGMANANDASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD-PARTY ADVISORY FEES,Y,"573,814,077.00","4,916,104.00","578,730,181.00",519,19,538,Y,Y,N,Y,Y,Y,N,N,N,Y,GENERAL CONSULTING SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138290,801-65538,"HOUQUA CAPITAL, LLC","HOUQUA CAPITAL, LLC",641 LEXINGTON AVENUE,SUITE 1400,NEW YORK,NY,USA,10022,212-508-7057,212-508-7059,,,,,,,Approved,1/18/2006,12/15/2005,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"31,842,930.00",0,"31,842,930.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,133810,801-63809,IFC ADVISORY,CALIFORNIA WEALTH MANAGEMENT GROUP,3333 FOOTHILL RD.,,CARPINTERIA,CA,UNITED STATES,93013,213-458-6900,,,,,,,,Approved,1/14/2005,4/28/2010,Y,WWW.IFCADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"43,358,569.00","5,187,107.00","48,545,676.00",370,18,388,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y
FWRO,115806,801-60614,GLOBAL WEALTH MANAGEMENT INC.,GLOBAL WEALTH MANAGEMENT INC.,12511 CANTRELL ROAD,SUITE 102,LITTLE ROCK,AR,USA,72223-1639,501-219-9080,1-866-902-2179,,,,,,,Approved,10/9/2001,4/29/2010,Y,WWW.GWMI.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"31,104,720.00",0,"31,104,720.00",298,0,298,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,114567,801-60586,PALL MALL INVESTMENT MANAGEMENT LIMITED,PALL MALL INVESTMENT MANAGEMENT LIMITED,52A CROMWELL ROAD,,"LONDON, ENGLAND",,UNITED KINGDOM,SW7 5BE,+44 20 7590 1350,+44 20 7590 1351,,,,,,,Approved,9/18/2001,4/29/2010,Y,WWW.PMIM.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED LIABILITY COMPANY UNDER ENGLISH LAW,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,ADVISER TO FOREIGN INVESTMENT COMPANIES REGULATED UNDER FOREIGN LAWS.,Y,N,N,N,N,Y,N,,Y,"660,788,264.00","395,674,849.00","1,056,463,113.00",23,7,30,N,Y,N,Y,N,N,N,N,N,Y,ADVISER TO FOREIGN INVESTMENT COMPANIES REGULATED UNDER FOREIGN LAWS.NB G2 & G4 ARE FOREIGN (IE NON-US) CLIENTS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144155,801-67953,SOLUS ALTERNATIVE ASSET MANAGEMENT LP,SOLUS ALTERNATIVE ASSET MANAGEMENT LP,"430 PARK AVENUE, 9TH FLOOR",,NEW YORK,NY,UNITED STATES,10022,212.284.4300,212.284.4338,,,,,,,Approved,5/30/2007,4/29/2010,Y,WWW.SOLUSLP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,983,152,026.00",0,"2,983,152,026.00",14,0,14,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110090,801-15662,LESJAK PLANNING CORP,LESJAK PLANNING CORP,1991 CROCKER RD,SUITE 575,WESTLAKE,OH,UNITED STATES,44145,440-871-9500,440-871-3607,,,,,,,Approved,12/12/1980,4/29/2010,Y,WWW.LESJAKPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"141,000,000.00",0,"141,000,000.00",343,0,343,Y,Y,N,N,N,N,Y,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,152890,801-71060,EGGERSS CAPITAL MANAGEMENT,KRESKO HOLDINGS INC.,9901 IH-10 WEST,SUITE 800,SAN ANTONIO,TX,UNITED STATES,78230,210.558.2885,210.568.4802,,,,,,,Approved,2/12/2010,4/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"31,000,000.00",0,"31,000,000.00",150,0,150,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
DRO,140195,801-66632,"MARINER WEALTH ADVISORS, LLC","MARINER WEALTH ADVISORS, LLC",4200 WEST 115TH ST.,SUITE 100,LEAWOOD,KS,UNITED STATES,66211,913-647-9700,913-647-9725,,,,,,,Approved,4/24/2006,4/29/2010,Y,WWW.MARINERWEALTHADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,800,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,308,505,478.00",0,"1,308,505,478.00","3,330",0,"3,330",Y,Y,N,Y,Y,Y,N,N,N,Y,INVESTMENT CONSULTING,More than 500,800,N,N,N,N,N,N,N,N,N,,N,,Y,N,Y,Y,N,N,Y,Y,Y,N,Y,N,Y,N,Y,Y,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108027,801-55619,DECAMILLA CAPITAL MANAGEMENT INC,DECAMILLA CAPITAL MANAGEMENT INC,3600 AMERICAN RIVER DR,STE 230,SACRAMENTO,CA,UNITED STATES,95864,916-979-0870,916-979-0874,,,,,,,Approved,6/17/1998,1/30/2009,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"12,099,708.00",0,"12,099,708.00",306,0,306,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,109495,801-58103,ACCESS FINANCIAL RESOURCES INC.,ACCESS FINANCIAL RESOURCES INC.,"3621 NW 63RD STREET, SUITE A-1",,OKLAHOMA CITY,OK,UNITED STATES,73116,405-848-9826,405-848-1431,,,,,,,Approved,11/7/2000,4/29/2010,Y,WWW.AFRADVICE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"31,926,269.00","210,412,938.00","242,339,207.00",348,"2,190","2,538",Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,N,N,N,N,N,Y,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
CHRO,110051,801-24220,SLEDRUNNER ADVISORY SERVICES,SLEDRUNNER ADVISORY SERVICES,244 NORTH ROSE STREET,SUITE 150,KALAMAZOO,MI,UNITED STATES,49007,269-552-9233,269-388-4848,,,,,,,Approved,5/22/1985,3/31/2009,Y,WWW.SLEDRUNNER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"50,000,000.00","50,000,000.00",0,125,125,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,128532,801-70522,"HERITAGE FINANCIAL NETWORK, INC.","HERITAGE FINANCIAL NETWORK, INC.",97 LOWELL ROAD,,CONCORD,MA,UNITED STATES,1742,978-371-2954,978-371-9809,P.O. BOX 774,,CONCORD,MA,USA,1742,Approved,9/9/2009,8/13/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"36,000,000.00","2,000,000.00","38,000,000.00",159,11,170,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,7826,801-11233,MAHLER & EMERSON INC.,MAHLER & EMERSON INC.,570 LEXINGTON AVENUE,,NEW YORK,NY,USA,10022,212-702-6608,212-702-6651,P. O. BOX 3146 GRAND CENTRAL STATION,,NEW YORK,NY,USA,10163-3146,Approved,12/23/1975,6/10/2009,Y,WWW.MAHLEREMERSONINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,More than 75 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"52,353,702.00","52,353,702.00",0,413,413,Y,Y,Y,Y,N,N,Y,N,N,N,,25-Nov,,N,N,Y,Y,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N
MIRO,116241,801-70941,CAPITAL INVESTMENT ADVISORS,"CAPITAL INVESTMENT ADVISORS, INC",1702 CLUB DRIVE,,VERO BEACH,FL,USA,32963,772-231-3122,772-231-5343,,,,,,,Approved,1/7/2010,1/6/2010,Y,WWW.FOLLOWINGTRENDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"30,871,000.00",0,"30,871,000.00",125,0,125,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,150841,801-70828,BREAKWATER INVESTMENT MANAGEMENT,"BREAKWATER INVESTMENT MANAGEMENT, LLC",1001 FOURTH AVE,# 4050,SEATTLE,WA,UNITED STATES,98154,206.624.9000,206-621-8839,,,,,,,Approved,11/18/2009,1/6/2010,Y,WWW.BREAKWATERINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"45,286,099.00",0,"45,286,099.00",242,0,242,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104969,801-4148,"NEVILLE, RODIE & SHAW INC","NEVILLE, RODIE & SHAW INC",200 MADISON AVE,,NEW YORK,NY,UNITED STATES,10016-3903,212-725-1440,212-689-8746,,,,,,,Approved,12/2/1966,1/6/2010,Y,WWW.NEVRODIE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,108,896,069.00","64,514,600.00","1,173,410,669.00",909,40,949,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,141464,801-67115,"PRIVEE CAPITAL MANAGEMENT HAWAII, LLC","PRIVEE CAPITAL MANAGEMENT HAWAII, LLC","1132 BISHOP STREET, SUITE 1400",SUITE 1400,HONOLULU,HI,USA,96813-2807,808-538-2100,808-585-2986,,,,,,,Approved,10/20/2006,7/2/2007,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"10,700,000.00",0,"10,700,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR OTHER POOLED VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106930,801-37926,"SCHUYLKILL CAPITAL MANAGEMENT, LLC","SCHUYLKILL CAPITAL MANAGEMENT, LLC",1629 LOCUST STREET,1ST FLOOR,PHILADELPHIA,PA,USA,19103,215-735-0299,215-735-3545,,,,,,,Approved,11/30/1990,4/14/2009,Y,WWW.SCHUYLKILLCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"10,453,854.00","22,122,169.00","32,576,023.00",17,34,51,N,Y,N,Y,N,N,N,N,N,Y,CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,140645,801-66875,"OCEAN ASSET MANAGEMENT CO., LTD.","OCEAN ASSET MANAGEMENT CO.,LTD.",8F PACIFIC CITY SHIBA,"2-29-10 SHIBA, MINATO-KU",TOKYO,,JAPAN,105-0014,81-3-5439-5280,81-3-3453-5490,,,,,,,Approved,6/22/2006,6/1/2006,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,JAPAN,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,26-50 percent,0 percent,11-25 percent,26-50 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"53,000,000.00",0,"53,000,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,127711,801-62433,ORIGIN FINANCIAL GROUP LLC,ORIGIN FINANCIAL GROUP LLC,4224 WAIALEA AVENUE #413,,HONOLULU,HI,USA,96816,808-395-8500,808-395-8677,,,,,,,Approved,10/20/2003,8/2/2007,Y,WWW.ORIGINFINANCIAL.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,HI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"25,409,633.00",0,"25,409,633.00",200,0,200,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110262,801-53254,HAVELL CAPITAL MANAGEMENT LLC,HAVELL CAPITAL MANAGEMENT LLC,ONE ROCKEFELLER PLAZA,SUITE 1010,NEW YORK,NY,USA,10020,212-218-4222,212-218-4223,,,,,,,Approved,11/12/1996,6/29/2009,Y,WWW.HAVELLCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"25,489,935.00",0,"25,489,935.00",88,0,88,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,150108,801-70126,INDEPENDENT FRANCHISE PARTNERS LLP,INDEPENDENT FRANCHISE PARTNERS LLP,"20 BALDERTON STREET,",5TH FLOOR,LONDON,,UNITED KINGDOM,W1K 6TL,+44 207 495 9070,+44 207 495 1184,,,,,,,Approved,5/15/2009,6/25/2009,Y,WWW.FRANCHISEPARTNERS.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,10-Jun,0,5-Jan,0,0,0,0,0,0,0,0 percent,Up to 10 percent,26-50 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"50,000,000.00",0,"50,000,000.00",47,0,47,N,N,N,Y,N,N,N,N,N,Y,PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,124784,801-69581,"STONEHURST MANAGEMENT, LLC","STONEHURST MANAGEMENT, LLC",570 LEXINGTON AVENUE,27TH FLOOR,NEW YORK,NY,USA,10022,212-993-7070,212-750-2421,,,,,,,Approved,10/9/2008,8/16/2010,Y,WWW.STONEHURST.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"61,274,862.00","1,638,038.00","62,912,900.00",95,1,96,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,139410,801-68425,"STONE HOUSE INVESTMENT MANAGEMENT, LLC","STONE HOUSE INVESTMENT MANAGEMENT, LLC",210 MAPLE STREET,,MONTROSE,PA,UNITED STATES,18801-1223,570-278-6926,570-278-1686,,,,,,,Approved,10/19/2007,8/16/2010,Y,WWW.STONEHOUSEINVESTMENTMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,SHARES IN THIRD PARTY ADVISORY FEES,Y,"33,598,089.00",0,"33,598,089.00",303,0,303,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108116,801-55762,"LAIDLAW GROUP, LLC","LAIDLAW GROUP, LLC",2 DEPOT PLAZA,SUITE 202C,BEDFORD HILLS,NY,UNITED STATES,10507,914-767-0650,914-767-0476,,,,,,,Approved,8/10/1998,8/16/2010,Y,WWW.LAIDLAWGRP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"134,000,000.00","54,000,000.00","188,000,000.00",239,43,282,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152539,801-71672,"GALLE GLOBAL MACRO PARTNERS, LLC","GALLE GLOBAL MACRO PARTNERS, LLC",655 MADISON AVENUE,20TH FLOOR,NEW YORK,NY,UNITED STATES,10065,646.597.4602,646.825.4690,,,,,,,Approved,7/20/2010,8/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,0,0,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,11-25 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,MANAGED ACCOUNTS,Y,N,N,N,N,Y,N,,Y,"395,000,000.00",0,"395,000,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,113914,801-56704,PENSION CONSULTANTS INC,PENSION CONSULTANTS INC,300 SOUTH CAMPBELL AVE.,,SPRINGFIELD,MO,USA,65806,417.889.4918,417.889.9962,,,,,,,Approved,7/23/1999,8/16/2010,Y,WWW.PENSION-CONSULTANTS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,0,0,26-100,0,26-50 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,Y,A PERCENTAGE OF ASSETS UNDER ADVISEMENT,N,0,0,0,0,0,0,Y,N,N,N,Y,N,N,N,N,Y,CONSULTING; PLAN PARTICIPANT ADVISORY SERVICES,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
PLRO,125216,801-61838,BILKEYKATZ INVESTMENT CONSULTANTS,"BILKEYKATZ INVESTMENT CONSULTANTS, INC.",411 SEVENTH AVENUE,SUITE 1425,PITTSBURGH,PA,UNITED STATES,15219-1905,412-803-9900,412-803-9994,,,,,,,Approved,2/21/2003,8/16/2010,Y,WWW.BILKEYKATZ.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,BLACK LUNG BENEFIT TRUST,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,Y,INVESTMENT CONSULTING SERVICES FOR A PRIVATE TRUST COMPANY AND INSTITUTIONAL POOLS OF ASSETS OTHER THAN PENSION ASSETS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139526,801-66274,DEUTSCHE ALTERNATIVE ASSET MANAGEMENT (GLOBAL) LIMITED,DEUTSCHE ALTERNATIVE ASSET MANAGEMENT (GLOBAL) LIMITED,WINCHESTER HOUSE,1 GREAT WINCHESTER STREET,LONDON,,UNITED KINGDOM,EC2N 2DB,44 207 545 8000,44 207 545 7555,,,,,,,Approved,3/2/2006,8/16/2010,Y,WWW.RREEF.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Other (specify),UK LIMITED COMPANY,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"7,916,300,000.00",0,"7,916,300,000.00",24,0,24,N,N,Y,Y,N,Y,N,N,N,Y,POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
HQ,131113,801-63103,OAK TREE GLOBAL FINANCIAL SERVICES LLP,OAK TREE GLOBAL FINANCIAL SERVICES LLP,,,,,,,(555) 596-2382,(555) 596-2392,,,,,,,Approved,5/7/2004,3/12/2007,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,"29,900,000.00",0,"29,900,000.00",13,0,13,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115193,801-64754,"NUMBERS BY TOM PASKE & DIANE KRAMER, INC.","NUMBERS BY TOM PASKE & DIANE KRAMER, INC.",7900 TELEGRAPH ROAD,,BLOOMINGTON,MN,UNITED STATES,55438,952-944-5577,952-941-9849,,,,,,,Approved,10/19/2005,8/16/2010,Y,WWW.NUMBERSFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"31,055,743.00","1,419,242.00","32,474,985.00",207,19,226,Y,Y,N,N,N,N,N,N,N,Y,BOOKKEEPING FOR INDIVIDUALS AND SMALL CORPORATIONS,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,154735,801-71743,ARBOR INVESTMENT MANAGEMENT,"ARBOR INVESTMENT MANAGEMENT, LLC",3400 TRAVIS POINTE RD.,SUITE E,ANN ARBOR,MI,UNITED STATES,48108,734-429-8464,877-350-7415,,,,,,,120-Day Approval,8/9/2010,8/16/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,151327,801-71768,"BAYTREE FUNDING, LLC","BAYTREE FUNDING, LLC",1580 SAWGRASS CORPORATE PARKWAY,SUITE 130,SUNRISE,FL,UNITED STATES,33323,954-315-4754,954-241-6697,,,,,,,120-Day Approval,8/19/2010,8/16/2010,Y,WWW.BFCMINC.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,11-25 percent,26-50 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,Y,Y,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,Y,COMMERCIAL MORTGAGE LENDER,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,133184,801-63605,"GREAT GABLE PARTNERS, LP","GREAT GABLE PARTNERS, LP",601 CALIFORNIA STREET,SUITE 750,SAN FRANCISCO,CA,USA,94108,415-986-1116,415-986-4140,,,,,,,Approved,11/17/2004,8/16/2010,Y,WWW.GREATGABLEPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,RIA,Y,N,N,N,N,Y,N,,Y,"48,571,424.00",0,"48,571,424.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,1254,801-67179,"UMPQUA INVESTMENTS, INC.","UMPQUA INVESTMENTS, INC.",200 SW MARKET ST. SUITE 1900,,PORTLAND,OR,UNITED STATES,97201,503-226-7000,503-226-0202,,,,,,,Approved,9/28/2006,8/16/2010,Y,WWW.STRANDATKINSON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,51-250,0,Nov-50,0,51-250,0,0,0,More than 500,500,51-75 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"7,710,865.00","199,483,771.00","207,194,636.00",34,973,"1,007",Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,Y,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
HQ,120836,801-61257,SCOTIA ASSET MANAGEMENT U.S. INC.,SCOTIA ASSET MANAGEMENT U.S. INC.,SUITE 5200,40 KING STREET WEST,"TORONTO, ONTARIO",,CANADA,M5C 2W5,416-933-1900,416-933-7481,"P.O. BOX 85, SUITE 1200",ONE QUEEN STREET EAST,"TORONTO, ONTARIO",,CANADA,M5H 1H1,Approved,6/14/2002,8/16/2010,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"70,412,040.00",0,"70,412,040.00",144,0,144,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,144873,801-68300,"CENTERRIGGER, LLC","CENTERRIGGER, LLC",3575 HIGHWAY 17 BUSINESS,,MURRELLS INLET,SC,USA,29576,843-314-4190,609-895-7395,,,,,,,Approved,9/6/2007,3/31/2008,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"24,219,546.00","3,142,892.00","27,362,438.00",46,7,53,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,112892,801-60767,CREDIT SUISSE PRIVATE ADVISORS,CREDIT SUISSE PRIVATE ADVISORS AG,TESSINERPLATZ 7,,ZURICH,,SWITZERLAND,8070,41 44 334 0040,41 44 334 0060,TESSINERPLATZ 7,,ZURICH,,SWITZERLAND,8070,Approved,1/18/2002,8/16/2010,Y,WWW.CSPRIVATEADVISORS.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SWITZERLAND,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"510,336,167.00","1,272,411,128.00","1,782,747,295.00",156,584,740,N,Y,N,Y,N,N,Y,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,Y,N,N,N,N
NYRO,146382,801-68843,GLOVISTA INVESTMENTS LLC,GLOVISTA INVESTMENTS LLC,"ONE EVERTRUST PLAZA, 11TH FLOOR",,JERSEY CITY,NJ,UNITED STATES,7302,212-336-1540,201-839-4349,,,,,,,Approved,2/21/2008,8/16/2010,Y,WWW.GLOVISTA.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,11-25 percent,0 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"167,300,000.00",0,"167,300,000.00",62,0,62,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,132657,801-63576,"BAKER AVENUE ASSET MANAGEMENT, LP","BAKER AVENUE ASSET MANAGEMENT, LP",601 CALIFORNIA STREET,SUITE 750,SAN FRANCISCO,CA,UNITED STATES,94108,415-986-1110,415-986-4140,,,,,,,Approved,10/18/2004,8/16/2010,Y,HTTP://WWW.BAKERAVE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,500,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"510,000,000.00",0,"510,000,000.00",932,0,932,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146737,801-68936,WPN CORP.,WPN CORP.,110 EAST 59TH STREET,30TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-771-1250,212-355-5332,,,,,,,Approved,3/11/2008,8/16/2010,N,,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"900,000,000.00",0,"900,000,000.00",2,0,2,N,N,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,141515,801-67248,DIRECT RETIREMENT SOLUTIONS,"DR ADVISORY SERVICES, LLC",7 WEMBLEY COURT,,ALBANY,NY,UNITED STATES,12205-3911,518-362-2119,518-207-9041,,,,,,,Approved,10/17/2006,8/16/2010,Y,WWW.DIRECTRETIREMENT.NET,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"166,209,227.00","166,209,227.00",0,98,98,N,Y,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,154719,801-71774,ALTIUM WEALTH MANAGEMENT LLC,ALTIUM WEALTH MANAGEMENT LLC,28 SNOWDROP DRIVE,,NEW CITY,NY,UNITED STATES,10956,914-879-3411,973-325-7467,,,,,,,120-Day Approval,8/19/2010,8/16/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,0,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,Y,NEGOTIATED,N,0,0,0,0,0,0,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,REFER CLIENTS TO RELATED INSURANCE AGENT.,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,113015,801-71780,THE ADVISORS GROUP,JOHN HOWARD RUSSELL,5807 63RD STREET,,LUBBOCK,TX,UNITED STATES,79424,806-794-3848,806-794-3929,,,,,,,Approved,8/30/2010,8/16/2010,Y,WWW.THEADVISORSGROUP.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"36,979,409.00",0,"36,979,409.00",135,0,135,Y,Y,N,N,Y,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107469,801-57001,"METROPOLITAN WEST CAPITAL MANAGEMENT, LLC","METROPOLITAN WEST CAPITAL MANAGEMENT, LLC",610 NEWPORT CENTER DR STE 1000,,NEWPORT BEACH,CA,USA,92660,949-718-9701,949-718-1359,,,,,,,Approved,12/23/1999,8/16/2010,Y,WWW.MWCM.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,251-500,0,0 percent,51-75 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"13,017,800,000.00","1,047,500,000.00","14,065,300,000.00",443,8,451,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N
NYRO,122733,801-66682,"PHILADELPHIA INVESTMENT PARTNERS, LLC","PHILADELPHIA INVESTMENT PARTNERS, LLC",DEVONSHIRE,1233 HADDONFIELD-BERLIN RD. UNIT 7,VOORHEES,NJ,UNITED STATES,8043,856-210-6779,856-210-6789,,,,,,,Approved,6/26/2006,8/16/2010,Y,WWW.PIPLP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"24,000,000.00","54,000,000.00","78,000,000.00",25,95,120,N,Y,N,Y,N,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,131900,801-63320,"PRIVATE REALTY INVESTMENTS, INC.","PRIVATE REALTY INVESTMENTS, INC.",80 E SIR FRANCIS DRAKE BLVD,SUITE 4D,LARKSPUR,CA,USA,94939-1709,415-925-1375,415-925-1382,,,,,,,Approved,7/15/2004,3/31/2008,Y,WWW.PRII.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,Y,N,N,,Y,"33,760,591.00",0,"33,760,591.00",11,0,11,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,Y,N,N,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,121629,801-61890,"GENEVA INVESTMENT MANAGEMENT OF CHICAGO, LLC","GENEVA INVESTMENT MANAGEMENT OF CHICAGO, LLC",181 W. MADISON ST,SUITE 3575,CHICAGO,IL,UNITED STATES,60602-4690,312-422-1720,312-578-9302,,,,,,,Approved,3/17/2003,6/15/2010,Y,WWW.GIMLLC.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,10-Jun,0,More than 500,"2,500",51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,885,870,863.00","508,263,668.00","3,394,134,531.00","6,574","1,653","8,227",Y,Y,Y,Y,N,N,N,N,N,N,,26-50,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,113972,801-60527,STANDISH,STANDISH MELLON ASSET MANAGEMENT COMPANY LLC,BNY MELLON CENTER,"201 WASHINGTON STREET, SUITE 2900",BOSTON,MA,UNITED STATES,02108-4408,617-248-6000,617-248-6050,,,,,,,Approved,7/31/2001,6/15/2010,Y,HTTP://WWW.STANDISH.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,5-Jan,0,More than 500,"1,000",Up to 10 percent,26-50 percent,Up to 10 percent,26-50 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,INSURANCE RESERVES; NUCLEAR DECOMMISSIONING TRUSTS,Y,N,N,Y,N,Y,N,,Y,"45,450,489,026.00","523,180,154.00","45,973,669,180.00",751,13,764,N,Y,Y,Y,N,N,Y,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109629,801-55395,KCM INVESTMENT ADVISORS,"KCM INVESTMENT ADVISORS, LLC",750 LINDARO STREET,SUITE 250,SAN RAFAEL,CA,UNITED STATES,94901,415-461-7788,415-461-3531,,,,,,,Approved,5/8/1998,6/15/2010,Y,WWW.KCMADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,500,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,610,400,000.00",0,"2,610,400,000.00","1,744",0,"1,744",N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,140643,801-70927,"ARTIFEX FINANCIAL GROUP, LLC","ARTIFEX FINANCIAL GROUP, LLC",2305 FAR HILLS AVENUE,SUITE 206,OAKWOOD,OH,UNITED STATES,45419,937-660-8316,866-593-1626,,,,,,,Approved,1/4/2010,6/15/2010,Y,WWW.ARTIFEXFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"20,000,000.00","5,000,000.00","25,000,000.00",120,11,131,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135835,801-70728,"GLOBAL ARENA INVESTMENT MANAGEMENT, LLC","GLOBAL ARENA INVESTMENT MANAGEMENT, LLC",,,,,,,212-508-4700,212-949-1461,,,,,,,Approved,11/19/2009,6/15/2010,Y,WWW.GLOBALARENAIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"101,117,013.00",0,"101,117,013.00",224,0,224,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,123875,801-64060,"STEIN WHITTINGTON DENIEL INVESTMENT ADVISORS, INC.","STEIN WHITTINGTON DENIEL INVESTMENT ADVISORS, INC.",44600 VILLAGE COURT,SUITE 100,PALM DESERT,CA,UNITED STATES,92260-3802,760-776-1488,760-776-5778,,,,,,,Approved,3/29/2005,6/15/2010,Y,WWW.SWDINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"45,009,531.00",0,"45,009,531.00",167,0,167,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,18389,801-63277,MADDEN ASSET MANAGEMENT,MADDEN SECURITIES CORPORATION,1901 N. AKARD STREET,,DALLAS,TX,UNITED STATES,75201-2305,214-855-5335,214-855-5024,,,,,,,Approved,6/24/2004,6/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"190,040,954.00","48,198,650.00","238,239,604.00",260,22,282,N,Y,N,N,Y,Y,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,151518,801-70612,KV SERVICES II LIMITED,KV SERVICES II LIMITED,UGLAND HOUSE,SOUTH CHURCH STREET,GEORGETOWN,,CAYMAN ISLANDS,KY1-1104,345-949-8066,345-949-8080,489 FIFTH AVENUE,29TH FLOOR,NEW YORK,NY,UNITED STATES,10017,Approved,12/4/2009,6/15/2010,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),CAYMAN COMPANY LIMITED BY SHARES,,CAYMAN ISLANDS,Nov-50,0,Nov-50,0,0,0,Nov-50,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,Y,PAID TO AN AFFILIATE OF KV SERVICES II LIMITED,Y,"194,369,861.00",0,"194,369,861.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,128130,801-62394,KV SERVICES LIMITED,KV SERVICES LIMITED,UGLAND HOUSE SOUTH CHURCH STREET,,GEORGE TOWN,,CAYMAN ISLANDS,,(345) 949-8066,,"KV SERVICES (USA), INC.",489 FIFTH AVENUE,NEW YORK,NY,UNITED STATES,10017-6100,Approved,10/16/2003,6/15/2010,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),CAYMAN ISLANDS COMPANY LIMITED BY SHARES,,CAYMAN ISLANDS,Nov-50,0,Nov-50,0,0,0,Nov-50,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,26-50 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,Y,PAID TO AN AFFILIATE OF KV SERVICES LIMITED,Y,"1,401,059,106.00","603,756,256.00","2,004,815,362.00",10,3,13,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,123904,801-70619,NOLLENBERGER CAPITAL INVESTMENT ADVISORY INC.,"NOLLENBERGER CAPITAL INVESTMENT ADVISORY, INC.",101 CALIFORNIA ST. SUITE 3100,,SAN FRANCISCO,CA,UNITED STATES,94111,415-402-6000,415-402-6099,,,,,,,Approved,10/8/2009,6/15/2010,Y,WWW.NCPI.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,277,165.00",0,"1,277,165.00",7,0,7,N,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
PLRO,147048,801-69525,NEWTON ONE ADVISORS,"NEWTON ONE ADVISORS, LLC",131 CONTINENTAL DRIVE,SUITE 206,NEWARK,DE,UNITED STATES,19713,302-731-1326,302-455-9089,,,,,,,Approved,9/12/2008,6/15/2010,Y,WWW.NEWTONONEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"130,194,254.00",0,"130,194,254.00",343,0,343,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,126603,801-62333,"KR FINANCIAL SERVICES, INC.","KR FINANCIAL SERVICES, INC.",4000 HOLLYWOOD BOULEVARD,SUITE 215 SOUTH,HOLLYWOOD,FL,USA,33021-6754,954-989-7462,954-962-1021,,,,,,,Approved,9/5/2003,6/15/2010,Y,KRFINANCIALSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"115,064,099.00",0,"115,064,099.00",456,0,456,Y,Y,N,Y,Y,Y,N,N,N,Y,THIRD PARTY ADMINISTRATOR FEES,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,118035,801-69400,BRUCE COLIN AND COMPANY,"COLIN, BRUCE TED",,,,,,,310-378-4355,310-378-8635,,,,,,,Approved,7/8/2008,6/15/2010,Y,WWW.BRUCECOLIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"47,035,591.00","47,035,591.00",0,47,47,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,127506,801-71586,"DAVENPORT WATTS & DRAKE INVESTMENT ADVISORS, LLC","DAVENPORT WATTS & DRAKE INVESTMENT ADVISORS, LLC",234 W. SCHOOL STREET,,RIDGELAND,MS,UNITED STATES,39157,601-898-8069,601-853-8087,P.O. BOX 2658,,RIDGELAND,MS,UNITED STATES,39158,Approved,6/21/2010,6/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"30,281,849.00",0,"30,281,849.00",162,0,162,Y,Y,N,N,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,153401,801-71472,ORACLE INVESTMENT RESEARCH,"BALTER, LAURENCE ISAAC",,,,,,,253-303-0164,877-596-5405,,,,,,,Approved,6/2/2010,6/16/2010,Y,WWW.BALTERWEALTHMANAGEMENT.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Sole Proprietorship,,WA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,113516,801-63003,"ASSET PRESERVATION STRATEGIES, INC.","ASSET PRESERVATION STRATEGIES, INC.","3636 NOBEL DRIVE, SUITE 440",,SAN DIEGO,CA,USA,92122-1042,858-455-1825,858-455-6211,,,,,,,Approved,4/13/2004,6/16/2010,Y,WWW.ASSET-PRESERVATION.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,0,"57,320,078.00","57,320,078.00",0,334,334,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,Y,N,N,N,N,N,N,N,,N,Y,N,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,113423,801-61104,HINDUJA CAPITAL ADVISORS INC,HINDUJA CAPITAL ADVISORS INC,535 MADISON AVENUE,12TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-355-0755,212-355-0390,,,,,,,Approved,4/24/2002,6/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"128,227,227.00","128,227,227.00",0,1,1,N,N,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
LARO,111475,801-57542,STRATEGIC FINANCIAL,STRATEGIC CAPITAL MANAGEMENT INC,10681 FOOTHILL BLVD,SUITE 301,RANCHO CUCAMONGA,CA,UNITED STATES,91730,909-373-2885,909-373-2820,,,,,,,Approved,5/2/2000,6/16/2010,Y,WWW.STRATFINAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,26-50 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"16,966,376.00","12,652,513.00","29,618,889.00",73,456,529,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111458,801-61944,COOPER MCMANUS,COOPER FINANCIAL GROUP,9870 RESEARCH DRIVE,,IRVINE,CA,USA,92618,800-516-5333,800-516-4319,,,,,,,Approved,4/7/2003,6/16/2010,Y,WWW.COOPERMCMANUS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"1,200",11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"207,028,893.00","1,067,094.00","208,095,987.00","1,184",1,"1,185",Y,Y,N,Y,N,Y,N,N,N,Y,SEMINARS,25-Nov,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,154268,801-71597,SAMRAH ADVISORY SERVICES,SAMRAH INVESTMENT MANAGEMENT COMPANY,33 BLOOMFIELD HILLS PARKWAY,SUITE 200,BLOOMFIELD HILLS,MI,UNITED STATES,48304,248-502-1212,248-502-1140,,,,,,,Approved,6/21/2010,6/16/2010,Y,WWW.SAMRAH.BIZ,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"50,000,000.00",0,"50,000,000.00",120,0,120,N,Y,N,N,N,N,N,N,N,Y,CUSTOMIZED BALANCE SHEET AND CASH FLOW ANALYSIS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,121158,801-62343,NAPA VALLEY WEALTH MANAGEMENT,"NAPA VALLEY WEALTH MANAGEMENT, INC.",1127 POPE STREET,SUITE 101,ST. HELENA,CA,UNITED STATES,94574,707-963-5096,707-967-3085,,,,,,,Approved,9/22/2003,6/16/2010,Y,WWW.NAPAVALLEYWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"118,332,000.00",0,"118,332,000.00",387,0,387,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153417,801-71521,RAMIUS TRADING STRATEGIES LLC,RAMIUS TRADING STRATEGIES LLC,599 LEXINGTON AVE.,19TH FL.,NEW YORK,NY,UNITED STATES,10022,212-845-7900,212-845-7998,,,,,,,Approved,6/17/2010,6/17/2010,Y,WWW.COWEN.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"24,922,870.00",0,"24,922,870.00",2,0,2,N,N,N,N,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110432,801-44118,SG ASSET MANAGEMENT (SINGAPORE) LTD,SG ASSET MANAGEMENT (SINGAPORE) LTD,80 ROBINSON ROAD,#13-03,SINGAPORE,,SINGAPORE,68898,065-6326-7979,065-6224-2752,,,,,,,Approved,7/30/1993,6/16/2010,Y,AMUNDI.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SINGAPORE,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,FRONT-END FEES,Y,"1,799,467,323.00","346,922,317.00","2,146,389,640.00",26,9,35,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT MANAGEMENT OF COLLECTIVE INVESTMENT SCHEMES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,104931,801-20248,EVERGREEN CAPITAL MANAGEMENT LLC,EVERGREEN CAPITAL MANAGEMENT LLC,10500 NE 8TH STREET,SUITE 950,BELLEVUE,WA,UNITED STATES,98004,425-467-4600,425-467-4606,,,,,,,Approved,12/1/1983,6/17/2010,Y,EVERGREENCAPITAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,10-Jun,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,ENDOWMENT TRUST FUNDS,Y,N,N,Y,N,N,N,,Y,"520,306,960.00","150,274,852.00","670,581,812.00",736,87,823,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,110209,801-60081,"BAYSHORE CAPITAL ADVISORS, LLC","BAYSHORE CAPITAL ADVISORS, LLC",1700 SOUTH MACDILL AVENUE,SUITE 340,TAMPA,FL,UNITED STATES,33629,813-221-3400,813-221-3405,,,,,,,Approved,3/9/2001,6/17/2010,Y,WWW.BAYSHORECAPITAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"48,736,745.00","597,652.00","49,334,397.00",49,1,50,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,141020,801-66956,AMOEBA CAPITAL PARTNERS PTE. LTD.,AMOEBA CAPITAL PARTNERS PTE. LTD.,20 RAFFLES PLACE,#13-08 OCEAN TOWERS,SINGAPORE,,SINGAPORE,48620,65-6877-6900,65-6877-6906,,,,,,,Approved,6/27/2006,6/17/2010,Y,WWW.AMOEBACAPITAL.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SINGAPORE,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"190,000,000.00",0,"190,000,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,114975,801-70323,"SHOBE & ASSOCIATES, INC","SHOBE & ASSOCIATES, INC",8280 YMCA PLAZA DRIVE,BUILDING 4,BATON ROUGE,LA,UNITED STATES,70810,225-763-7010,225-763-7040,,,,,,,Approved,6/23/2009,6/17/2010,Y,WWW.SHOBE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,LA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISORY FEES,Y,"75,983,492.00","24,379,668.00","100,363,160.00",189,16,205,Y,Y,N,N,Y,Y,N,N,N,Y,BUSINESS CONSULTING,101-250,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,152742,801-71037,SANDSTONE ASSET MANAGEMENT INC.,SANDSTONE ASSET MANAGEMENT INC.,"115-101,6TH STREET SW",,CALGARY,,"ALBERTA, CANADA",T2P 5K7,403-218-6125,403-263-2270,,,,,,,Approved,1/27/2010,6/17/2010,Y,WWW.SANDSTONEAM.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"ALBERTA, CANADA",5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"183,000,000.00","6,000,000.00","189,000,000.00",140,22,162,N,Y,N,N,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,142595,801-67499,"DISCOVERY FINANCIAL GROUP, LLC","DISCOVERY FINANCIAL GROUP, LLC",707 WEST DEKAKLB PIKE,,KING OF PRUSSIA,PA,UNITED STATES,19406,610-398-9700,484-681-5199,,,,,,,Approved,2/15/2007,3/31/2009,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,Y,COMMISSION FROM INSURANCE,Y,"16,503,286.00","2,502,477.00","19,005,763.00",86,41,127,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137350,801-65654,"RCG STARBOARD ADVISORS, LLC",RAMIUS VALUE AND OPPORTUNITY ADVISORS LLC,599 LEXINGTON AVE,21ST FLOOR,NEW YORK,NY,UNITED STATES,10022,212-845-7900,212-845-7986,,,,,,,Approved,1/27/2006,6/17/2010,Y,WWW.RAMIUS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"125,459,862.00",0,"125,459,862.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,29102,801-68376,"TAGLICH BROTHERS, INC.","TAGLICH BROTHERS, INC.",790 NEW YORK AVENUE,SUITE 209,HUNTINGTON,NY,UNITED STATES,11743,631-757-1500,631-757-1333,,,,,,,Approved,11/6/2007,6/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"92,822,197.00","92,822,197.00",0,265,265,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,Y,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
FWRO,146775,801-71601,"STONEBRIDGE WEALTH MANAGEMENT, LLC","STONEBRIDGE WEALTH MANAGEMENT, LLC",6860 N. DALLAS PARKWAY,SUITE 200,PLANO,TX,UNITED STATES,75024,214-618-4797,214-618-4593,,,,,,,Approved,6/30/2010,6/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"38,840,173.00",0,"38,840,173.00",54,0,54,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110387,801-31049,THE MUTUAL FUND PUBLIC COMPANY LIMITED,MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED,"COLUMN TOWER,G/F AND 21ST-23RD FLOORS,",199 RATCHADAPHISEK RD,BANGKOK,,THAILAND,10110,(662)-649-2000,(662)-649-2106,"COLUMN TOWER,G/F AND 21ST-23RD FLOORS,",199 RATCHADAPHISEK RD,BANGKOK,,THAILAND,10110,Approved,1/12/1988,6/17/2010,Y,WWW.MFCFUND.COM,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,Other (specify),PUBLIC COMPANY LIMITED,,THAILAND,51-250,0,Nov-50,0,0,0,Nov-50,0,101-250,0,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,PROVIDENT FUND,Y,N,N,Y,N,Y,Y,REGISTRAR FEE,Y,"4,327,912,000.00","2,721,024,000.00","7,048,936,000.00",99,79,178,N,Y,Y,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,Y,ASSET MANAGEMENT UNDER THAI LAW AND CONSULTANT,N,Y,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,133471,801-63749,"THIRD COAST CAPITAL MANAGEMENT, L.P.","THIRD COAST CAPITAL MANAGEMENT, L.P.",5914 WEST COURTYARD DRIVE,SUITE 190,AUSTIN,TX,UNITED STATES,78730,512-306-0409,512-306-0267,,,,,,,Approved,1/3/2005,6/17/2010,Y,WWW.THIRDCOASTCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"44,834,263.00",0,"44,834,263.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT TO INVESTMENT PARTNERSHIPS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,153286,801-71603,"JOHN C. FOTI, DBA EXPERIENT PORTFOLIO MANAGEMENT","JOHN C. FOTI, DBA EXPERIENT PORTFOLIO MANAGEMENT",,,,,,,661-579-9909,661-206-8950,,,,,,,120-Day Approval,7/16/2010,6/17/2010,Y,WWW.EXPERIENTFINANCIAL.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104796,801-28445,CLARK CAPITAL MANAGEMENT GROUP INC,CLARK CAPITAL MANAGEMENT GROUP INC,"ONE LIBERTY PLACE, 53RD FLOOR",1650 MARKET STREET,PHILADELPHIA,PA,USA,19103,[215]569-2224,[215]569-3639,,,,,,,Approved,12/9/1986,6/17/2010,Y,WWW.CCMG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,51-250,0,More than 500,"4,000",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,965,806,405.00",0,"1,965,806,405.00","6,042",0,"6,042",N,Y,N,Y,N,Y,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105726,801-6273,THOMPSON SIEGEL & WALMSLEY LLC,THOMPSON SIEGEL & WALMSLEY LLC,6806 PARAGON PLACE,SUITE 300,RICHMOND,VA,UNITED STATES,23230,804-353-4500,804-353-0925,P.O. BOX 6883,,RICHMOND,VA,UNITED STATES,23230,Approved,1/17/1970,6/17/2010,Y,WWW.TSWINVEST.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"8,500",Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,WRAP FEE PROGRAMS,Y,N,N,N,N,Y,N,,Y,"7,409,584,684.00","688,444.00","7,410,273,128.00","8,587",5,"8,592",Y,Y,Y,Y,N,N,N,N,N,Y,UMA,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110403,801-57802,DYNAMIC WEALTH MANAGEMENT,DYNAMIC WEALTH MANAGEMENT,"CASTLE WALK OFFICE PARK,BLOCK B",CNR NOSSOB & SWAKOP STS.,"ERASMUSKLOOF,PRETORIA EAST, GAUTENG",,SOUTH AFRICA,48,011-27-12-484-2000,011-27-12-484-2001,P.O. BOX 11657,,ERASMUSKLOOF,,SOUTH AFRICA,48,Approved,8/2/2000,6/1/2006,Y,WWW.DYNAMIC.CO.ZA,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),(PTY)LIMITED COMPANY,,SOUTH AFRICA,51-250,0,Nov-50,0,0,0,51-250,0,More than 500,"2,500",0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"30,000,000.00",0,"30,000,000.00","1,000",0,"1,000",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,Y,ASSET MANAGER,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,3140,801-13457,"W. H. REAVES & CO., INC.","W. H. REAVES & CO., INC.","10 EXCHANGE PLACE, 18TH FLOOR",,JERSEY CITY,NJ,UNITED STATES,7302,201-332-4596,201-332-8593,,,,,,,Approved,10/1/1977,6/22/2010,Y,WWW.WHREAVES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"1,000",Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,"REG. INVESTMENT ADVISER, FOUNDATIONS",Y,N,N,N,Y,N,Y,PERCENTAGE OF ASSETS MANAGED BY OTHERS USING OUR MODEL (UMA),Y,"1,579,575,320.00",0,"1,579,575,320.00",985,0,985,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,Y,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
SFRO,146629,801-69633,KKR ASSET MANAGEMENT,KKR ASSET MANAGEMENT LLC,555 CALIFORNIA STREET,50TH FLOOR,SAN FRANCISCO,CA,UNITED STATES,94104,415-315-3620,415-391-3077,,,,,,,Approved,10/15/2008,6/22/2010,Y,WWW.KKRFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"14,759,942,000.00",0,"14,759,942,000.00",11,0,11,N,N,N,Y,N,N,N,N,N,Y,CLIENTS ALSO INCLUDE PRIVATE AND U.S. LISTED POOLED INVESTMENT VEHICLES,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110898,801-32996,MRM ASSET ALLOCATION GROUP INC,MRM ASSET ALLOCATION GROUP INC,12400 OLIVE BOULEVARD,SUITE 305,ST LOUIS,MO,UNITED STATES,63141,314-628-1100,314-205-1641,,,,,,,Approved,10/14/1988,6/23/2010,Y,WWW.MRMINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,Nov-50,0,More than 500,500,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,SALE OF RESEARCH TO OTHER INVESTMENT ADVISORS,Y,N,N,N,N,N,Y,PAYMENT FOR RESEARCH PROVIDED TO OTHER ADVISORS.,Y,"103,558,731.00",0,"103,558,731.00",621,0,621,N,Y,N,Y,N,N,N,N,N,Y,PROVIDE RESEARCH TO OTHER ADVISORS.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,113463,801-40177,CREDIT SUISSE ASSET MANAGEMENT LIMITED,CREDIT SUISSE ASSET MANAGEMENT LIMITED,ONE CABOT SQUARE,,LONDON (ENGLAND),,UNITED KINGDOM,E14 4QJ,++44 20 7888 1000,++44 20 7883 9490,,,,,,,Approved,11/15/1991,6/23/2010,Y,HTTP://UK.CSAM.COM/UK/DEFAULT.ASP,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,51-250,0,51-250,0,0,0,0,0,26-100,0,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,556,419,059.00","202,297,688.00","1,758,716,747.00",10,2,12,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N
PLRO,107876,801-55813,HAMILTON LANE,HAMILTON LANE ADVISORS LLC,"ONE PRESIDENTIAL BOULEVARD, 4TH FLOOR",,BALA CYNWYD,PA,UNITED STATES,19004,610-934-2222,610-617-9853,,,,,,,Approved,8/24/1998,6/23/2010,Y,WWW.HAMILTONLANE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,51-250,0,51-250,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,Up to 10 percent,0 percent,51-75 percent,11-25 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,AFFILIATED FUND MANAGERS AND ENDOWMENTS,Y,N,N,Y,N,Y,N,,Y,"6,410,116,780.00","37,889,106,114.00","44,299,222,894.00",71,43,114,N,N,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,107015,801-38202,"D.A.C. DAVIS INVESTMENT COUNSEL, INC.","D.A.C. DAVIS INVESTMENT COUNSEL, INC.",95 ST. CLAIR AVENUE WEST,SUITE 1400,TORONTO ONTARIO,,CANADA,M4V 1N6,416-961-2494,416-925-1215,,,,,,,Approved,1/31/1991,6/23/2010,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,10-Jun,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"5,108,335.00",0,"5,108,335.00",14,0,14,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,13905,801-60841,"CANTELLA & CO., INC.","CANTELLA & CO., INC.",2 OLIVER STREET,,BOSTON,MA,UNITED STATES,2109,617-521-8630,617-521-8604,,,,,,,Approved,3/28/2002,6/23/2010,Y,CANTELLA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"2,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"137,179,251.00","251,301,465.00","388,480,716.00",840,933,"1,773",Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,Y,Y,Y,Y,N,N,Y,N,N,,N,,N,Y,N,Y,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,N,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,Y,N,N,N,Y
PLRO,144926,801-69106,"BUTTONWOOD FINANCIAL ADVISORS, INC.","BUTTONWOOD FINANCIAL ADVISORS, INC.",5850 WATERLOO ROAD,STE. 140,COLUMBIA,MD,UNITED STATES,21045,888-706-9232,888-906-9232,,,,,,,Approved,4/18/2008,6/23/2010,Y,WWW.BUTTONWOODFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"41,229,000.00","1,900,500.00","43,129,500.00",254,2,256,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,142911,801-69359,METROPOLITAN CAPITAL STRATEGIES LLC,METROPOLITAN CAPITAL STRATEGIES LLC,10655 LOMOND DRIVE,SUITE 105,MANASSAS,VA,USA,20109,571-379-8586,703-368-8838,,,,,,,Approved,7/24/2008,6/23/2010,Y,WWW.MCSMGR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"65,227,768.00",0,"65,227,768.00",162,0,162,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,112660,801-57494,STRUCTURED CREDIT PARTNERS LLC,STRUCTURED CREDIT PARTNERS LLC,301 S COLLEGE STREET NC0602,,CHARLOTTE,NC,UNITED STATES,28288-0600,(704) 715-9636,(704) 383-0126,,,,,,,Approved,4/21/2000,6/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,090,108,979.00",0,"3,090,108,979.00",11,0,11,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,39550,801-61902,CCO INVESTMENT SERVICES CORP.,CCO INVESTMENT SERVICES CORP.,28 STATE STREET,MAIL STOP MS-1310,BOSTON,MA,UNITED STATES,2109,617-994-7544,617-994-7613,1200 HANCOCK STREET,KEVIN FEIN - MHK110,QUINCY,MA,UNITED STATES,2169,Approved,3/27/2003,6/23/2010,Y,WWW.CITIZENSBANK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,RI,UNITED STATES,251-500,0,51-250,0,251-500,0,0,0,More than 500,"1,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"498,338,142.00","498,338,142.00",0,"3,933","3,933",N,N,N,N,N,Y,N,N,N,Y,PARTICIPATE IN WRAP FEE PROGRAM,0,,Y,N,Y,N,N,N,Y,N,N,,N,,Y,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
CHRO,44402,801-55588,GOELZER INVESTMENT MANAGEMENT,"GOELZER INVESTMENT MANAGEMENT, INC.","111 MONUMENT CIRCLE, SUITE 500",,INDIANAPOLIS,IN,USA,46204-2990,317-264-2600,317-264-2601,,,,,,,Approved,6/30/1998,6/23/2010,Y,WWW.GOELZERINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,700,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"436,888,542.00","16,013,899.00","452,902,441.00",679,26,705,Y,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,Y,Y,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,N,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,249,801-887,OPPENHEIMER & CO. INC.,OPPENHEIMER & CO. INC.,"200 PARK AVENUE, 24TH FLR.",,NEW YORK,NY,UNITED STATES,10166,212-667-4225,212-667-4975,,,,,,,Approved,2/9/1955,6/23/2010,Y,WWW.OPCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,More than 1000,"3,000",501-1000,0,More than 1000,"3,000",Nov-50,0,More than 500,"3,500",Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,Y,N,,Y,"3,001,400,081.00","1,889,136,126.00","4,890,536,207.00","5,053","5,592","10,645",Y,Y,N,Y,Y,N,N,N,N,N,,251-500,,Y,Y,Y,N,Y,N,Y,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,Y,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,Y,N,N,N,N
BRO,107312,801-47459,"METLIFE ADVISERS, LLC","METLIFE ADVISERS, LLC",501 BOYLSTON STREET,,BOSTON,MA,USA,2116,617-578-2410,617-578-2324,,,,,,,Approved,9/21/1994,6/23/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,More than 500,"16,000",More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,"FOR SERVICES DESCRIBED IN ITEM 5 (G)(10), THERE IS NO FEE.",Y,"79,300,000,000.00","1,800,000,000.00","81,100,000,000.00",84,"16,170","16,254",N,N,Y,N,N,Y,N,N,N,Y,ASSET ALLOCATION SERVICES FOLLOWING THE RECOMMENDATIONS OF AN INDEPENDENT THIRD-PARTY CONSULTANT.,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,Y,N
PLRO,109156,801-60055,"JEFF HARRIS & ASSOCIATES, INC.","JEFF HARRIS & ASSOCIATES, INC.","410 NEFF AVE.,",STE 200,HARRISONBURG,VA,UNITED STATES,22801,540-574-2508,540-433-3561,P.O. BOX 1590,,YORK,SC,UNITED STATES,29745,Approved,4/3/2001,6/23/2010,Y,WWW.JEFFHARRISRIA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,FINANCIAL PLANNING FEES,Y,"30,600,000.00","7,200,000.00","37,800,000.00",99,57,156,Y,Y,N,N,Y,Y,N,N,N,Y,NONSECURITIES RELATED ADVISE,51-100,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106524,801-49615,ZESIGER CAPITAL GROUP LLC,ZESIGER CAPITAL GROUP LLC,460 PARK AVE 22ND FLOOR,,NEW YORK,NY,UNITED STATES,10022,212-508-6300,212-508-6399,,,,,,,Approved,7/12/1995,6/23/2010,Y,HTTP://WWW.ZESIGERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,LIMITED PARTNERSHIPS,Y,N,N,N,N,N,N,,Y,"728,910,141.00","569,114.00","729,479,255.00",110,1,111,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,131562,801-71182,"HOLLEN FINANCIAL PLANNING, LTD.","HOLLEN FINANCIAL PLANNING, LTD.",4741 CAUGHLIN PARKWAY,SUITE 3,RENO,NV,UNITED STATES,89519,775-827-0670,775-827-6481,PO BOX 6629,,RENO,NV,UNITED STATES,89513,Approved,3/9/2010,6/23/2010,Y,WWW.HOLLENFINANCIALPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"47,211,529.00",0,"47,211,529.00",149,0,149,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137992,801-65047,PCE INVESTORS LIMITED,PCE INVESTORS LIMITED,5-11 REGENT STREET,,LONDON,,UNITED KINGDOM,SW1Y 4LR,+44(0)2074519600,+44(0)2078393955,,,,,,,Approved,1/25/2006,6/23/2010,Y,WWW.PCEINVESTORS.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"522,000,000.00",0,"522,000,000.00",12,0,12,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,119508,801-66128,"MAAS CAPITAL ADVISORS, LLC","MAAS CAPITAL ADVISORS, LLC",351 NW 12TH AVENUE,,PORTLAND,OR,UNITED STATES,97209,888-354-6227,,P.O. BOX 312,,FOREST GROVE,OR,UNITED STATES,97116,Approved,1/31/2006,6/23/2010,Y,WWW.MAASCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"29,600,000.00","29,600,000.00",0,47,47,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,111964,801-58253,THE BOGDAHN GROUP,"BOGDAHN CONSULTING, LLC.",4901 VINELAND ROAD,SUITE 600,ORLANDO,FL,UNITED STATES,32811,863-293-8289,863-292-8717,,,,,,,Approved,1/10/2001,6/23/2010,Y,WWW.BOGDAHNGROUP.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,251-500,0,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,Y,INVESTMENT AND FIDUCIARY GOVERNANCE CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
FWRO,109706,801-32442,"GARRISON ASSET MANAGEMENT, LLC","GARRISON ASSET MANAGEMENT, LLC","605 W. DICKSON, SUITE 201",,FAYETTEVILLE,AR,UNITED STATES,72701,479-587-1045,479-587-1257,,,,,,,Approved,7/27/1988,6/23/2010,Y,WWW.GARNERASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AR,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"191,376,927.00",0,"191,376,927.00",560,0,560,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,130449,801-63190,"COURAGE CAPITAL MANAGEMENT, LLC","COURAGE CAPITAL MANAGEMENT, LLC","4400 HARDING ROAD, SUITE 503",,NASHVILLE,TN,UNITED STATES,37205,615-369-0110,615-298-7529,,,,,,,Approved,5/21/2004,6/23/2010,Y,WWW.COURAGECAP.COM   (PASSWORD PROTECTED),Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"548,275,860.00",0,"548,275,860.00",8,0,8,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES AND CHARITABLE ORGANIZATIONS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,153630,801-71431,"IUR CAPITAL, LLC","IUR CAPITAL, LLC",1 BERKELEY STREET,,LONDON,,UNITED KINGDOM,W1J 8DJ,4.47875E+11,4.4207E+11,,,,,,,Approved,5/25/2010,5/4/2010,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112017,801-57599,PORTFOLIO CONSULTING GROUP INC,PORTFOLIO CONSULTING GROUP INC,6333 RT 298,,EAST SYRACUSE,NY,UNITED STATES,13057,315.414.0515,315.414.0340,,,,,,,Approved,5/19/2000,5/4/2010,Y,WWW.PORTFOLIOCONSULTINGGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"73,170,000.00",0,"73,170,000.00",458,0,458,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,153019,801-71433,QL ANALYTICS,QL ANALYTICS,354 W. LANCASTER AVE.,SUITE 200,WAYNE,PA,UNITED STATES,19087,610-341-9451,610-341-9455,,,,,,,Approved,5/10/2010,5/4/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"10,930,000.00",0,"10,930,000.00",2,0,2,N,Y,Y,Y,N,Y,N,N,Y,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,136839,801-68827,"MJC ADVISORS, LLC","MJC ADVISORS, LLC",,,,,,,410-458-4934,410-494-2556,,,,,,,Approved,2/20/2008,5/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,0,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"30,000,000.00",0,"30,000,000.00",121,0,121,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,35545,801-67983,"ADVANCED EQUITIES, INC.","ADVANCED EQUITIES, INC.",311 SOUTH WACKER,SUITE 1650,CHICAGO,IL,USA,60606,312-377-5300,312-377-5314,,,,,,,Approved,6/20/2007,5/4/2010,Y,WWW.ADVANCEDEQUITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,51-250,0,Nov-50,0,51-250,0,0,0,101-250,0,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"1,007,480,521.00","1,007,480,521.00",0,194,194,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,Y,N,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,Y
PLRO,134740,801-64076,KENDALL CAPITAL MANAGEMENT,KENDALL CAPITAL MANAGEMENT,20 COURTHOUSE SQUARE,SUITE 216,ROCKVILLE,MD,UNITED STATES,20850,301-838-9110,301-838-9113,,,,,,,Approved,3/25/2005,5/4/2010,Y,WWW.KENDALLCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"46,198,000.00",0,"46,198,000.00",92,0,92,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105508,801-18799,"SCHARF INVESTMENTS, LLC","SCHARF INVESTMENTS, LLC",340 SOQUEL AVENUE SUITE 115,,SANTA CRUZ,CA,UNITED STATES,95062-2328,831-429-6513,831-429-5216,,,,,,,Approved,5/6/1983,5/4/2010,Y,WWW.SCHARFINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"750,196,836.00",0,"750,196,836.00","1,004",0,"1,004",N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,143767,801-69701,"MCDONOUGH CAPITAL MANAGEMENT, INC.","MCDONOUGH CAPITAL MANAGEMENT, INC.",6000 TURKEY LAKE ROAD,SUITE 212,ORLANDO,FL,UNITED STATES,32819,407-248-9647,407-248-9755,,,,,,,Approved,10/27/2008,5/4/2010,Y,WWW.MCDONOUGHCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"13,889,202.00","52,864,982.00","66,754,184.00",65,389,454,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,137610,801-64820,"SANDS CAPITAL MANAGEMENT, LLC","SANDS CAPITAL MANAGEMENT, LLC",1101 WILSON BLVD.,SUITE 2300,ARLINGTON,VA,UNITED STATES,22209,(703) 562-4000,(703) 562-4001,,,,,,,Approved,11/4/2005,5/4/2010,Y,WWW.SANDSCAPITAL.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,More than 500,"2,000",26-50 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"13,867,064,369.00",0,"13,867,064,369.00","1,950",0,"1,950",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105483,801-26953,"HEITMAN ENDOWMENT ADVISORS, L.P.","HEITMAN ENDOWMENT ADVISORS, L.P.",191 N. WACKER DRIVE,SUITE 2500,CHICAGO,IL,UNITED STATES,60606-1615,312 855-5700,312-629-5840,,,,,,,Approved,5/15/1986,5/4/2010,Y,WWW.HEITMAN.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Partnership,,IL,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"397,354.00",0,"397,354.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105492,801-25730,HEITMAN INSTITUTIONAL ADVISORS,HEITMAN INSTITUTIONAL ADVISORS,191 N. WACKER DRIVE,SUITE 2500,CHICAGO,IL,UNITED STATES,60606-1615,312 855-5700,312 855-5582,,,,,,,Approved,5/15/1986,5/4/2010,Y,WWW.HEITMAN.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Partnership,,IL,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"361,564.00",0,"361,564.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105480,801-15473,HEITMAN CAPITAL MANAGEMENT LLC,HEITMAN CAPITAL MANAGEMENT LLC,191 N. WACKER DRIVE,SUITE 2500,CHICAGO,IL,UNITED STATES,60606-1615,(312) 855-5700,(312) 629-5840,,,,,,,Approved,9/3/1980,5/4/2010,Y,WWW.HEITMAN.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,IA,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,51-75 percent,0 percent,,Y,N,N,Y,N,Y,Y,ACQUISITON AND DISPOSITION FEES,Y,"4,861,372,980.00","5,666,911,442.00","10,528,284,422.00",7,7,14,N,N,N,Y,N,N,Y,N,N,Y,ACQUISITON AND DISPOSTION OF REAL ESTATE,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147578,801-69394,SIGNALPOINT ASSET MANAGEMENT LLC,SIGNALPOINT ASSET MANAGEMENT LLC,1201 E. WALNUT ST.,,SPRINGFIELD,MO,UNITED STATES,65802,417-869-9980,417-869-9987,,,,,,,Approved,7/21/2008,5/4/2010,Y,WWW.SIGNALPOINTINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,Nov-50,0,5-Jan,0,0,0,10-Jun,0,26-100,0,More than 75 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"60,480,000.00","77,608,000.00","138,088,000.00",229,334,563,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,151295,801-71435,"PRESTIGE CAPITAL ADVISORS, LLC","PRESTIGE CAPITAL ADVISORS, LLC",112 NORTH TRYON STREET,SUITE 900,CHARLOTTE,NC,UNITED STATES,28202,404-759-5699,,,,,,,,120-Day Approval,5/14/2010,5/4/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,Y,Y,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109239,801-57057,"BROOKLINE INVESTMENTS, INC.","BROOKLINE INVESTMENTS, INC.","2501 20TH PLACE SOUTH, SUITE 275",,BIRMINGHAM,AL,UNITED STATES,35223,205-263-2332,205-639-5678,,,,,,,Approved,12/16/1999,5/5/2010,Y,BROOKLINEINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"174,569,981.00","8,782,404.00","183,352,385.00",41,10,51,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,Y,N,N,N,Y,N,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,140532,801-66740,NAVIGATOR RETIREMENT PLANS AND INVESTMENTS,"ROBERTS, JERRY RAY",,,,,,,936-435-0029,936-435-1790,,,,,,,Approved,5/31/2006,5/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,More than 75 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,0,"36,000,000.00","36,000,000.00",0,327,327,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,Y,STATE OF TEXAS OPTIONAL RET. PLAN SALESPERSON,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104625,801-27754,BALTIMORE WASHINGTON FINANCIAL ADVISORS INC,BALTIMORE WASHINGTON FINANCIAL ADVISORS INC,5950 SYMPHONY WOODS ROAD,SUITE 600,COLUMBIA,MD,UNITED STATES,21044,410-461-3900,443-539-0330,5950 SYMPHONY WOODS ROAD,SUITE 600,COLUMBIA,MD,UNITED STATES,21044,Approved,8/25/1986,5/5/2010,Y,WWW.BWFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,FLAT PROJECT FEES FOR RETIREMENT & ESTATE PLANNING,Y,"227,984,242.00","228,611.00","228,212,853.00",347,1,348,Y,Y,N,N,N,Y,N,N,N,Y,TAX PREPARATION AND TAX PLANNING,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N
PLRO,152303,801-70895,"PPB ADVISORS, LLC","PPB ADVISORS, LLC",10 EAST 6TH AVENUE,SUITE 200,CONSHOHOCKEN,PA,UNITED STATES,19428,610-567-3820,484-489-2770,,,,,,,Approved,1/4/2010,5/5/2010,Y,WWW.PPBADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,PRIVATELY MANAGED FUNDS,Y,"25,048,036.00",0,"25,048,036.00",51,0,51,N,N,N,N,N,N,N,N,N,Y,INVESMENT MANAGEMENT OF PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,149473,801-69996,"NOONAN CAPITAL MANAGEMENT, L.L.C.","NOONAN CAPITAL MANAGEMENT, L.L.C.","3535 PEACHTREE ROAD, NE",SUITE 520-528,ATLANTA,GA,UNITED STATES,30326,404-428-6760,404-492-5831,,,,,,,Approved,3/13/2009,7/13/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"9,416,225.00","30,000,000.00","39,416,225.00",22,1,23,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,147312,801-69232,"MATRIX INVESTMENT RESEARCH, LLC","MATRIX INVESTMENT RESEARCH, LLC",16 EAST 40TH ST,8TH FLOOR,NEW YORK,NY,USA,10016,212-220-5147,212-220-5153,,,,,,,Approved,4/28/2008,7/15/2008,Y,WWW.MATRIXUSALLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,000,000.00",0,"25,000,000.00",50,0,50,N,Y,N,N,N,N,N,Y,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N
CHRO,110739,801-14380,"NEW ENGLAND RESEARCH & MANAGEMENT, INC.","NEW ENGLAND RESEARCH & MANAGEMENT, INC.",53 WEST JACKSON BLVD,603,CHICAGO,IL,UNITED STATES,60604,312-212-1704,312-212-1706,,,,,,,Approved,2/16/1979,8/26/2009,Y,WWW.NERMINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"132,128,956.00","687,355.00","132,816,311.00",178,1,179,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,143156,801-67576,"FOREIGN TRADE BANK SECURITIES, INC.","FOREIGN TRADE BANK SECURITIES, INC.",18 BARNETT STREET,,MONTEGO BAY,,JAMAICA,,562-435-0131,,110 PINE AVENUE,SUITE 1070,LONG BEACH,CA,U.S.A.,90802,Approved,2/22/2007,6/7/2007,Y,WWW.FTBSECURITIES.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,N,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,Y,"VALUATION OPITION, RESTRUCTURING ADVISORY",,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,107421,801-35040,PIEDMONT INVESTMENT ADVISORY LP,PIEDMONT INVESTMENT ADVISORY LLLP,SIX CONCOURSE PKWY,SUITE 600,ATLANTA,GA,UNITED STATES,30328,770-698-5500,770-698-5501,,,,,,,Approved,12/1/1989,3/15/2010,Y,WWW.PIAINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"73,487,500.00",0,"73,487,500.00",7,0,7,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111246,801-60971,"PAVLIC INVESTMENT ADVISORS, INC.","PAVLIC INVESTMENT ADVISORS, INC.",528C WELLS STREET,,DELAFIELD,WI,UNITED STATES,53018,262-646-4300,262-646-4303,,,,,,,Approved,3/5/2002,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"45,993,348.00",0,"45,993,348.00",160,0,160,N,Y,N,Y,N,N,N,N,N,Y,"SECURITY RESEARCH, AND RELATED INVESTMENT ANALYSIS",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138526,801-65437,"NORTHSTAR CAPITAL FUNDS, LLC","NORTHSTAR CAPITAL FUNDS, LLC",845 THIRD AVENUE,17TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-527-8340,212-527-8301,,,,,,,Approved,2/1/2006,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"53,900,000.00",0,"53,900,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
DRO,143152,801-67596,THE MUTUAL FUND STORE,"THE MUTUAL FUND STORE- INDIANAPOLIS, LLC",7301 COLLEGE BOULEVARD,SUITE 220,OVERLAND PARK,KS,USA,66210,913-319-8100,913-319-8181,,,,,,,Approved,3/23/2007,3/15/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,"1,317",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"239,974,977.00",0,"239,974,977.00","2,991",0,"2,991",Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114269,801-62800,"EMBER L. FLACK, JD, CFP, CLU, CHFC","FLACK, EMBER LOUISE",,,,,,,214-373-4781,214-373-4782,,,,,,,Approved,2/13/2004,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"108,000,000.00","108,000,000.00",0,450,450,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,144903,801-68284,"BRADLEY & COMPANY, LLC","BRADLEY & COMPANY, LLC",201 MISSION STREET,SUITE 2280,SAN FRANCISCO,CA,USA,94105,415-655-5500,415-655-5550,,,,,,,Approved,9/6/2007,3/15/2010,Y,WWW.BRADLEYANDCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"34,500,000.00","1,598,000.00","36,098,000.00",178,3,181,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106254,801-39248,ANDOVER EQUITY ASSOCIATES,ANDOVER EQUITY ASSOCIATES CORP,38 ESSEX STREET,,ANDOVER,MA,USA,1810,978-474-4747,978-749-9744,,,,,,,Approved,7/5/1991,3/15/2010,Y,WWW.ANDOVEREQUITY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"95,000,000.00",0,"95,000,000.00",110,0,110,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,133243,801-63615,OPPENHEIMER INVESTMENT MANAGEMENT LLC,OPPENHEIMER INVESTMENT MANAGEMENT LLC,200 PARK AVE,24TH FL.,NEW YORK,NY,UNITED STATES,10166,212-667-4225,212-667-4975,,,,,,,Approved,12/3/2004,3/15/2010,Y,WWW.OPPENHEIMERIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,251-500,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,26-50 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"699,780,082.00","44,218,155.00","743,998,237.00",16,1,17,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,Y,Y,N,N,N,Y,N,N,N,N
DRO,143874,801-67884,THE MUTUAL FUND STORE,"THE MUTUAL FUND STORE-MELBOURNE, LLC",7301 COLLEGE BOULEVARD,SUITE 220,OVERLAND PARK,KS,USA,66210,913-319-8100,913-319-8181,,,,,,,Approved,5/25/2007,3/15/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"27,593,551.00",0,"27,593,551.00",237,0,237,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,141364,801-67057,THE MUTUAL FUND STORE,"THE MUTUAL FUND STORE-SYRACUSE, LLC",7301 COLLEGE BOULEVARD,SUITE 220,OVERLAND PARK,KS,USA,66210,913-319-8100,913-319-8181,,,,,,,Approved,8/3/2006,3/15/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"22,718,088.00",0,"22,718,088.00",320,0,320,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,116720,801-70509,"DESCHAINE & COMPANY, L.L.C.","DESCHAINE & COMPANY, L.L.C.",,,,,,,618.397.1002,618.397.4102,,,,,,,Approved,8/31/2009,3/15/2010,Y,HTTP://DESCHAINEANDCOMPANY.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,BANK TRUST DEPARTMENT,Y,N,N,Y,N,N,Y,ANNUAL RETAINER,Y,"40,727,317.00",0,"40,727,317.00",297,0,297,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,144479,801-68110,THE MUTUAL FUND STORE,"THE MUTUAL FUND STORE-PORTLAND, LLC",7301 COLLEGE BOULEVARD,SUITE 220,OVERLAND PARK,KS,USA,66210,913-319-8100,913-319-8181,,,,,,,Approved,7/23/2007,3/15/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"70,199,931.00",0,"70,199,931.00",891,0,891,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123279,801-68543,"WOODFIELD FINANCIAL ADVISORS, INC.","WOODFIELD FINANCIAL ADVISORS, INC.","3701 ALGONQUIN, SUITE 720",,ROLLING MEADOWS,IL,UNITED STATES,60008,847-483-5370,847-590-8380,,,,,,,Approved,11/30/2007,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"34,252,607.00",0,"34,252,607.00",216,0,216,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,148763,801-69727,"SAA ADVISORS, INC.","SAA ADVISORS, INC.",11 BELLWETHER WAY,SUITE 209,BELLINGHAM,WA,UNITED STATES,98225,360-255-2500,360-734-2049,,,,,,,Approved,11/24/2008,3/15/2010,N,,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,Y,0,"50,000,000.00","50,000,000.00",0,2,2,N,N,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,126007,801-68967,"BENTLEY WEALTH ADVISORS, LLC","BENTLEY WEALTH ADVISORS, LLC",117 METRO CENTER BLVD,SUITE 3000,WARWICK,RI,USA,2886,401-921-2002,401-921-2010,,,,,,,Approved,3/17/2008,3/15/2010,Y,WWW.BENTLEYWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,RI,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"40,919,366.00",0,"40,919,366.00",139,0,139,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,Y,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112196,801-61020,"INTREPID FINANCIAL PLANNING GROUP, LLC","INTREPID FINANCIAL PLANNING GROUP, LLC",3021 E. 98TH STREET,SUITE 115,INDIANAPOLIS,IN,UNITED STATES,46280,317-818-1776,317-818-1774,,,,,,,Approved,4/9/2002,3/15/2010,Y,INTREPIDFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,IN,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,Nov-50,0,More than 500,564,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"158,672,415.00",0,"158,672,415.00",564,0,564,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,44357,801-64064,"HUDSON HERITAGE CAPITAL MANAGEMENT, INC.","HUDSON HERITAGE CAPITAL MANAGEMENT, INC.",20 BALTIC PLACE,,CROTON-ON-HUDSON,NY,UNITED STATES,10520,914-271-8102,914-271-3417,,,,,,,Approved,1/14/2008,3/15/2010,Y,HHCMINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,0,0,More than 500,550,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,0,"50,000,000.00","50,000,000.00",0,550,550,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,Y,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,112139,801-60424,HBK SORCE ADVISORY LLC,HBK SORCE ADVISORY LLC,ZUCK ROAD OFFICE PARK,5121 ZUCK ROAD,ERIE,PA,UNITED STATES,16506,814-836-5776,814-836-5779,,,,,,,Approved,7/19/2001,3/15/2010,Y,WWW.HBKSORCE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"2,500",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,Y,AFFILIATED B/D RECEIVES SERVICE FEES FOR CERTAIN MUTUAL FUNDS,Y,"928,853,246.00","43,047,826.00","971,901,072.00","4,480",113,"4,593",Y,Y,N,Y,Y,Y,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,Y,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,140353,801-66655,EMERALD FINANCIAL MANAGEMENT,THE OLD RIVER COMPANY,,,,,,,561-750-8582,561-892-2874,,,,,,,Approved,6/2/2006,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"32,864,345.00","1,511,756.00","34,376,101.00",101,7,108,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106033,801-44477,PATTEN INVESTMENT ADVISORS INC,PATTEN INVESTMENT ADVISORS INC,1263 N. RIVERSIDE DRIVE,SUITE 6,MEDFORD,OR,UNITED STATES,97501,541-770-9494,541-772-9752,,,,,,,Approved,8/12/1993,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,111,619.00",0,"25,111,619.00",111,0,111,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115605,801-62565,"PERSONAL FINANCIAL PLANNING, INC.","PERSONAL FINANCIAL PLANNING, INC.",707 LAKE COOK ROAD,SUITE 109,DEERFIELD,IL,UNITED STATES,60015,847-205-2590,847-205-2591,,,,,,,Approved,1/2/2004,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"154,779,978.00",0,"154,779,978.00",258,0,258,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105569,801-11545,WESTON CAPITAL MANAGEMENT INC,WESTON CAPITAL MANAGEMENT INC,12424 WILSHIRE BLVD,SUITE 1115,LOS ANGELES,CA,UNITED STATES,90025,310-826-0811,310-826-3467,,,,,,,Approved,4/14/1976,3/15/2010,Y,WWW.WESTONCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"223,841,202.00",0,"223,841,202.00",284,0,284,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,121218,801-69279,"PRIMARY FUNDS, LLC","PRIMARY FUNDS, LLC",300 DRAKES LANDING ROAD,SUITE 205,GREENBRAE,CA,UNITED STATES,94904,415-464-1830,415-464-1844,,,,,,,Approved,6/23/2008,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ANNUAL RETAINER FEE,Y,"25,201,689.00","10,000,000.00","35,201,689.00",3,1,4,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,118620,801-68225,ERICKSON ADVISORS,"LINDA P. ERICKSON, CFP, INC.",301 S. GREENE STREET,SUITE 202,GREENSBORO,NC,USA,27401,336-274-9403,336-273-0217,,,,,,,Approved,8/8/2007,3/15/2010,Y,WWW.ERICKSONADVISORS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,FEE/COMMISSION OFFSET,Y,0,"38,500,000.00","38,500,000.00",0,418,418,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107793,801-56669,VISION CAPITAL MANAGEMENT INC,"VISION CAPITAL MANAGEMENT, INC.",ONE SW COLUMBIA,SUITE 915,PORTLAND,OR,USA,97258,503-221-5656,503-221-3966,,,,,,,Approved,7/9/1999,3/15/2010,Y,WWW.VCMI.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"233,454,603.00",0,"233,454,603.00",856,0,856,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109621,801-57975,"VISION INVESTMENT ADVISORS, LLC","VISION INVESTMENT ADVISORS, LLC",4 HIGH RIDGE PARK,SUITE 100,STAMFORD,CT,UNITED STATES,6905,203-388-2700,203-321-0071,,,,,,,Approved,9/22/2000,2/4/2010,Y,WWW.ADVICEWITHVISION.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,Nov-50,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,START-UP FEE BASED ON VALUE OF INITIAL DEPOSIT,Y,"377,047,842.00",0,"377,047,842.00",129,0,129,Y,Y,N,Y,N,N,N,N,N,Y,SELECTION OF COMMODITY TRADING ADVISERS.,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109920,801-52991,MCDEVITT & BIRD INVESTMENT MANAGEMENT CO,MCDEVITT & BIRD INVESTMENT MANAGEMENT CO,2660 WEST LONGHOLLOW ROAD,,ELIZABETH,IL,USA,61028-9455,815-858-2457,815-858-3376,P.O. BOX 507,,ELIZABETH,IL,USA,61028-0507,Approved,9/30/1996,2/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"21,774,253.00","9,139,868.00","30,914,121.00",45,13,58,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,145446,801-68541,DARIUS CAPITAL PARTNERS SAS,DARIUS CAPITAL PARTNERS SAS,"24, AVENUE HOCHE",,PARIS,,FRANCE,75008,+33 1 42 56 80 80,+33 1 42 56 80 88,,,,,,,Approved,11/13/2007,2/4/2010,Y,WWW.DARIUSCAPITAL.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,FRANCE,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,INSURANCE COMPANIES,Y,N,N,N,Y,N,N,,Y,0,"1,100,000,000.00","1,100,000,000.00",0,9,9,N,N,N,Y,N,Y,N,N,N,Y,"MANAGER RESEARCH, DUE DILIGENCE, PORTFOLIO ANALYSIS AND CONSTRUCTION, RISK MANAGMENT",0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,150226,801-70165,"N 1 PLACE, LLC","N 1 PLACE, LLC",,,,,,,804-387-7246,,,,,,,,Approved,5/19/2009,2/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"7,849,945.00","33,083,020.00","40,932,965.00",13,2,15,N,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104743,801-31518,FREED ADVISORS,"SUSAN FREED & ASSOCIATES, INC.",2 WISCONSIN CIRCLE - SUITE 530,,CHEVY CHASE,MD,USA,20815,301-657-1700,301-657-3707,,,,,,,Approved,2/25/1988,2/4/2010,Y,WWW.FREEDADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DC,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"200,648,891.00","1,507,999.00","202,156,890.00",116,3,119,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110425,801-40176,"MATSON MONEY, INC.","MATSON MONEY, INC.",5955 DEERFIELD BLVD.,,MASON,OH,UNITED STATES,45040,513-204-8000,513-204-8005,,,,,,,Approved,12/5/1991,2/4/2010,Y,MAA.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,5-Jan,0,0,0,251-500,0,More than 500,"11,000",More than 75 percent,Up to 10 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,INVESTMENT ADVISORY FIRM,Y,N,N,N,N,N,N,,Y,"2,406,669,125.00",0,"2,406,669,125.00","24,214",0,"24,214",N,Y,Y,N,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107782,801-56317,GS INVESTMENT INC,JOHN G. STEINKE,333 SOUTH 7TH STREET,SUITE 3060,MINNEAPOLIS,MN,UNITED STATES,55402,612-371-0590,612-371-9869,,,,,,,Approved,3/4/1999,2/4/2010,Y,WWW.GSINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"32,524,624.00",0,"32,524,624.00",115,0,115,N,Y,N,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,117593,801-69792,COX CAPITAL MANAGEMENT LLC,COX CAPITAL MANAGEMENT LLC,18 RAILROAD AVENUE,,ANDOVER,MA,UNITED STATES,1810,978-475-3325,978-470-2444,,,,,,,Approved,2/10/2009,2/4/2010,Y,WWW.CCM1997.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,BINDMAN FINANCIAL SERVICES AS DISCLOSED IN ADV PART II,Y,"42,795,446.00",0,"42,795,446.00",120,0,120,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO REVIEW HOURLY CHARGE,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106162,801-41031,"BRAND ASSET MANAGEMENT GROUP, INC.","BRAND ASSET MANAGEMENT GROUP, INC.",16640 CHESTERFIELD GROVE RD,STE 100,CHESTERFIELD,MO,USA,63005,636-532-7333,636-532-2551,,,,,,,Approved,3/16/1992,2/4/2010,Y,WWW.BRANDAMG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,SPECIAL PROJECT ASSISTANCE FEE,Y,"300,000,000.00",0,"300,000,000.00",117,0,117,N,Y,N,N,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,108150,801-56931,ASSET PRESERVATION GROUP INC,ASSET PRESERVATION GROUP INC,2750 WILLIAM D. TATE AVE.,SUITE 100,GRAPEVINE,TX,UNITED STATES,76051,817-251-1008,817-442-8555,,,,,,,Approved,10/22/1999,2/4/2010,Y,WWW.APGMSH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"65,000,000.00","65,000,000.00",0,76,76,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107658,801-46643,LINDEN ASSET MANAGEMENT INC,LINDEN ASSET MANAGEMENT INC,200 ABINGTON EXECUTIVE PARK,SUITE 205,CLARKS SUMMIT,PA,UNITED STATES,18411,570-586-8600,570-586-8602,,,,,,,Approved,6/10/1994,2/4/2010,Y,WWW.LINDENAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"15,113,626.00","18,124,936.00","33,238,562.00",3,132,135,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
DRO,143379,801-70826,LOTUSGROUP ADVISORS,"LOTUSGROUP ADVISORS, LLC",,,,,,,303-777-7424,815-572-0566,,,,,,,Approved,12/4/2009,2/4/2010,Y,WWW.LGADVISORS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"10,134,382.00",0,"10,134,382.00",50,0,50,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,145186,801-68405,AXIOM ASSET MANAGEMENT,"WEALTHTRUST AXIOM, LLC",3 RADNOR CORPORATE CENTER,SUITE 250,RADNOR,PA,UNITED STATES,19087,610-688-0050,610-688-0075,,,,,,,Approved,10/4/2007,2/4/2010,Y,WWW.AXIOMASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"302,364,527.00","97,425,025.00","399,789,552.00",988,213,"1,201",N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124816,801-61739,"HERITAGE WAY ADVISORS, L.L.C.","HERITAGE WAY ADVISORS, L.L.C.",1463 SOUTH BELL SCHOOL ROAD,SUITE 7,ROCKFORD,IL,USA,61108,815-397-0900,815-394-0561,,,,,,,Approved,2/2/2004,2/4/2010,Y,WWW.HERITAGEWAYADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"107,074,984.00",0,"107,074,984.00",192,0,192,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,120499,801-63367,PRIME SOLUTIONS FINANCIAL SERVICES CORP.,PRIME SOLUTIONS FINANCIAL SERVICES CORP.,3415 WEST CHESTER PIKE,SUITE 204,NEWTOWN SQUARE,PA,UNITED STATES,19073,610-886-4320,610-886-4334,,,,,,,Approved,8/2/2004,2/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,11-25 percent,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,133,000.00",0,"25,133,000.00",30,0,30,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,Y,N,Y,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115213,801-60553,"LAGER & COMPANY, INC.","LAGER & COMPANY, INC.",,,,,,,763-377-2006,763-377-2006,,,,,,,Approved,9/24/2001,2/4/2010,Y,WWW.LAGERCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"6,000,000.00","54,000,000.00","60,000,000.00",4,151,155,N,Y,N,Y,N,N,N,N,N,Y,CONSULTING SERVICES/SEMINARS,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,145778,801-68737,"CONCISE CAPITAL MANAGEMENT, L.P.","CONCISE CAPITAL MANAGEMENT, L.P.",75 VALENCIA AVENUE,SUITE 711,CORAL GABLES,FL,UNITED STATES,33134,305-443-0959 X18,305-443-2014,,,,,,,Approved,1/15/2008,2/4/2010,Y,WWW.CONCISECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,51-75 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"28,000,000.00",0,"28,000,000.00",2,0,2,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,149395,801-69893,D/W FINANCIAL CONSULTANTS LLC,D/W FINANCIAL CONSULTANTS LLC,,,,,,,301-251-0444,301-251-0446,,,,,,,Approved,1/26/2009,2/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"28,000,000.00",0,"28,000,000.00",82,0,82,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,118419,801-67262,"THE NESTEGG GROUP, INC.","THE NESTEGG GROUP, INC.",6676 N. LINCOLN AVE.,2ND FLOOR,LINCOLNWOOD,IL,USA,60712,847-677-6378,847-677-3550,,,,,,,Approved,11/16/2006,2/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"93,465,475.00",0,"93,465,475.00",599,0,599,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107193,801-19998,WOOD & CO.,WOOD GEORGE FRANCIS,"55 MADISON STREET,SUITE 680",,DENVER,CO,USA,80206,303-321-8188,303-321-8055,,,,,,,Approved,10/20/1983,2/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"475,182,855.00",0,"475,182,855.00",320,0,320,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,143608,801-67720,"JAFFETILCHIN INVESTMENT PARTNERS, LLC","JAFFETILCHIN INVESTMENT PARTNERS, LLC",3924 PREMIER NORTH DR.,,TAMPA,FL,UNITED STATES,33618,813-963-2500,813-960-2783,,,,,,,Approved,4/18/2007,2/4/2010,Y,WWW.JAFFETILCHIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"237,983,807.00",0,"237,983,807.00","1,189",0,"1,189",N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,132828,801-68998,"BENSON INVESTMENT MANAGEMENT COMPANY, INC.","BENSON INVESTMENT MANAGEMENT COMPANY, INC.",,,,,,,540-989-3030,866-248-8830,,,,,,,Approved,3/27/2008,2/4/2010,Y,WWW.BENSONINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"28,420,694.00",0,"28,420,694.00",51,0,51,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,140066,801-70358,"BGEMD CAPITAL ADVISORS, LLC","BGEMD CAPITAL ADVISORS, LLC",1202 RICHARDSON DRIVE,SUITE 203,RICHARDSON,TX,UNITED STATES,75080,972-231-2503,972-783-6501,,,,,,,Approved,6/30/2009,3/26/2010,Y,WWW.BGEMDCAPITALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"41,414,636.00","428,370.00","41,843,006.00",125,2,127,N,Y,N,N,Y,Y,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,143560,801-67915,ROKA WEALTH STRATEGISTS,"ROKA WEALTH STRATEGISTS, LLC",2303 MACY DRIVE,,ROSWELL,GA,UNITED STATES,30076,770-817-0412,770 817-0419,,,,,,,Approved,6/13/2007,3/26/2010,Y,WWW.ROKAWEALTHSTRATEGISTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"32,283,653.00",0,"32,283,653.00",200,0,200,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,Y,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,139713,801-66385,"III TO I FINANCIAL MANAGEMENT RESEARCH, L.P.","III TO I FINANCIAL MANAGEMENT RESEARCH, L.P.",5580 PETERSON LANE,SUITE 100,DALLAS,TX,UNITED STATES,75240-5151,972-340-2500,972-340-2599,,,,,,,Approved,4/21/2006,3/26/2010,Y,WWW.3TO1FMR.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Partnership,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,"CWA-""AFFILIATED CONTRACT RESEARCH AND DUE DILIGENCE""",N,N,N,N,N,N,Y,"PER CONTRACTUAL ARRANGEMENT WITH CWA, BANK & ENVESTNET ASSET MGT",N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,"RESEARCH AND DUE DILIGENCE FOR CWA, ADVISORY SERVICES FOR BANK AND CONSULTING SERVICES FOR ENVESTNET ASSET MANAGEMENT, INC.",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110473,801-46008,"TOWERS WATSON INVESTMENT SERVICES, INC.","TOWERS WATSON INVESTMENT SERVICES, INC.",875 THIRD AVENUE,,NEW YORK,NY,UNITED STATES,10022,212-725-7550,212-644-4314,,,,,,,Approved,3/22/1994,3/26/2010,Y,WWW.TOWERSWATSON.COM/SERVICES/INVESTMENT,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,0,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,N,Y,N,Y,N,Y,Y,FEE BASED ON A PERCENTAGE OF ASSETS UNDER ADVISEMENT,N,0,0,0,0,0,0,N,N,N,N,Y,Y,Y,N,N,Y,"SEE SCHEDULE D, MISCELLANEOUS, FOR A DESCRIPTION OF OTHER ADVISORY SERVICES",0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108067,801-55363,MCLEAN ASSET MANAGEMENT CORP.,MCLEAN ASSET MANAGEMENT CORPORATION,8200 GREENSBORO DRIVE,SUITE 1150,MCLEAN,VA,UNITED STATES,22102,703-827-0636,703-556-8628,,,,,,,Approved,3/19/1998,3/26/2010,Y,WWW.MCLEANAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,More than 500,"1,000",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"263,593,323.00","14,085,000.00","277,678,323.00",997,13,"1,010",N,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,112641,801-57471,LUCIEN STIRLING & GRAY ADVISORY GROUP INC,LUCIEN STIRLING & GRAY ADVISORY GROUP INC,4005 GUADALUPE ST.,,AUSTIN,TX,USA,78751,512-458-2517,512-458-3120,,,,,,,Approved,4/20/2000,3/26/2010,Y,WWW.LSGGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"49,185,447.00","17,444,918.00","66,630,365.00",309,326,635,Y,Y,N,Y,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110484,801-55177,CREATIVE RESOURCES INVESTMENT ADVISORS LLC,CREATIVE RESOURCES INVESTMENT ADVISORS LLC,250F CENTERVILLE ROAD,,WARWICK,RI,UNITED STATES,2886,401-738-0070,401-732-8512,,,,,,,Approved,1/28/1998,3/26/2010,Y,WWW.CRIADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,RI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"32,324,492.00","1,900,000.00","34,224,492.00",423,30,453,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N
SFRO,130931,801-66974,"ANDREWS, LUCIA WEALTH MANAGEMENT LLC","ANDREWS, LUCIA WEALTH MANAGEMENT LLC",1825 SOUTH GRANT STREET,SUITE 610,SAN MATEO,CA,UNITED STATES,94402,650-345-4845,650-345-4026,,,,,,,Approved,7/3/2006,3/26/2010,Y,WWW.LUCIAWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"84,020,789.00","375,035.00","84,395,824.00",204,2,206,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108811,801-36879,"KIPP BRANT DRUMMOND & ASSOCIATES, INC., DBA KIPP FINANCIAL GROUP","KIPP BRANT DRUMMOND & ASSOCIATES, INC., DBA KIPP FINANCIAL GROUP",950 COUNTY SQUARE DRIVE,SUITE 211,VENTURA,CA,UNITED STATES,93003,805-650-7654,805-650-0389,,,,,,,Approved,6/29/1990,3/26/2010,Y,WWW.KIPPBRANTDRUMMOND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"132,279,804.00","132,279,804.00",0,"1,381","1,381",Y,Y,N,N,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,122474,801-61508,VIST CAPITAL MANAGEMENT,"VIST CAPITAL MANAGEMENT,LLC",1240 BROADCASTING ROAD,,WYOMISSING,PA,USA,19610,610-372-7737,610-372-8463,PO BOX 6287,,WYOMISSING,PA,USA,19610,Approved,10/11/2002,3/26/2010,Y,WWW.VISTFC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"10,096,543.00","20,122,177.00","30,218,720.00",25,14,39,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,Y,N,,N,,Y,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,15916,801-63630,"SIGNAL SECURITIES, INC.","SIGNAL SECURITIES, INC.",700 THROCKMORTON,,FORT WORTH,TX,UNITED STATES,76102,817-877-4256,817-820-1280,,,,,,,Approved,11/4/2004,3/26/2010,Y,WWW.SIGNALSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"10,324,148.00","125,638,674.00","135,962,822.00",23,724,747,Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,N,N,Y,N,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,Y,N,Y,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
LARO,113098,801-63162,GOULD ASSET MANAGEMENT LLC,GOULD ASSET MANAGEMENT LLC,341 WEST FIRST STREET,SUITE 200,CLAREMONT,CA,UNITED STATES,91711-4749,909-445-1291,909-445-1299,,,,,,,Approved,5/27/2004,3/26/2010,Y,WWW.GOULDASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,10-Jun,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"286,435,665.00","21,319,632.00","307,755,297.00",327,1,328,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112793,801-57996,"SAGE WEALTH MANAGEMENT, INC.","SAGE WEALTH MANAGEMENT, INC.",340 BROADWAY,,SARATOGA SPRINGS,NY,USA,12866,518-583-4000,518-587-2466,,,,,,,Approved,10/21/2000,3/26/2010,Y,WWW.SAGEPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"45,426,200.00","29,073,900.00","74,500,100.00",285,3,288,Y,Y,N,Y,Y,N,N,N,N,Y,ESTATE PLANNING,251-500,,N,N,N,Y,N,N,Y,N,Y,ESTATE PLANNING,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,128216,801-62306,LTG CAPITAL LLC,LTG CAPITAL LLC,,,,,,,888.445.0111,888.445.0155,275 GROVE STREET,"BUILDING 2, SUITE 400",NEWTON,MA,UNITED STATES,2466,Approved,8/28/2003,3/26/2010,Y,WWW.LTGCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"40,317,963.00","40,317,963.00",0,228,228,Y,Y,N,N,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,135387,801-64309,"CHINAMERICA HOLDINGS, L.L.C.","CHINAMERICA HOLDINGS, L.L.C.",,,,,,,972-690-1177,972-690-1306,,,,,,,Approved,5/26/2005,3/26/2010,Y,WWW.CHINAMERICAHOLDINGS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,INSTITUTIONAL INVESTORS,N,N,N,N,N,Y,N,,Y,"6,000,000.00","19,500,000.00","25,500,000.00",2,1,3,N,Y,N,N,N,N,Y,N,N,Y,GENERAL PARTNER PRIVATE EQUITY FUND,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107777,801-32066,"PORTFOLIO 21 INVESTMENTS, INC","PORTFOLIO 21 INVESTMENTS, INC","721 NW 9TH AVE., SUITE 250",,PORTLAND,OR,UNITED STATES,97209,503-224-7828,503-224-5633,,,,,,,Approved,2/28/1988,3/26/2010,Y,WWW.PORTFOLIO21.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"474,714,912.00",0,"474,714,912.00",278,0,278,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,134615,801-65248,"DORCHESTER CAPITAL ADVISORS INTERNATIONAL, LLC","DORCHESTER CAPITAL ADVISORS INTERNATIONAL, LLC","11111 SANTA MONICA BLVD, SUITE 1250",,LOS ANGELES,CA,USA,90025,310-402-5090,310-402-5091,,,,,,,Approved,1/20/2006,3/26/2010,Y,WWW.DORCHESTERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,10-Jun,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"250,000,000.00",0,"250,000,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110571,801-40722,WELTY CAPITAL MANAGEMENT LLC,WELTY CAPITAL MANAGEMENT LLC,3650 MT. DIABLO BLVD.,STE 103,LAFAYETTE,CA,UNITED STATES,94549,925-283-4960,925-283-4964,,,,,,,Approved,2/4/1992,3/26/2010,Y,WWW.WELTYCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,0,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"33,130,604.00","132,867.00","33,263,471.00",93,2,95,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,120595,801-71154,"MCG CAPITAL MANAGEMENT, LLC","MCG CAPITAL MANAGEMENT, LLC",,,,,,,781-721-6754,781-369-1601,,,,,,,Approved,3/2/2010,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"28,712,824.00","718,659.00","29,431,483.00",88,10,98,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,133908,801-66293,"PRIALTA ADVISORS, INC.","PRIALTA ADVISORS, INC.",1737 N. FIRST STREET,SUITE 290,SAN JOSE,CA,UNITED STATES,95112-4505,408-436-9800,408-436-9804,,,,,,,Approved,2/24/2006,3/26/2010,Y,WWW.PRIALTA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"46,741,405.00","2,707,856.00","49,449,261.00",283,8,291,Y,Y,N,N,Y,Y,N,N,N,Y,TAX PREPARATION,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,146675,801-68935,"GEEWAX + PARTNERS, LLC","GEEWAX + PARTNERS, LLC",129 HICKS ROAD,,WEST GROVE,PA,UNITED STATES,19390,1-888-433-9297,1-888-433-9299,PO BOX 1730,,CHADDS FORD,PA,UNITED STATES,19317,Approved,4/3/2008,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"63,139,346.00",0,"63,139,346.00",4,0,4,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,143631,801-67815,"PERSKY FINANCIAL MANAGEMENT, INC.","PERSKY FINANCIAL MANAGEMENT, INC.","12424 WILSHIRE BLVD., SUITE 600",,LOS ANGELES,CA,UNITED STATES,90025,310-442-5200,310-442-5225,,,,,,,Approved,5/8/2007,3/26/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"6,975,361.00",0,"6,975,361.00",1,0,1,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
MIRO,107522,801-41473,STEINBERG GLOBAL ASSET MANAGEMENT LTD,STEINBERG GLOBAL ASSET MANAGEMENT LTD,5100 TOWN CENTER CIRCLE,SUITE 150,BOCA RATON,FL,USA,33486,561-750-0800,561-750-4580,,,,,,,Approved,5/12/1992,3/26/2010,Y,WWW.STEINBERGGLOBAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"464,546,509.00",0,"464,546,509.00",957,0,957,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106616,801-42906,SPARROW CAPITAL MANAGEMENT INC,SPARROW CAPITAL MANAGEMENT INC,"11330 OLIVE BLVD, SUITE 230",,ST. LOUIS,MO,UNITED STATES,63141,314-725-6161,314-991-1766,,,,,,,Approved,12/1/1992,3/26/2010,Y,WWW.SPARROWCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"39,540,097.00","573,582.00","40,113,679.00",152,1,153,N,Y,Y,Y,N,N,Y,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,150277,801-70265,"MAPS ADVISORY SERVICES, LLC","MAPS ADVISORY SERVICES, LLC",451 DIVISION STREET NE,,SALEM,OR,UNITED STATES,97301,800-688-0181,503-588-1345,,,,,,,Approved,6/22/2009,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"250,000.00","89,322,953.00","89,572,953.00",2,3,5,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,Y,Y,N,Y,N,N,Y,CREDIT UNION,Y,Y,Y,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,104889,801-10544,"SSI INVESTMENT MANAGEMENT, INC",SSI INVESTMENT MANAGEMENT INC.,"9440 SANTA MONICA BLVD, 8TH FLOOR",,BEVERLY HILLS,CA,UNITED STATES,90210,310-595-2000,310-595-2089,,,,,,,Approved,1/31/1975,3/26/2010,Y,WWW.SSI-INVEST.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"1,195,800,000.00","7,200,000.00","1,203,000,000.00",72,2,74,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,108297,801-54675,"HUNTLEY THATCHER ELLSWORTH, LTD.","HUNTLEY THATCHER ELLSWORTH, LTD.",102 SOUTH TEJON STREET,SUITE 430,COLORADO SPRINGS,CO,UNITED STATES,80903,719-522-1339,719-522-1361,,,,,,,Approved,6/27/1997,3/26/2010,Y,WWW.HTEADVISERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,10-Jun,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,PERCENTAGE OF ASSETS UNDER ADVISEMENT,Y,"165,579,669.00","5,905,354.00","171,485,023.00",585,3,588,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
BRO,108539,801-37422,QUANTITATIVE FINANCIAL STRATEGIES INC,QUANTITATIVE FINANCIAL STRATEGIES INC,10 GLENVILLE STREET,,GREENWICH,CT,UNITED STATES,6831,203-983-5600,203-532-8250,,,,,,,Approved,10/5/1990,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,CONSULTING FEES,Y,"478,777,477.00",0,"478,777,477.00",1,0,1,N,N,N,Y,N,N,N,N,N,Y,CONSULTING,0,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108474,801-44995,"QFS ASSET MANAGEMENT, INC.","QFS ASSET MANAGEMENT, INC.",10 GLENVILLE STREET,,GREENWICH,CT,USA,6831,203-983-5600,203-532-8250,,,,,,,Approved,10/20/1993,3/26/2010,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"198,911,504.00",0,"198,911,504.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,138330,801-65095,"QFS ASSET MANAGEMENT, L.P.","QFS ASSET MANAGEMENT, L.P.",10 GLENVILLE STREET,,GREENWICH,CT,USA,6831,203-983-5600,203-532-8250,,,,,,,Approved,2/6/2006,3/26/2010,Y,WWW.QFSFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,NON U.S. GOVERNMENTAL ENTITIES,Y,N,N,N,N,Y,N,,Y,"1,307,073,135.00",0,"1,307,073,135.00",17,0,17,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146043,801-68749,BLACKSTONE REAL ESTATE SPECIAL SITUATIONS ADVISORS L.L.C.,BLACKSTONE REAL ESTATE SPECIAL SITUATIONS ADVISORS L.L.C.,345 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10154,212-583-5000,212-583-5258,,,,,,,Approved,1/15/2008,3/26/2010,Y,WWW.BLACKSTONE.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"946,179,582.00",0,"946,179,582.00",8,0,8,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,129694,801-62852,"REMICK & BARTOLET FINANCIAL CONSULTING, INC","REMICK & BARTOLET FINANCIAL CONSULTING, INC.",9 MONROE PARKWAY SUITE 200,,LAKE OSWEGO,OR,UNITED STATES,97035,503-635-4073,503-635-5007,,,,,,,Approved,2/26/2004,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"62,452,000.00",0,"62,452,000.00",259,0,259,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,104574,801-33304,PRUDENT MAN INVESTMENT MANAGEMENT,PRUDENT MAN INVESTMENT MANAGEMENT INC,1601 ARAPAHOE STREET,SUITE 13,DENVER,CO,USA,80202-2015,303-436-1577,303-436-9651,,,,,,,Approved,11/21/1988,3/26/2010,Y,HTTP://WWW.PRUDENTMAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"19,065,966.00","104,066,523.00","123,132,489.00",6,124,130,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,124417,801-62085,"ZEKARIA PARTNERS, LLC","ZEKARIA PARTNERS, LLC",55 FIFTH AVENUE,17TH FLOOR,NEW YORK,NY,UNITED STATES,10003,212-807-9400,212-807-9405,,,,,,,Approved,5/23/2003,1/14/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"48,000,000.00",0,"48,000,000.00",357,0,357,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109421,801-57280,CHICAGO EQUITY PARTNERS,CHICAGO EQUITY PARTNERS LLC,180 NORTH LASALLE STREET,STE 3800,CHICAGO,IL,UNITED STATES,60601,312-629-8200,312-629-2701,,,,,,,Approved,2/23/2000,1/14/2010,Y,WWW.CHICAGOEQUITYPARTNERS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,101-250,0,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,FOREIGN GOVERNMENTAL AUTHORITIES,Y,N,N,N,N,Y,Y,FLAT FEES ARE CHARGED FOR REPORTS PREPARED BY THE ADVISER,Y,"7,577,215,300.00",0,"7,577,215,300.00",226,0,226,N,Y,Y,Y,N,N,N,N,N,Y,REPORTS ON INVESTING IN EQUITY SECURITIES,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105954,801-36220,TURNER INVESTMENT PARTNERS INC,TURNER INVESTMENT PARTNERS INC,1205 WESTLAKES DR,SUITE 100,BERWYN,PA,USA,19312-2414,484-329-2300,484-329-2569,,,,,,,Approved,3/5/1990,1/20/2010,Y,WWW.TURNERINVESTMENTS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,"FOUNDATIONS, NOT CHARITABLE",Y,N,N,Y,N,Y,N,,Y,"15,541,076,428.00","369,604,366.00","15,910,680,794.00",235,25,260,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,8041,801-14866,"LEVY, HARKINS & CO., INC.","LEVY, HARKINS & CO., INC.",366 MADISON AVENUE,14TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-888-3030,212-888-7146,,,,,,,Approved,10/19/1979,1/20/2010,Y,HTTP://WWW.LEVYHARKINS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,Y,Y,N,,Y,"127,508,681.00",0,"127,508,681.00",78,0,78,N,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,Y,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,138980,801-65689,GIOVINE CAPITAL GROUP LLC,GIOVINE CAPITAL GROUP LLC,"1333 2ND STREET, SUITE 650",,SANTA MONICA,CA,UNITED STATES,90401,310-587-2000,310-587-2020,,,,,,,Approved,1/27/2006,1/20/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,065,000,000.00",0,"1,065,000,000.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105207,801-15483,BMI CAPITAL LLC,BMI CAPITAL LLC,570 LEXINGTON AVE,12TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-702-6507,212-702-6650,,,,,,,Approved,9/29/1980,1/20/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"323,821,100.00",0,"323,821,100.00",551,0,551,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
BRO,130209,801-62783,"MAPLE CAPITAL MANAGEMENT, INC.","MAPLE CAPITAL MANAGEMENT, INC.",535 STONE CUTTERS WAY,,MONTPELIER,VT,USA,5602,802-229-2838,802-229-2837,,,,,,,Approved,2/20/2004,1/20/2010,Y,WWW.MAPLECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VT,UNITED STATES,10-Jun,0,10-Jun,0,0,0,10-Jun,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"243,724,319.00","29,696,542.00","273,420,861.00",586,55,641,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,124811,801-61735,"B & L ASSET MANAGEMENT, LLC","B & L ASSET MANAGEMENT, LLC","326 THIRD AVENUE, 4TH FLOOR",,PITTSBURGH,PA,USA,15222,412-642-6666,412-642-6732,,,,,,,Approved,1/16/2003,1/20/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"76,214,721.00","2,839,390.00","79,054,111.00",171,2,173,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107138,801-37897,NORTHSTAR ASSET MANAGEMENT INC,NORTHSTAR ASSET MANAGEMENT INC,43 SAINT JOHN STREET,APT #2,BOSTON,MA,UNITED STATES,2130,617-522-2635,617-522-3165,PO BOX 301840,,BOSTON,MA,UNITED STATES,2130,Approved,12/7/1990,1/20/2010,Y,NORTHSTARASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"101,202,251.00",0,"101,202,251.00",192,0,192,Y,Y,N,Y,N,N,Y,N,N,Y,"SOCIALLY RESPONSIBLE INVESTING, BUDGETING, IN-HOUSE PUBLICATION OF PROXY BOOKLET AND SOCIAL INVESTMENT NEWSLETTER",101-250,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,135325,801-69971,"P38 ENTERPRISES, INC.","P38 ENTERPRISES, INC.",,,,,,,940-262-1106,940-262-3008,,,,,,,Approved,3/10/2009,1/20/2010,Y,HTTP://WWW.P38ENTERPRISES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,Y,"36,462,502.00","2,807,513.00","39,270,015.00",116,10,126,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,133408,801-63702,ATLAS BROWN,"ATLAS BROWN, INC.",333 EAST MAIN SREET,SUITE 400,LOUISVILLE,KY,UNITED STATES,40202,502-271-2900,502-271-2901,,,,,,,Approved,12/8/2004,1/20/2010,Y,WWW.ATLASBROWN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"301,500,920.00","723,438,197.00","1,024,939,117.00",310,30,340,Y,Y,N,Y,N,Y,N,N,N,Y,FAMILY OFFICE SERVICES,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108396,801-57985,BALDRIGE ASSET MANAGEMENT,"EDWIN ROCKEFELLER BALDRIGE, III, DBA","7540 WINDSOR DRIVE, STE 205",,ALLENTOWN,PA,USA,18195,610-336-4395,610 336 8394,,,,,,,Approved,9/22/2000,1/20/2010,Y,WWW.BALDRIGEASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"126,346,418.00","45,948,795.00","172,295,213.00",129,3,132,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,125240,801-63511,"EXCHANGE PLACE ADVISORS, LLC","EXCHANGE PLACE ADVISORS, LLC",1 UNION AVENUE,,SUDBURY,MA,USA,1776,978-443-2713,978-443-3287,,,,,,,Approved,9/16/2004,1/20/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"88,245,391.00",0,"88,245,391.00",328,0,328,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,114471,801-60460,"BLUE ROCK ADVISORS, LLC","BLUE ROCK ADVISORS, LLC",524 NORTH TRADE STREET,,WINSTON SALEM,NC,UNITED STATES,27101,336-723-1220,336-727-0941,,,,,,,Approved,7/30/2001,5/7/2010,Y,WWW.MYBLUEROCKADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"100,889,433.00","100,889,433.00",0,322,322,Y,Y,N,N,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,133167,801-63796,SV CAPITAL MANAGEMENT COMPANY,SV CAPITAL MANAGEMENT COMPANY,,,,,,,917-270-6593,732-542-8265,,,,,,,Approved,1/14/2005,5/7/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,NJ,UNITED STATES,5-Jan,0,0,0,0,0,0,0,26-100,0,26-50 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"95,000,000.00","3,000,000.00","98,000,000.00",24,2,26,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,128547,801-71445,"GRAY EQUITY MANAGEMENT, LLC","GRAY EQUITY MANAGEMENT, LLC",34 SOUTHWEST PARK,,WESTWOOD,MA,UNITED STATES,2090,781.407.0300,781.407.0303,,,,,,,Approved,5/27/2010,5/7/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,REFERRAL FEES,Y,0,"30,288,635.00","30,288,635.00",0,89,89,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,125579,801-68082,"MENDOZA AND ASSOCIATES, INC.","MENDOZA AND ASSOCIATES, INC.",35 COLD SPRING ROAD,SUITE 114,ROCKY HILL,CT,USA,6067,860-563-1319,860-721-9468,,,,,,,Approved,6/21/2007,5/7/2010,Y,WWW.MENDOZA-ASSOC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,SHARE IN 3RD PARTY MANAGER FEES,Y,"26,500,000.00","9,500,000.00","36,000,000.00",81,41,122,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,Y,N,Y,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,116858,801-71446,"THE RETIREMENT PLANNING SPECIALISTS, LLC","THE RETIREMENT PLANNING SPECIALISTS, LLC",5460 S. QUEBEC ST,SUITE 220,GREENWOOD VILLAGE,CO,USA,80111,303-771-3088,303-200-8331,,,,,,,Approved,6/4/2010,5/7/2010,Y,WWW.RPSPECIALISTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"69,050,412.00",0,"69,050,412.00",500,0,500,Y,Y,N,N,N,N,N,N,N,Y,ASSET ALLOCATION PLANNING AND EXECUTION,25-Nov,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,124612,801-61732,CDK INVESTMENT MANAGEMENT LLC,CDK INVESTMENT MANAGEMENT LLC,405 PARK AVENUE,11TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-871-8500,212-871-8505,,,,,,,Approved,1/23/2003,5/7/2010,Y,WWW.CDKGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,10-Jun,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"246,080,000.00",0,"246,080,000.00",11,0,11,N,N,N,N,N,N,N,N,N,Y,UNREGISTERED INVESTMENT COMPANIES,,,N,N,N,N,Y,N,N,N,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,129090,801-68833,"COAST WEALTH MANAGEMENT, INC.","COAST WEALTH MANAGEMENT, INC.",302 NORTH EL CAMINO REAL,SUITE 107,SAN CLEMENTE,CA,UNITED STATES,92672,949-366-5885,949-366-5991,,,,,,,Approved,2/5/2008,5/7/2010,Y,WWW.COASTWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"20,250,000.00","5,575,000.00","25,825,000.00",14,8,22,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107214,801-46131,"WENTWORTH, HAUSER AND VIOLICH, INC.","WENTWORTH, HAUSER AND VIOLICH, INC.",301 BATTERY STREET,SUITE 400,SAN FRANCISCO,CA,UNITED STATES,94111-3203,415-981-6911,415-288-6153,,,,,,,Approved,4/29/1994,5/7/2010,Y,WWW.WHV.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,51-250,0,Nov-50,0,10-Jun,0,5-Jan,0,More than 500,"24,000",Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"12,652,005,415.00",0,"12,652,005,415.00","23,955",0,"23,955",N,Y,Y,Y,N,Y,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,152822,801-71448,"COMPREHENSIVE WEALTH MANAGEMENT, INC.","COMPREHENSIVE WEALTH MANAGEMENT, INC.",1130 IRON POINT ROAD #135,,FOLSOM,CA,UNITED STATES,95630,916-355-8860,916-355-1256,,,,,,,Approved,5/20/2010,5/7/2010,Y,WWW.TRUSTWORTHYADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"31,900,000.00",0,"31,900,000.00",160,0,160,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,Y,Y,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105394,801-27292,"GW & WADE, LLC","GW & WADE, LLC",93 WORCESTER STREET,,WELLESLEY,MA,UNITED STATES,2481,(781) 239-1188,(781) 239-1070,,,,,,,Approved,8/1/1986,5/7/2010,Y,WWW.GWWADE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"1,500",11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"2,050,846,529.00","647,635,746.00","2,698,482,275.00","4,575",902,"5,477",Y,Y,N,N,N,Y,N,N,N,Y,SEMINARS,More than 500,1500,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,115289,801-60549,"ACORN CAPITAL MANAGEMENT, LLC","ACORN CAPITAL MANAGEMENT, LLC",105 EAST STREET ROAD,,KENNETT SQUARE,PA,UNITED STATES,19348,610-444-3287,610-444-8575,,,,,,,Approved,9/10/2001,4/1/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"122,182,863.00",0,"122,182,863.00",12,0,12,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,119148,801-63155,"PROFESSIONAL ADVISORY SERVICES, LLC","PROFESSIONAL ADVISORY SERVICES, LLC",114 N. CENTER STREET,SUITE 200-A,STATESVILLE,NC,UNITED STATES,28677,704-883-0284,704-883-0286,,,,,,,Approved,5/28/2004,5/7/2010,Y,WWW.PROFESSIONALADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"65,030,824.00",0,"65,030,824.00",232,0,232,N,Y,N,Y,Y,N,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,142255,801-67605,NEWMAN SCHIMEL,"NEWMAN & SCHIMEL, LLC",740 WAUKEGAN ROAD,SUITE 205,DEERFIELD,IL,UNITED STATES,60015,847-317-9350,847-317-9399,,,,,,,Approved,3/8/2007,5/7/2010,Y,WWW.NEWMANSCHIMEL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"140,700,881.00","27,563,226.00","168,264,107.00",646,71,717,N,Y,N,N,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,149335,801-69960,"FORMULA INVESTING, LLC","FORMULA INVESTING, LLC",50 TICE BLVD.,,WOODCLIFF LAKE,NJ,UNITED STATES,7677,866-326-9008,201-505-8985,,,,,,,Approved,3/9/2009,5/7/2010,Y,WWW.FORMULAINVESTING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,0,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"142,630,809.00","1,723,401.00","144,354,210.00","1,593",55,"1,648",N,Y,N,Y,N,N,N,N,N,Y,PRIVATE FUND,,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107699,801-40186,REDSTONE ADVISORS INC,REDSTONE ADVISORS INC,8100 E 22ND ST N,BLDG 800,WICHITA,KS,USA,67226,316-687-2143,316-687-2146,,,,,,,Approved,11/22/1991,5/7/2010,Y,WWW.REDSTONEADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"407,275,473.00",0,"407,275,473.00",72,0,72,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,128716,801-62575,"INVESTMENT ADVISORS ASSET MANAGEMENT, LLC","INVESTMENT ADVISORS ASSET MANAGEMENT, LLC",137 NORTH SECOND STREET,,EASTON,PA,USA,18042,610-258-3269,610-258-5841,,,,,,,Approved,1/2/2004,5/7/2010,Y,HTTP://WWW.IAAMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,10-Jun,0,More than 500,"1,470",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"293,313,055.00",0,"293,313,055.00","1,470",0,"1,470",Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,Y,Y,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
PLRO,132601,801-68750,"TRITON WEALTH MANAGEMENT, LLC","TRITON WEALTH MANAGEMENT, LLC",116 S. PINEY ROAD,SUITE 204,CHESTER,MD,UNITED STATES,21619,866-880-7500,866.880.0150,,,,,,,Approved,1/23/2008,5/7/2010,Y,WWW.TRITONWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"52,110,500.00",0,"52,110,500.00",620,0,620,Y,Y,N,Y,N,N,N,N,N,Y,CONSULTING,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,131417,801-64945,"CPMG, INC.","CPMG, INC.",2100 MCKINNEY,SUITE 1770,DALLAS,TX,UNITED STATES,75201,214-871-6816,214-871-6837,,,,,,,Approved,12/14/2005,5/7/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"667,303,338.00",0,"667,303,338.00",10,0,10,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,153653,801-71413,"STRATEGIES INVESTMENT MANAGEMENT, LLC","STRATEGIES INVESTMENT MANAGEMENT, LLC",1855 BLAKE STREET,SUITE 100,DENVER,CO,UNITED STATES,80202,303.926.9600,303.926.1613,,,,,,,Approved,5/12/2010,5/7/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,112491,801-56109,GERALD KLEIN & ASSOCIATES,"GERALD KLEIN & ASSOCIATES, INC.",34232 PACIFIC COAST HWY #B,,DANA POINT,CA,USA,92629,800-557-5461,949-443-2039,,,,,,,Approved,12/24/1998,2/3/2010,Y,WWW.INVESTTALK.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N
PLRO,108415,801-57162,CHEVY CHASE ASSET MANAGEMENT LLC,CHEVY CHASE ASSET MANAGEMENT LLC,"6701 DEMOCRACY BOULEVARD, SUITE 300",,BETHESDA,MD,UNITED STATES,20817,301-571-2428,301-564-9619,10821 TRAILRIDGE DRIVE,,POTOMAC,MD,UNITED STATES,20854,Approved,1/10/2000,2/3/2010,Y,WWW.CCASSETMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"31,685,511.00",0,"31,685,511.00",195,0,195,N,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106618,801-46343,ASSET ADVISORY GROUP INC,ASSET ADVISORY GROUP INC,"170 KINNELON ROAD, SUITE 3",,KINNELON,NJ,UNITED STATES,7405,973-492-0808,973-492-1166,,,,,,,Approved,4/26/1994,2/3/2010,Y,ASSETADVISORYGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"138,905,345.00","138,905,345.00",0,381,381,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107495,801-51817,TRUMBOWER FINANCIAL ADVISORS LLC,TRUMBOWER FINANCIAL ADVISORS LLC,4800 MONTGOMERY LANE,STE 300,BETHESDA,MD,UNITED STATES,20814,301-215-8340,301-215-8345,,,,,,,Approved,5/1/1996,2/3/2010,Y,WWW.TRUFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"179,613,331.00","340,034,365.00","519,647,696.00",48,453,501,Y,Y,N,N,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108822,801-57444,"HALPERN FINANCIAL, INC.","HALPERN FINANCIAL, INC.",401 NORTH WASHINGTON STREET,SUITE 920,ROCKVILLE,MD,UNITED STATES,20850,240.268.1000,240.268.6906,,,,,,,Approved,5/1/2000,2/3/2010,Y,WWW.HALPERNFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"136,654,558.00",0,"136,654,558.00",586,0,586,N,Y,N,Y,N,N,N,N,N,Y,CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107593,801-46376,"MERIDIAN INVESTMENT ADVISORS, INC.","MERIDIAN INVESTMENT ADVISORS, INC.",501 PENNSYLVANIA PARKWAY,155,INDIANAPOLIS,IN,UNITED STATES,46280,317-573-5257,317-581-7964,,,,,,,Approved,5/31/1994,2/3/2010,Y,WWW.MERIDIANINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,More than 500,"1,000",51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"152,271,748.00","93,371,469.00","245,643,217.00",635,150,785,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,145820,801-68809,"C.S. ANDERSON FINANCIAL SERVICES, INC","C.S. ANDERSON FINANCIAL SERVICES, INC",127 PARFITT WAY S.W,,BAINBRIDGE ISLAND,WA,USA,98110,206-780-1755,206-842-8641,,,,,,,Approved,1/28/2008,1/22/2008,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"46,685,682.00",0,"46,685,682.00",286,0,286,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,Y,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110436,801-26182,HC FINANCIAL ADVISORS INC,HC FINANCIAL ADVISORS INC,"3685 MT. DIABLO BLVD., SUITE 200",,LAFAYETTE,CA,USA,94549,(925) 299-1800,(925) 299-1812,,,,,,,Approved,12/31/1985,2/3/2010,Y,WWW.HCFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"145,685,729.00",0,"145,685,729.00",535,0,535,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,2733,801-15425,"GEORGE MCKELVEY CO., INC.","GEORGE MCKELVEY CO., INC.",529 WASHINGTON BLVD,,SEA GIRT,NJ,UNITED STATES,08750-2904,732-449-5323,732-974-9107,,,,,,,Approved,9/4/1980,2/3/2010,Y,WWW.GEORGEMCKELVEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"309,325,202.00","12,408,604.00","321,733,806.00",787,39,826,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
MIRO,106553,801-28870,LASHBROOK FINANCIAL ADVISORS PA,"LASHBROOK FINANCIAL ADVISORS, PA",4481 STIRLING ROAD,,FT LAUDERDALE,FL,UNITED STATES,33314,954-581-8112,954-581-2554,,,,,,,Approved,1/30/1987,2/5/2009,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"8,170,000.00","8,170,000.00",0,74,74,Y,Y,N,N,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,146341,801-68924,"RAIT PARTNERSHIP, LP","RAIT PARTNERSHIP, LP","CIRA CENTRE, 17TH FLOOR",2929 ARCH STREET,PHILADELPHIA,PA,USA,19104,215-243-9036,215-243-9089,,,,,,,Approved,5/7/2008,2/3/2010,Y,WWW.RAITFT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,51-75 percent,COLLATERALIZED DEBT OBLIGATIONS,Y,N,N,Y,N,Y,Y,STRUCTURING FEE AND SUPPLEMENTAL TRAILING FEE,Y,"1,339,507,000.00",0,"1,339,507,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,Y,MANAGE COLLATERALIZED DEBT OBLIGATIONS,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,116124,801-67721,BILTMORE INVESTMENT GROUP,"CAPITAL GROUP, INC.",60 E RIO SALADO PARKWAY,SUITE 711,TEMPE,AZ,USA,85281,602-273-1234,602-273-1334,,,,,,,Approved,4/9/2007,2/3/2010,Y,WWW.CAPITALGROUPINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"47,540,007.00","2,343,518.00","49,883,525.00",211,63,274,Y,Y,N,N,N,Y,N,N,N,Y,CONSULTATION SERVICES,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N
MIRO,146839,801-69361,"STEWARDSHIP ASSET MANAGEMENT, LLC","STEWARDSHIP ASSET MANAGEMENT, LLC",,,,,,,407-470-1405,407-470-1411,,,,,,,Approved,7/21/2008,2/3/2010,Y,WWW.STEWARDSHIPASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"26,339,610.00",0,"26,339,610.00",114,0,114,N,Y,N,Y,N,Y,N,N,N,N,,,,Y,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122743,801-64906,FREDERICK CAPITAL MANAGEMENT,"FREDERICK CAPITAL MANAGEMENT, INC.",,,,,,,847-358-5177,847-358-5188,,,,,,,Approved,12/9/2005,2/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"56,570,264.00",0,"56,570,264.00",301,0,301,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106321,801-49335,AMI INVESTMENT MANAGEMENT INC,AMI INVESTMENT MANAGEMENT INC,710 N KRUEGER STREET,,KENDALLVILLE,IN,UNITED STATES,46755,260-347-1281,260-347-1282,P.O. BOX 247,,KENDALLVILLE,IN,UNITED STATES,46755,Approved,6/9/1995,2/3/2010,Y,WWW.AMIINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,FOUNDATIONS,Y,N,N,N,N,N,N,,Y,"340,723,064.00",0,"340,723,064.00",91,0,91,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110176,801-57024,OREGON PACIFIC FINANCIAL ADVISORS INC,OREGON PACIFIC FINANCIAL ADVISORS INC,210 WEST 8TH STREET,,MEDFORD,OR,UNITED STATES,97501,541-772-1116,541-772-6927,,,,,,,Approved,11/24/1999,2/10/2010,Y,WWW.OPFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"15,000,000.00","25,000,000.00","40,000,000.00",53,103,156,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,148198,801-69642,FAMA INVESTIMENTOS,FAMA INVESTIMENTOS LTDA,"RUA SAMUEL MORSE, 74/173",,SAO PAULO,,BRAZIL,04576-060,55-11-5508-1188,55-11-5508-1189,,,,,,,Approved,10/23/2008,2/10/2010,Y,WWW.FAMAINVESTIMENTOS.COM.BR,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),BRAZILIAN LIMITED LIABILITY COMPANY,,BRAZIL,Nov-50,0,Nov-50,0,0,0,51-250,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,EDUCATIONAL ENDOWMENT,Y,N,N,N,N,Y,N,,Y,"235,000,000.00",0,"235,000,000.00",22,0,22,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123092,801-68578,"KOEHLER FINANCIAL SERVICES, INC.","KOEHLER FINANCIAL SERVICES, INC.",5764 JAMES DRIVE,,STEVENSVILLE,MI,UNITED STATES,49127,269-429-0650,269-429-8011,,,,,,,Approved,11/29/2007,2/10/2010,Y,WWW.KOEHLERFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"36,478,676.00",0,"36,478,676.00",287,0,287,Y,Y,N,N,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,Y,ACCOUNTING FIRM,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,133443,801-68140,SARA-BAY FINANCIAL CORP.,SARA-BAY FINANCIAL CORP.,2201 CANTU COURT,SUITE 217,SARASOTA,FL,UNITED STATES,34232,941-371-8027,941-371-8314,,,,,,,Approved,7/5/2007,2/10/2010,Y,WWW.SARA-BAY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"53,710,000.00",0,"53,710,000.00",132,0,132,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105144,801-19899,WESTRIDGE CAPITAL MANAGEMENT INC,WESTRIDGE CAPITAL MANAGEMENT INC,"222 E CARRILLO ST., STE 300",,SANTA BARBARA,CA,USA,93101,805-564-3500,805-564-2416,,,,,,,Approved,11/4/1983,1/29/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,800,000,000.00",0,"1,800,000,000.00",20,0,20,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,108140,801-55237,PRIVATE CAPITAL MANAGEMENT INC.,PRIVATE CAPITAL MANAGEMENT INC.,210 ST PAUL STREET,SUITE 225,DENVER,CO,UNITED STATES,80206,303-370-0055,303-370-0066,,,,,,,Approved,2/6/1998,2/10/2010,Y,WWW.PCM-INC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,CORPORATE CONSULTATIONS,Y,"129,900,238.00",0,"129,900,238.00",410,0,410,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,REGISTERED INVESTMENT ADVISOR,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110043,801-14337,AMERICAN INVESTMENT SERVICES INC,AMERICAN INVESTMENT SERVICES INC,250 DIVISION STREET,,GREAT BARRINGTON,MA,USA,1230,413-528-1216,413-528-0103,,,,,,,Approved,2/5/1979,2/10/2010,Y,WWW.AMERICANINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,Y,Y,N,N,N,,Y,"367,740,196.00",0,"367,740,196.00",762,0,762,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107025,801-29238,FCM INVESTMENTS,"FCM INVESTMENTS, LP","2200 ROSS AVE., SUITE 4600 WEST",,DALLAS,TX,UNITED STATES,75201-7931,214-665-6900,214-665-6940,,,,,,,Approved,3/27/1987,2/10/2010,Y,WWW.FCMINVEST.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"386,049,582.00",0,"386,049,582.00",54,0,54,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105411,801-28744,LOVELESS & CO INC,LOVELESS & CO INC,222 KEARNY STREET,SUITE 604,SAN FRANCISCO,CA,USA,94108-4510,415-397-4949,415-397-3357,,,,,,,Approved,1/30/1987,2/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"66,938,894.00",0,"66,938,894.00",84,0,84,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137390,801-64911,"VEST ASSURED, INC.","VEST ASSURED, INC.",119 NORTH PARK AVENUE,SUITE 302,ROCKVILLE CENTRE,NY,USA,11570,516-678-1927,516-678-1628,,,,,,,Approved,11/29/2005,2/10/2010,Y,WWW.VESTASSURED.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"45,000,000.00",0,"45,000,000.00",74,0,74,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106105,801-51616,ORFORD CAPITAL MANAGEMENT,ORFORD CAPITAL MANAGEMENT,155 MONTGOMERY STREET,SUITE 404,SAN FRANCISCO,CA,USA,94104,415-399-9450,415-399-9507,,,,,,,Approved,4/2/1996,2/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"55,067,317.00","5,749,436.00","60,816,753.00",29,3,32,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105267,801-29945,"GREATMARK INVESTMENT PARTNERS, INC.","GREATMARK INVESTMENT PARTNERS, INC.",6001 RIVER ROAD,SUITE 300,COLUMBUS,GA,UNITED STATES,31904-4556,706-327-2128,706-327-7487,P. O. BOX 4540,,COLUMBUS,GA,UNITED STATES,31914-0540,Approved,7/6/1987,2/10/2010,Y,WWW.GREATMARKONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"138,693,119.00","561,550.00","139,254,669.00",315,1,316,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108066,801-57783,KLINE SYLVAN H JR INC,KLINE SYLVAN H JR INC,222 KEARNY ST,STE 604,SAN FRANCISCO,CA,USA,94108-4510,415-397-4949,415-397-3357,,,,,,,Approved,8/7/2000,2/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"42,589,898.00",0,"42,589,898.00",33,0,33,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,152565,801-71097,WYKOFFONOMICS LLC,WYKOFFONOMICS LLC,2510 WARREN AVE,,CHEYENNE,WY,UNITED STATES,82001,307-275-0379,307-222-0404,,,,,,,Approved,2/18/2010,2/10/2010,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"40,000.00",0,"40,000.00",4,0,4,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,143103,801-67583,"TRANSWESTERN SECURITIES MANAGEMENT, L.L.C.","TRANSWESTERN SECURITIES MANAGEMENT, L.L.C.",150 NORTH WACKER DRIVE,SUITE 800,CHICAGO,IL,UNITED STATES,60606-1624,312-499-1975,312-499-1955,,,,,,,Approved,2/23/2007,2/10/2010,Y,WWW.TRANSINVESTCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,PROPRIETARY,Y,N,N,N,N,Y,N,,Y,"222,150,540.00",0,"222,150,540.00",3,0,3,N,N,N,Y,N,N,N,N,N,Y,PROPRIETARY MANAGEMENT AND POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105844,801-55127,BROWN ARMSTRONG FINANCIAL SERVICES INC.,"BROWN ARMSTRONG FINANCIAL SERVICES, INC.",2177 SW MAIN ST,,PORTLAND,OR,USA,97205-1190,503-221-1776,503-223-6918,,,,,,,Approved,1/26/1998,2/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,PARTNERSHIPS,Y,Y,N,Y,N,N,N,,Y,"40,608,428.00",0,"40,608,428.00",14,0,14,Y,Y,N,N,N,N,N,N,N,Y,FINANCIAL CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106052,801-39816,SPEECE THORSON CAPITAL GROUP INC,SPEECE THORSON CAPITAL GROUP INC,225 SOUTH 6TH STREET,SUITE 2575,MINNEAPOLIS,MN,UNITED STATES,55402,612-338-4649,612-338-7451,,,,,,,Approved,4/8/1992,2/10/2010,Y,WWW.STCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"308,000,000.00",0,"308,000,000.00",27,0,27,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,143399,801-67639,"BURL CAPITAL, LLC","BURL CAPITAL, LLC",ONE INTERNATIONAL PLACE SUITE 2401,,BOSTON,MA,UNITED STATES,2110,617-310-6160,617-310-6163,,,,,,,Approved,3/13/2007,2/10/2010,Y,WWW.BURLCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"29,518,528.00",0,"29,518,528.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,39285,801-50374,STANFORD GROUP COMPANY,STANFORD GROUP COMPANY,5050 WESTHEIMER,,HOUSTON,TX,UNITED STATES,77056,866-964-6301,713-964-8349,5050 WESTHEIMER,,HOUSTON,TX,UNITED STATES,77056,Approved,10/17/1995,6/14/2010,Y,WWW.STANFORDGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,251-500,0,51-250,0,51-250,0,Nov-50,0,More than 500,"1,500",26-50 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,325,237,111.00","1,726,274,996.00","3,051,512,107.00","2,524","5,219","7,743",Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,Y,Y,Y,N,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,Y
PLRO,111119,801-60183,"FINANCEWARE, INC. DBA WEALTHCARE CAPITAL MANAGEMENT","FINANCEWARE, INC.",600 EAST MAIN STREET,SUITE 1240,RICHMOND,VA,UNITED STATES,23219,804-644-4711,804-644-4759,,,,,,,Approved,4/19/2001,6/14/2010,Y,WWW.401KRIPOFF.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,10-Jun,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"254,027,123.00","50,047,431.00","304,074,554.00","1,302",239,"1,541",Y,Y,N,Y,N,N,Y,N,N,Y,CAPITAL MARKETS RESEARCH,251-500,,Y,Y,N,N,N,N,N,N,Y,"PROPRIETARY TECHNOLOGY, CAPITAL MARKETS RESEARCH",Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,Y
LARO,121192,801-70283,"ARQUE CAPITAL, LTD.","ARQUE CAPITAL, LTD.",7501 E MCCORMICK PKWY,STE. 111N,SCOTTSDALE,AZ,UNITED STATES,85258,602-971-9000,602-224-2499,,,,,,,120-Day Approval,6/16/2009,6/14/2010,Y,WWW.ARQUECAPITAL.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,10-Jan,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,N,0,0,0,0,0,0,Y,Y,N,N,Y,Y,N,N,N,N,,0,,N,N,Y,N,N,N,Y,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,110919,801-19409,M. J. SMITH AND ASSOCIATES,M. J. SMITH AND ASSOCIATES,9635 MAROON CIRCLE,#230,ENGLEWOOD,CO,UNITED STATES,80112-5927,303-768-0007,303-768-0008,,,,,,,Approved,8/4/1983,6/14/2010,Y,WWW.MJ-SMITH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"306,000,000.00","180,000,000.00","486,000,000.00",551,"1,534","2,085",Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110077,801-14682,DAIWA SB INVESTMENTS LTD,DAIWA SB INVESTMENTS LTD,2-1 KASUMIGASEKI 3-CHOME,,"CHIYODA-KU, TOKYO",,JAPAN,100-0013,81-3-6205-0373,81-3-6205-0570,,,,,,,Approved,7/3/1979,6/14/2010,Y,WWW.DAIWASBI.CO.JP/,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,JAPAN,251-500,0,51-250,0,0,0,5-Jan,0,251-500,0,0 percent,0 percent,Up to 10 percent,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"47,250,578,000.00","1,486,751,000.00","48,737,329,000.00",373,12,385,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,110069,801-54953,OBERMEYER ASSET MANAGEMENT CO,OBERMEYER ASSET MANAGEMENT CO,501 RIO GRANDE PLACE,SUITE 107,ASPEN,CO,UNITED STATES,81611,970-925-8747,970-925-8723,,,,,,,Approved,10/10/1997,6/15/2010,Y,WWW.OBERMEYERASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"640,889,180.00","18,127,646.00","659,016,826.00","1,493",18,"1,511",N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,147462,801-69492,LEGG MASON ASSET MANAGEMENT HONG KONG LIMITED,LEGG MASON ASSET MANAGEMENT HONG KONG LIMITED,"12TH FLOOR, YORK HOUSE","THE LANDMARK, NO. 15 QUEEN'S ROAD CENTRAL",#NAME?,,HONG KONG,,852-3652-3000,852-3652-3030,,,,,,,Approved,8/13/2008,6/15/2010,Y,WWW.LEGGMASON.COM.HK,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,Nov-50,0,Nov-50,0,Nov-50,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,NON- U.S. GOVERNMENT,Y,N,N,Y,N,Y,N,,Y,"2,173,187,386.00",0,"2,173,187,386.00",18,0,18,N,N,N,Y,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,135786,801-65923,"STRATEGIC LEGACY ADVISORS, INC.","STRATEGIC LEGACY ADVISORS, INC.",875 SOUTH 48TH STREET,,LINCOLN,NE,UNITED STATES,68510,402-434-2442,402-434-2450,,,,,,,Approved,2/15/2006,6/15/2010,Y,WWW.STRATEGICLEGACYADVISORS.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,NE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,51-75 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,Y,N,N,N,Y,CHARITABLE (NON-PROFITS) PLANNING AND ADMINISTRATION,26-50,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,129451,801-62540,PARK PIEDMONT ADVISORS LLC,PARK PIEDMONT ADVISORS LLC,1034 RIVER ROAD,SUITE 4,EDGEWATER,NJ,UNITED STATES,7020,201-224-2446,201-224-2438,,,,,,,Approved,12/18/2003,6/15/2010,Y,WWW.PARKPIEDMONT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,PER PARTICIPANT FEE,Y,"165,800,000.00","134,700,000.00","300,500,000.00",442,476,918,N,Y,N,Y,N,N,N,N,N,Y,SEMINARS & ASSET ALLOCATION SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,113982,801-61033,"STRATEGIC WEALTH MANAGEMENT GROUP, INC.","STRATEGIC WEALTH MANAGEMENT GROUP, INC.",701 COLORADO AVE.,,STUART,FL,UNITED STATES,34994,772-600-0076,772-283-7446,,,,,,,Approved,4/12/2002,6/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"55,000,000.00",0,"55,000,000.00",205,0,205,Y,Y,N,Y,N,N,Y,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108918,801-57069,"TRAUST SOLLUS WEALTH MANAGEMENT, LLC","TRAUST SOLLUS WEALTH MANAGEMENT, LLC","103 CARNEGIE CENTER, SUITE 205",,PRINCETON,NJ,UNITED STATES,8540,609-779-6700,609-779-6701,,,,,,,Approved,12/10/1999,6/15/2010,Y,WWW.ZDENEK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"179,983,790.00","8,995,316.00","188,979,106.00",626,24,650,Y,Y,N,N,N,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114584,801-60775,ADDINGTON FINANCIAL GROUP,LAURA LEE ADDINGTON,,,,,,,866-220-7788,214-242-2442,P.O. BOX 143,,WINNSBORO,TX,UNITED STATES,75494,Approved,12/13/2001,6/15/2010,Y,WWW.ADDINGTONFG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"45,401,810.00",0,"45,401,810.00",318,0,318,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126636,801-63759,"VAN CLEEF, JORDAN AND WOOD, INC.","VAN CLEEF, JORDAN, AND WOOD, INC.",,,,,,,914-793-5933,914-793-9559,381 PARK AVENUE SOUTH,SUITE 1111,NEW YORK,NY,UNITED STATES,10016-8806,Approved,1/3/2005,6/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"45,000,000.00","5,000,000.00","50,000,000.00",115,2,117,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,141545,801-67979,"FORTRESS CAPITAL MANAGEMENT, INC.","FORTRESS CAPITAL MANAGEMENT, INC.",2320 SKI TRAIL LANE,SUITE 106,STEAMBOAT SPRINGS,CO,UNITED STATES,80477-4741,970-879-5423,303-963-1622,PO BOX 774741,,STEAMBOAT SPRINGS,CO,UNITED STATES,80477,Approved,6/19/2007,1/20/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"22,431,608.00","10,460,711.00","32,892,319.00",54,9,63,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105691,801-28992,MARK ASSET MANAGEMENT CORP,MARK ASSET MANAGEMENT CORP,"667 MADISON AVENUE, 9TH FLOOR",,NEW YORK,NY,USA,10065,212-372-2500,212-372-2525,,,,,,,Approved,2/20/1987,1/20/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,11-25 percent,0 percent,0 percent,11-25 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,FOUNDATIONS AND ENDOWMENTS,Y,N,N,N,N,Y,N,,Y,"215,963,004.00",0,"215,963,004.00",19,0,19,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,127325,801-62566,FORESIGHT ASSET MANAGEMENT,FORESIGHT ASSET MANAGEMENT,,,,,,,281-398-0922,281-398-5311,,,,,,,Approved,1/2/2004,1/20/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"568,000.00",0,"568,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109498,801-56159,PIOT ASSOCIATES LLC,PIOT ASSOCIATES LLC,,,,,,,800-210-7468,978-246-5980,,,,,,,Approved,1/8/1999,1/21/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,ME,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"31,244,267.00",0,"31,244,267.00",79,0,79,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106802,801-43661,SPENCE ASSET MANAGEMENT,SPENCE ASSET MANAGEMENT,2455 EAST MISSOURI,SUITE A,LAS CRUCES,NM,UNITED STATES,88001,575-556-8500,575-556-8510,,,,,,,Approved,4/7/1993,1/21/2010,Y,WWW.SPENCEASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NM,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"72,588,507.00","3,272,279.00","75,860,786.00",457,122,579,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,135759,801-66161,"MAGNOLIA FINANCIAL PLANNING SERVICES, INC.","MAGNOLIA FINANCIAL PLANNING SERVICES, INC.",,,,,,,864-886-9766,864-885-1628,,,,,,,Approved,5/26/2006,1/21/2010,Y,HTTP://WWW.MAGNOLIAFINANCIALPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"43,650,766.00",0,"43,650,766.00",542,0,542,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,111093,801-60113,"SELECT CONSULTING, INC.","SELECT CONSULTING, INC.",8816 RED OAK BLVD,SUITE 260,CHARLOTTE,NC,UNITED STATES,28217,704-426-6100,704-426-6200,,,,,,,Approved,3/23/2001,1/21/2010,Y,WWW.SCONSULTING.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"417,000,000.00","12,000,000.00","429,000,000.00","2,230",35,"2,265",N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105938,801-38275,SIMMS CAPITAL MANAGEMENT INC,SIMMS CAPITAL MANAGEMENT INC,177 BROAD ST. SUITE 1000,,STAMFORD,CT,UNITED STATES,6901,203-252-5700,203-252-5730,,,,,,,Approved,2/15/1991,1/21/2010,Y,SIMMSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,10-Jun,0,10-Jan,0,0 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"417,945,580.00",0,"417,945,580.00",8,0,8,N,Y,N,Y,N,N,Y,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,147444,801-69909,"INTEREST RATE ADVISORS, LLC","INTEREST RATE ADVISORS, LLC",7900 E. UNION AVE.,SUITE 1100,DENVER,CO,UNITED STATES,80237,303-717-2930,303-843-9111,,,,,,,Approved,2/4/2009,1/21/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"36,543,142.00",0,"36,543,142.00",169,0,169,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,121492,801-61326,"THE FAIRMAN GROUP, LLC","THE FAIRMAN GROUP, LLC","300 BERWYN PARK, SUITE 111",,BERWYN,PA,UNITED STATES,19312,610-889-7300,610-889-7326,,,,,,,Approved,7/19/2002,3/29/2010,Y,WWW.FAIRMANGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"261,880,859.00","261,880,859.00",0,92,92,Y,Y,N,Y,N,Y,N,N,N,Y,TAX PLANNING AND RETURN PREP,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,138436,801-65996,"PERMIT CAPITAL, LLC","PERMIT CAPITAL, LLC",100 FRONT STREET,STE 900,WEST CONSHOHOCKEN,PA,UNITED STATES,19428,610-941-5006,610-941-5009,,,,,,,Approved,1/27/2006,3/29/2010,Y,WWW.PERMITCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"425,921,000.00",0,"425,921,000.00",7,0,7,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,118357,801-60808,SUFFOLK CAPITAL MANAGEMENT,SUFFOLK CAPITAL MANAGEMENT LLC,1633 BROADWAY,40TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-247-2160,212-247-2565,,,,,,,Approved,12/21/2001,3/29/2010,Y,WWW.SUFFOLKCAPITALMANAGEMENT.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,582,058,188.00",0,"2,582,058,188.00",23,0,23,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150377,801-70230,SACHS INVESTMENT GROUP,"SACHS INVESTMENT GROUP, LLC",1346 S. THIRD STREET,,LOUISVILLE,KY,UNITED STATES,40208,502-637-1949,502-634-6025,,,,,,,Approved,5/21/2009,3/29/2010,Y,WWW.SACHSINVESTMENTGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KY,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"72,884,310.00","1,668,433.00","74,552,743.00",187,12,199,N,Y,N,Y,Y,N,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N
FWRO,114646,801-61361,"JWA FINANCIAL GROUP, INC.","JWA FINANCIAL GROUP, INC.",6200 LBJ FREEWAY,SUITE 180,DALLAS,TX,USA,75240,972-661-3355,972-661-3396,,,,,,,Approved,8/1/2002,3/29/2010,Y,WWW.JWAFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,SEE SCHEDULE D-MISCELLANEOUS,Y,"336,419,630.00",0,"336,419,630.00","1,070",0,"1,070",Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,127962,801-62450,RLM FINANCIAL,M.R. SPENCER ADVISORY SERVICES L.L.C.,5409 GATEWAY CENTRE,SUITE A,FLINT,MI,USA,48507,810.732.2722,810.733.5408,,,,,,,Approved,10/27/2003,3/31/2007,Y,WWW.RLMDIRECT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,CURRENCY EXCHANGE,Y,Y,N,Y,N,N,N,,Y,"33,137,764.00",0,"33,137,764.00",451,0,451,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107528,801-51396,OHIO NATIONAL INVESTMENTS INC,OHIO NATIONAL INVESTMENTS INC,ONE FINANCIAL WAY,,MONTGOMERY,OH,UNITED STATES,45242,513-794-6251,513-794-4506,,,,,,,Approved,4/2/1996,3/29/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,0,0,0,0,0,0,More than 500,"7,000",More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,REIMBURSED EXPENSES AND PAID ACTUAL COSTS,Y,"3,113,373,810.00",0,"3,113,373,810.00","29,223",0,"29,223",N,Y,Y,N,N,N,N,N,N,N,,More than 500,29000,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,127466,801-62546,SJS CORPORATION,SJS CORPORATION,700 CANAL ST,4TH FLOOR,STAMFORD,CT,UNITED STATES,6902,203-328-3001,425-963-0692,,,,,,,Approved,12/3/2003,3/29/2010,Y,WWW.SJSCORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,"876,499,524.00",0,"876,499,524.00",699,0,699,Y,Y,Y,Y,Y,Y,N,N,Y,N,,51-100,,N,Y,N,Y,N,N,Y,N,Y,"HEDGE FUNDS, PRIVATE EQUITY",N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,133409,801-64442,ROSEN REAL ESTATE SECURITIES LLC,ROSEN REAL ESTATE SECURITIES LLC,1995 UNIVERSITY AVENUE,SUITE 550,BERKELEY,CA,UNITED STATES,94704-1070,510-549-4585,510-849-1209,,,,,,,Approved,7/28/2005,3/29/2010,Y,WWW.RRESLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,SPECIAL PERFORMANCE ALLOCATION,Y,"380,162,665.00",0,"380,162,665.00",70,0,70,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,133413,801-63718,"INTEGRITY INVESTMENT ADVISORS, LLC","INTEGRITY INVESTMENT ADVISORS, LLC",12721 METCALF AVE SUITE 202,,OVERLAND PARK,KS,USA,66213,913-897-2074,913-897-2079,,,,,,,Approved,1/3/2005,3/29/2010,Y,WWW.IIA-KC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"64,805,385.00",0,"64,805,385.00",513,0,513,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,127924,801-62287,STRATEGIC FINANCIAL,"KEN GROSS FINANCIAL, INC.","ONE BOARDWALK AVENUE,",SUITE 103,THOUSAND OAKS,CA,USA,91360,805-494-1825,805-494-4541,,,,,,,Approved,9/8/2003,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"38,396,792.00","38,396,792.00",0,118,118,Y,Y,N,N,N,N,N,N,N,Y,INCOME TAX PREPARATION,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,138919,801-65912,"SECURUS WEALTH MANAGEMENT, LLC","SECURUS WEALTH MANAGEMENT, LLC",3340 ANNAPOLIS LANE N,SUITE B,PLYMOUTH,MN,UNITED STATES,55447,763-231-7880,763-231-7890,,,,,,,Approved,2/1/2006,3/29/2010,Y,WWW.SECURUSWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PORTIONS OF 3RD PARTY ADVISORY FEES,Y,"115,552,007.00","6,240,066.00","121,792,073.00","1,001",25,"1,026",Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,44960,801-66970,PLAN FINANCIAL,"PLAN LIFE & WEALTH MANAGEMENT, INC.","1318 E SHAW AVE, STE 313",,FRESNO,CA,UNITED STATES,93710,559-226-2333,559-226-2223,,,,,,,Approved,7/14/2006,3/29/2010,Y,WWW.PLANFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"63,282,518.00",0,"63,282,518.00",676,0,676,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,2440,801-9182,"KIMELMAN & BAIRD, LLC","KIMELMAN & BAIRD, LLC","100 PARK AVE, SUITE #2120",,NEW YORK,NY,UNITED STATES,10017,212-686-0021,212-779-9603,,,,,,,Approved,4/2/1973,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"644,305,463.00",0,"644,305,463.00",624,0,624,N,Y,N,N,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
FWRO,114796,801-62129,"MATTHEW GOFF INVESTMENT ADVISOR, LLC","MATTHEW B. GOFF, REGISTERED INVESTMENT ADVISOR","4400 POST OAK PARKWAY, SUITE 2150",,HOUSTON,TX,UNITED STATES,77027-3416,713-850-8900,713-728-4884,PO BOX 22128,,HOUSTON,TX,UNITED STATES,77227-2128,Approved,6/19/2003,3/29/2010,Y,WWW.MATTHEWGOFF.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"75,849,231.00","2,012,820.00","77,862,051.00",82,2,84,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,150744,801-70498,"LIVE YOUR VISION, LLC","LIVE YOUR VISION, LLC",FIVE TOWER BRIDGE,"300 BARR HARBOR DR., SUITE 175",WEST CONSHOHOCKEN,PA,UNITED STATES,19428,610-234-2100,610-234-2099,,,,,,,Approved,8/20/2009,3/29/2010,Y,WWW.LIVEMORE.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"180,000,000.00",0,"180,000,000.00","1,100",0,"1,100",Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,134941,801-64211,"KENMONT INVESTMENTS MANAGEMENT, L.P.","KENMONT INVESTMENTS MANAGEMENT, L.P.",711 LOUISIANA STREET,SUITE 1750,HOUSTON,TX,USA,77002,713.223.9922,713.223.0930,,,,,,,Approved,4/20/2005,3/29/2010,Y,WWW.KENMONTINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"34,000,000.00",0,"34,000,000.00",3,0,3,N,N,Y,N,N,N,N,N,N,Y,INVESTMENT ADVISER FIRM OFFERS ADVISORY SERVICES TO POOLED INVESTMENT VEHICLES.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,147942,801-71223,"COSNER FINANCIAL GROUP, LLC","COSNER FINANCIAL GROUP, LLC",3300 NORTH A STREET,"BLDG. 1, STE. 112",MIDLAND,TX,UNITED STATES,79705,432-682-0326,877-560-8742,,,,,,,Approved,3/24/2010,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,0,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"27,994,000.00","5,585.00","27,999,585.00",170,1,171,Y,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105680,801-19755,EUROPEAN INVESTORS INC,EUROPEAN INVESTORS INC,717 FIFTH AVENUE 10TH FLR,,NEW YORK,NY,UNITED STATES,10022,212-644-0794,212-644-0028,,,,,,,Approved,9/29/1983,3/29/2010,Y,WWW.EUROINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,51-75 percent,OFFSHORE FUNDS,Y,N,N,N,N,Y,N,,Y,"1,864,426,811.00","110,116,100.00","1,974,542,911.00",30,2,32,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105189,801-14812,SHEFFIELD INVESTMENT MANAGEMENT INC,SHEFFIELD INVESTMENT MANAGEMENT INC,900 CIRCLE 75 PARKWAY,SUITE 750,ATLANTA,GA,USA,30339-3082,770-953-1597,770-953-3586,,,,,,,Approved,7/9/1979,3/29/2010,Y,WWW.SHEFINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"78,772,234.00",0,"78,772,234.00",184,0,184,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,120805,801-64007,PARADIGM CAPITAL MANAGEMENT,"PARADIGM CAPITAL MANAGEMENT,LLC","6170 RIDGEVIEW COURT, SUITE F",,RENO,NV,UNITED STATES,89519,775-829-8787,775-829-1590,,,,,,,Approved,4/14/2005,3/29/2010,Y,WWW.PARADIGMCM.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"39,015,614.00",0,"39,015,614.00",160,0,160,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112087,801-49315,TIS GROUP INC,T I S GROUP INC,100 VILLAGE CENTER DRIVE,SUITE 260,NORTH OAKS,MN,USA,55127-3024,651-379-5070,651-379-5080,,,,,,,Approved,6/2/1995,3/29/2010,Y,HTTP://WWW.TISGROUP.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,NON-US COMMINGLED FUND PRODUCTS,Y,N,Y,Y,N,Y,N,,Y,"92,232,505.00","23,463,305.00","115,695,810.00",218,5,223,N,Y,N,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114539,801-64114,"CAPITAL ADVISORY GROUP, INC.","CAPITAL ADVISORY GROUP, INC.",5151 BELT LINE ROAD,SUITE 1250,DALLAS,TX,UNITED STATES,75254,972-770-4840,972-770-4814,,,,,,,Approved,4/14/2005,3/29/2010,Y,WWW.CAPITALADVISORYGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"71,748,238.00",0,"71,748,238.00",87,0,87,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,125275,801-63950,"HILLEGAS ADVISORY SERVICES, INC.","HILLEGAS ADVISORY SERVICES, INC.",,,,,,,858-756-6111,858-756-6111,PO BOX 5010,PMB#221,RANCHO SANTA FE,CA,UNITED STATES,92067-5010,Approved,2/11/2005,3/29/2010,Y,WWW.HASWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"84,803,850.00","4,047,709.00","88,851,559.00",242,59,301,Y,Y,N,Y,N,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,139505,801-66277,"PACIFIC PORTFOLIO CONSULTING, LLC","PACIFIC PORTFOLIO CONSULTING, LLC",601 UNION STREET,SUITE 4343,SEATTLE,WA,UNITED STATES,98101,206-623-6641,206-623-6653,,,,,,,Approved,1/8/2006,3/29/2010,Y,HTTP://WWW.PACIFIC-PORTFOLIO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,INVESTMENT ADVISORS,Y,Y,N,Y,N,N,N,,Y,"378,771,356.00","999,993,249.00","1,378,764,605.00",176,48,224,Y,Y,N,Y,Y,Y,N,N,N,Y,"WE ARE THE MANAGING MEMBER OF PPC PARTNERS LLC,A FUND THAT HOLDS PRIVATE EQUITY INVESTMENTS.SOME OF OUR CLIENTS ARE ALSO MEMBERS",10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138917,801-65546,SEDNA CAPITAL MANAGEMENT LLC,SEDNA CAPITAL MANAGEMENT LLC,200 PARK AVENUE,33TH FLOOR,NEW YORK,NY,USA,10166,212-808-3580,212-808-3585,,,,,,,Approved,1/27/2006,4/2/2007,Y,WWW.SEDNACAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,MANAGED ACCOUNTS,Y,N,N,N,N,Y,N,,Y,"92,479,286.00",0,"92,479,286.00",6,0,6,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109101,801-55986,BLACKSTONE REAL ESTATE ADVISORS III LP,BLACKSTONE REAL ESTATE ADVISORS III LP,345 PARK AVENUE,,NEW YORK,NY,USA,10154,212-583-5000,212-583-5258,,,,,,,Approved,11/10/1998,3/29/2010,Y,WWW.BLACKSTONE.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,51-250,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"15,206,000.00",0,"15,206,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,140718,801-66815,CAPITAL 1ST. ADVISORS LLC,CAPITAL 1ST. ADVISORS LLC,12800 UNVERSITY PARK DRIVE,SUITE 385,FORT MYERS,FL,USA,33907,239-481-8442,239-481-8449,,,,,,,Approved,5/25/2006,4/2/2007,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137970,801-65868,"COLONY INVESTMENT MANAGEMENT, LLC","COLONY INVESTMENT MANAGEMENT, LLC",660 MADISON AVENUE,SUITE 1435,NEW YORK,NY,UNITED STATES,10065,212-230-3388,212-829-0599,,,,,,,Approved,2/1/2006,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"100,000,000.00",0,"100,000,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111230,801-60213,FAMILY CAPITAL MANAGEMENT,"PAUL DAMON & ASSOCIATES, INC.",80 OTTAWA AVE. SUITE 101,,GRAND RAPIDS,MI,UNITED STATES,49503,616-774-4560,616-774-4568,,,,,,,Approved,5/17/2001,3/30/2010,Y,WWW.FAMILYCAPITALMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"54,000,000.00",0,"54,000,000.00",425,0,425,Y,Y,N,Y,Y,Y,N,N,N,Y,SEMINARS AND SPEAKING ENGAGEMENTS,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,114649,801-60512,"HOTCHKIS AND WILEY CAPITAL MANAGEMENT, LLC","HOTCHKIS AND WILEY CAPITAL MANAGEMENT, LLC",725 SOUTH FIGUEROA STREET,39TH FLOOR,LOS ANGELES,CA,UNITED STATES,90017-5439,213-430-1000,213-430-1001,,,,,,,Approved,9/5/2001,3/30/2010,Y,WWW.HWCM.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,11-25 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,"CHURCH PLAN, ENDOWMENT, FOREIGN GVT",Y,N,N,N,N,Y,N,,Y,"14,493,607,050.00",0,"14,493,607,050.00",92,0,92,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,131327,801-63044,"PERITUS ASSET MANAGEMENT, LLC","PERITUS I ASSET MANAGEMENT, LLC",26 WEST ANAPAMU STREET,3RD FLOOR,SANTA BARBARA,CA,UNITED STATES,93101,805-882-1100,805-882-1122,,,,,,,Approved,4/29/2004,4/30/2010,Y,WWW.PERITUSASSET.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"491,718,926.00",0,"491,718,926.00",91,0,91,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107337,801-26952,MONEY WATCH ADVISORS INC,MONEYWATCH ADVISORS INC,444 EAST MAIN STREET,SUITE 106,LEXINGTON,KY,UNITED STATES,40507,859-268-1117,859-269-7315,,,,,,,Approved,5/15/1986,4/30/2010,Y,WWW.MONEYWATCHADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"108,014,957.00",0,"108,014,957.00",537,0,537,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110957,801-17368,CAPITAL ADVISORS INC,CAPITAL ADVISORS INC,275 HESS BOULEVARD,,LANCASTER,PA,UNITED STATES,17601,717-569-4655,717-569-5589,,,,,,,Approved,7/1/1982,4/30/2010,Y,WWW.CAPADV.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,%OF SPREAD EARNED,Y,"1,037,000,000.00",0,"1,037,000,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,266,801-70874,"INVESTEC ERNST & COMPANY, INC.","HAPOALIM SECURITIES USA, INC.",ONE BATTERY PARK PLAZA,,NEW YORK,NY,UNITED STATES,10004,212-898-6238,212-898-7755,,,,,,,Approved,1/4/2010,4/30/2010,Y,WWW.HAPOALIMSEC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,0,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,000,000.00",0,"25,000,000.00",1,0,1,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,N,Y,Y,N,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
SFRO,111738,801-36610,GRAND JEAN CAPITAL MANAGEMENT INC.,GRAND JEAN CAPITAL MANAGEMENT INC.,ONE MARKET-STEUART TOWER,SUITE 2600,SAN FRANCISCO,CA,UNITED STATES,94105,415-512-5430,415-512-8515,,,,,,,Approved,5/17/1990,4/30/2010,Y,WWW.GJCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"284,420,517.00",0,"284,420,517.00",240,0,240,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107357,801-31398,ARCH ASSET MANAGEMENT INC,ARCH ASSET MANAGEMENT INC,"7650 EDINBOROUGH WAY,STE 760",,EDINA,MN,UNITED STATES,55435,952-893-9805,952-893-0228,,,,,,,Approved,3/10/1988,4/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"89,609,266.00",0,"89,609,266.00",546,0,546,Y,Y,N,N,N,N,N,N,N,Y,VARIOUS CONSULTING ISSUES,25-Nov,,N,N,N,N,N,N,N,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105968,801-36027,LANE BROTHERS & CO INC,LANE BROTHERS & CO INC,1550 PLAZA WEST DRIVE,,PRESCOTT,AZ,UNITED STATES,86303,928-776-8870,928-776-0828,,,,,,,Approved,1/31/1990,4/30/2010,Y,WWW.LANEBROTHERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"54,837,638.00",0,"54,837,638.00",180,0,180,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,36026,801-67370,HANYS BENEFIT SERVICES,HEALTHCARE COMMUNITY SECURITIES CORPORATION,ONE EMPIRE DRIVE,,RENSSELAER,NY,UNITED STATES,12144,518-431-7600,518-431-7601,,,,,,,Approved,1/5/2007,4/30/2010,Y,WWW.HEALTHSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,"1,500",26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"87,026,139.00","110,209,711.00","197,235,850.00","3,766",1,"3,767",N,N,N,Y,Y,N,N,N,N,Y,PROVIDES INVESTMENT SUPERVISORY SERVICES,0,,Y,N,Y,N,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
PLRO,121692,801-71420,"BRYANT FINANCIAL ADVISORY, INC.","BRYANT FINANCIAL ADVISORY, INC.","2360 WEST JOPPA ROAD, SUITE 319",,LUTHERVILLE,MD,UNITED STATES,21093,410-321-4913,410-558-6891,,,,,,,Approved,5/10/2010,4/30/2010,Y,WWW.BRYANTFINANCIALADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"24,600,000.00","5,600,000.00","30,200,000.00",55,20,75,Y,Y,N,N,N,Y,N,N,N,Y,INVESTMENT CONSULTING TO TRUSTS AND CHARITABLE ENTITIES,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123483,801-69918,"CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC","CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC",4722 MAIN STREET,,LISLE,IL,UNITED STATES,60532-1724,630-435-9128,630-435-9129,,,,,,,Approved,3/5/2009,4/30/2010,Y,WWW.CHICAGOMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,10-Jun,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"26,036,554.00",0,"26,036,554.00",105,0,105,N,Y,N,N,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
NYRO,127109,801-62095,"WRITE CAPITAL MANAGEMENT, LLC","WRITE CAPITAL MANAGEMENT, LLC",900 BRIGGS ROAD,SUITE 455,MOUNT LAUREL,NJ,USA,8054,856-727-1700,856-727-1764,,,,,,,Approved,5/29/2003,3/31/2006,Y,WWW.WRITECAPITAL.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"6,000,000.00",0,"6,000,000.00",1,0,1,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,153768,801-71405,"ALIGN INVESTMENT MANAGEMENT, LLC","ALIGN INVESTMENT MANAGEMENT, LLC",270 18TH STREET,,SANTA MONICA,CA,UNITED STATES,90402,310-395-2694,310-576-1061,,,,,,,Approved,4/30/2010,4/30/2010,Y,WWW.ALIGN-LLC.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,135533,801-66593,"WILLIAM B. WALKUP & ASSOCIATES, INC.","WILLIAM B. WALKUP & ASSOCIATES, INC.",142 ATRIUM WAY,,COLUMBIA,SC,UNITED STATES,29223-6301,803-462-9395,803-462-9396,,,,,,,Approved,5/15/2006,4/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"44,101,257.00",0,"44,101,257.00",65,0,65,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124556,801-66931,"WASSERMAN WEALTH MANAGEMENT, LLC","WASSERMAN WEALTH MANAGEMENT, LLC",31700 MIDDLEBELT ROAD,SUITE 130,FARMINGTON HILLS,MI,USA,48334,248.626.3900,248.626.3903,,,,,,,Approved,6/30/2006,4/30/2010,Y,WWW.WASSERMANWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"67,744,451.00",0,"67,744,451.00",238,0,238,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,138687,801-65114,DTS GROUP LLC,DTS GROUP LLC,"TWO BELVEDERE PLACE, SUITE 320",,MILL VALLEY,CA,UNITED STATES,94941-2486,415-322-4542,415-388-8779,,,,,,,Approved,1/11/2006,4/30/2010,Y,WWW.DTSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"37,458,575.00",0,"37,458,575.00",125,0,125,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135657,801-65582,"ANCHORAGE ADVISORS, L.L.C.","ANCHORAGE ADVISORS, L.L.C.",610 BROADWAY,6TH FLOOR,NEW YORK,NY,UNITED STATES,10012,212-432-4600,212-432-4601,,,,,,,Approved,1/27/2006,4/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,SINGLE FUND INVESTOR,Y,N,N,N,N,Y,N,,Y,"7,755,014,826.00",0,"7,755,014,826.00",17,0,17,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS & SINGLE INVESTOR FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,18005,801-27679,"R.V. KUHNS AND ASSOCIATES, INC.","R.V. KUHNS & ASSOCIATES, INC.",111 SW NAITO PARKWAY,,PORTLAND,OR,UNITED STATES,97204-3512,503-221-4200,503-294-1409,,,,,,,Approved,8/15/1986,4/30/2010,Y,WWW.RVKUHNS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,101-250,0,0 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,N,Y,N,Y,N,N,Y,BASIS PT. ON PORTFOLIO VALUE,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,ASSISTANCE WITH INVESTMENT POLICY AND GUIDELINES D,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105682,801-35519,"LOMBARDIA CAPITAL PARTNERS, LLC","LOMBARDIA CAPITAL PARTNERS, LLC","55 SOUTH LAKE AVE, SUITE 750",,PASADENA,CA,UNITED STATES,91101-4744,626-568-2792,626-568-2771,,,,,,,Approved,12/15/1989,4/30/2010,Y,WWW.LOMBARDIACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,989,572,874.00",0,"1,989,572,874.00",70,0,70,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152161,801-70797,"SAFRAN WEALTH ADVISORS, LLC","SAFRAN WEALTH ADVISORS, LLC",641 LEXINGTON AVENUE,SUITE 1424,NEW YORK,NY,UNITED STATES,10022,212-328-9530,212-202-7828,,,,,,,Approved,11/18/2009,4/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"22,787,659.00","6,670,874.00","29,458,533.00",46,8,54,Y,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,138542,801-65083,"SALTBOX CAPITAL, LLC","SALTBOX CAPITAL, LLC",50 FEDERAL STREET,,BOSTON,MA,UNITED STATES,2110,617-350-8999,617-350-8902,,,,,,,Approved,1/10/2006,4/30/2010,Y,WWW.SALTBOXCAPITAL.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"11,949,371.00",0,"11,949,371.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR FUND OF FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,125930,801-66525,"PPA ADVISORY SERVICES, INC.","PPA ADVISORY SERVICES, INC.","500 COLONIAL CENTER PARKWAY,",SUITE 600,ROSWELL,GA,UNITED STATES,30076-8853,770-998-8721,770-992-4733,,,,,,,Approved,4/3/2006,4/30/2010,Y,WWW.PPAADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"48,806,898.00","26,832,251.00","75,639,149.00",177,130,307,Y,Y,N,N,Y,N,N,N,N,N,,51-100,,N,N,Y,Y,N,N,Y,N,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,122816,801-61527,"ICAPITAL, LLC","ICAPITAL, LLC",62 PLYMPTON STREET,,BOSTON,MA,UNITED STATES,2118,(617)542-8700,(617)542-8707,,,,,,,Approved,10/18/2002,4/30/2010,Y,WWW.ICAPLLC.US,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,More than 500,"1,000",11-25 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"203,933,157.00","37,790,188.00","241,723,345.00",866,130,996,N,Y,N,Y,Y,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR QUALIFIED RETIREMENT PLANS,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
PLRO,116983,801-71422,"CHAO & COMPANY, LTD.","CHAO & COMPANY, LTD.",8460 TYCO ROAD,SUITE E,VIENNA,VA,UNITED STATES,22182-2219,703-847-4380,703-847-4384,,,,,,,Approved,5/11/2010,4/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"47,406,000.00","47,406,000.00",0,47,47,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,39385,801-54195,FELDMAN SECURITIES GROUP LLC,FELDMAN SECURITIES GROUP L.L.C.,5901 COLLEGE BLVD,,OVERLAND PARK,KS,USA,66211,800-676-1755,913 319-0399,,,,,,,Approved,4/3/1997,4/30/2010,Y,WWW.FSGRHINO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"145,914,623.00","145,914,623.00",0,16,16,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
ARO,112636,801-40818,GROVE INVESTMENTS,GROVE WILLIAM FRANKLIN,213 MARINA DRIVE,,ST. SIMONS ISLAND,GA,UNITED STATES,31522,912-634-6131,912-634-6310,,,,,,,Approved,2/20/1992,4/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"26,829,385.00",0,"26,829,385.00",71,0,71,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,109251,801-57055,LIGHTHOUSE FINANCIAL LLC,LIGHTHOUSE FINANCIAL LLC,360 INTERLOCKEN BLVD.,SUITE 101,BROOMFIELD,CO,USA,80021-3496,303-444-1818,303-444-1852,,,,,,,Approved,12/23/1999,4/30/2010,Y,WWW.LIGHTHOUSEFINANCIAL.BIZ,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"84,707,894.00",0,"84,707,894.00",455,0,455,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105171,801-21425,REMBERT PENDLETON JACKSON,"REMBERT GROUP, INC.",7647 LEESBURG PIKE,,FALLS CHURCH,VA,USA,22043,703-821-6655,703-821-2928,,,,,,,Approved,6/1/1984,4/30/2010,Y,WWW.RPJADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,More than 500,600,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"4,073,777.00","549,084,523.00","553,158,300.00",8,"2,794","2,802",Y,Y,N,Y,Y,Y,N,N,N,Y,BUSINESS CONSULTING,251-500,,N,N,N,N,N,Y,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,134996,801-71380,"APEX CAPITAL, LLC","APEX CAPITAL, LLC",25 ORINDA WAY,SUITE 300,ORINDA,CA,UNITED STATES,94563,925-253-1800,925-253-1809,,,,,,,Approved,4/23/2010,4/30/2010,Y,APEXCAPITALFUNDS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,PERFORMANCE-BASED ALLOCATIONS FROM INVESTMENT LIMITED PARTNERSHI,Y,"744,776,407.00",0,"744,776,407.00",9,0,9,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,16736,801-25646,"GOLDMAN CAPITAL MANAGEMENT, INC.","GOLDMAN CAPITAL MANAGEMENT, INC.",767 THIRD AVE.,25TH FL,NEW YORK,NY,UNITED STATES,10017,212-676-5571,212-214-0657,,,,,,,Approved,11/7/1985,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"74,766,784.00","7,937,411.00","82,704,195.00",100,35,135,N,Y,N,N,N,N,N,N,N,Y,HEDGE FUND,0,,N,N,Y,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110744,801-19015,RTD FINANCIAL ADVISORS INC,RTD FINANCIAL ADVISORS INC,30 S. 17TH STREET,STE 1720,PHILADELPHIA,PA,UNITED STATES,19103,215-557-3800,215-557-3814,,,,,,,Approved,6/13/1983,3/24/2010,Y,HTTP://WWW.RTDFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"433,855,688.00","4,718,472.00","438,574,160.00",440,5,445,Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,126928,801-64018,"SEASCAPE CAPITAL MANAGEMENT,LLC","SEASCAPE CAPITAL MANAGEMENT,LLC",155 LAFAYETTE ROAD,DRAKE HILL COMMONS,NORTH HAMPTON,NH,UNITED STATES,3862,(603)964-4480,(603)964-4490,,,,,,,Approved,6/24/2005,3/24/2010,Y,WWW.SEASCAPE-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"59,551,252.00","2,400,660.00","61,951,912.00",95,1,96,Y,Y,N,Y,N,Y,N,N,N,Y,RESEARCH,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111591,801-64093,CAPITAL ANALYST,YAMASHIRO FINANCIAL SERVICES INC.,201 SOUTH LAKE AVENUE,SUITE 301,PASADENA,CA,USA,91101,626-792-9605,626-792-8524,,,,,,,Approved,4/8/2005,3/14/2005,Y,CAPITALANLYST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"140,000,000.00","85,000,000.00","225,000,000.00",109,388,497,Y,Y,N,N,Y,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
ARO,107542,801-45890,PROTECTIVE INVESTMENT ADVISORS INC.,PROTECTIVE INVESTMENT ADVISORS INC.,2801 HIGHWAY 280 SOUTH,C/O PROTECTIVE LIFE CORP,BIRMINGHAM,AL,UNITED STATES,35223,205-268-1000,205-268-3597,,,,,,,Approved,2/22/1994,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,451,982,717.00",0,"2,451,982,717.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105985,801-39145,ADRIAN DAY ASSET MANAGEMENT,GLOBAL STRATEGIC MANAGEMENT INC,"801 COMPASS WAY, SUITE 207",,ANNAPOLIS,MD,USA,21401,410-224-2037,,P.O. BOX 6643,,ANNAPOLIS,MD,U.S.A.,21401,Approved,6/26/1991,3/24/2010,Y,WWW.ADRIANDAYASSETMANAGEMENT.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"120,059,961.00",0,"120,059,961.00",369,0,369,N,Y,N,Y,N,N,N,N,N,N,,251-500,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,136452,801-64551,HILL INVESTMENT GROUP,"HILL INVESTMENT GROUP, LLC",7701 FORSYTH BOULEVARD,SUITE 350,ST. LOUIS,MO,USA,63105,314-448-4023,314-448-4027,,,,,,,Approved,7/29/2005,3/24/2010,Y,WWW.HILLINVESTMENTGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"208,418,525.00",0,"208,418,525.00",356,0,356,N,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,138402,801-66009,"TETRA CAPITAL MANAGEMENT, LLC","TETRA CAPITAL MANAGEMENT, LLC",ONE INTERNATIONAL PLACE,SUITE 2401,BOSTON,MA,USA,2110,617-526-8960,617-526-8937,,,,,,,Approved,1/31/2006,3/24/2010,Y,WWW.DELTAMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"36,974,437.00",0,"36,974,437.00",5,0,5,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,118725,801-62185,DAVIDSON CAPITAL,DAVIDSON CAPITAL CORPORATION,705 PENINSULA DRIVE,,DAVIDSON,NC,UNITED STATES,28036,704-987-0288,704-987-0292,,,,,,,Approved,7/9/2003,3/24/2010,Y,WWW.DAVIDSONCAPITALCORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"100,000,000.00",0,"100,000,000.00",286,0,286,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114724,801-65399,"WS CAPITAL MANAGEMENT, L.P.","WS CAPITAL MANAGEMENT, L.P.",300 CRESCENT COURT,SUITE 1111,DALLAS,TX,UNITED STATES,75201,214-756-6056,214-756-6079,,,,,,,Approved,1/26/2006,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,PERFORMANCE BASED ALLOCATION,Y,"871,806,717.00",0,"871,806,717.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,Y,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,136382,801-64541,"CYNTHIA L. CONGER, CPA, PA","CYNTHIA L. CONGER, CPA, PA",2300 ANDOVER COURT,SUITE 560,LITTLE ROCK,AR,USA,72227,501-374-1174,501-225-7274,,,,,,,Approved,7/22/2005,3/24/2010,Y,WWW.CINDYCONGER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),PROFESSIONAL ASSOCIATION,AR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"38,229,203.00","854,673.00","39,083,876.00",52,1,53,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,129650,801-62742,SOLARIS ASSET MANAGEMENT,"SOLARIS ASSET MANAGEMENT,LLC",598 MADISON AVENUE,,NEW YORK,NY,UNITED STATES,10022-1603,212-582-5029,646-219-6638,,,,,,,Approved,2/9/2004,3/24/2010,Y,WWW.SOLARISGROUPLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"247,331,000.00",0,"247,331,000.00",89,0,89,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,136313,801-64621,OPEN FIELD CAPITAL LLC,OPEN FIELD CAPITAL LLC,"1114 AVENUE OF THE AMERICAS, 38TH FLOOR",,NEW YORK,NY,UNITED STATES,10036,212-536-9740,,,,,,,,Approved,8/15/2005,3/24/2010,Y,WWW.OFCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"68,400,000.00",0,"68,400,000.00",11,0,11,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,115390,801-66152,CEPONIS FINANCIAL GROUP,"CEPONIS, DAVID, JAY",195 DANBURY ROAD,SUITE 200,WILTON,CT,UNITED STATES,6897,203-762-2117,203-762-3225,,,,,,,Approved,2/1/2006,3/24/2010,Y,WWW.CEPONISFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"44,047,374.00","6,149,499.00","50,196,873.00",171,12,183,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,113067,801-60531,"DONNELLY WEALTH ADVISORS, INC.","DONNELLY WEALTH ADVISORS, INC.",5151 SHOREHAM PLACE,SUITE 240,SAN DIEGO,CA,USA,92122,858-622-9009,858-622-9028,,,,,,,Approved,8/31/2001,3/24/2010,Y,WWW.WEALTHNETWORK.SEIC.COM/PROFILE_DONNELLY_WEALTH_ADVISORS_INC.ASP,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,THIRD PARTY ADVISORY FEES,Y,"175,820,158.00","3,100,000.00","178,920,158.00",437,2,439,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,138401,801-65690,"MORGAN CREEK CAPITAL MANAGEMENT, LLC","MORGAN CREEK CAPITAL MANAGEMENT, LLC",301 WEST BARBEE CHAPEL ROAD,SUITE 200,CHAPEL HILL,NC,UNITED STATES,27517,919-933-4004,919-869-8090,,,,,,,Approved,1/26/2006,3/24/2010,Y,WWW.MORGANCREEKCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,"FAMILY OFFICES, PRIVATE FOUNDATIONS, ETC.",Y,N,N,N,N,Y,N,,Y,"1,831,733,058.00","7,171,946,588.00","9,003,679,646.00",23,25,48,N,N,N,N,N,Y,N,N,N,Y,NON-DISCRETIONARY INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,139516,801-66462,"VON KOHORN RESEARCH & ADVISORY, INC.","VON KOHORN RESEARCH & ADVISORY, INC.",225 MAIN STREET,SUITE 104,WESTPORT,CT,USA,6880,203-454-3200,203-226-1636,,,,,,,Approved,4/17/2006,3/24/2010,Y,HTTP://VKRA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"29,863,558.00",0,"29,863,558.00",9,0,9,Y,Y,N,N,N,N,N,N,N,Y,REGISTRANT PROVIDES INVESTMENT ADVICE TO PRIVATE INVESTMENT VEHICLES,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,124197,801-68812,"NORTHBROOK INVESTMENT MANAGEMENT, LLC","NORTHBROOK INVESTMENT MANAGEMENT, LLC",2149 JOLLY RD,SUITE 500,OKEMOS,MI,USA,48864,517-347-0347,517-347-0811,,,,,,,Approved,2/14/2008,3/24/2010,Y,WWW.NORTHBROOKINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"58,984,000.00","2,487,000.00","61,471,000.00",281,1,282,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,28784,801-66495,"PRESIDENTIAL BROKERAGE, INC.","PRESIDENTIAL BROKERAGE, INC.",5445 DTC PKWY,SUITE 1100,GREENWOOD VILLAGE,CO,USA,80111,303-694-1600,303-694-9185,,,,,,,Approved,4/7/2006,3/24/2010,Y,WWW.PRESIDENTIALBROKERAGE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,000",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,Y,N,N,N,Y,FEE FOR WRITTEN FINANCIAL PLANS,Y,"54,846,414.00","24,793,413.00","79,639,827.00",737,299,"1,036",Y,Y,N,N,N,Y,N,N,N,Y,PROVIDING STRATEGIES TO CLIENTS AND OTHER ADVISORS - SIGNAL SELLING,10-Jan,,N,N,Y,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
CHRO,106702,801-47219,DEMERS FINANCIAL PLANNING,DEMERS CONSTANCE ELAINE,"2929 KENNY ROAD, STE 190",,COLUMBUS,OH,UNITED STATES,43221,614-451-4505,614-451-5356,,,,,,,Approved,9/19/1994,3/24/2010,Y,DEMERSFINANCIALPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,"FLAT, NEGOTIATED FEE",Y,"65,262,374.00","14,098,542.00","79,360,916.00",201,151,352,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,113584,801-60556,"POPE ASSET MANAGEMENT, LLC","POPE ASSET MANAGEMENT, LLC",5100 POPLAR AVENUE,SUITE 805,MEMPHIS,TN,UNITED STATES,38137,901-763-4001,901-763-4229,,,,,,,Approved,9/10/2001,3/24/2010,Y,WWW.POPEASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"268,888,258.00","334,925,299.00","603,813,557.00",173,4,177,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,117768,801-68244,"FLEISHEL FINANCIAL ASSOCIATES, INC.","FLEISHEL FINANCIAL ASSOCIATES, INC.",812 NORTH WOODLAND BLVD.,,DELAND,FL,USA,32720,386-738-1800,386-943-4010,,,,,,,Approved,8/23/2007,3/24/2010,Y,WWW.FLEISHELFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,ANNUAL MGMT FEE FOR OUTSIDE ASSETS/THIRD PARTY REFERRAL FEES,Y,"39,755,146.00",0,"39,755,146.00",148,0,148,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108614,801-55553,HTG INVESTMENT ADVISORS INC,HTG INVESTMENT ADVISORS INC,50 LOCUST AVENUE,,NEW CANAAN,CT,USA,6840,203-972-8262,203-966-4740,,,,,,,Approved,5/14/1998,3/24/2010,Y,WWW.HTGINVESTMENTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,ENDOWMENT (NOT-FOR-PROFIT),Y,N,N,Y,N,N,N,,Y,"278,691,002.00",0,"278,691,002.00",231,0,231,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,136683,801-64711,"SOLARIS ADVISORS, LLC","SOLARIS ADVISORS, LLC",598 MADISON AVENUE,,NEW YORK,NY,UNITED STATES,10022,212-582-5029,646-219-6638,,,,,,,Approved,9/13/2005,3/24/2010,Y,WWW.SOLARISGROUPLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"18,313,000.00","1,358,089,000.00","1,376,402,000.00",1,31,32,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107043,801-30985,STRATEGIC PROPERTY ADVISERS INC,STRATEGIC PROPERTY ADVISERS INC,3250 VISTA DIEGO ROAD,,JAMUL,CA,UNITED STATES,91935,619-669-6688,619-669-4844,,,,,,,Approved,11/27/1987,3/24/2010,Y,WWW.SPADVISE.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,LABOR UNION RELATED ENTITIES,Y,N,N,Y,N,N,N,,Y,"2,170,258,275.00",0,"2,170,258,275.00",14,0,14,N,N,N,N,Y,N,N,N,N,Y,MANAGE & SUBMANAGE $391 MIL REAL ESTATE EQUITY & SECURED LOANS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119708,801-66444,"CAPITAL PORTFOLIO ADVISORS, INC.","CAPITAL PORTFOLIO ADVISORS, INC.",3131 S. DIXIE DRIVE,SUITE 105,DAYTON,OH,UNITED STATES,45439,937-299-9111,888-239-5049,,,,,,,Approved,3/27/2006,3/24/2010,Y,WWW.CAPITALPORTADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"25,085,255.00",0,"25,085,255.00",110,0,110,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105758,801-29688,CALAMOS ADVISORS LLC,CALAMOS ADVISORS LLC,2020 CALAMOS COURT,,NAPERVILLE,IL,USA,60563-2787,630.245.7200,630.245.7511,,,,,,,Approved,5/29/1987,3/24/2010,Y,WWW.CALAMOS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,251-500,0,51-250,0,Nov-50,0,5-Jan,0,More than 500,"14,000",51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,"ENDOWMENT FOUNDATION, NONTRUSTS, PUBLIC NRA, TRUSTS, OTHER",Y,N,N,N,N,Y,N,,Y,"31,975,036,127.00",0,"31,975,036,127.00","13,826",0,"13,826",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107101,801-25232,SAINT LOUIS INVESTMENT ADVISORS INC,SAINT LOUIS INVESTMENT ADVISORS INC,1701 GOLFVIEW DRIVE,,COLLINSVILLE,IL,UNITED STATES,62234,618-344-5808,618-344-2757,,,,,,,Approved,9/30/1985,3/24/2010,Y,WWW.SLIA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"32,053,589.00",0,"32,053,589.00",86,0,86,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,132487,801-63439,"UPTON ADVISORS, LLC","UPTON ADVISORS, LLC",THE CARRIAGE HOUSE,12 MIDDLE STREET,AMHERST,NH,USA,3031,603-673-9462,603-249-9886,,,,,,,Approved,8/13/2004,3/21/2006,Y,WWW.UPTONADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,N,N,N,Y,N,N,Y,M&A AND IPO ADVISORY SUCCESS FEES,Y,0,"50,000,000.00","50,000,000.00",0,1,1,N,N,N,N,N,N,N,N,N,Y,CORPORATE FINANCE SERVICES,,,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,144844,801-68280,"ICM PARTNERS, LLC","ICM PARTNERS, LLC",601 W. MAIN AVENUE,SUITE 600,SPOKANE,WA,UNITED STATES,99201-0613,509-455-3588,509-444-4500,,,,,,,Approved,8/23/2007,3/24/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,INACTIVE,Y,0,0,0,0,0,0,Y,Y,N,Y,N,N,N,N,N,Y,INACTIVE,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,129433,801-68136,"HD FINANCIAL SERVICES, LLC","HD FINANCIAL SERVICES, LLC",12829 WEST DODGE ROAD,SUITE 100,OMAHA,NE,UNITED STATES,68154,402-763-6401,402-763-6400,,,,,,,Approved,7/13/2007,3/24/2010,Y,WWW.HDFINANCIALSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"83,483,487.00","368,893.00","83,852,380.00",133,1,134,N,Y,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,141029,801-67008,GOLDBERG LINDSAY & CO. LLC,GOLDBERG LINDSAY & CO. LLC,630 FIFTH AVENUE,30TH FLOOR,NEW YORK,NY,UNITED STATES,10111,212-651-1100,212-651-1101,,,,,,,Approved,7/21/2006,3/24/2010,Y,WWW.LINDSAYGOLDBERGLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,417,291,517.00",0,"4,417,291,517.00",53,0,53,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,139226,801-66070,"MICROSIGMA CAPITAL MANAGEMENT, LLC","MICROSIGMA CAPITAL MANAGEMENT, LLC",905 BRICKELL BAY DRIVE,SUITE 1425,MIAMI,FL,UNITED STATES,33131,305-461-9100,305-461-9596,,,,,,,Approved,1/27/2006,3/24/2010,Y,WWW.MICROSIGMACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"81,926,991.00","432,762.00","82,359,753.00",493,4,497,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,128059,801-62274,GFG CAPITAL,"GFG CAPITAL, LLC",701 BRICKELL AVENUE,SUITE 1730,MIAMI,FL,UNITED STATES,33131,305-810-6500,305-810-6501,,,,,,,Approved,8/22/2003,3/24/2010,Y,WWW.GFGCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,251-500,0,Up to 10 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"30,868,893.00","372,079,014.00","402,947,907.00",30,551,581,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108143,801-54967,WESTPORT ADVISERS LLC,WESTPORT ADVISERS LLC,253 RIVERSIDE AVE,,WESTPORT,CT,UNITED STATES,6880,203-227-3601,203-226-6306,,,,,,,Approved,10/10/1997,3/24/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"965,815,200.00",0,"965,815,200.00",2,0,2,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,150169,801-70133,"GRANITE VALUE CAPITAL, LLC","GRANITE VALUE CAPITAL, LLC",35 SOUTH MAIN STREET,2ND FLOOR,HANOVER,NH,UNITED STATES,3755,603-727-2328,888-845-2481,,,,,,,Approved,4/22/2009,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"28,165,931.00",0,"28,165,931.00",52,0,52,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126222,801-61974,"STONEGATE CAPITAL MANAGEMENT, L.L.C.","STONEGATE CAPITAL MANAGEMENT, L.L.C.","99 PARK AVENUE, SUITE 1510",,NEW YORK,NY,UNITED STATES,10016,212-949-1630,212-949-6219,,,,,,,Approved,4/8/2003,3/24/2010,Y,WWW.STONEGATECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,CBO,Y,N,N,N,N,N,N,,Y,"120,000,000.00",0,"120,000,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,131381,801-63096,"CSA WEALTH MANAGEMENT, LLC","CSA WEALTH MANAGEMENT, LLC",,,,,,,276-634-0000,276-634-5100,729 COUNTRY PLACE ROAD,,AXTON,VA,UNITED STATES,24054,Approved,5/17/2004,3/24/2010,Y,CSAWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,LLP,Y,N,N,N,N,N,N,,Y,"29,625,797.00","91,029.00","29,716,826.00",132,1,133,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108305,801-68573,SOVEREIGN ASSET MANAGEMENT,SAZDANOFF DONALD LOUIS,,,,,,,419-884-8309,419-884-0952,,,,,,,Approved,11/30/2007,3/24/2010,Y,SOVEREIGNASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,Y,Y,N,N,N,,Y,"28,247,000.00",0,"28,247,000.00",120,0,120,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,154504,801-71748,SILVA CAPITAL MANAGEMENT LLC,SILVA CAPITAL MANAGEMENT LLC,625 N MICHIGAN AVE STE 412,,CHICAGO,IL,UNITED STATES,60611,312-397-0400,312-397-0404,,,,,,,Approved,8/9/2010,8/4/2010,Y,WWW.SILVACAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"58,000,000.00",0,"58,000,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,128703,801-62608,HATTERAS INVESTMENT PARTNERS LLC,HATTERAS INVESTMENT PARTNERS LLC,"8540 COLONNADE CENTER DRIVE, SUITE 401",,RALEIGH,NC,UNITED STATES,27615,919-846-2324,919-846-3433,,,,,,,Approved,12/17/2003,8/4/2010,Y,WWW.HATTERASFUNDS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,408,578,169.00",0,"1,408,578,169.00",3,0,3,N,N,Y,N,N,N,N,N,N,Y,1)FUNDS OF FUNDS PORTFOLIO MANAGEMENT,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,143805,801-68363,"HATTERAS CAPITAL INVESTMENT MANAGEMENT, LLC","HATTERAS CAPITAL INVESTMENT MANAGEMENT, LLC","8540 COLONNADE CENTER DRIVE, SUITE 401",,RALEIGH,NC,UNITED STATES,27615,919-846-2324,919-846-3433,,,,,,,Approved,10/17/2007,8/4/2010,Y,WWW.HATTERASFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,51-75 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"38,166,040.00",0,"38,166,040.00",3,0,3,N,N,Y,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT OF POOLED FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,114537,801-60667,"AEGON USA INVESTMENT MANAGEMENT, LLC","AEGON USA INVESTMENT MANAGEMENT, LLC",4333 EDGEWOOD ROAD NE,,CEDAR RAPIDS,IA,UNITED STATES,52499-5338,319-355-8823,319-355-2666,,,,,,,Approved,11/1/2001,8/4/2010,Y,WWW.AEGONINVESTMENTS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IA,UNITED STATES,501-1000,0,251-500,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"100,484,083,744.00","142,676,371.00","100,626,760,115.00",262,8,270,N,N,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152688,801-70974,"QS INVESTORS, LLC","QS INVESTORS, LLC",880 THIRD AVENUE,7TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-886-9200,212-886-9201,,,,,,,Approved,1/21/2010,8/4/2010,Y,HTTP://WWW.QSINVESTORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,NON-US MUTUAL FUNDS,Y,N,N,N,N,Y,N,,Y,"100,187,178.00",0,"100,187,178.00",1,0,1,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,N,Y,Y,N,Y,N,N,N,N,Y,N,N,N
CHRO,145323,801-69625,"HIGHTOWER ADVISORS, LLC","HIGHTOWER ADVISORS, LLC",525 WEST MONROE STREET,SUITE 2300,CHICAGO,IL,UNITED STATES,60661,312-962-3800,312-276-4252,,,,,,,Approved,10/3/2008,8/4/2010,Y,WWW.HIGHTOWERADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,51-250,0,10-Jun,0,More than 500,"1,500",26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,"RETAINER OR SERVICE FEES OR SOME COMBINATION OF 1, 2, 4, 5 & 7",Y,"2,550,395,000.00",0,"2,550,395,000.00","7,000",0,"7,000",Y,Y,N,Y,N,Y,N,N,N,Y,TREASURY MANAGEMENT FOR CORPORATE CLIENTS,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,154714,801-71738,ARTEMIS WEALTH ADVISORS LLC,ARTEMIS WEALTH ADVISORS LLC,925 EUCLID AVENUE,SUITE 1525,CLEVELAND,OH,UNITED STATES,44115,216-781-5060,216-781-5379,,,,,,,120-Day Approval,8/9/2010,8/4/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,107048,801-36806,"CONSULTING SERVICES GROUP, LLC","CONSULTING SERVICES GROUP, LLC",6075 POPLAR AVE,STE 700,MEMPHIS,TN,UNITED STATES,38119,901-761-8080,901-682-4090,,,,,,,Approved,7/6/1990,8/4/2010,Y,WWW.CSGLLC.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,11-25 percent,Up to 10 percent,0 percent,26-50 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,Y,Y,A PERCENTAGE OF ASSETS UNDER CONSULTATION,Y,"56,187,939.00",0,"56,187,939.00",4,0,4,Y,Y,N,Y,Y,Y,N,N,N,Y,PORTFOLIO MANAGER FOR HEDGE FUND OF FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,Y,Y,N,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y
NYRO,583,801-13219,UBS GLOBAL ASSET MANAGEMENT (US) INC.,UBS GLOBAL ASSET MANAGEMENT (US) INC.,1285 AVENUE OF THE AMERICAS,12TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-882-5000,212-882-5472,,,,,,,Approved,5/25/1978,8/4/2010,Y,HTTP://WWW.UBS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,51-250,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"91,470,745.00",0,"91,470,745.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,Y,N,Y,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,Y,N,N,N,Y,N,Y,N,Y,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N
MIRO,154150,801-71717,"TERMINUS, LLC","TERMINUS, LLC",,,,,,,225-302-8327,419 972 0557,,,,,,,120-Day Approval,8/12/2010,8/4/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,139707,801-66401,THALASSA CAPITAL LLC,THALASSA CAPITAL LLC,8827 WEST OLYMPIC BLVD.,,BEVERLY HILLS,CA,UNITED STATES,90211,(310) 867-2255,(310) 388-1455,269 SOUTH BEVERLY DRIVE,SUITE 1204,BEVERLY HILLS,CA,UNITED STATES,90212,Approved,3/16/2006,8/4/2010,Y,WWW.THALASSACAPITAL.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,048,930.00","13,388,684.00","16,437,614.00",15,55,70,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,133627,801-71478,"SHARPE 4 CAPITAL, LLC","SHARPE 4 CAPITAL, LLC",21 TAMAL VISTA BLVD,#204,CORTE MADERA,CA,UNITED STATES,94925,415-927-8800,415-927-8808,,,,,,,Approved,5/24/2010,8/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"42,128,000.00",0,"42,128,000.00",2,0,2,N,N,N,N,N,Y,N,N,N,Y,PRIVATE INVESTMENT POOL MANAGEMENT,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,144408,801-68359,"CALDWELL ADVISORS, LLC","CALDWELL ADVISORS, LLC",5210 MARYLAND WAY,STE 202,BRENTWOOD,TN,UNITED STATES,37027,615-370-8988,615-370-8989,,,,,,,Approved,9/24/2007,8/4/2010,Y,WWW.CALDWELLGROUPLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"150,745.00","34,696,052.00","34,846,797.00",2,81,83,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,148721,801-69940,SWISSPARTNERS ADVISORS,SWISSPARTNERS ADVISORS AG,AM SCHANZENGRABEN 23,,ZURICH,,SWITZERLAND,8022,41 58 200 0 800,41 58 200 0 810,AM SCHANZENGRABEN 23,P.O. BOX,ZURICH,,SWITZERLAND,8022,Approved,2/26/2009,8/4/2010,Y,WWW.SWISSPARTNERS-ADVISORS.COM,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SWITZERLAND,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"110,096,000.00",0,"110,096,000.00",27,0,27,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,145472,801-68469,"GLANGARRY ADVISORS, LLC","GLANGARRY ADVISORS, LLC",,,,,,,760-564-0202,,,,,,,,Approved,11/2/2007,8/8/2008,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"322,000.00",0,"322,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,135173,801-64254,"ASSET MANAGEMENT STRATEGIES, INC.","ASSET MANAGEMENT STRATEGIES, INC.",10100 LANTERN ROAD,SUITE 150A,FISHERS,IN,USA,46037,317-577-6912,317-577-4639,,,,,,,Approved,5/3/2005,3/31/2006,Y,WWW.AMSRIA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"30,789,271.00","30,789,271.00",0,214,214,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,Y,Y,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104826,801-28225,CLEAN YIELD ASSET MANAGEMENT,CLEAN YIELD GROUP INC,16 BEAVER MEADOW RD.,,NORWICH,VT,UNITED STATES,5055,802-526-2525,802-526-2528,PO BOX 874,,NORWICH,VT,UNITED STATES,5055,Approved,11/13/1986,7/14/2010,Y,WWW.CLEANYIELD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VT,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,CONSULTING FEES,Y,"117,946,839.00",0,"117,946,839.00",179,0,179,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105013,801-19781,CAPITAL PLANNING CORP,CAPITAL PLANNING CORP,10900 NE 4TH STREET,SUITE 1030,BELLEVUE,WA,UNITED STATES,98004,425-643-1800,425-643-1216,,,,,,,Approved,10/3/1983,7/14/2010,Y,WWW.CAPITALPLANNINGCORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"208,207,663.00","16,825,296.00","225,032,959.00",735,62,797,Y,Y,N,Y,N,Y,N,N,N,Y,"FAMILY OFFICE SERVICES, WEALTH CONSULTING, PORTFOLIO ADMINISTRATION",10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,150647,801-70365,"SIVEST GROUP, INCORPORATED","SIVEST GROUP, INCORPORATED",111 N MARKET STREET,SUITE 105,SAN JOSE,CA,UNITED STATES,95113,408-886-7096,408-689-9645,,,,,,,Approved,7/9/2009,7/14/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"258,696,281.00",0,"258,696,281.00",4,0,4,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153503,801-71298,"KESTREL WEALTH MANAGEMENT, LLC","KESTREL WEALTH MANAGEMENT, LLC",,,,,,,(574) 850-8615,,,,,,,,120-Day Approval,4/14/2010,7/14/2010,Y,WWW.KESTRELWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"35,000,000.00",0,"35,000,000.00",45,0,45,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146966,801-69869,"EMC MANAGERS CONSULTING, LTD.","EMC MANAGERS CONSULTING, LTD.","712 FIFTH AVENUE, 28TH FLOOR",,NEW YORK,NY,UNITED STATES,10019,212-258-2480,347-710-1303,,,,,,,Approved,1/29/2009,7/14/2010,Y,EMCMANAGERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,Y,FIXED FEES TO BE PAID BY REFERRING FOREIGN BANKS AND BROKERS,Y,0,"156,500,000.00","156,500,000.00",0,83,83,Y,N,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138681,801-70431,TRUE NORTH PARTNERS LLC,TRUE NORTH PARTNERS LLC,"2 EXECUTIVE BOULEVARD, SUITE 308",,SUFFERN,NY,UNITED STATES,10901-4164,845-369-9582,845-369-9589,,,,,,,Approved,8/5/2009,7/14/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,51-75 percent,SEPARATELY MANAGED ACCOUNTS,Y,N,N,N,N,Y,N,,Y,"100,000,000.00",0,"100,000,000.00",3,0,3,N,N,N,Y,N,N,N,N,Y,Y,TRUE NORTH PROVIDES PORTFOLIO MANAGEMENT SERVICE FOR POOLED INVESTMENT VEHICLES AND MANAGED ACCOUNTS.,0,,N,N,N,N,Y,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,119919,801-66206,"CARTER JACOBS, LLC","CARTER JACOBS, LLC",15233 VENTURA BLVD.,#1010,SHERMAN OAKS,CA,USA,91403,818.728.4557,818.728.4504,,,,,,,Approved,1/30/2006,7/14/2010,Y,WWW.CARTERJACOBS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"66,595,000.00","2,418,000.00","69,013,000.00",289,1,290,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,140010,801-66523,FOCUSED INVESTORS LLC,FOCUSED INVESTORS LLC,9777 WILSHIRE BOULEVARD,SUITE 910,BEVERLY HILLS,CA,UNITED STATES,90212-1902,310-734-1200,310-734-1201,,,,,,,Approved,6/28/2006,7/14/2010,Y,WWW.FOCUSEDINVESTORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"339,464,114.00",0,"339,464,114.00",5,0,5,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,21033,801-66538,"CUE FINANCIAL GROUP, INC.","CUE FINANCIAL GROUP, INC.",3200 N. CENTRAL AVE,SUITE #200,PHOENIX,AZ,UNITED STATES,85012,602-252-0911,602-952-9040,,,,,,,Approved,5/19/2006,7/14/2010,Y,WWW.CUEFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,500,51-75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,THIRD PARTY ASSET MANAGEMENT FEES,Y,"18,542,011.00","109,205,099.00","127,747,110.00",107,520,627,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y
NYRO,105064,801-15556,WESTCHESTER CAPITAL MANAGEMENT INC,WESTCHESTER CAPITAL MANAGEMENT INC,100 SUMMIT LAKE DR.,,VALHALLA,NY,UNITED STATES,10595,914-741-5600,914-741-5737,,,,,,,Approved,10/24/1980,7/14/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,412,575,201.00",0,"2,412,575,201.00",3,0,3,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106012,801-37170,"CREDIT SUISSE ASSET MANAGEMENT, LLC","CREDIT SUISSE ASSET MANAGEMENT, LLC",ELEVEN MADISON AVENUE,,NEW YORK,NY,USA,10010-3629,212-325-2000,212-325-6665,,,,,,,Approved,8/13/1990,7/14/2010,Y,HTTP://WWW.CREDIT-SUISSE.COM/US,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,500,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"2,575,023,992.00","25,327,198,464.00","27,902,222,456.00",449,170,619,N,Y,Y,Y,Y,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N
MIRO,153081,801-71179,"PEREGRINE INVESTMENT ADVISORS, LLC","PEREGRINE INVESTMENT ADVISORS, LLC","4500 I-55N, SUITE 210",,JACKSON,MS,UNITED STATES,39211,769-216-3232,769-216-3286,,,,,,,Approved,3/8/2010,7/14/2010,Y,WWW.PEREGRINEINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"57,308,064.00",0,"57,308,064.00",106,0,106,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105340,801-28756,"PAGEONE FINANCIAL, INC.","PAGEONE FINANCIAL, INC.",300 JORDAN ROAD,SUITE 2,TROY,NY,UNITED STATES,12180,518-688-0202,518-688-0211,,,,,,,Approved,12/31/1986,7/14/2010,Y,WWW.PAGEONEFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,Nov-50,0,More than 500,"1,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,REFERRAL FEE,Y,"125,553,699.00",0,"125,553,699.00","2,079",0,"2,079",N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,150018,801-70048,WYNKOOP LLC,WYNKOOP LLC,201 JACKSON ST,,DENVER,CO,UNITED STATES,80206,303-459-7200,303-265-9956,,,,,,,Approved,4/9/2009,7/14/2010,Y,WWW.WYNKOOPFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"30,406,059.00",0,"30,406,059.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR INVESTMENT FUND,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,136940,801-66295,"PSIGMA ASSET MANAGEMENT (USA), LLC","PSIGMA ASSET MANAGEMENT (USA), LLC",48 WALL STREET,SUITE 1100,NEW YORK,NY,UNITED STATES,10005,212-918-4707,212-918-4708,,,,,,,Approved,3/6/2006,7/14/2010,Y,WWW.PSIGMAUSA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"27,000,000.00",0,"27,000,000.00",2,0,2,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,130768,801-71259,"GENEVA PARTNERS, LLC","GENEVA PARTNERS, LLC",772 WEST MAIN STREET,SUITE 301,LAKE GENEVA,WI,UNITED STATES,53147,262-248-1350,262-248-1321,,,,,,,Approved,4/6/2010,7/14/2010,Y,WWW.GENEVAPARTNERSLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"26,764,000.00",0,"26,764,000.00",79,0,79,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106201,801-53815,SECURITY CAPITAL RESEARCH & MANAGEMENT INCORPORATED,SECURITY CAPITAL RESEARCH & MANAGEMENT INCORPORATED,10 SOUTH DEARBORN STREET,SUITE 1400,CHICAGO,IL,UNITED STATES,60603,312-385-8320,,,,,,,,Approved,2/10/1997,7/14/2010,Y,WWW.SECURITYCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,Nov-50,0,251-500,0,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,FOUNDATIONS,Y,N,N,N,N,Y,N,,Y,"3,982,116,293.00","141,475,251.00","4,123,591,544.00",383,2,385,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y
LARO,6609,801-15260,"FIRST WILSHIRE SECURITIES MANAGEMENT, INC.","FIRST WILSHIRE SECURITIES MANAGEMENT, INC.",1224 EAST GREEN STREET,SUITE 200,PASADENA,CA,UNITED STATES,91106,626-796-6622,626-796-8990,,,,,,,Approved,5/27/1980,7/14/2010,Y,WWW.FIRSTWILSHIRE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,10-Jun,0,More than 500,600,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"515,956,070.00",0,"515,956,070.00",582,0,582,N,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,Y,N,N,N,N,N,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
SFRO,110506,801-57695,SARATOGA RESEARCH & INVESTMENT MANAGEMENT,SARATOGA RESEARCH & INVESTMENT MANAGEMENT,"14471 BIG BASIN WAY, SUITE E",,SARATOGA,CA,UNITED STATES,95070,408-741-2330,408-741-1032,P.O. BOX 3552,,SARATOGA,CA,UNITED STATES,95070,Approved,7/3/2000,7/14/2010,Y,WWW.SARATOGARIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"191,417,298.00",0,"191,417,298.00",508,0,508,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,113769,801-68474,"CENTURY WEALTH MANAGEMENT, LLC","CENTURY WEALTH MANAGEMENT, LLC",5350 POPLAR AVE.,SUITE 395,MEMPHIS,TN,UNITED STATES,38119,901-850-5532,901-682-1822,,,,,,,Approved,10/22/2007,7/14/2010,Y,WWW.CENTURYWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"40,039,596.00","52,361,225.00","92,400,821.00",68,36,104,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109267,801-57790,"BENEFITWORKS, INC.","BENEFITWORKS, INC.",336 CUMBERLAND STREET,,LEBANON,PA,UNITED STATES,17042,717-273-8441,717-273-8357,P O BOX 1209,,LEBANON,PA,UNITED STATES,17042,Approved,7/31/2000,12/8/2009,Y,WWW.BENEFITWORKS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,496,742.00","74,213,773.00","76,710,515.00",12,123,135,N,Y,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110753,801-25821,ABERDEEN ASSET MANAGEMENT LIMITED,ABERDEEN ASSET MANAGEMENT LIMITED,201 KENT STREET,LEVEL 6,SYDNEY NSW,,AUSTRALIA,2000,001-612-9950-2888,001-612-9950-2800,GPO BOX 4306,,SYDNEY NSW,,AUSTRALIA,2001,Approved,11/19/1985,12/8/2009,Y,WWW.ABERDEENASSET.COM.AU,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,AUSTRALIA,51-250,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"6,281,203,169.00",0,"6,281,203,169.00",39,0,39,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104577,801-46896,ARIS WEALTH SERVICES INC,ARIS WEALTH SERVICES INC,270 WALKER DR,,STATE COLLEGE,PA,UNITED STATES,16801,814-231-3710,814-231-2222,P.O. BOX 1318,,STATE COLLEGE,PA,UNITED STATES,16804,Approved,8/1/1994,12/9/2009,Y,HTTP://WWW.ARISCORPORATION.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,251-500,0,More than 500,"2,500",More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"828,314,411.00","39,869,288.00","868,183,699.00","3,632",182,"3,814",N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,122683,801-67293,"SUMMIT WEALTH MANAGEMENT, LLC","SUMMIT WEALTH MANAGEMENT, LLC",2208 UNIVERSITY BOULEVARD,SUITE 100,BIRMINGHAM,AL,USA,35233,205-776-0100,205-776-0101,,,,,,,Approved,11/13/2006,3/29/2010,Y,WWW.SUMMITWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"55,560,282.00",0,"55,560,282.00",124,0,124,Y,Y,N,N,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,13092,801-68443,"MUTUAL SECURITIES, INC.",MUTUAL SECURITIES INC. OF CALIFORNIA,807-A CAMARILLO SPRINGS ROAD,,CAMARILLO,CA,UNITED STATES,93012,805-764-6730,805-987-4300,P. O. BOX 2864,,CAMARILLO,CA,UNITED STATES,93011,Approved,12/10/2007,3/29/2010,Y,WWW.MUTUALSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"27,742,121.00","27,742,121.00",0,151,151,N,Y,N,Y,N,N,N,N,N,Y,HOURLY CONSULTING,0,,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
PLRO,134155,801-64181,PROSHARE ADVISORS LLC,PROSHARE ADVISORS LLC,7501 WISCONSIN AVENUE,SUITE 1000 EAST TOWER,BETHESDA,MD,UNITED STATES,20814-6527,240-497-6400,(301) 634-4323,,,,,,,Approved,4/14/2005,3/29/2010,Y,HTTP://WWW.PROSHARES.COM/,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,51-250,0,Nov-50,0,10-Jun,0,0,0,101-250,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,NON U.S. BASED INVESTMENT COMPANIES,Y,N,N,N,N,N,N,,Y,"26,347,849,943.00",0,"26,347,849,943.00",128,0,128,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,142714,801-67506,"LUTHER FOREST WEALTH ADVISORS, L.L.C.","LUTHER FOREST WEALTH ADVISORS, L.L.C.",2715 ROUTE 9,SUITE 101,MALTA,NY,UNITED STATES,12020,518-899-5490,518-899-4974,,,,,,,Approved,3/9/2007,3/29/2010,Y,WWW.RKPCPA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"34,191,307.00",0,"34,191,307.00",535,0,535,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,124945,801-61769,FOWLER FINANCIAL MANAGEMENT,BILLY J. FOWLER,,,,,,,972-542-0800,972-542-0801,,,,,,,Approved,2/6/2003,3/29/2010,Y,WWW.FFMRIA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,PERCENTAGE OF NET WORTH,Y,"47,348,200.00",0,"47,348,200.00",117,0,117,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109574,801-58125,"MANAGED ASSET PORTFOLIOS, LLC","MANAGED ASSET PORTFOLIOS, LLC","950 W. UNIVERSITY, SUITE 100",,ROCHESTER,MI,UNITED STATES,48307,248-601-6677,248-601-6679,,,,,,,Approved,11/27/2000,3/29/2010,Y,WWW.MANAGEDASSETPORTFOLIOS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"185,921,898.00","7,176,686.00","193,098,584.00",574,60,634,N,Y,N,Y,Y,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR TRUSTS AND OFFSHORE VEHICLES,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,128667,801-62453,DIVIDEND CAPITAL INVESTMENTS LLC,DIVIDEND CAPITAL INVESTMENTS LLC,518 17TH STREET,17TH FLOOR,DENVER,CO,UNITED STATES,80202,303-228-2200,303-228-0128,,,,,,,Approved,11/7/2003,3/29/2010,Y,WWW.DCCLOSEDENDFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"82,527,399.00","72,685,832.00","155,213,231.00",2,1,3,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,146178,801-69337,"BROUWER & JANACHOWSKI, LLC","BROUWER & JANACHOWSKI, LLC",1831 TIBURON BLVD,,TIBURON,CA,USA,94920,415-435-8330,415-435-8526,,,,,,,Approved,6/24/2008,3/29/2010,Y,WWW.FUNDMASTERY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"846,430,588.00",0,"846,430,588.00",988,0,988,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,Y,"MINORITY OWNERSHIP INTEREST NATL ADV HOLDINGS, INC",N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,124322,801-67775,"CORNERSTONE INVESTMENT MANAGEMENT AND CONSULTING,LLC","CORNERSTONE INVESTMENT MANAGEMENT AND CONSULTING,LLC",809 C DAPHNE AVE,SUITE 102,DAPHNE,AL,UNITED STATES,36526,251-626-6292,251-626-6759,2200 HIGHWAY 98,SUITE 4 PMB 205,DAPHNE,AL,UNITED STATES,36526,Approved,4/17/2007,3/29/2010,Y,WWW.INVESTWITHCORNERSTONE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"39,097,713.00",0,"39,097,713.00",106,0,106,Y,Y,N,Y,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,143677,801-67819,"NEW LINE CAPITAL, LLC","NEW LINE CAPITAL, LLC",,,,,,,505-989-7211,505-989-4560,POST OFFICE BOX 2778,,SANTA FE,NM,UNITED STATES,87504-2778,Approved,5/8/2007,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NM,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"27,598,697.00","3,650,169.00","31,248,866.00",188,15,203,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N
BRO,145331,801-68444,DION MONEY MANAGEMENT LLC,DION MONEY MANAGEMENT LLC,25 MAIN STREET,,WILLIAMSTOWN,MA,USA,1267,800-432-7447,413-458-5738,P.O. BOX 387,,WILLIAMSTOWN,MA,USA,1267,Approved,9/1/2007,3/29/2010,Y,WWW.DIONMM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,More than 500,"1,515",11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,Y,N,N,N,N,,Y,"541,283,134.00",0,"541,283,134.00","3,927",0,"3,927",Y,Y,N,Y,N,Y,Y,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,126793,801-69040,"CHAMPION FINANCIAL PLANNING GROUP, LLC","CHAMPION FINANCIAL PLANNING GROUP, LLC",,,,,,,443-994-8719,443-320-0999,,,,,,,Approved,4/10/2008,3/29/2010,Y,HTTP://CHAMPIONFPG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"41,323,716.00",0,"41,323,716.00",112,0,112,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,134012,801-64212,"STEWART CAPITAL ADVISORS, LLC","STEWART CAPITAL ADVISORS, LLC",800 PHILADELPHIA STREET,,INDIANA,PA,UNITED STATES,15701,724-465-3458,724-465-3452,,,,,,,Approved,5/6/2005,3/29/2010,Y,WWW.STEWARTCAP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,51-75 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"900,526,038.00",0,"900,526,038.00",4,0,4,N,N,Y,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,Y,N,N,Y,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105677,801-19338,INDEPENDENT INVESTORS INC,INDEPENDENT INVESTORS INC,181 SMITHTOWN BLVD,,NESCONSET,NY,UNITED STATES,11767,631-979-2142,631-979-2146,,,,,,,Approved,6/30/1983,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"158,423,643.00","37,101,101.00","195,524,744.00",80,27,107,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,122721,801-61504,MENLO ADVISORS LLC,MENLO ADVISORS LLC,"800 OAK GROVE AVENUE, SUITE 205",,MENLO PARK,CA,USA,94025,650-688-0300,650-688-0302,"800 OAK GROVE AVENUE, SUITE 205",,MENLO PARK,CA,USA,94025,Approved,10/11/2002,3/29/2010,Y,WWW.MENLOADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,MINIMUM FEE,Y,"197,740,388.00",0,"197,740,388.00",121,0,121,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150754,801-70338,"KRUSEN CAPITAL MANAGEMENT, LLC","KRUSEN CAPITAL MANAGEMENT, LLC",405 PARK AVENUE,SUITE 803,NEW YORK,NY,UNITED STATES,10022,646-708-9388,212-980-7885,,,,,,,Approved,7/16/2009,3/29/2010,Y,WWW.KRUSENCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"126,173,101.00","4,400,000.00","130,573,101.00",7,9,16,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,140093,801-66486,"ORR, BRAD L.","ORR, BRAD LEE",,,,,,,307-265-0065,307-234-9123,,,,,,,Approved,3/29/2006,3/29/2010,Y,WWW.BRADLORR.COM,N,N,Y,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"4,870,790.00",0,"4,870,790.00",66,0,66,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,127213,801-70530,"HODGE FINANCIAL SERVICES, LLC","HODGE FINANCIAL SERVICES, LLC",573 CHESTERFIELD ROAD,,HINSDALE,NH,UNITED STATES,3251,800-552-2001,603-336-5964,,,,,,,Approved,9/10/2009,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,Y,N,N,N,N,,Y,"79,742,495.00",0,"79,742,495.00",73,0,73,Y,Y,N,N,N,N,Y,N,Y,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,136983,801-68816,CAPITAL CAPITAL ADVISORS LLC,CAPITAL CAPITAL ADVISORS LLC,21 WARD STREET,SUITE 7,LARKSPUR,CA,UNITED STATES,94939-1374,415-924-4949,415-924-4949,,,,,,,Approved,2/4/2008,3/29/2010,Y,HTTP://WWW.CAPITALCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"38,769,427.00",0,"38,769,427.00",182,0,182,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,150084,801-70394,"FOLIOMETRIX, LLC","FOLIOMETRIX, LLC",9940 SW ARBORCREST WAY,,PORTLAND,OR,UNITED STATES,97225,888-952-4807,503-292-8079,,,,,,,120-Day Approval,7/29/2009,3/29/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"500,000.00",0,"500,000.00",2,0,2,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106932,801-45225,SAROFIM ADVISORS GROUP INC,SAROFIM ADVISORS GROUP INC,"TWO HOUSTON CENTER, SUITE 2907",,HOUSTON,TX,UNITED STATES,77010-1014,713-654-4484,713-654-8184,,,,,,,Approved,11/22/1993,3/29/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,0,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107283,801-39851,LIPPER ADVISORY SERVICES INC,LIPPER ADVISORY SERVICES INC,"100 EAST WISCONSIN AVE., STE. 2400",,MILWAUKEE,WI,UNITED STATES,53202,414-291-3848,414-270-2246,,,,,,,Approved,9/16/1991,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"981,368,000.00","1,056,327,000.00","2,037,695,000.00",15,4,19,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105415,801-15871,"RS CRUM, INC.","RS CRUM, INC.",4 UPPER NEWPORT PLAZA DRIVE,SUITE 201,NEWPORT BEACH,CA,UNITED STATES,92660,949-428-9696,949-428-9680,,,,,,,Approved,6/30/1981,3/29/2010,Y,WWW.RSCRUM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"153,066,224.00","478,339.00","153,544,563.00",104,1,105,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106746,801-53297,DISCIPLINED GROWTH INVESTORS INC,DISCIPLINED GROWTH INVESTORS INC,150 SOUTH FIFTH STREET,SUITE 2550,MINNEAPOLIS,MN,UNITED STATES,55402-1227,612-317-4100,612-904-2546,,,,,,,Approved,12/11/1996,3/29/2010,Y,WWW.DGINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,INSURANCE COMPANIES,Y,N,N,N,N,N,N,,Y,"1,485,477,962.00","328,799.00","1,485,806,761.00",162,2,164,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106229,801-37951,R H BLUESTEIN & CO,R H BLUESTEIN & CO,260 EAST BROWN STREET,SUITE 100,BIRMINGHAM,MI,USA,48009,248-646-4000,248-646-9866,,,,,,,Approved,12/20/1990,3/29/2010,Y,WWW.RHBCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,More than 500,"1,500",Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,088,198,631.00","158,821,098.00","3,247,019,729.00","1,323",59,"1,382",N,Y,N,Y,N,N,N,N,N,Y,SEE SCHEDULE D,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,116641,801-60662,CELFIN CAPITAL,CELFIN CAPITAL SERVICIOS FINANCIEROS S.A.,APOQUINDO 3721 PISO 19,,SANTIAGO,,CHILE,,011-562-490-5055,011-562-490-5001,,,,,,,Approved,10/25/2001,3/29/2010,Y,WWW.CELFINCAPITAL.COM,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,CHILE,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"203,232,131.00","203,232,131.00",0,2,2,N,N,Y,N,N,N,N,N,N,Y,M&A; PROJECTS;CAPITAL RAISING,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107355,801-51988,ADAMS HALL ASSET MANAGEMENT L.L.C.,ADAMS HALL ASSET MANAGEMENT L.L.C.,4200 E. SKELLY DRIVE,SUITE 950,TULSA,OK,UNITED STATES,74135,918-665-2446,918-665-6219,,,,,,,Approved,5/20/1996,3/29/2010,Y,WWW.ADAMSHALL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,26-50 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"1,053,233,496.00","1,053,233,496.00",0,278,278,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
CHRO,107126,801-37235,FORT WASHINGTON INVESTMENT ADVISORS INC,FORT WASHINGTON INVESTMENT ADVISORS INC,303 BROADWAY,SUITE 1200,CINCINNATI,OH,UNITED STATES,45202,513-361-7600,513-361-7689,P.O. BOX 2388,,CINCINNATI,OH,UNITED STATES,45201-2388,Approved,9/14/1990,3/29/2010,Y,WWW.FORTWASHINGTON.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,51-250,0,51-250,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,INSURANCE CO'S,Y,N,N,Y,N,Y,N,,Y,"29,755,951,608.00","16,389,490.00","29,772,341,098.00",271,31,302,Y,Y,Y,Y,N,Y,N,N,N,Y,SUB-ADVISORY,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
CHRO,145129,801-68381,ALERUS INVESTMENT ADVISORS CORPORATION,ALERUS INVESTMENT ADVISORS CORPORATION,10900 WAYZATA BLVD. SUITE 130,,MINNETONKA,MN,UNITED STATES,55305,651-746-6000,651-746-6001,,,,,,,Approved,9/18/2007,3/29/2010,Y,WWW.ALERUSFINANCIAL.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,FEE FOR SERVICE PROJECTS,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,N,Y,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107977,801-56220,DSS ADVISORS LLC,DSS ADVISORS LLC,2000 POWELL STREET,SUITE 1240,EMERYVILLE,CA,UNITED STATES,94608,510-450-1300,510-450-1325,,,,,,,Approved,1/19/1999,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,,N,N,N,Y,N,Y,N,,Y,0,"278,820,802.00","278,820,802.00",0,46,46,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111084,801-58150,"GREYSTONE INVESTMENT MANAGEMENT, LLC","GREYSTONE INVESTMENT MANAGEMENT, LLC",3805 EDWARDS ROAD,SUITE 180,CINCINNATI,OH,USA,45209,513-731-8444,513-731-7666,,,,,,,Approved,11/22/2000,3/29/2010,Y,WWW.GREYSTONEINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"319,671,946.00",0,"319,671,946.00",411,0,411,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105215,801-14895,"BTS ASSET MANAGEMENT, INC.",BTS ASSET MANAGEMENT INC,420 BEDFORD STREET,SUITE 340,LEXINGTON,MA,USA,2420,781-863-2545,781-860-9051,,,,,,,Approved,10/25/1979,3/29/2010,Y,WWW.BTSMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,More than 1000,"3,000",More than 500,"17,000",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,825,370,569.00",0,"1,825,370,569.00","17,562",0,"17,562",N,Y,Y,N,N,N,N,N,Y,Y,CONSULTATION SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,N,N,Y,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106933,801-45226,SAROFIM INTERNATIONAL MANAGEMENT CO,SAROFIM INTERNATIONAL MANAGEMENT CO,"TWO HOUSTON CENTER, SUITE 2907",SUITE 2907,HOUSTON,TX,UNITED STATES,77010-1014,713-654-4484,713-654-8184,,,,,,,Approved,11/22/1993,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"764,527,162.00",0,"764,527,162.00",44,0,44,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,130761,801-69590,"MOWERY CAPITAL MANAGEMENT, LLC","MOWERY CAPITAL MANAGEMENT, LLC",201 W. VIRGINIA STREET,,MCKINNEY,TX,UNITED STATES,75069,972-818-9944,972-818-7755,,,,,,,Approved,10/15/2008,5/10/2010,Y,WWW.MOWERYCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"29,509,000.00",0,"29,509,000.00",162,0,162,Y,Y,N,N,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,124162,801-64457,"QFA, LLC","QFA, LLC",950 ENCORE WAY,SUITE 102,NAPLES,FL,UNITED STATES,34110,239-513-0777,239-513-1201,,,,,,,Approved,7/8/2005,5/10/2010,Y,WWW.QFALLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"79,544,684.00",0,"79,544,684.00",153,0,153,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,143234,801-68187,YESKE BUIE INC.,YESKE BUIE INC.,301 MAPLE AVE. WEST,SUITE 600,VIENNA,VA,UNITED STATES,22180,703-538-2116,703-536-4742,,,,,,,Approved,8/28/2007,5/10/2010,Y,WWW.YESKEBUIE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"265,351,000.00","10,661,000.00","276,012,000.00",693,57,750,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110751,801-42792,FINANCIAL COUNCIL INC,FINANCIAL COUNCIL INC,205 EAST JOPPA ROAD,SUITE 109,TOWNSON,MD,UNITED STATES,21286,410-821-9200,410-821-5040,,,,,,,Approved,12/3/1992,5/10/2010,Y,WWW.FINANCIALCOUNCIL.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,NONE-INITIAL FINANCIAL PLANNING IS AT NO CHARGE,Y,0,0,0,0,0,0,Y,N,N,N,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,141348,801-71452,"COORDINATED WEALTH MANAGEMENT, L.L.C.","COORDINATED WEALTH MANAGEMENT, L.L.C.",205 POWELL PLACE,,BRENTWOOD,TN,UNITED STATES,37027,615-369-0738,615-296-4316,,,,,,,Approved,6/1/2010,5/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,Y,"27,241,957.00","4,091,043.00","31,333,000.00",40,2,42,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110748,801-51360,FINANCIAL COUNCIL ASSET MANAGEMENT INC,FINANCIAL COUNCIL ASSET MANAGEMENT INC,205 EAST JOPPA ROAD,SUITE 109 THE RIDGELY,TOWSON,MD,UNITED STATES,21286,410-821-9200,410-821-5040,,,,,,,Approved,2/26/1996,5/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,10-Jun,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"187,949,793.00",0,"187,949,793.00",717,0,717,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107028,801-45963,TOUCHSTONE ADVISORS INC,TOUCHSTONE ADVISORS INC,303 BROADWAY,SUITE 1100,CINCINNATI,OH,UNITED STATES,45202,513-362-8303,513-362-8221,,,,,,,Approved,2/28/1994,5/10/2010,Y,WWW.TOUCHSTONEINVESTMENTS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"5,579,544,829.00",0,"5,579,544,829.00",45,0,45,N,N,Y,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,Y,N,N,N,N,Y,N,Y,N
BRO,146990,801-69413,"WESTFIELD CAPITAL MANAGEMENT COMPANY, L.P.","WESTFIELD CAPITAL MANAGEMENT COMPANY, L.P.",ONE FINANCIAL CENTER,,BOSTON,MA,UNITED STATES,2111,617-428-7100,617-428-7190,,,,,,,Approved,6/30/2008,5/10/2010,Y,WWW.WESTFIELDCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,More than 500,"3,000",26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"12,338,982,229.00","7,574,914.00","12,346,557,143.00","2,652",4,"2,656",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N
NYRO,151259,801-70549,SILVERBAY CAPITAL MANAGEMENT LLC,SILVERBAY CAPITAL MANAGEMENT LLC,350 MADISON AVENUE,9TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-389-8710,212-389-8750,,,,,,,Approved,9/16/2009,8/21/2009,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
NYRO,127315,801-62294,WELLSCANNING,"WELLS, CANNING & ASSOCIATES INC.",465 COLUMBUS AVENUE,SUITE 390,VALHALLA,NY,UNITED STATES,10595,914-741-9820,914-741-9825,,,,,,,Approved,8/21/2003,3/10/2010,Y,WELLS-CANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,INSURANCE COMPANIES,N,Y,N,Y,N,N,N,,Y,0,"20,555,969,379.00","20,555,969,379.00",0,21,21,N,N,N,N,Y,Y,N,N,N,Y,INVESTMENT CONSULTING FOR INSURANCE COMPANIES AND THEIR PENSION ACCOUNTS SUCH AS ASSET ALLOCATION ANALYSIS,,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110297,801-52751,MADISON MOSAIC FUNDS,MADISON MOSAIC LLC,550 SCIENCE DRIVE,,MADISON,WI,UNITED STATES,53711,608-274-0300,608-274-7905,,,,,,,Approved,8/29/1996,3/10/2010,Y,WWW.MOSAICFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"358,910,908.00",0,"358,910,908.00",12,0,12,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105588,801-22119,AQUILA INVESTMENT MANAGEMENT LLC,AQUILA INVESTMENT MANAGEMENT LLC,"380 MADISON AVE, STE 2300",,NEW YORK,NY,UNITED STATES,10017-2512,212-697-6666,212-687-5373,,,,,,,Approved,8/22/1984,3/10/2010,Y,WWW.AQUILAFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"4,289,732,274.00",0,"4,289,732,274.00",14,0,14,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,140868,801-68933,JJ INVESTMENT COMPANY,JJ INVESTMENT COMPANY,,,,,,,631-704-3586,631-824-9218,,,,,,,Approved,3/12/2008,3/10/2010,Y,JJINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"34,687,971.00",0,"34,687,971.00",17,0,17,Y,Y,N,N,N,Y,N,N,N,Y,DIVORCE FINANCIAL ANALYSIS / INVESTMENT CONSULTING,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,141031,801-67036,"WEALTH MANAGEMENT SERVICES, LLC","WEALTH MANAGEMENT SERVICES, LLC",,,,,,,952-915-9090,484-231-9239,,,,,,,Approved,8/3/2006,3/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"40,998,537.00",0,"40,998,537.00",298,0,298,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,149320,801-69892,"BIENVILLE CAPITAL MANAGEMENT, LLC","BIENVILLE CAPITAL MANAGEMENT, LLC",32 AVENUE OF THE AMERICAS,"21ST FLOOR, SUITE 2100",NEW YORK,NY,UNITED STATES,10013,(212) 226-7348,(917) 210-4299,,,,,,,Approved,1/26/2009,3/10/2010,Y,WWW.BIENVILLECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"57,141,125.00",0,"57,141,125.00",124,0,124,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,140946,801-68552,"TRINITY CAPITAL MANAGEMENT, LLC","TRINITY CAPITAL MANAGEMENT, LLC",7700 SHAWNEE MISSION PARKWAY,SUITE 315,OVERLAND PARK,KS,UNITED STATES,66202,(913)944-4320,(913)944-4329,,,,,,,Approved,11/26/2007,3/10/2010,Y,WWW.TRINCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"33,204,208.00",0,"33,204,208.00",79,0,79,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108080,801-55342,OAKWOOD CAPITAL MANAGEMENT LLC,OAKWOOD CAPITAL MANAGEMENT LLC,"1990 SOUTH BUNDY DRIVE, SUITE 777",,LOS ANGELES,CA,UNITED STATES,90025,310-772-2600,310-772-2601,,,,,,,Approved,3/19/1998,3/10/2010,Y,WWW.OAKWOODCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,Y,$250 SET-UP FEE IN ADDITION TO (1),Y,"445,171,291.00",0,"445,171,291.00",552,0,552,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150949,801-70480,CLYBOURN PARTNERS LLC,CLYBOURN PARTNERS LLC,ONE TIFFANY POINTE,SUITE 105,BLOOMINGDALE,IL,UNITED STATES,60108,630-924-1900,630-622-0711,,,,,,,Approved,8/7/2009,3/10/2010,Y,WWW.CLYBOURN-PARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"28,553,674.00",0,"28,553,674.00",1,0,1,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,138858,801-65727,"EAGLE FINANCIAL MANAGEMENT SERVICES, LLC","EAGLE FINANCIAL MANAGEMENT SERVICES, LLC",400 TRAVIS ST.,SUITE 518,SHREVEPORT,LA,UNITED STATES,71101,318.675.0826,318.675.0828,,,,,,,Approved,1/27/2006,3/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"68,956,631.00","15,280,105.00","84,236,736.00",573,45,618,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,109413,801-57575,"YUKON WEALTH MANAGEMENT, INC.","YUKON WEALTH MANAGEMENT, INC.",15050 ANTIOCH ROAD,SUITE 101,OVERLAND PARK,KS,USA,66221,913-681-9200,913-681-6222,,,,,,,Approved,5/12/2000,3/10/2010,Y,WWW.YUKONCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"49,000,000.00",0,"49,000,000.00",409,0,409,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,105622,801-31878,"BLACK CAPITAL MANAGEMENT, LLC","BLACK CAPITAL MANAGEMENT, LLC",,,,,,,816-525-9300,816-697-4011,PO BOX 1931,,LEE'S SUMMIT,MO,UNITED STATES,64063,Approved,4/21/1988,3/10/2010,Y,BLACKCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"73,290,000.00","73,290,000.00",0,223,223,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,129596,801-62705,THOMAS & ATKINSON CAPITAL MANAGEMENT LLC,THOMAS & ATKINSON CAPITAL MANAGEMENT LLC,1040 NOEL DRIVE,SUITE 101,MENLO PARK,CA,UNITED STATES,94025-3357,650-926-0797,650-926-0796,,,,,,,Approved,1/16/2004,3/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"125,207,386.00",0,"125,207,386.00",244,0,244,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,128591,801-62441,"SCHNEIDER DOWNS WEALTH MANAGEMENT ADVISORS, LP","SCHNEIDER DOWNS WEALTH MANAGEMENT ADVISORS, LP",1133 PENN AVENUE,,PITTSBURGH,PA,UNITED STATES,15222,412-697-5200,412-261-4876,,,,,,,Approved,10/24/2003,3/11/2010,Y,WWW.SCHNEIDERDOWNS.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,PA,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"231,963,371.00","256,027,057.00","487,990,428.00",397,82,479,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,151478,801-70562,"GLASSMAN WEALTH SERVICES, LLC","GLASSMAN WEALTH SERVICES, LLC",1600 TYSONS BLVD.,SUITE 800,MCLEAN,VA,UNITED STATES,22102,703-534-4444,703-485-0561,,,,,,,Approved,9/17/2009,3/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"309,770,782.00",0,"309,770,782.00",470,0,470,Y,Y,N,Y,N,Y,N,N,N,Y,FAMILY OFFICE SERVICES,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,118186,801-67666,"KETTERING FINANCIAL ADVISORY GROUP, LTD","KETTERING FINANCIAL ADVISORY GROUP, LTD",2121 ELECTRIC ROAD,SUITE 102,ROANOKE,VA,UNITED STATES,24018,540-772-8200,540-772-9502,,,,,,,Approved,3/23/2007,3/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,51-250,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"34,545,000.00",0,"34,545,000.00",41,0,41,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,150094,801-70112,"DECKER WEALTH MANAGEMENT, LLC","DECKER WEALTH MANAGEMENT, LLC",3200 WEST END AVENUE,SUITE 500,NASHVILLE,TN,UNITED STATES,37203,615-783-1756,615-783-1752,,,,,,,Approved,4/15/2009,3/11/2010,Y,WWW.DECKERWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"30,841,660.00","4,021,876.00","34,863,536.00",86,12,98,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,131344,801-63343,PHILLIPS FINANCIAL,"PHILLIPS FINANCIAL MANAGEMENT, LLC",6920 POINTE INVERNESS WAY,SUITE 230,FORT WAYNE,IN,USA,46804,260-420-7732,260-420-5553,,,,,,,Approved,7/23/2004,3/11/2010,Y,WWW.1PHILLIPS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"396,192,703.00",0,"396,192,703.00","1,001",0,"1,001",Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,Y,Y,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,148558,801-69697,"TAMPA ASSET MANAGEMENT, LLC","TAMPA ASSET MANAGEMENT, LLC",4221 WEST EL PRADO BOULEVARD,,TAMPA,FL,UNITED STATES,33629,(813) 675-8011,(813) 675-8016,,,,,,,Approved,10/31/2008,3/11/2010,Y,WWW.TAMPAASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"80,630,540.00","14,760,114.00","95,390,654.00",158,61,219,N,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT CONSULTING,,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,140568,801-69997,"SCOTIA PARTNERS, LLC","SCOTIA PARTNERS, LLC",,,,,,,(484)932-8560,888-694-7260,,,,,,,Approved,3/23/2009,3/11/2010,Y,WWW.SCOTIAPARTNERS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,51-75 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,800,000.00",0,"2,800,000.00",6,0,6,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,108706,801-57693,"STRATEGIC ADVISORY SERVICES, L.P.","STRATEGIC ADVISORY SERVICES, L.P.","5850 SAN FELIPE, SUITE 425",,HOUSTON,TX,UNITED STATES,77057,713-977-3800,713-977-2728,,,,,,,Approved,6/28/2000,2/4/2010,Y,ASKSTRATEGICADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,THIRD PARTY ADVISORY FEES,Y,"68,988,078.00",0,"68,988,078.00",249,0,249,Y,N,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,132125,801-63422,MERIDIAN ASSET MANAGEMENT,MERIDIAN ASSET MANAGEMENT LLC,4525 S. WASATCH BLVD,SUITE 250,SALT LAKE CITY,UT,UNITED STATES,84124,801-269-6704,801-269-6767,,,,,,,Approved,9/22/2004,2/4/2010,Y,WWW.MERIDIANASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,500,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"55,252,327.00",0,"55,252,327.00",550,0,550,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
BRO,105162,801-11098,LADD CAPITAL MANAGEMENT LLC,LADD CAPITAL MANAGEMENT LLC,110 WHITNEY AVE,,NEW HAVEN,CT,UNITED STATES,6510,203-562-6624,203-562-6652,,,,,,,Approved,10/23/1975,2/4/2010,Y,WWW.LADDCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"76,828,479.00","33,891,560.00","110,720,039.00",110,74,184,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,115816,801-71075,"RESOURCE 1, INC.","RESOURCE 1, INC.",370 WORLD TRADE CENTER,,NORFOLK,VA,UNITED STATES,23510,757-616-0600,757-965-9368,,,,,,,Approved,2/8/2010,2/4/2010,Y,WWW.R1ADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"31,393,025.00",0,"31,393,025.00",66,0,66,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,145242,801-68407,"PENSION ARCHITECTS ADVISORY GROUP, LLC","PENSION ARCHITECTS ADVISORY GROUP, LLC",257 SOUTH FAIR OAKS,SUITE 200,PASADENA,CA,UNITED STATES,91105,626-795-3062,626-795-3063,,,,,,,Approved,10/15/2007,2/4/2010,Y,WWW.PAAGTEAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"84,332,312.00",0,"84,332,312.00",3,0,3,N,N,N,N,Y,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,N,Y,N,N,Y,N,Y,Y,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,145900,801-68861,"FOUNDATIONS ASSET MANAGEMENT, LLC","FOUNDATIONS ASSET MANAGEMENT, LLC",3601 C STREET,SUITE 600B,ANCHORAGE,AK,UNITED STATES,99503,907-646-7373,907-646-7375,,,,,,,Approved,3/10/2008,2/4/2010,Y,WWW.FAMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AK,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SOLICITOR FEES - PORTION OF ASSETS MANAGED BY OTHER ADVISORS,Y,"65,000,000.00",0,"65,000,000.00",225,0,225,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,145897,801-68634,"PREMIER FINANCIAL PLANNING, INC.","PREMIER FINANCIAL PLANNING, INC.",16935 WEST BERNARDO DRIVE,SUITE 103,SAN DIEGO,CA,UNITED STATES,92127,(858) 613-1300,(858) 613-1311,,,,,,,Approved,1/2/2008,2/4/2010,Y,WWW.MYPLANNER.CC,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"38,803,393.00",0,"38,803,393.00",220,0,220,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,1489,801-56354,"COLLINS & COMPANY, LLC","COLLINS & COMPANY, LLC",100 LARKSPUR LANDING CIRCLE,STE 102,LARKSPUR,CA,USA,94939,415-925-4000,415-925-4004,,,,,,,Approved,4/12/1999,2/4/2010,Y,WWW.COLLINS-CO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"400,000,000.00",0,"400,000,000.00",90,0,90,N,Y,N,Y,N,N,N,N,N,N,,,,Y,Y,Y,N,N,N,Y,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108550,801-57351,HUMMER FINANCIAL ADVISORY SERVICES INC,HUMMER FINANCIAL ADVISORY SERVICES INC,,,,,,,312-787-2114,312-787-8922,,,,,,,Approved,3/2/2000,2/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"69,368,577.00",0,"69,368,577.00",29,0,29,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114305,801-61611,KENJOL CAPITAL MANAGEMENT,"KENJOL CAPITAL MANAGEMENT, LLC",7000 NORTH MOPAC EXPRESSWAY,2ND FLOOR,AUSTIN,TX,UNITED STATES,78731,512-506-9395,512-506-9397,P.O. BOX 203873,,AUSTIN,TX,UNITED STATES,78720,Approved,11/29/2002,2/4/2010,Y,WWW.KENJOL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,Y,SOLICITATION FEES,Y,"55,899,027.00",0,"55,899,027.00",414,0,414,Y,Y,N,Y,N,Y,N,N,N,Y,SOLICITATION,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,142870,801-68774,"PASSIVE CAPITAL MANAGEMENT, LLC","PASSIVE CAPITAL MANAGEMENT, LLC",TWO CLINTON SQUARE,SUITE 215,SYRACUSE,NY,USA,13202-1025,315-478-3130,315-478-3148,,,,,,,Approved,2/6/2008,2/4/2010,Y,WWW.PASSIVECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"104,000,000.00",0,"104,000,000.00",215,0,215,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108647,801-54617,VANDERBILT CAPITAL ADVISORS LLC,VANDERBILT CAPITAL ADVISORS LLC,"10 S. LASALLE STREET, SUITE 1901",,CHICAGO,IL,UNITED STATES,60603,312-463-9100,312-463-0116,,,,,,,Approved,6/23/1997,2/4/2010,Y,WWW.VCALLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,STRUCTURING FEE,Y,"8,046,949,044.00",0,"8,046,949,044.00",18,0,18,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
DRO,107019,801-38227,"KOPPER INVESTMENT MANAGEMENT, INC.",KOPPER INVESTMENT MANAGEMENT INC,102 NORTH CASCADE AVENUE STE 220,,COLORADO SPRINGS,CO,UNITED STATES,80903,719-578-2040,719-578-2051,,,,,,,Approved,2/7/1991,2/4/2010,Y,BRUCEKOP@ATT.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"57,401,346.00",0,"57,401,346.00",31,0,31,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,148985,801-69795,"BEDROCK ADVISORS, LLC","BEDROCK ADVISORS, LLC",6 EAST 46TH STREET,SUITE 300,NEW YORK,NY,UNITED STATES,10017,212-983-5744,212-697-6614,,,,,,,Approved,1/2/2009,2/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,"46,500,000.00","46,500,000.00",0,2,2,N,N,N,N,N,N,N,N,N,Y,"INVESTMENT ADVISORY SERVICES TO ""FUND OF FUNDS""",,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
DRO,136773,801-64852,SCHUMANN CAPITAL INC.,SCHUMANN CAPITAL INC.,,,,,,,801-534-1447,801-606-7229,,,,,,,Approved,11/14/2005,2/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"45,000,000.00","45,000,000.00",0,4,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,Y,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,104807,801-24443,"SHELDON J. MILLER, REGISTERED INVESTMENT ADVISOR",MILLER SHELDON JOSEPH,8100 E 22ND ST. NORTH BLD 1900,,WICHITA,KS,UNITED STATES,67226-2319,316-683-5150,316-683-6638,,,,,,,Approved,6/27/1985,2/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"49,182,991.00",0,"49,182,991.00",48,0,48,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,127635,801-69053,"PLOTKIN FINANCIAL ADVISORS, LLC","PLOTKIN FINANCIAL ADVISORS, LLC",8401 CONNECTICUT AVENUE,SUITE 403,CHEVY CHASE,MD,UNITED STATES,20815,301-907-9790,301-907-9793,,,,,,,Approved,5/1/2008,2/4/2010,Y,WWW.PFALLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,PORTION OF FEES PAID BY 3RD PARTY MANAGER,Y,"25,400,000.00",0,"25,400,000.00",270,0,270,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,N
LARO,132831,801-66788,"IRONWOOD ASSET MANAGEMENT, LLC","IRONWOOD ASSET MANAGEMENT, LLC","17015 N. SCOTTSDALE ROAD, SUITE 235",,SCOTTSDALE,AZ,USA,85255,480-473-3455,480-391-8108,,,,,,,Approved,5/23/2006,2/4/2010,Y,WWW.IRONWOODASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"110,475,000.00",0,"110,475,000.00",464,0,464,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,124066,801-71102,"GUILFORD FINANCIAL GROUP, INC.","GUILFORD FINANCIAL GROUP, INC.",2415 BOSTON POST ROAD,UNIT 14,GUILFORD,CT,USA,6437,203-453-3458,203-453-1557,,,,,,,Approved,2/22/2010,2/4/2010,Y,WWW.GFGADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"31,190,000.00","3,500,000.00","34,690,000.00",85,5,90,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,120748,801-69888,"HERITAGE CAPITAL PARTNERS,INC.","HERITAGE CAPITAL PARTNERS,INC.",2901 COLTSGATE ROAD,SUITE 100,CHARLOTTE,NC,UNITED STATES,28211,704-622-0952,704-362-2774,,,,,,,Approved,2/5/2009,3/4/2010,Y,WWW.HERITAGECAPITALPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"40,315,675.00",0,"40,315,675.00",68,0,68,N,Y,N,Y,N,N,Y,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,147957,801-69495,"SIHARUM ADVISORS, LLC","SIHARUM ADVISORS, LLC",20 PARK PLAZA,SUITE 1005,BOSTON,MA,UNITED STATES,2116,(617) 428-7500,(617) 977-8900,,,,,,,Approved,8/21/2008,3/4/2010,Y,WWW.MANAGERFIRST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"18,134,309.00","112,245,423.00","130,379,732.00",61,70,131,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,137941,801-65842,"ADDISON CLARK MANAGEMENT, L.L.C.","ADDISON CLARK MANAGEMENT, L.L.C.",10 WRIGHT STREET,SUITE 100,WESTPORT,CT,UNITED STATES,6880,203-222-4000,203-222-4039,,,,,,,Approved,1/30/2006,3/4/2010,Y,WWW.ADDISONCLARK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"562,966,020.00",0,"562,966,020.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108670,801-55615,ZEMENICK & WALKER INC,ZEMENICK & WALKER INC,"8182 MARYLAND AVENUE, SUITE 200",,ST LOUIS,MO,UNITED STATES,63105,314-862-5525,314-862-6165,,,,,,,Approved,6/3/1998,3/4/2010,Y,WWW.ZANDW.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"1,085,046,955.00","1,085,046,955.00",0,177,177,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112474,801-63053,"JDH WEALTH MANAGEMENT, LLC","JDH WEALTH MANAGEMENT, LLC",187 CONCOURSE BOULEVARD,,SANTA ROSA,CA,UNITED STATES,95403,707.542.1110,707.546.5642,,,,,,,Approved,5/7/2004,3/4/2010,Y,WWW.JDHWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"64,495,216.00",0,"64,495,216.00",170,0,170,N,Y,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,146253,801-68834,SUNDOWNER CAPITAL MANAGEMENT LLC,SUNDOWNER CAPITAL MANAGEMENT LLC,725 NW BROADWAY STREET,,BEND,OR,UNITED STATES,97701-2778,541-389-3311,541-389-3322,725 NW BROADWAY STREET,,BEND,OR,UNITED STATES,97701-2778,Approved,2/14/2008,3/4/2010,Y,WWW.SUNDOWNERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"41,400,722.00","2,143,558.00","43,544,280.00",51,35,86,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105504,801-32502,GREENFIELD GEORGE THEODORE,GREENFIELD GEORGE THEODORE,,,,,,,516-365-6432,212-736-9049,,,,,,,Approved,7/21/1988,3/3/2005,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"33,760,067.00",0,"33,760,067.00",121,0,121,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,148569,801-70765,"CASTLE INVESTMENT ADVISORY, LLC","CASTLE INVESTMENT ADVISORY, LLC",9820 WESTPOINT DRIVE,SUITE 100,INDIANAPOLIS,IN,UNITED STATES,46256,317-849-9559,317-577-8575,,,,,,,Approved,11/25/2009,3/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"114,031,000.00","2,721,000.00","116,752,000.00",187,11,198,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,106366,801-40397,FIRESTONE CAPITAL MANAGEMENT INC,FIRESTONE CAPITAL MANAGEMENT INC,1500 SAN REMO AVENUE,SUITE 176,CORAL GABLES,FL,USA,33146-3047,(305) 669-2119,(305) 669-1976,,,,,,,Approved,12/16/1991,3/4/2010,Y,WWW.FIRESTONECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"213,313,687.00","2,498,360.00","215,812,047.00",676,12,688,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,119416,801-62793,MARATHON CAPITAL MANAGEMENT,MARATHON CAPITAL MANAGEMENT LLC,"4 NORTH PARK DRIVE, SUITE 106",,HUNT VALLEY,MD,USA,21030,410-329-1522,410-329-1518,,,,,,,Approved,2/20/2004,3/4/2010,Y,WWW.INSIDEMARATHON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,Y,N,N,N,N,,Y,"100,000,000.00",0,"100,000,000.00",400,0,400,Y,Y,N,Y,N,N,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,109112,801-57743,DEUTSCHE INVESTMENTS AUSTRALIA LIMITED,DEUTSCHE INVESTMENTS AUSTRALIA LIMITED,DEUTSCHE BANK PLACE,"LEVEL 16, CNR HUNTER AND PHILLIP STREETS",SYDNEY,,AUSTRALIA,NSW 2000,011 612 8258 1234,011 612 8258 1600,,,,,,,Approved,7/14/2000,3/4/2010,Y,WWW.AM.AUSTRALIA.DB.COM,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,AUSTRALIA,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"406,944,551.00",0,"406,944,551.00",23,0,23,N,N,Y,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
BRO,127691,801-62263,"COOPER CAPITAL, INC.","COOPER CAPITAL, INC.",,,,,,,203-557-3319,203-557-3319,,,,,,,Approved,8/21/2003,3/4/2010,Y,WWW.COOPERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"43,295,605.00",0,"43,295,605.00",92,0,92,Y,Y,N,N,N,N,Y,N,N,N,,10-Jan,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,147535,801-69343,L&P FINANCIAL TRUSTEES LTD,L&P FINANCIAL TRUSTEES LTD,2/3 TERMINUS MILLS,CLONSKEAGH ROAD,DUBLIN 6,,IRELAND,,35312838788,35312838988,,,,,,,Approved,7/3/2008,6/18/2008,Y,HTTP:/./WWW.LPGROUP.IE,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,,IRELAND ,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,CHARITABLE TRUSTS,Y,Y,N,Y,Y,N,N,,Y,0,"500,000.00","500,000.00",0,40,40,Y,N,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,144493,801-68325,THE MUTUAL FUND STORE,"THE MUTUAL FUND STORE-SEATTLE, LLC",32225 PACIFIC HIGHWAY SOUTH,SUITE 103,FEDERAL WAY,WA,UNITED STATES,98003,253-529-3322,253-529-3388,,,,,,,Approved,9/13/2007,3/4/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"37,490,089.00",0,"37,490,089.00",481,0,481,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110446,801-33052,BISSET A G & CO INC,BISSET A G & CO INC,71 ROWAYTON AVE,,ROWAYTON,CT,USA,6853,203-866-3540,203-866-0439,,,,,,,Approved,11/10/1988,3/4/2010,Y,WWW.AGBISSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,TRUSTS,Y,N,Y,N,N,Y,N,,Y,"2,059,797,450.00",0,"2,059,797,450.00",16,0,16,N,Y,Y,Y,N,N,Y,N,Y,Y,CURRENCY OVERLAY,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119813,801-64815,"RCP ADVISORS, LLC","RCP ADVISORS, LLC",100 NORTH RIVERSIDE PLAZA,SUITE 2400,CHICAGO,IL,UNITED STATES,60606,312-266-7300,312-266-7433,,,,,,,Approved,11/4/2005,3/4/2010,Y,WWW.RCPADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,CARRIED INTEREST,Y,"1,586,680,000.00",0,"1,586,680,000.00",11,0,11,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,118920,801-62697,"JOHN DESSAUER INVESTMENTS, INC.","JOHN DESSAUER INVESTMENTS, INC.",,,,,,,239-597-0880,239-254-5096,,,,,,,Approved,1/26/2004,3/4/2010,Y,WWW.JOHNDESSAUERINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"62,334,376.00",0,"62,334,376.00",113,0,113,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,105002,801-36350,"MENDEL CAPITAL MANAGEMENT, INC.","MENDEL CAPITAL MANAGEMENT, INC.","18 CORPORATE HILL DRIVE, SUITE 202",,LITTLE ROCK,AR,USA,72205,501-225-1405,501-225-1650,,,,,,,Approved,4/9/1990,3/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"104,383,156.00","3,648,531.00","108,031,687.00",317,13,330,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,131260,801-63207,DANIEL DEVINE & COMPANY,DANIEL DEVINE & COMPANY,"365 SE 6TH AVE., S-305",,DELRAY BEACH,FL,UNITED STATES,33483-5297,561-279-1258,561-279-1342,,,,,,,Approved,6/3/2004,3/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"146,448,774.00",0,"146,448,774.00",30,0,30,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,113902,801-67769,STOCK MANAGEMENT LLC,STOCK MANAGEMENT LLC,,,,,,,253-535-5530,253-531-8182,BOX 73008,,PUYALLUP,WA,USA,98373-0008,Approved,5/10/2007,3/4/2010,Y,WWW.BENHEEB.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"37,883,284.00",0,"37,883,284.00",267,0,267,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,107428,801-50900,"HAMMEL FINANCIAL ADVISORY GROUP, LLC","HAMMEL FINANCIAL ADVISORY GROUP, LLC",5123 VIRGINIA WAY,UNIT B-13,BRENTWOOD,TN,UNITED STATES,37027,615-371-5222,615-371-5224,,,,,,,Approved,1/2/1996,3/4/2010,Y,WWW.HAMMELFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"72,007,749.00","29,972,130.00","101,979,879.00",415,172,587,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131324,801-63074,"COMPREHENSIVE WEALTH SOLUTIONS, LLC","COMPREHENSIVE WEALTH SOLUTIONS, LLC",51 JFK PARKWAY,FIRST FLOOR WEST,SHORT HILLS,NJ,USA,7078,973-924-2307,775-310-6420,,,,,,,Approved,5/3/2004,3/5/2010,Y,WWW.COMPREHENSIVEWEALTHSOLUTIONS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"117,874,864.00",0,"117,874,864.00",216,0,216,Y,Y,N,Y,N,Y,N,N,N,Y,TAX PREPARATION,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,137810,801-64893,"GREENE WEALTH MANAGEMENT, LLC","GREENE WEALTH MANAGEMENT, LLC",1301 5TH AVE.,SUITE 3410,SEATTLE,WA,UNITED STATES,98101,206-623-2200,206-623-2202,,,,,,,Approved,11/15/2005,3/5/2010,Y,WWW.GREENEWEALTHMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"386,420,857.00","27,005,592.00","413,426,449.00",902,63,965,Y,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112226,801-55793,"HEARTHSTONE, A CALIFORNIA CORPORATION","HEARTHSTONE, A CALIFORNIA CORPORATION",781 LINCOLN AVE.,SUITE 300,SAN RAFAEL,CA,UNITED STATES,94901,415-257-3600,415-257-3619,16133 VENTURA BLVD.,SUITE 1400,ENCINO,CA,UNITED STATES,91436,Approved,9/8/1998,3/5/2010,Y,WWW.HEARTHSTONE.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Other (specify),S CORP,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,Y,% OF SALES REVENUE,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,REAL ESTATE INVESTMENT,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,117574,801-66399,PRIVATE INCOME CAPITAL MANAGEMENT,PRIVATE INCOME CAPITAL MANAGEMENT,601 UNION STREET,SUITE 3701,SEATTLE,WA,UNITED STATES,98101,206-224-1654,206-382-3455,,,,,,,Approved,3/20/2006,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"296,283,013.00",0,"296,283,013.00",4,0,4,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,128934,801-67002,"SELECT CAPITAL MANAGEMENT, INC.","SELECT CAPITAL MANAGEMENT, INC.",1875 CENTURY PARK EAST,SUITE 880,LOS ANGELES,CA,UNITED STATES,90067-2501,310-551-1087,310-551-1656,,,,,,,Approved,7/24/2006,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"45,000,000.00",0,"45,000,000.00",130,0,130,N,Y,N,N,N,N,Y,N,N,N,,0,,N,N,Y,Y,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,N,N,N,N,N,N
SFRO,104638,801-4424,"BURROUGHS HUTCHINSON, INC.","BURROUGHS HUTCHINSON, INC.",877 W. MAIN STREET,SUITE 602,BOISE,ID,UNITED STATES,83702,208-343-7556,208-343-5639,,,,,,,Approved,8/4/1967,3/5/2010,Y,WWW.BHINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,ID,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"264,583,257.00",0,"264,583,257.00",136,0,136,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105748,801-35938,BROOKSIDE CAPITAL INC.,BROOKSIDE CAPITAL INC.,,,,,,,415-233-4640,415-233-4640,2269 CHESTNUT STREET,#400,SAN FRANCISCO,CA,UNITED STATES,94123,Approved,1/10/1990,3/5/2010,Y,WWW.BROOKSIDECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"27,699,136.00",0,"27,699,136.00",52,0,52,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108801,801-42879,PERSONAL FINANCIAL MANAGEMENT,BRENNAN JOHN DAVID,1001 B AVENUE,SUITE 307,CORONADO,CA,USA,92118-3425,619-435-1600,619-435-1399,,,,,,,Approved,12/1/1992,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,0,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"128,519,345.00","160,616,447.00","289,135,792.00",153,40,193,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106688,801-39695,"R.H. DINEL INVESTMENT COUNSEL,INC.","R.H. DINEL INVESTMENT COUNSEL,INC.",11661 SAN VICENTE BLVD STE 400,,LOS ANGELES,CA,USA,90049-5112,310-571-7171,310-571-3344,,,,,,,Approved,8/20/1991,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"84,402,000.00",0,"84,402,000.00",45,0,45,N,Y,N,N,N,N,N,N,N,Y,CONSULTATION REGARDING A PERSON'S PORTFOLIO,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,109695,801-21093,GREEN INVESTMENT MANAGEMENT INC,GREEN INVESTMENT MANAGEMENT INC,309 WEST 7TH STREET,SUITE 101,FORT WORTH,TX,UNITED STATES,76102,817-335-1178,817-877-0741,,,,,,,Approved,4/24/1984,3/5/2010,Y,HTTP://WWW.GIMLINK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,5-Jan,0,0,0,51-250,0,More than 500,"1,000",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"131,756,218.00","3,594,058.00","135,350,276.00","1,134",74,"1,208",N,Y,N,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,125401,801-68879,CREEKSIDE PARTNERS INVESTMENT COUNSEL LLC,CREEKSIDE PARTNERS INVESTMENT COUNSEL LLC,985 MORAGA ROAD,SUITE 205,LAFAYETTE,CA,UNITED STATES,94549,925-284-1260,925-284-1514,,,,,,,Approved,2/20/2008,3/5/2010,Y,WWW.CREEKSIDEPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"68,791,105.00","355,060.00","69,146,165.00",150,1,151,N,Y,N,Y,N,N,Y,N,N,Y,PORTFOLIO MANAGEMENT FOR REGISTRATION-EXEMPT INVESTMENT COMPANIES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,6681,801-66192,FIRST WASHINGTON CORPORATION,FIRST WASHINGTON CORPORATION,601 UNION STREET SUITE 3701,,SEATTLE,WA,UNITED STATES,98101,206-624-8320,206-382-3455,,,,,,,Approved,1/30/2006,3/5/2010,Y,WWW.FIRST-WASH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"157,976,478.00",0,"157,976,478.00",90,0,90,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,125721,801-66983,"FMF&E WEALTH MANAGEMENT, LLC","FMF&E WEALTH MANAGEMENT, LLC",5010 CAMPUSWOOD DRIVE,SUITE 4,EAST SYRACUSE,NY,UNITED STATES,13057,315-472-7045,315-472-7053,,,,,,,Approved,7/12/2006,3/5/2010,Y,WWW.FMFEWEALTHMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"65,826,396.00","1,528,113.00","67,354,509.00",327,8,335,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109930,801-58081,COMPAK ASSET MANAGEMENT,COMPAK ASSET MANAGEMENT,8105 IRVINE CENTER DRIVE,SUITE 1100,IRVINE,CA,UNITED STATES,92618,(800) 388-9700,877-454-5591,,,,,,,Approved,11/6/2000,3/5/2010,Y,HTTP://WWW.COMPAK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,Y,ACCOUNT MAINTENANCE FEE OF $45 PER CALENDAR QUARTER SEE SCHED D,Y,"545,140,541.00",0,"545,140,541.00","3,323",0,"3,323",Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,Y,N,N,Y,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109235,801-55172,STEWART & PATTEN CO LLC,STEWART & PATTEN CO LLC,"1 POST STREET, SUITE 850",,SAN FRANCISCO,CA,UNITED STATES,94104,415-421-4932,415-421-0710,,,,,,,Approved,1/2/1998,3/5/2010,Y,WWW.STEWARTANDPATTEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"607,800,565.00","8,910,281.00","616,710,846.00",776,25,801,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,130232,801-63880,"LESA SROUFE & COMPANY, INC.","LESA SROUFE & COMPANY, INC.","1200 5TH AVE., SUITE 1200",,SEATTLE,WA,USA,98101,206-838-8383,206-838-8387,,,,,,,Approved,1/3/2005,3/5/2010,Y,WWW.SROUFECO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,Nov-50,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"231,764,828.00","178,505,221.00","410,270,049.00",550,20,570,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,148128,801-69545,"NORTH PIER FIDUCIARY MANAGEMENT, LLC","NORTH PIER FIDUCIARY MANAGEMENT, LLC",400 CORPORATE POINTE,SUITE 300,CULVER CITY,CA,UNITED STATES,90230,800-403-7065,,,,,,,,Approved,9/8/2008,3/5/2010,Y,WWW.NPIER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"31,000,000.00","272,000,000.00","303,000,000.00",160,11,171,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,149695,801-71217,MONUMENT CAPITAL FUND MANAGEMENT,"FILIPINOFUNDS INVESTMENT MANAGEMENT, LLC",11 W. MONUMENT AVE,SUITE 101,DAYTON,OH,UNITED STATES,45402,937-310-2279,937-550-1015,,,,,,,Approved,3/25/2010,3/6/2010,Y,WWW.FILIPINOFUNDS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,Y,Y,Y,N,N,,Y,0,0,0,0,0,0,N,Y,Y,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,136184,801-64667,"THE QUANTITATIVE GROUP, L.P.","THE QUANTITATIVE GROUP, L.P.",700 NORTH ST. MARY'S,SUITE 800,SAN ANTONIO,TX,USA,78205,210-798-4250,210-798-4279,,,,,,,Approved,8/26/2005,3/24/2010,Y,WWW.QUANTGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,PARTNERSHIPS,Y,N,N,Y,N,Y,N,,Y,"190,108,455.00","2,720,087,582.00","2,910,196,037.00",62,86,148,N,Y,N,Y,Y,Y,N,N,N,Y,INVESTMENT ADVICE TO POOLED INVESTMENT VEHICLES,,,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,151335,801-70564,MACROFOCUS PORTFOLIOS,"VERNER, EDWARD ANTHONY",,,,,,,310-309-0678,805-823-6885,,,,,,,Approved,9/15/2009,3/24/2010,Y,WWW.MF-PORTFOLIOS.NET,N,N,N,N,N,N,N,N,N,N,Y,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"733,680.00",0,"733,680.00",3,0,3,N,Y,N,N,N,N,N,N,N,Y,PORTFOLIO RECOMMENDATIONS AND STRATEGY FOR INDIVIDUALS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107141,801-52883,BOSTON FAMILY OFFICE LLC,BOSTON FAMILY OFFICE LLC,88 BROAD ST. (2ND FLOOR),,BOSTON,MA,USA,2110,617-624-0800,617-624-0801,,,,,,,Approved,9/17/1996,3/24/2010,Y,WWW.BOSFAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"672,727,028.00","58,742,877.00","731,469,905.00",547,31,578,N,Y,N,N,N,Y,N,N,N,Y,TRUST & ESTATE REVIEW & ADMIN.,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,Y,Y,N,N,N,Y,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,134875,801-68593,"MARYLAND CAPITAL ADVISORS, INC.","MARYLAND CAPITAL ADVISORS, INC.",1A CHESTER PLAZA,,CHESTER,MD,USA,21619,410-604-2741,410-604-1528,,,,,,,Approved,12/6/2007,3/24/2010,Y,WWW.MARYLANDCAPITALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"40,073,272.00","3,263,367.00","43,336,639.00",107,4,111,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,106425,801-38888,MARK J SNYDER FINANCIAL SERVICES INC,MARK J SNYDER FINANCIAL SERVICES INC,1731 N OCEAN AVE,,MEDFORD,NY,USA,11763,631-289-4224,631-289-8130,,,,,,,Approved,5/9/1991,3/24/2010,Y,WWW.MARKJSNYDER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"151,678,975.00",0,"151,678,975.00","1,176",0,"1,176",Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,Y,N,Y,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,133690,801-63818,"THE WATCHMAN GROUP, INC.","THE WATCHMAN GROUP, INC.",5045 LORIMAR DRIVE,SUITE 200,PLANO,TX,UNITED STATES,75093,469-241-0122,469-718-0443,,,,,,,Approved,1/14/2005,3/24/2010,Y,WWW.WATCHMANGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"88,068,132.00",0,"88,068,132.00",328,0,328,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,147313,801-69678,620 ASSOCIATES LLC,620 ASSOCIATES LLC,295 MADISON AVENUE,7TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-765-9804,212-765-9611,,,,,,,Approved,10/31/2008,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,0,"25,958,875.00","25,958,875.00",0,19,19,N,Y,N,Y,N,Y,N,N,N,Y,CUSTOMIZED RESEARCH ON INDIVIDUAL COMPANIES.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119135,801-60907,SHAKER INVESTMENTS,"SHAKER INVESTMENTS, L.L.C.",3690 ORANGE PLACE,SUITE 400,CLEVELAND,OH,UNITED STATES,44122-4466,216-292-2950,216-292-2951,,,,,,,Approved,1/1/2002,3/24/2010,Y,WWW.SHAKERINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,UNIVERSITY ENDOWMENT,Y,N,N,N,N,Y,N,,Y,"69,600,000.00",0,"69,600,000.00",90,0,90,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,141173,801-67118,"WALTER J. REYNA, INC.","WALTER J. REYNA, INC.",5315 N. MCCOLL,,MCALLEN,TX,USA,78504,956-682-4196,956-682-4931,,,,,,,Approved,9/14/2006,3/13/2009,Y,WWW.WALTERREYNA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"26,895,002.00",0,"26,895,002.00",165,0,165,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,140557,801-68440,THE MUTUAL FUND STORE,"TMFS-PHILADELPHIA I, LLC",38 EAST GERMANTOWN PIKE,,EAST NORRITON,PA,USA,19401,610-239-8323,610-239-8335,,,,,,,Approved,10/15/2007,3/24/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"93,999,133.00",0,"93,999,133.00","1,120",0,"1,120",N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106667,801-52286,HIGHLANDER CAPITAL MANAGEMENT LLC,HIGHLANDER CAPITAL MANAGEMENT LLC,119 LITTLETON ROAD,,PARSIPPANY,NJ,USA,7054,973-335-3300,973-402-6524,,,,,,,Approved,6/27/1996,3/24/2010,Y,WWW.HIGHLANDERCAPITAL.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"104,923,705.00","2,484,645.00","107,408,350.00",180,2,182,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135505,801-71022,"STERLING FINANCIAL SERVICES, LLC","STERLING FINANCIAL SERVICES, LLC","6 LOUDON ROAD, SUITE 505",,CONCORD,NH,UNITED STATES,3301,603-224-1010,603-226-2489,PO BOX 4207,,CONCORD,NH,UNITED STATES,3301,Approved,2/5/2010,3/24/2010,Y,WWW.STERLINGFINANCIALSERVICES.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,SELECTION OF OTHER ADVISORS,Y,"26,000,000.00",0,"26,000,000.00",150,0,150,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,Y,INVESTMENT ADVISOR REPRESENTATIVE,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107578,801-53966,ALPHA INVESTMENT MANAGEMENT,ALPHA INVESTMENT MANAGEMENT,2245 GILBERT AVE,SUITE 100,CINCINNATI,OH,UNITED STATES,45206,513-621-9400,513-632-7981,,,,,,,Approved,9/26/2005,3/24/2010,Y,WWW.ALPHAIM.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,Nov-50,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"24,026,000.00","2,209,156.00","26,235,156.00",285,5,290,N,Y,N,N,Y,N,N,N,Y,N,,,,N,Y,N,Y,N,N,Y,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,141901,801-67726,ALTUS CAPITAL INC.,ALTUS CAPITAL INC.,6120 PARKLAND BLVD.,SUITE 303,MAYFIELD HEIGHTS,OH,UNITED STATES,44124,440-995-1330,440-995-1331,,,,,,,Approved,4/9/2007,3/24/2010,Y,WWW.ALTUSCAPITALINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"101,000,000.00",0,"101,000,000.00",35,0,35,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,116135,801-68719,GALLAGHER FLYNN FINANCIAL ADVISORS LLC,GALLAGHER FLYNN FINANCIAL ADVISORS LLC,77 COLLEGE STREET,,BURLINGTON,VT,UNITED STATES,5401,802-863-1331,802-865-4446,,,,,,,Approved,1/28/2008,3/24/2010,Y,WWW.GFC.COM/SERVICES/FINANCIAL_PLANNING_AND_INVESTMENT_ADVISORY.ASP.,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"41,192,099.00","2,037,315.00","43,229,414.00",79,13,92,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105507,801-13828,THE PATTERSON CAPITAL CORPORATION,THE PATTERSON CAPITAL CORPORATION,"2029 CENTURY PARK EAST, STE 2950",,LOS ANGELES,CA,UNITED STATES,90067-3085,310-556-2496,310-556-0654,,,,,,,Approved,5/26/1978,3/24/2010,Y,HTTP://WWW.PATTERSONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,11-25 percent,0 percent,0 percent,26-50 percent,INSURANCE AND HOSPITAL RESERVES,Y,N,N,Y,N,N,N,,Y,"1,550,104,918.00",0,"1,550,104,918.00",24,0,24,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,127096,801-68307,"DEANE RETIREMENT STRATEGIES, INC.","DEANE RETIREMENT STRATEGIES, INC.","2065 ENERGY CENTRE,",1100 POYDRAS STREET,NEW ORLEANS,LA,USA,70163,504-582-2345,504-582-2346,,,,,,,Approved,9/13/2007,3/24/2010,Y,WWW.DEANERETIRE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,LA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"68,000,000.00","27,000,000.00","95,000,000.00",130,150,280,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109882,801-15485,"BEESE, FULMER INVESTMENT MANAGEMENT, INC.","BEESE, FULMER INVESTMENT MANAGEMENT, INC.","220 MARKET AVENUE, SOUTH",SUITE 1150,CANTON,OH,UNITED STATES,44702-2177,330-454-6555,330-454-2989,,,,,,,Approved,9/17/1980,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"299,782,491.00",0,"299,782,491.00",313,0,313,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,149897,801-70111,KORENVAES MANAGEMENT LLC,KORENVAES MANAGEMENT LLC,3953 MAPLE AVENUE,SUITE 150,DALLAS,TX,UNITED STATES,75219,214-871-8600,214-871-8609,,,,,,,Approved,5/4/2009,3/24/2010,Y,WWW.KORENVAES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"28,800,909.00",0,"28,800,909.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146032,801-68676,FIFTH STREET MANAGEMENT LLC,FIFTH STREET MANAGEMENT LLC,10 BANK STREET,SUITE 1210,WHITE PLAINS,NY,UNITED STATES,10606,914-286-6800,914-328-4214,,,,,,,Approved,12/20/2007,3/24/2010,Y,WWW.FIFTHSTREETFINANCE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,BUSINESS DEVELOPMENT COMPANY (BDC),Y,N,N,N,N,Y,N,,Y,"453,198,593.00",0,"453,198,593.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGMENT FOR BUSINESS DEVELOPMENT COMPANY,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,140505,801-69962,"GUELICH CAPITAL MANAGEMENT, LLC","GUELICH CAPITAL MANAGEMENT, LLC","1401 FRANKLIN ROAD, SW",,ROANOKE,VA,UNITED STATES,24016,540-772-4545,540-772-9441,,,,,,,Approved,3/9/2009,3/24/2010,Y,WWW.GUELICHCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"34,021,537.00","1,583,964.00","35,605,501.00",231,15,246,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110890,801-64633,TILSON FINANCIAL GROUP INC,TILSON FINANCIAL GROUP INC,775 MOUNTAIN BLVD,SUITE 208,WATCHUNG,NJ,USA,7069,908-561-6203,908-561-6242,,,,,,,Approved,8/26/2005,3/24/2010,Y,WWW.TILSONFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"70,319,867.00","97,768,015.00","168,087,882.00",65,268,333,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,136549,801-64728,"SCOTT CONYERS CAPITAL MANAGEMENT, INC.","SCOTT CONYERS CAPITAL MANAGEMENT, INC.",9268 CHAMPOEG RD NE,,AURORA,OR,UNITED STATES,97002-8651,503-678-6365,,,,,,,,Approved,10/4/2005,3/24/2010,Y,CONYERSCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"126,269,000.00",0,"126,269,000.00",65,0,65,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137755,801-65544,"FH INTERNATIONAL ASSET MANAGEMENT, LLC","FH INTERNATIONAL ASSET MANAGEMENT, LLC",550 MAMARONECK AVENUE,SUITE 407,HARRISON,NY,USA,10528-1614,914-698-7300,914-698-7429,,,,,,,Approved,1/30/2006,3/24/2010,Y,WWW.FHINTERNATIONAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"76,601,094.00",0,"76,601,094.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,INVESTMENT MANAGER TO PRIVATE POOLED INVESTMENT VEHICLES AND TWO LIQUIDATING TRUSTS.,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,132422,801-63421,"OPTIMUM WEALTH MANAGEMENT, LLC","OPTIMUM WEALTH MANAGEMENT, LLC.",,,,,,,678-778-2694,,,,,,,,Approved,8/18/2004,3/24/2010,Y,WWW.OPTIMUMWEALTHMANAGEMENTLLC.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,Y,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,Y,N,N,Y,INTERNET ASSET ALLOCATION SERVICE,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,137045,801-64873,"CONDERA ADVISORS, LLC","CONDERA ADVISORS, LLC",4900 WOODWAY DRIVE,SUITE 940,HOUSTON,TX,UNITED STATES,77056,713-574-1950,713-580-1820,,,,,,,Approved,11/18/2005,3/24/2010,Y,WWW.CONDERAADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"78,916,615.00","373,224,349.00","452,140,964.00",2,84,86,N,N,N,N,N,Y,N,N,N,Y,DISCRETIONARY AND NON-DISCRETIONARY ADVISORY SERVICES,,,Y,N,N,N,Y,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110569,801-57535,AUTUMN WIND ASSET MANAGEMENT INC,AUTUMN WIND ASSET MANAGEMENT INC,10134-G COLVIN RUN RD,,GREAT FALLS,VA,USA,22066,703-757-3848,703-757-7620,,,,,,,Approved,4/28/2000,3/24/2010,Y,WWW.AUTUMNWIND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"67,000,000.00","5,000,000.00","72,000,000.00",75,10,85,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,134320,801-64170,"STRENGTH CAPITAL PARTNERS, LLC","STRENGTH CAPITAL PARTNERS, LLC",350 N. OLD WOODWARD,SUITE 100,BIRMINGHAM,MI,USA,48009,248-593-6872,248-593-6875,,,,,,,Approved,4/22/2005,3/24/2010,Y,WWW.STRENGTHCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"146,522,310.00",0,"146,522,310.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,104781,801-33016,LEE FINANCIAL GROUP INC.,LEE FINANCIAL GROUP INC.,2756 WOODLAWN DRIVE,SUITE #6-201,HONOLULU,HI,USA,96822,808-988-8088,808-988-5770,,,,,,,Approved,10/6/1988,3/24/2010,Y,LEEHAWAII.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,HI,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"330,926,714.00",0,"330,926,714.00","1,680",0,"1,680",Y,Y,Y,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,N,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110907,801-52830,CORONATION ASSET MANAGEMENT PROPRIETARY LTD,CORONATION ASSET MANAGEMENT PROPRIETARY LTD,"CORONATION HOUSE, BOUNDARY TERRACES","1 MARIENDAHL LANE, NEWLANDS, 7700",CAPE TOWN,,SOUTH AFRICA,7700,+27 21 680-2000,+27 21 680-2100,P.O. BOX 993,,CAPE TOWN,,SOUTH AFRICA,8000,Approved,9/10/1996,2/1/2005,Y,WWW.CORONATION.CO.ZA,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,SOUTH AFRICA,51-250,0,Nov-50,0,0,0,0,0,101-250,0,Up to 10 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,695,756,159.00",0,"4,695,756,159.00",281,0,281,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,142604,801-67444,"CAMLIN ASSET MANAGEMENT, INC","CAMLIN ASSET MANAGEMENT, INC",1166 ALBERNI STREET,SUITE 1108,VANCOUVER,,CANADA,V6E 3Z3,604-646-8281,604-408-6641,,,,,,,Approved,1/11/2007,7/8/2010,Y,HTTP://WWW.CAMLINMANAGEMENT.COM/,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"741,340.00",0,"741,340.00",1,0,1,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO SUPPORT,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,141661,801-67143,"PINNACLE CAPITAL MANAGEMENT, LLC","PINNACLE CAPITAL MANAGEMENT, LLC",100 LIMESTONE PLAZA,,FAYETTEVILLE,NY,UNITED STATES,13066,315-234-9716,315-637-0090,,,,,,,Approved,9/14/2006,7/8/2010,Y,WWW.PCM-ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,INSURANCE COMPANIES,Y,N,N,N,N,N,N,,Y,"45,667,166.00","277,809,765.00","323,476,931.00",167,2,169,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,130032,801-71293,EMERSON EQUITY LLC,EMERSON EQUITY LLC,"155 BOVET ROAD, SUITE 725",,SAN MATEO,CA,UNITED STATES,94402,650-312-0200,650-312-0206,,,,,,,Approved,4/19/2010,7/8/2010,Y,WWW.EMERSONEQUITY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,TRUSTS,Y,Y,N,Y,N,N,Y,MAY PROVIDE SEMINAR ON A NEGOTIATED FEE BASIS,Y,"31,607,292.00",0,"31,607,292.00",145,0,145,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,Y,N,N,,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
LARO,144652,801-68193,"BGR FINANCIAL GROUP, LLC","BGR FINANCIAL GROUP, LLC",3561 EAST SUNRISE DRIVE,SUITE 247,TUCSON,AZ,UNITED STATES,85718,520-795-6600,520-795-6601,,,,,,,Approved,7/26/2007,7/8/2010,Y,WWW.BGRFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"120,700,764.00","1,307,613.00","122,008,377.00",996,3,999,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110687,801-52638,SYMPHONY ASSET MANAGEMENT LLC,SYMPHONY ASSET MANAGEMENT LLC,555 CALIFORNIA STREET,SUITE 2975,SAN FRANCISCO,CA,UNITED STATES,94104-1605,415-676-4000,415-676-2480,,,,,,,Approved,8/7/1996,7/8/2010,Y,WWW.SYMPHONYASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"8,476,800,000.00",0,"8,476,800,000.00","3,364",0,"3,364",N,Y,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE FUNDS; COLLATERAL MANAGER FOR STRUCTURED DEBT PRODUCTS,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,153054,801-71164,"VANTAGE ADVISORS, LLC","VANTAGE ADVISORS, LLC",43 SOUTH 100 EAST,SUITE 206,ST. GEORGE,UT,UNITED STATES,84770,(435) 628-6336,,,,,,,,Approved,3/12/2010,7/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"696,213.00","32,729,822.00","33,426,035.00",1,32,33,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,147513,801-69300,INTEREXXIM INC,INTEREXXIM INC,,,,,,,418-827-2241,418-827-4040,,,,,,,Approved,6/26/2008,7/8/2010,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"31,000,000.00",0,"31,000,000.00",15,0,15,N,Y,N,N,N,Y,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,131034,801-62960,ALTERNATIVE INVESTMENT SOLUTIONS,UBS ALTERNATIVE AND QUANTITATIVE INVESTMENTS LLC,677 WASHINGTON BOULEVARD,,STAMFORD,CT,UNITED STATES,6901,203-719-1428,203-719-1399,,,,,,,Approved,4/9/2004,7/8/2010,Y,WWW.UBS.COM/ALTERNATIVES,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"18,495,900,000.00","4,631,700,000.00","23,127,600,000.00",66,6,72,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT MANAGEMENT SERVICES FOR HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,Y,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,Y
ARO,126989,801-63522,BARBER LACKEY FINANCIAL GROUP LLC,BARBER LACKEY FINANCIAL GROUP LLC,750 HAMMOND DRIVE,SUITE 1-100,ATLANTA,GA,UNITED STATES,30328-5501,404-250-0293,404-250-0294,,,,,,,Approved,9/20/2004,7/8/2010,Y,WWW.BLFGONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"23,884,489.00","1,197,912.00","25,082,401.00",459,66,525,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,106921,801-60019,"EQUITABLE ADVISORS, INC.","EQUITABLE ADVISORS, INC.",4400 HARDING ROAD,SUITE 310,NASHVILLE,TN,UNITED STATES,37205-2314,615-460-1160,615-460-1163,,,,,,,Approved,2/8/2001,7/8/2010,Y,WWW.EQUITABLECO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"31,000,000.00","20,700,000.00","51,700,000.00",69,7,76,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,Y,Y,Y,N,N,N,N,N,N,,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,152977,801-71090,BAUER WEALTH MANAGEMENT,BAUER WEALTH MANAGEMENT LLC,1042 W BAPTIST RD #118,,COLORADO SPRINGS,CO,UNITED STATES,80921-2402,719 481-5899,719 481-5915,,,,,,,Approved,2/9/2010,7/8/2010,Y,BAUERWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"27,200,000.00","1,600,000.00","28,800,000.00",119,8,127,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,120454,801-61141,"PACIFICOR, LLC","PACIFICOR, LLC","740 STATE STREET, SUITE 202",,SANTA BARBARA,CA,UNITED STATES,93101,805-962-3570,805-435-1642,,,,,,,Approved,4/2/2002,7/8/2010,Y,WWW.PACIFICOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,26-50 percent,11-25 percent,11-25 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"119,540,926.00","66,564,437.00","186,105,363.00",7,2,9,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,119558,801-64117,"CAMBRIDGE LEGACY ADVISORS, INC.","CAMBRIDGE LEGACY ADVISORS, INC.",15660 N. DALLAS PARKWAY,SUITE 700,DALLAS,TX,UNITED STATES,75248,972-267-8181,972-267-8180,,,,,,,Approved,4/21/2005,7/8/2010,Y,WWW.CLGSITE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,Nov-50,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"125,000,000.00",0,"125,000,000.00","1,500",0,"1,500",Y,Y,N,N,N,Y,N,N,Y,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,Y,Y,Y,N,Y,Y,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,Y,N,N,N,N
LARO,124462,801-61657,WEALTH MANAGEMENT & BUSINESS CONCEPTS,WEALTH MANAGEMENT & BUSINESS CONCEPTS,23201 LAKE CENTER DRIVE,SUITE 214,LAKE FOREST,CA,UNITED STATES,92630,949-829-9622,949-829-9629,,,,,,,Approved,12/6/2002,7/8/2010,Y,WWW.WMBCI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"55,000,000.00","55,000,000.00",0,250,250,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,6635,801-9654,GUARDIAN INVESTOR SERVICES LLC,GUARDIAN INVESTOR SERVICES LLC,7 HANOVER SQUARE,,NEW YORK,NY,UNITED STATES,10004,610-807-7713,610-807-7842,,,,,,,Approved,1/11/1974,7/8/2010,Y,WWW.GLIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,251-500,0,Nov-50,0,Nov-50,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,464,262,600.00",0,"2,464,262,600.00",14,0,14,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,Y,N,N,N,N
LARO,152837,801-71052,"VOLT WEALTH MANAGEMENT, LLC","VOLT WEALTH MANAGEMENT, LLC",707 BROADWAY,SUITE 1910,SAN DIEGO,CA,UNITED STATES,92101,619-850-5952,NONE,,,,,,,Approved,2/5/2010,7/8/2010,Y,WWW.VOLTWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"3,000,000.00","25,000,000.00","28,000,000.00",4,4,8,N,Y,Y,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,149124,801-69846,"CAPITAL INVESTMENT ADVISORY SERVICES, LLC","CAPITAL INVESTMENT ADVISORY SERVICES, LLC",17 GLENWOOD AVE.,,RALEIGH,NC,UNITED STATES,27603,919-831-2370,919-832-7928,,,,,,,Approved,1/5/2009,7/8/2010,Y,WWW.CAPITAL-INVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"84,194,421.00",0,"84,194,421.00",976,0,976,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105792,801-32143,WITTENBERG INVESTMENT MANAGEMENT INC,WITTENBERG INVESTMENT MANAGEMENT INC,,,,,,,978-440-7008,978-261-5800,,,,,,,Approved,6/2/1988,7/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"126,203,963.00",0,"126,203,963.00",203,0,203,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,153781,801-71685,FFCM LLC,FFCM LLC,230 CONGRESS STREET,5TH FLOOR,BOSTON,MA,UNITED STATES,2110,617-292-9801,617-292-9808,,,,,,,Approved,7/29/2010,7/8/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,40633,801-55281,FCG ADVISORS LLC,"FCG ADVISORS, LLC",ONE MAIN ST,#202,CHATHAM,NJ,UNITED STATES,7928,973-635-7374,973-701-1780,,,,,,,Approved,2/19/1998,7/8/2010,Y,WWW.FCGADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"240,000,000.00",0,"240,000,000.00",275,0,275,N,Y,N,N,N,Y,N,N,N,Y,INVESTMENT SUPERVISORY SERVICES,0,,N,N,Y,Y,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109144,801-50617,"GELLER ADVISORY GROUP, LLC","GELLER ADVISORY GROUP, LLC",462 SEVENTH AVENUE,SIXTH FLOOR,NEW YORK,NY,UNITED STATES,10018-7439,212-268-5700,212-268-5707,,,,,,,Approved,11/17/1995,7/8/2010,Y,WWW.GELLERGROUP.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,Nov-50,0,251-500,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,Y,SEE SCHEDULE D - MISCELLANEOUS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107322,801-51763,"FARALLON CAPITAL MANAGEMENT, L.L.C.","FARALLON CAPITAL MANAGEMENT, L.L.C.",ONE MARITIME PLAZA,SUITE 2100,SAN FRANCISCO,CA,USA,94111,415-421-2132,415-421-2133,,,,,,,Approved,4/1/1996,7/8/2010,Y,WWW.FARALLONCAPITAL.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"20,983,590,229.00",0,"20,983,590,229.00",28,0,28,N,N,N,Y,N,N,N,N,N,Y,ADVICE TO PRIVATE INVESTMENT FUNDS.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,152209,801-70808,GRAMERCY FUNDS MANAGEMENT LLC,GRAMERCY FUNDS MANAGEMENT LLC,20 DAYTON AVENUE,,GREENWICH,CT,UNITED STATES,6830,203-552-1900,203-552-1901,,,,,,,Approved,12/17/2009,7/9/2010,Y,WWW.GRAMERCY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"102,292,104.00",0,"102,292,104.00",3,0,3,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,111035,801-56222,COLLER INVESTMENT MANAGEMENT LTD,COLLER INVESTMENT MANAGEMENT LTD,TRAFALGAR COURT,LES BANQUES,ST. PETER PORT,,GUERNSEY,GY1 3QL,+44 1481 745001,+44 1481 745074,,,,,,,Approved,3/1/1999,7/9/2010,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,GUERNSEY,10-Jun,0,0,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"6,168,369,200.00",0,"6,168,369,200.00",14,0,14,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,115040,801-60786,"CDR FINANCIAL PRODUCTS, INC.","RUBIN/CHAMBERS, DUNHILL INSURANCE SERVICES, INC.",6222 WILSHIRE BLVD.,SUITE 220,LOS ANGELES,CA,USA,90048,310-273-9384,310-247-5631,,,,,,,Approved,12/14/2001,3/31/2008,Y,WWW.CDRFP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"25,000,000.00","25,000,000.00",0,6,6,N,N,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105848,801-14875,"HARDER MANAGEMENT COMPANY, INC.","HARDER MANAGEMENT COMPANY, INC.",76 BEDFORD STREET,SUITE #23,LEXINGTON,MA,UNITED STATES,2420,781-863-2300,781-863-2333,P.O. BOX 639,,BEDFORD,MA,UNITED STATES,02420-0639,Approved,10/19/1979,3/23/2010,Y,WWW.HARDERMANAGEMENTCOMPANY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,0,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"47,787,000.00",0,"47,787,000.00",42,0,42,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107150,801-48253,ENVISION CAPITAL MANAGEMENT INC,ENVISION CAPITAL MANAGEMENT INC,11755 WILSHIRE BLVD STE 1140,,LOS ANGELES,CA,UNITED STATES,90025,310-445-3252,310-445-3258,,,,,,,Approved,2/24/1995,3/23/2010,Y,WWW.ENVISIONCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"247,175,061.00",0,"247,175,061.00",262,0,262,N,Y,N,N,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,134748,801-70496,ATTRACTOR INVESTMENT MANAGEMENT INC.,ATTRACTOR INVESTMENT MANAGEMENT INC.,1325 FOURTH AVENUE,SUITE 1425,SEATTLE,WA,UNITED STATES,98101,206-462-3980,206-462-3985,,,,,,,Approved,8/13/2009,3/23/2010,Y,WWW.ATTRACTOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"217,300,000.00",0,"217,300,000.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR COLLECTIVE INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,140245,801-69592,"STEPHEN M. MINTZ DBA STEPHEN M. MINTZ, FEE-ONLY FINANCIAL CONSUL","MINTZ, STEPHEN M.",1900 N. 18TH STREET,SUITE 406,MONROE,LA,UNITED STATES,71201,318-325-5090,318-361-9835,,,,,,,Approved,10/1/2008,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"26,211,010.00",0,"26,211,010.00",207,0,207,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,35041,801-64488,"SAUNDERS RETIREMENT ADVISORS, INC.","SAUNDERS RETIREMENT ADVISORS, INC.","7400 BEAUFONT SPRINGS DR., SUITE 300",,RICHMOND,VA,UNITED STATES,23225,804-320-8800,804-739-7877,P. O. BOX 5750,,MIDLOTHIAN,VA,UNITED STATES,23112,Approved,7/21/2005,3/23/2010,Y,WWW.SAUNDERSRETIREMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"33,000,000.00",0,"33,000,000.00",150,0,150,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,Y,N,N,,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111731,801-58097,P&A CAPITAL ADVISORS,"P&A CAPITAL ADVISORS, INC.",500 FIFTH AVENUE,SUITE 2700,NEW YORK,NY,UNITED STATES,10110,212-764-6455,212-921-4249,,,,,,,Approved,12/15/2000,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,10-Jun,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"339,600,000.00","20,000,000.00","359,600,000.00",8,1,9,N,N,N,N,N,Y,N,N,N,Y,ADVISER TO PRIVATELY PLACED INVESTMENT FUNDS AND TWO SEPARATELY MANAGED ACCOUNTS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,132155,801-65359,CASTLEROCK MANAGEMENT,"CASTLEROCK ASSET MANAGEMENT, INC.",101 PARK AVENUE,23RD FLOOR,NEW YORK,NY,USA,10178-2399,212-251-3300,212-251-3388,,,,,,,Approved,1/27/2006,3/23/2010,Y,CASTLEROCKPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"534,702,600.00",0,"534,702,600.00",8,0,8,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,104720,801-25205,CCM PARTNERS,CCM PARTNERS,44 MONTGOMERY ST STE 2100,,SAN FRANCISCO,CA,USA,94104,415-398-2727,415-421-2019,,,,,,,Approved,9/12/1985,3/23/2010,Y,WWW.8002258778.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,CA,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,10-Jun,0,26-100,0,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"554,308,435.00",0,"554,308,435.00",64,0,64,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,123098,801-63290,ROBINSON FINANCIAL ASSOCIATES,"ROBINSON, DAVID PRESTON",100 COMMERCIAL STREET,SUITE 405,PORTLAND,ME,UNITED STATES,4101,207-874-9840,207-874-9047,,,,,,,Approved,7/12/2004,3/23/2010,Y,WWW.ROBINSONFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,ME,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"79,118,501.00","1,912,626.00","81,031,127.00",327,4,331,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,114913,801-60536,"VISTA CAPITAL PARTNERS, INC.","VISTA CAPITAL PARTNERS, INC.",9755 SW BARNES ROAD,SUITE 595,PORTLAND,OR,UNITED STATES,97225,503-772-9500,503-772-1229,,,,,,,Approved,8/31/2001,3/23/2010,Y,WWW.VISTACP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"399,437,374.00",0,"399,437,374.00",918,0,918,Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109776,801-33044,"NEW GENERATION ADVISORS, LLC","NEW GENERATION ADVISORS, LLC",49 UNION STREET,,MANCHESTER,MA,UNITED STATES,1944,978-704-6200,978-704-6210,,,,,,,Approved,8/22/1988,3/23/2010,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"741,049,000.00",0,"741,049,000.00",5,0,5,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107212,801-57971,KHC WEALTH MANAGEMENT SERVICES,"KOESTEN HIRSCHMANN & CRABTREE, INC.","10000 COLLEGE BLVD., SUITE 260",,OVERLAND PARK,KS,USA,66210,913-345-1881,913-345-1810,,,,,,,Approved,9/26/2000,3/23/2010,Y,WWW.MAKINGLIFECOUNT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"195,039,000.00",0,"195,039,000.00",713,0,713,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110793,801-56281,NEXT CAPITAL MANAGEMENT LLC,NEXT CAPITAL MANAGEMENT LLC,"505 FIFTH AVENUE, 15TH FLOOR",ATTN: ANDREW HART,NEW YORK,NY,UNITED STATES,10017,212-433-1111,646-607-5253,,,,,,,Approved,3/24/1999,3/23/2010,Y,WWW.NEXTCAPITALMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"82,706,266.00","181,412,666.00","264,118,932.00",20,227,247,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,3711,801-8754,"WATERS, PARKERSON & CO., LLC","WATERS, PARKERSON & CO., LLC",SUITE #512,228 ST. CHARLES AVENUE,NEW ORLEANS,LA,UNITED STATES,70130-2682,504-581-2022,504-525-9320,,,,,,,Approved,6/29/1972,3/23/2010,Y,WWW.WATERSPARKERSON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,More than 500,"1,500",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"686,755,198.00","187,576,926.00","874,332,124.00","1,024",243,"1,267",N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,144833,801-69321,MCMURREY INVESTMENT ADVISORS LLC,MCMURREY INVESTMENT ADVISORS LLC,600 TRAVIS STREET,SUITE 6475,HOUSTON,TX,UNITED STATES,77002-2906,713-238-3100,713-238-3150,,,,,,,Approved,6/25/2008,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"150,943,432.00",0,"150,943,432.00",93,0,93,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,135184,801-64584,"MCKINLEY CARTER WEALTH SERVICES, INC.","MCKINLEY CARTER WEALTH SERVICES, INC.",2100 MARKET STREET,,WHEELING,WV,USA,26003,304-230-2400,304-230-2401,,,,,,,Approved,8/4/2005,3/23/2010,Y,WWW.MC-WS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WV,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,650,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"342,740,738.00","35,692,954.00","378,433,692.00","1,816",19,"1,835",Y,Y,N,Y,Y,Y,N,N,N,Y,INVESTMENT CONSULTING,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109788,801-58243,CONTINENTAL ADVISORS LLC,CONTINENTAL ADVISORS LLC,"227 WEST MONROE STREET, SUITE 5050",,CHICAGO,IL,UNITED STATES,60606,312-377-3777,312-377-5028,,,,,,,Approved,12/29/2000,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"156,000,000.00",0,"156,000,000.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE COLLECTIVE INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150788,801-70646,"QUOVO, LLC","QUOVO, LLC",,,,,,,646-678-4331,917-720-9124,,,,,,,Approved,10/15/2009,3/23/2010,Y,WWW.QUOVO.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,Y,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,Y,PERSONALIZED INVESTMENT REPORTS AND RECOMMENDATIONS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,111739,801-60156,"EQUITY ADVISORS, INC.","EQUITY ADVISORS, INC.",4601 COLLEGE BOULEVARD SUITE 285,,LEAWOOD,KS,USA,66211-1678,913-491-3993,913-491-3996,,,,,,,Approved,4/19/2001,3/23/2010,Y,WWW.EQUITYADVISORSINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"42,021,851.00","42,021,851.00",0,88,88,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112172,801-60283,"RBO & CO, LLC","RBO & CO, LLC",1478 RAILROAD AVENUE,,ST. HELENA,CA,UNITED STATES,94574,707-963-1231,707-963-1647,P.O. BOX 306,,ST. HELENA,CA,UNITED STATES,94574,Approved,5/17/2001,3/23/2010,Y,WWW.RBOCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"181,732,388.00","168,885.00","181,901,273.00",126,1,127,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,151771,801-70748,"COLLEGE FUNDING GROUP, LLC","COLLEGE FUNDING GROUP, LLC",3761-A WESTERRE PARKWAY,,RICHMOND,VA,UNITED STATES,23233,804-855-2500,804-855-2502,,,,,,,Approved,11/6/2009,3/23/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,136615,801-65939,MT THALER INVESTMENT MANAGEMENT LLP,MT THALER INVESTMENT MANAGEMENT LLP,8 FREDERICK'S PLACE,,LONDON,,ENGLAND,EC2R 8HY,+44 20 7796 2462,+44 20 7796 2464,,,,,,,Approved,1/27/2006,1/24/2006,Y,WWW.MTTHALER.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"35,000,000.00",0,"35,000,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,130302,801-62767,"STUX CAPITAL MANAGEMENT, LLC","STUX CAPITAL MANAGEMENT, LLC",520 WEST END AVENUE,SUITE A,NEW YORK,NY,USA,10024,212-579-7388,212-579-5230,,,,,,,Approved,12/31/2003,3/17/2010,Y,WWW.STUX.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"452,684,830.00",0,"452,684,830.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110309,801-49640,MADDEN FUNDS MANAGEMENT,MADDEN FUNDS MANAGEMENT LTD.,1010 LAKE STREET SUITE 604,,OAK PARK,IL,UNITED STATES,60301,708-848-3200,708-848-9442,,,,,,,Approved,8/14/1995,3/23/2010,Y,WWW.MADDENFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"91,675,000.00",0,"91,675,000.00",130,0,130,Y,Y,N,Y,N,N,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,119278,801-60945,"HAMLIN CAPITAL MANAGEMENT, LLC","HAMLIN CAPITAL MANAGEMENT, LLC",477 MADISON AVENUE,STE. 520,NEW YORK,NY,UNITED STATES,10022,212.752.8777,212.752.5698,,,,,,,Approved,2/22/2002,3/23/2010,Y,WWW.HAMLINCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"743,801,000.00",0,"743,801,000.00",437,0,437,N,Y,N,Y,N,N,N,N,N,Y,UNREGISTERED INVESTMENT FUNDS,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,122166,801-61567,INVESTMENT MANAGEMENT GROUP,"STOCKMAN ASSET MANAGEMENT, INC.",2700 KING AVENUE WEST,,BILLINGS,MT,UNITED STATES,59102,406-655-3960,406-655-3969,P.O. BOX 80850,,BILLINSG,MT,UNITED STATES,59108-0850,Approved,11/8/2002,3/23/2010,Y,WWW.STOCKMANBANK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MT,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,11-25 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"61,431,211.00","1,403,560,852.00","1,464,992,063.00",209,208,417,N,Y,N,Y,Y,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137607,801-65895,"VERITY ADVISORS, LLC","VERITY ADVISORS, LLC",106 ALLEN RD,,BASKING RIDGE,NJ,USA,7920,908-647-1260,908-647-1294,,,,,,,Approved,1/24/2006,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"35,000,000.00",0,"35,000,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105712,801-29605,CAMBRIDGE FINANCIAL SERVICES INC,"CAMBRIDGE FINANCIAL SERVICES, INC.",83 MASON ST,,GREENWICH,CT,UNITED STATES,06830-5502,203-869-0033,203-869-7711,,,,,,,Approved,5/15/1987,3/23/2010,Y,WWW.CAMBRIDGEGROUP.NET,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"6,426,430.00","5,250,531,802.00","5,256,958,232.00",2,7,9,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,EMPLOYEE BENEFITS CONSULTING,N,,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
NYRO,132067,801-63271,ASCENSION ASSET MANAGEMENT LLC,ASCENSION ASSET MANAGEMENT LLC,"950 THIRD AVENUE, 28TH FLOOR",,NEW YORK,NY,UNITED STATES,10022-2705,212-935-0782,212-832-2823,,,,,,,Approved,6/23/2004,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"105,725,610.00","5,535,298.00","111,260,908.00",67,7,74,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,Y,OTHER INVESTMENT ADVISER,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109554,801-56590,WILLS FINANCIAL GROUP,"WILLS FINANCIAL GROUP, INC.",,,,,,,804-330-3100,804-330-3107,PO BOX 18338,,RICHMOND,VA,UNITED STATES,23226-8338,Approved,6/10/1999,3/23/2010,Y,WWW.WILLSFG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"92,124,890.00",0,"92,124,890.00",568,0,568,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,126735,801-63937,"BENEMARK, INC","BENEMARK, INC",929 KINGS HIGHWAY EAST,3RD FLOOR,FAIRFIELD,CT,UNITED STATES,6825,203-696-6171,203-332-4714,,,,,,,Approved,4/29/2005,3/23/2010,Y,WWW.BENEMARK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"84,953,209.00","84,953,209.00",0,142,142,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,137253,801-68123,TRUSTED FINANCIAL ADVISORS,MILLER GARY EDGAR,30101 TOWN CENTER DRIVE,SUITE 100,LAGUNA NIGUEL,CA,UNITED STATES,92677,949-249-2057,949-495-3867,,,,,,,Approved,7/10/2007,3/23/2010,Y,WWW.TRUSTEDFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"34,224,000.00","1,036,968.00","35,260,968.00",177,4,181,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,145179,801-68424,AUXANO ADVISORS,"AUXANO ADVISORS, LLC","401 PARKPLACE, SUITE 400",,KIRKLAND,WA,USA,98033,425-889-1261,425-828-6363,,,,,,,Approved,10/4/2007,3/23/2010,Y,WWW.AUXANOADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"162,441,000.00","4,755,000.00","167,196,000.00",654,5,659,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,147825,801-69607,ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC,ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC,600 WEST BROADWAY,SUITE 3400,SAN DIEGO,CA,UNITED STATES,92101,619-687-2799,619-687-2700,,,,,,,Approved,10/1/2008,3/23/2010,N,,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,RESEARCH AND CONSULTING SERVICES,Y,N,N,Y,N,N,N,,Y,"244,920,281.00",0,"244,920,281.00",8,0,8,N,N,Y,Y,N,N,N,N,N,Y,RESEARCH AND CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N
NYRO,120801,801-68905,"SHAPIRO FINANCIAL SECURITY GROUP, INC.","SHAPIRO FINANCIAL SECURITY GROUP, INC.",1 BETHANY ROAD,"BUILDING 6, SUITE 90",HAZLET,NJ,UNITED STATES,7730,732-739-8991,732-739-8667,,,,,,,Approved,3/3/2008,3/23/2010,Y,WWW.SHAPIROFSG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"40,000,000.00","40,000,000.00",0,97,97,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,151692,801-70734,"JEMSTEP, INC.","JEMSTEP, INC.",,,,,,,650-948-4784,650-472-9144,PO BOX 387,,LOS ALTOS,CA,UNITED STATES,94022-0387,Approved,10/30/2009,3/23/2010,Y,HTTP://WWW.JEMSTEP.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,WEBSITE ADVERTISING,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,WEBSITE PROVIDES RANKINGS FOR MUTUAL FUNDS AS WELL AS OTHER FINANCIAL PRODUCTS BASED UPON CLIENT SPECIFICATIONS.,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,7071,801-11370,"GARRETT NAGLE & CO., INC.","GARRETT NAGLE & CO., INC.",300 UNICORN PARK DRIVE,,WOBURN,MA,UNITED STATES,1801,617-737-9090,781-939-0411,,,,,,,Approved,2/25/1976,3/23/2010,Y,GARRETTNAGLE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,0 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"89,935,491.00","3,345,372.00","93,280,863.00",210,3,213,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,Y,N,Y,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,46727,801-62731,"ADVISORS ASSET MANAGEMENT, INC.","ADVISORS ASSET MANAGEMENT, INC.",18925 BASE CAMP ROAD,SUITE 203,MONUMENT,CO,UNITED STATES,80132,719-488-9956,719-488-4215,,,,,,,Approved,2/6/2004,3/23/2010,Y,WWW.AAM.US.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,51-250,0,10-Jun,0,251-500,0,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,More than 75 percent,BROKER-DEALERS & INVESTMENT ADVISERS,Y,N,N,N,N,Y,N,,Y,"261,850,256.00",0,"261,850,256.00",288,0,288,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,Y,N,N,N,N,N,N,,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,125882,801-64228,STRATEGIC WEALTH MANAGEMENT GROUP,STRATEGIC ADVISORS LLC,250 WEST 57TH STREET,SUITE 2322,NEW YORK,NY,UNITED STATES,10107,212-489-0100,212-489-0174,250 WEST 57TH STREET,SUITE 2322,NEW YORK,NY,UNITED STATES,10107,Approved,5/16/2005,3/23/2010,Y,WWW.SWMGRP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"135,235,387.00",0,"135,235,387.00",383,0,383,N,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N
CHRO,125531,801-61856,GRANT KOEHLER & LEVIN LTD.,GRANT KOEHLER & LEVIN LTD.,,,,,,,262-242-3770,262-242-3797,,,,,,,Approved,3/18/2003,3/23/2010,Y,WWW.DOLLARSATWORK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"104,951,942.00","3,632,381.00","108,584,323.00",169,3,172,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110354,801-11728,WESTWOOD MANAGEMENT CORPORATION,WESTWOOD MANAGEMENT CORPORATION,208 S LASALLE ST,STE 1698,CHICAGO,IL,UNITED STATES,60604,312-236-3336,312-236-9669,,,,,,,Approved,6/18/1976,3/23/2010,Y,WWW.WESTWOOD-MANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"403,056,838.00","11,591,535.00","414,648,373.00",110,6,116,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108049,801-57798,ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC,ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC,1345 AVENUE OF THE AMERICAS,4TH FLOOR,NEW YORK,NY,UNITED STATES,10105-4800,(212)739-3000,(212)739-3948,680 NEWPORT CENTER DRIVE,SUITE 250,NEWPORT BEACH,CA,UNITED STATES,92660,Approved,7/27/2000,3/23/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,0,0,10-Jun,0,0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"40,980,312,082.00",0,"40,980,312,082.00",78,0,78,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N
CHRO,115095,801-64055,"TRUSTED FINANCIAL PARTNERS, LLC","TRUSTED FINANCIAL PARTNERS, LLC","301 CARLSON PARKWAY, SUITE 103",,MINNETONKA,MN,UNITED STATES,55305,952-893-9012,952-893-9036,,,,,,,Approved,3/11/2005,3/23/2010,Y,WWW.CHERRYTREE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"82,321,705.00",0,"82,321,705.00",250,0,250,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105582,801-18286,SOUTHERN CAPITAL SERVICES INC,SOUTHERN CAPITAL SERVICES INC,THE SUMMIT 29000 HWY 98,BLDG B SUITE 203,DAPHNE,AL,UNITED STATES,36526,251-626-1140,251-626-3257,,,,,,,Approved,1/31/1983,3/23/2010,Y,WWW.SOUTHERNCAPITALSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"63,313,524.00",0,"63,313,524.00",472,0,472,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,147754,801-69395,"HOURGLASS CAPITAL, LLC","HOURGLASS CAPITAL, LLC",4409 MONTROSE BLVD,SUITE 100,HOUSTON,TX,UNITED STATES,77006,713-936-0440,713-936-0441,,,,,,,Approved,8/4/2008,3/23/2010,Y,WWW.HOURGLASSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"470,667,985.00","19,708,372.00","490,376,357.00",311,33,344,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105624,801-23954,FAIRLANE INVESTMENT ADVISORS INC,FAIRLANE INVESTMENT ADVISORS INC,"3 PARKLANE BLVD., SUITE 104 WEST",,DEARBORN,MI,UNITED STATES,48126-4237,313-593-3925,313-593-1828,,,,,,,Approved,4/8/1985,3/23/2010,Y,WWW.FIAI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,51-250,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,PROFESSIONAL ASSOCIATION,Y,N,N,N,N,N,N,,Y,"122,022,868.00",0,"122,022,868.00","1,066",0,"1,066",Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110258,801-31445,HARVEST INVESTMENT CONSULTANTS LLC,HARVEST INVESTMENT CONSULTANTS LLC,2345 YORK ROAD,,TIMONIUM,MD,UNITED STATES,21093,410-561-9040,410-560-0954,,,,,,,Approved,2/19/1988,3/23/2010,Y,WWW.HARVESTINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,More than 500,"1,000",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"185,695,108.00","58,122,952.00","243,818,060.00","1,095",10,"1,105",Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,105032,801-33557,"HARBOR FINANCIAL GROUP, INC.",FOSTER ELYSE DOLPH,"1909 26TH STREET, SUITE 1A",,BOULDER,CO,UNITED STATES,80302,303-939-8788,303-541-1059,,,,,,,Approved,12/15/1988,3/23/2010,Y,WWW.HARBORFIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"67,317,000.00","120,000.00","67,437,000.00",349,4,353,Y,Y,N,N,N,Y,Y,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,148217,801-69568,"KNELMAN ASSET MANAGEMENT GROUP, LLC","KNELMAN ASSET MANAGEMENT GROUP, LLC",225 SOUTH SIXTH STREET,SUITE 3390,MINNEAPOLIS,MN,UNITED STATES,55402,612-341-8197,612-341-8226,,,,,,,Approved,9/10/2008,5/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,51-75 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"101,900,000.00",0,"101,900,000.00",37,0,37,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105435,801-11335,"NORTHERN OAK CAPITAL MANAGEMENT, INC.","NORTHERN OAK CAPITAL MANAGEMENT, INC.",250 EAST WISCONSIN AVE,SUITE 1200,MILWAUKEE,WI,USA,53202,414-278-0590,414-278-1294,,,,,,,Approved,2/13/1976,7/13/2010,Y,NORTHERN-OAK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"268,421,647.00","1,740,308.00","270,161,955.00",429,1,430,N,Y,N,Y,N,N,N,N,N,Y,OCCASSIONAL CONSULTING SERVICES WITH RESPECT TO SECURITIES,,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,133370,801-63656,"LEGG MASON INVESTMENT COUNSEL, LLC","LEGG MASON INVESTMENT COUNSEL, LLC",100 INTERNATIONAL DRIVE,5TH FLOOR,BALTIMORE,MD,UNITED STATES,21202,410-539-0000,410-454-4408,,,,,,,Approved,11/24/2004,7/13/2010,Y,WWW.LMICUS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,5-Jan,0,More than 500,"2,500",11-25 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"5,964,790,981.00","425,588,182.00","6,390,379,163.00","2,268",198,"2,466",Y,Y,Y,Y,N,Y,N,N,N,N,,25-Nov,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150506,801-70886,"SAWTOOTH ASSET MANAGEMENT, INC.","SAWTOOTH ASSET MANAGEMENT, INC.",7400 METRO BLVD.,SUITE 219,EDINA,MN,UNITED STATES,55439,952-831-0039,952-831-0279,,,,,,,Approved,12/17/2009,7/13/2010,Y,WWW.SAWTOOTHAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"38,488,407.00",0,"38,488,407.00",366,0,366,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106520,801-40161,INVERNESS COUNSEL INC,INVERNESS COUNSEL INC,845 THIRD AVENUE,,NEW YORK,NY,UNITED STATES,10022,212-207-2100,212-207-2165,,,,,,,Approved,11/13/1991,7/13/2010,Y,WWW.INVERNESSCOUNSEL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,773,190,329.00","443,297,582.00","2,216,487,911.00",894,223,"1,117",Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,126876,801-67020,"INVIEW INVESTMENT MANAGEMENT, LLC","INVIEW INVESTMENT MANAGEMENT, LLC",205 NORTH MICHIGAN AVENUE,SUITE 2550,CHICAGO,IL,UNITED STATES,60601,312-630-3470,312-630-3479,,,,,,,Approved,7/14/2006,7/13/2010,Y,WWW.INVIEWIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,,Y,N,N,N,N,N,Y,MODEL PORTFOLIO FEES,Y,"278,945,789.00","1,534,673.00","280,480,462.00",17,1,18,N,Y,N,Y,N,N,N,N,N,Y,MODEL PORTFOLIO SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106699,801-53542,HARTFORD INVESTMENT MANAGEMENT COMPANY,HARTFORD INVESTMENT MANAGEMENT COMPANY,55 FARMINGTON AVENUE,,HARTFORD,CT,UNITED STATES,6105,860-297-6464,860-297-8892,,,,,,,Approved,12/31/1996,7/13/2010,Y,WWW.HIMCO.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,251-500,0,51-250,0,Nov-50,0,0,0,101-250,0,0 percent,Up to 10 percent,0 percent,26-50 percent,Up to 10 percent,11-25 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,Y,COST REIMBURSEMENT; ORIGINATION FEES,Y,"143,706,236,110.00","283,150,913.00","143,989,387,023.00",260,4,264,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,Y,N,N,Y,Y
NYRO,142560,801-68257,"MARKETFIELD ASSET MANAGEMENT, LLC","MARKETFIELD ASSET MANAGEMENT, LLC",292 MADISON AVENUE,14TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-747-2350,212-747-2351,,,,,,,Approved,8/29/2007,7/13/2010,Y,WWW.MARKETFIELD.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"377,295,622.00",0,"377,295,622.00",3,0,3,N,N,Y,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
FWRO,142435,801-67317,"CACH CAPITAL MANAGEMENT, LLC","CACH CAPITAL MANAGEMENT, LLC",11719 BEE CAVES ROAD,SUITE 300,AUSTIN,TX,UNITED STATES,78738,512-377-6565,512-377-6579,,,,,,,Approved,11/16/2006,7/13/2010,Y,WWW.CACHCAPITAL.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"34,895,712.00","66,171,300.00","101,067,012.00",196,4,200,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,152664,801-70997,"WEALTH PLANNING CONCEPTS, LLC","WEALTH PLANNING CONCEPTS, LLC",15245 SHADY GROVE RD,SUITE 355 SOUTH,ROCKVILLE,MD,UNITED STATES,20850,240-386-8413,240-386-8418,,,,,,,Approved,1/21/2010,7/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"32,500,000.00",0,"32,500,000.00",180,0,180,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107173,801-20303,RBC GLOBAL ASSET MANAGEMENT (U.S.) INC.,RBC GLOBAL ASSET MANAGEMENT (U.S.) INC.,100 SOUTH FIFTH STREET,SUITE 2300,MINNEAPOLIS,MN,UNITED STATES,55402-1240,612-376-7000,612-376-7157,,,,,,,Approved,12/27/1983,7/13/2010,Y,WWW.RBCGAM.US,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,10-Jun,0,More than 500,"1,000",51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"40,429,417,900.00","20,284,755.00","40,449,702,655.00",689,3,692,N,Y,Y,Y,N,Y,N,N,N,Y,INVESTMENT MANAGEMENT THROUGH SPONSORED WRAP PROGRAMS.,0,,N,Y,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108518,801-54641,SNYDER CAPITAL MANAGEMENT LP,SNYDER CAPITAL MANAGEMENT LP,ONE MARKET PLAZA,"STEUART TOWER, SUITE 1200",SAN FRANCISCO,CA,USA,94105,415-392-3900,415-391-9437,,,,,,,Approved,7/3/1997,7/13/2010,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,11-25 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,NATIVE AMERICAN SOVEREIGN NATION,Y,N,N,N,N,N,N,,Y,"1,918,007,942.00",0,"1,918,007,942.00",82,0,82,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,140166,801-70582,ALAMO ASSET ADVISORS,"E & C PRIVATE WEALTH MANAGEMENT, INC.","16500 SAN PEDRO, SUITE 410",,SAN ANTONIO,TX,UNITED STATES,78232,210-930-9000,210-496-9020,,,,,,,Approved,9/18/2009,7/13/2010,Y,WWW.PWMSATX.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"37,000,000.00",0,"37,000,000.00",300,0,300,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
NYRO,105079,801-33707,RYAN LABS ASSET MANAGEMENT,"RYAB LABS, INC.",88 PINE ST 32ND FL,,NEW YORK,NY,UNITED STATES,10005,212-635-2300,646-349-1524,,,,,,,Approved,2/17/1989,7/13/2010,Y,WWW.RYANLABS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"3,048,414,287.00",0,"3,048,414,287.00",95,0,95,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153744,801-71403,"RED OPTION ADVISORS, INC.","RED OPTION ADVISORS, INC.","600 WEST CHICAGO AVENUE, SUITE 100",,CHICAGO,IL,UNITED STATES,60654,877-733-6786,312-212-5869,,,,,,,120-Day Approval,5/12/2010,7/13/2010,Y,WWW.REDOPTION.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,Y,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,134415,801-64019,"COGENT ASSET MANAGEMENT, LLC.","COGENT ASSET MANAGEMENT, LLC",626 RXR PLAZA,,UNIONDALE,NY,UNITED STATES,11556,516-621-6105,516-621-6107,,,,,,,Approved,3/7/2005,7/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"130,600,000.00",0,"130,600,000.00",3,0,3,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108113,801-56622,USI ADVISORS,"USI ADVISORS, INC.",95 GLASTONBURY BLVD.,,GLASTONBURY,CT,UNITED STATES,6033,860-633-5283,860-368-2110,,,,,,,Approved,6/18/1999,7/13/2010,Y,WWW.USICG.COM/IAS-INDEX.ASP,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"1,964,701,318.00","1,964,701,318.00",0,152,152,N,N,N,Y,Y,Y,N,N,N,Y,SEMINARS AND CONSULTATIONS,,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,Y
BRO,134852,801-69068,"SANKATY ADVISORS, LLC","SANKATY ADVISORS, LLC",111 HUNTINGTON AVENUE,,BOSTON,MA,UNITED STATES,2199,617-516-2318,617-516-2319,,,,,,,Approved,4/17/2008,7/13/2010,Y,WWW.SANKATY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,SOVEREIGN FUND,Y,N,N,N,N,N,Y,GENERAL PARTNER PROFITS ALLOCATION,Y,"20,066,000,000.00",0,"20,066,000,000.00",25,0,25,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,145650,801-69070,"BROOKSIDE CAPITAL, LLC","BROOKSIDE CAPITAL, LLC",111 HUNTINGTON AVENUE,,BOSTON,MA,UNITED STATES,2199,617-516-2318,617-516-2319,,,,,,,Approved,4/10/2008,7/13/2010,Y,WWW.BROOKSIDEFUND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,GENERAL PARTNER PROFITS ALLOCATION,Y,"10,386,000,000.00",0,"10,386,000,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,3641,801-56942,"FIRST COMMAND FINANCIAL PLANNING, INC.","FIRST COMMAND FINANCIAL PLANNING, INC.",1 FIRSTCOMM PLAZA,,FT WORTH,TX,USA,76109-4978,817-731-8621,817-569-2399,PO BOX 2387,,FORT WORTH,TX,USA,76113-2387,Approved,7/28/2005,7/13/2010,Y,WWW.FIRSTCOMMAND.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,More than 1000,"1,000",501-1000,0,501-1000,0,5-Jan,0,More than 500,"13,000",More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,DISTRIBUTION AND REVENUE SHARING AGREEMENTS WITH MUTUAL FUND COS,Y,"3,100,000,000.00",0,"3,100,000,000.00","26,000",0,"26,000",Y,Y,N,N,N,N,N,N,N,N,,More than 500,26000,N,N,Y,N,N,N,N,N,N,,N,N,Y,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N
BRO,145647,801-69072,"ABSOLUTE RETURN CAPITAL, LLC","ABSOLUTE RETURN CAPITAL, LLC",111 HUNTINGTON AVENUE,,BOSTON,MA,UNITED STATES,2199,617-516-2318,617-516-2319,,,,,,,Approved,4/10/2008,7/13/2010,Y,WWW.ABSOLUTERETURNINVESTOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,GENERAL PARTNER PROFITS ALLOCATION,Y,"723,000,000.00",0,"723,000,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,113621,801-62795,PARTNERVEST ADVISORY SERVICES LLC,PARTNERVEST ADVISORY SERVICES LLC,1216 STATE STREET,3RD FL,SANTA BARBARA,CA,UNITED STATES,93101,805-966-1266,805-966-1299,P.O. BOX 1902,,SANTA BARBARA,CA,UNITED STATES,93102,Approved,2/12/2004,7/13/2010,Y,WWW.PARTNERVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,5-Jan,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"264,125,126.00","869,484.00","264,994,610.00","1,822",4,"1,826",Y,Y,N,Y,Y,Y,N,N,N,Y,ADVICE IN CONNECTION WITH WEALTH MANAGEMENT E.G. BUSINESS AND LIFE PLANNING AND ESTATE GUIDANCE,26-50,,Y,Y,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,148242,801-69552,"WESPAC ADVISORS, LLC","WESPAC ADVISORS, LLC",2001 BROADWAY,2ND FLOOR,OAKLAND,CA,USA,94612,510-287-5255,510-287-5282,,,,,,,Approved,9/24/2008,7/13/2010,Y,WWW.WESPAC.NET,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,Nov-50,0,More than 500,"1,000",26-50 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"288,280,000.00",0,"288,280,000.00",718,0,718,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138921,801-65699,BINJAI HILL ASSET MANAGEMENT PTE LTD.,BINJAI HILL ASSET MANAGEMENT PTE LTD.,77A AMOY STREET,,SINGAPORE,,SINGAPORE,69896,65 6438 4158,65 6438 4156,,,,,,,Approved,2/1/2006,7/13/2010,Y,WWW.BINJAIHILL.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Partnership,,,SINGAPORE,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,11-25 percent,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"19,825,136.00",0,"19,825,136.00",22,0,22,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,112324,801-60203,ASSET MANAGEMENT GROUP OF BANK OF HAWAII,BANK OF HAWAII,"130 MERCHANT STREET, SUITE 370",,HONOLULU,HI,UNITED STATES,96813,808-694-4758,808-694-4329,P.O. BOX 3170,,HONOLULU,HI,UNITED STATES,96802-3170,Approved,4/20/2001,7/13/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),"SIDD OF BANK OF HAWAII, A CORPORATION",HI,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,326,503,359.00",0,"2,326,503,359.00",6,0,6,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,Y,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112865,801-49411,POLYNOUS CAPITAL MANAGEMENT INC,POLYNOUS CAPITAL MANAGEMENT INC,1 PINE STREET,SUITE 2208,SAN FRANCISCO,CA,USA,94111,415-956-3384,415-956-3397,,,,,,,Approved,6/19/1995,3/22/2007,Y,WWW.POLYNOUS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"12,451,481.00",0,"12,451,481.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152689,801-71111,"FLYNN ZITO CAPITAL MANAGEMENT, LLC","FLYNN ZITO CAPITAL MANAGEMENT, LLC",300 GARDEN CITY PLAZA,SUITE 226,GARDEN CITY,NY,UNITED STATES,11530,(516) 746-9000,(516) 746-0300,,,,,,,Approved,2/22/2010,4/23/2010,Y,FLYNNZITO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"83,887,752.00",0,"83,887,752.00",299,0,299,Y,Y,N,Y,Y,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,153546,801-71399,LINDE EQUITY,LINDE EQUITY INC.,,,,,,,604-738-5600,604-648-8260,,,,,,,Approved,4/29/2010,4/23/2010,Y,WWW.LINDEEQUITY.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,Y,N,N,N,N,,Y,"6,779,911.00","26,420,695.00","33,200,606.00",30,63,93,N,Y,N,N,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106119,801-43340,"POINT VIEW FINANCIAL SERVICES,INC.",POINT VIEW FINANCIAL SERVICES INC,382 SPRINGFIELD AVENUE,SUITE 208,SUMMIT,NJ,UNITED STATES,07901-2707,908-598-1717,419-844-0922,,,,,,,Approved,2/17/1993,4/26/2010,Y,HTTP://WWW.PTVIEW.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"99,244,727.00",0,"99,244,727.00",322,0,322,Y,Y,N,N,N,N,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,61,801-19699,B. C. ZIEGLER AND COMPANY,B. C. ZIEGLER AND COMPANY,200 SOUTH WACKER DRIVE,SUITE 2000,CHICAGO,IL,UNITED STATES,60606,312/263-0110,312/596-1694,,,,,,,Approved,9/6/1983,4/26/2010,Y,WWW.ZIEGLER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,251-500,0,51-250,0,51-250,0,5-Jan,0,More than 500,807,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,NON-PROFIT,Y,N,N,Y,N,N,N,,Y,"263,131,100.00",0,"263,131,100.00","1,048",0,"1,048",Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,Y,N,Y,N,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N
NYRO,118968,801-60898,"STEINBERG ASSET MANAGEMENT, LLC","STEINBERG ASSET MANAGEMENT, LLC",12 EAST 49TH STREET,,NEW YORK,NY,UNITED STATES,10017,212-980-0080,212-980-8890,,,,,,,Approved,1/1/2002,4/26/2010,Y,WWW.SAMNY.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,FOREIGN GOVERNMENTAL AGENCY AND ENDOWMENTS,Y,N,N,N,N,Y,N,,Y,"2,330,714,084.00",0,"2,330,714,084.00",465,0,465,N,Y,Y,Y,N,N,N,N,N,Y,REGISTRANT PROVIDES PORTFOLIO MANAGEMENT SERVICES TO UNREGISTERED POOLED INVESTMENT VEHICLES,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
DRO,118828,801-61755,"FOY FINANCIAL SERVICES, INC.","FOY FINANCIAL SERVICES, INC.",,,,,,,402-483-2004,402-488-9658,,,,,,,Approved,1/29/2003,4/26/2010,Y,WWW.SELECTORONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,10-Jun,0,More than 500,700,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"88,563,931.00",0,"88,563,931.00","1,494",0,"1,494",Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,152965,801-71137,"BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC","BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC",7475 WISCONSIN AVENUE,SUITE 600,BETHESDA,MD,UNITED STATES,20814,301-656-1200,301-656-1771,,,,,,,Approved,2/23/2010,4/26/2010,Y,WWW.BRIDGEWATERWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"173,200,000.00","173,200,000.00",0,578,578,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,111900,801-60152,NORTHERN TRUST GLOBAL INVESTMENTS LTD,NORTHERN TRUST GLOBAL INVESTMENTS LTD,50 BANK STREET,CANARY WHARF,LONDON,,UNITED KINGDOM,E145NT,011-44-(0) 207-982-2000,011-44-(0) 207-982-5443,,,,,,,Approved,4/4/2001,4/26/2010,Y,WWW.NORTHERNTRUST.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),UK COMPANY WITH LIMITED LIABILITY,,UNITED KINGDOM,51-250,0,Nov-50,0,0,0,Nov-50,0,26-100,0,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,FOREIGN SOVREIGN GOVERNMENT ENTITIES,Y,N,N,Y,Y,N,N,,Y,"76,227,192,232.00",0,"76,227,192,232.00",75,0,75,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,119560,801-67419,CORNERSTONE WEALTH MANAGEMENT LLC,CORNERSTONE WEALTH MANAGEMENT LLC,"262 BEACON ST., 6TH FLOOR",,BOSTON,MA,USA,2116,617-536-2040,617-536-2042,,,,,,,Approved,1/3/2007,4/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"44,090,823.00",0,"44,090,823.00",83,0,83,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT ADVISORY CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,138851,801-65231,"BOSSHARD INVESTMENT MANAGEMENT CO., LLC","BOSSHARD INVESTMENT MANAGEMENT CO., LLC",130 SPRINGSIDE DRIVE,SUITE 210,AKRON,OH,UNITED STATES,44333,330-666-6886,330-666-6880,,,,,,,Approved,1/19/2006,4/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"78,291,805.00",0,"78,291,805.00",77,0,77,N,Y,N,Y,N,N,N,N,N,Y,CONSULTATION SERVICES,0,,N,N,N,Y,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,132796,801-63714,EDINBURGH PARTNERS LIMITED,EDINBURGH PARTNERS LIMITED,12 CHARLOTTE SQUARE,,"EDINBURGH, MIDLOTHIAN",,UNITED KINGDOM,EH2 4DJ,44-131-272-3800,44-131-272-3802,,,,,,,Approved,1/3/2005,4/26/2010,Y,WWW.EDINBURGHPARTNERS.CO.UK,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,51-250,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,Up to 10 percent,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"10,902,188,023.00",0,"10,902,188,023.00",36,0,36,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,111049,801-20028,SOVEREIGN ADVISERS,SOVEREIGN HOLDINGS LLC,3440 TORINGDON WAY,SUITE 308,CHARLOTTE,NC,UNITED STATES,28277-3279,704-366-1091,704-366-9679,,,,,,,Approved,10/21/1983,4/26/2010,Y,WWW.SOVEREIGNADVISERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,10-Jun,0,5-Jan,0,0,0,Nov-50,0,More than 500,"1,000",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"651,638,738.00","36,279,567.00","687,918,305.00",527,16,543,N,Y,N,Y,N,N,Y,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111335,801-60111,"COHO PARTNERS, LTD.","COHO PARTNERS, LTD.",300 BERWYN PARK,"801 CASSATT ROAD, SUITE 100",BERWYN,PA,UNITED STATES,19312,484-318-7575,484-318-7576,,,,,,,Approved,3/30/2001,4/26/2010,Y,WWW.COHOPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,FOUNDATIONS & ENDOWMENTS,Y,N,N,N,N,N,N,,Y,"337,785,781.00",0,"337,785,781.00",229,0,229,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,106363,801-41282,MONEY STRATEGIES INC,MONEY STRATEGIES INC,7145 TURNER ROAD,SUITE 102,ROCKLEDGE,FL,UNITED STATES,32955,321-723-0101,321-255-5992,,,,,,,Approved,4/7/1992,4/26/2010,Y,WWW.MONEYSTRATEGIESINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,Y,N,N,Y,N,,Y,"15,000,000.00","15,000,000.00","30,000,000.00",80,205,285,Y,Y,N,N,N,N,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,3989,801-57963,"ING INVESTMENT ADVISORS, LLC","ING INVESTMENT ADVISORS, LLC",400 ATRIUM DRIVE,,SOMERSET,NJ,UNITED STATES,08873-4172,732-514-2000,732-514-2468,1 HERITAGE DRIVE,,QUINCY,MA,UNITED STATES,2171,Approved,9/25/2000,4/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,51-250,0,Nov-50,0,51-250,0,0,0,More than 500,"329,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,624,571,076.00",0,"1,624,571,076.00","31,488",0,"31,488",N,Y,N,N,N,N,N,N,N,N,,,,N,N,Y,N,N,N,Y,N,N,,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145216,801-71321,WINTHROP CAPITAL MANAGEMENT,"WINTHROP CAPITAL MANAGEMENT, LLC",50 EAST 91ST STREET,SUITE 210,INDIANAPOLIS,IN,UNITED STATES,46240,317-663-7500,317-663-7501,,,,,,,Approved,4/30/2010,4/26/2010,Y,WWW.WINTHROPCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"31,256,129.00",0,"31,256,129.00",73,0,73,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,152628,801-71080,"CLIENTFIRST FINANCIAL STRATEGIES, INC.","CLIENTFIRST FINANCIAL STRATEGIES, INC.",3033 KETTERING BLVD.,SUITE 326,DAYTON,OH,UNITED STATES,45439,(937) 293-5500,(937) 293-4317,,,,,,,Approved,2/18/2010,4/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"107,500,508.00","25,632,825.00","133,133,333.00",470,163,633,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,112849,801-28526,SAWYER & CO INC,SAWYER & CO INC,50 CONGRESS STREET,,BOSTON,MA,UNITED STATES,2109,617-227-7033,617-227-4754,,,,,,,Approved,12/12/1986,4/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"105,897,357.00",0,"105,897,357.00",173,0,173,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108051,801-57568,BUFORD DICKSON HARPER & SPARROW INC,BUFORD DICKSON HARPER & SPARROW INC,211 N. BROADWAY SUITE 2080,,ST. LOUIS,MO,UNITED STATES,63102,314-725-5445,314-621-5905,,,,,,,Approved,5/18/2000,4/26/2010,Y,WWW.BDHSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,Up to 10 percent,0 percent,Up to 10 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,"ENDOWMENT, FOUNDATION, UNION",Y,N,N,N,N,Y,N,,Y,"108,000,000.00",0,"108,000,000.00",15,0,15,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,104698,801-35777,GW CAPITAL INC,GW CAPITAL INC,"10900 NE 8TH STREET, SUITE 1010",,BELLEVUE,WA,USA,98004,425-455-4551,425-455-4662,,,,,,,Approved,12/29/1989,4/16/2010,Y,WWW.GWCAPITALINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,WRAP,Y,N,N,N,N,N,N,,Y,"1,334,299,000.00",0,"1,334,299,000.00",86,0,86,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138783,801-66817,EDEN ROCK CAPITAL MANAGEMENT,EDEN ROCK CAPITAL MANAGEMENT LLP,50 CURZON STREET,,LONDON,,UNITED KINGDOM,W1J 7UW,+44 207 079 1600,+44 207 079 1601,,,,,,,Approved,6/22/2006,4/16/2010,Y,WWW.EDENROCKCM.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"350,048,644.00",0,"350,048,644.00",12,0,12,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES FOR HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138772,801-66818,SOLID ROCK MANAGEMENT LIMITED,SOLID ROCK MANAGEMENT LIMITED,NERINE CHAMBERS,"QUASTISKY BUILDING, 3RD FLOOR","ROAD TOWN, TORTOLA",,BRITISH VIRGIN ISLANDS,,+441 284 494 8790,+441 284 494 8791,,,,,,,Approved,6/22/2006,4/16/2010,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,BRITISH VIRGIN ISLANDS,5-Jan,0,5-Jan,0,0,0,Nov-50,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"314,161,343.00",0,"314,161,343.00",11,0,11,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135781,801-64714,"RYAN ALM ADVISERS, LLC","RYAN ALM ADVISERS, LLC",60 E 42ND ST,STE 2515,NEW YORK,NY,UNITED STATES,10165,212-922-1009,212-922-9110,,,,,,,Approved,9/15/2005,4/16/2010,Y,WWW.RYANALM.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,0,"415,000,000.00","415,000,000.00",0,9,9,N,N,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,110364,801-37728,OMNI INVESTMENT ADVISORS INC,OMNI INVESTMENT ADVISORS INC,150 W CIVIC CENTER DRIVE,SUITE 103,SANDY,UT,UNITED STATES,84070,801-501-0302,801-501-0313,,,,,,,Approved,11/15/1990,4/16/2010,Y,NONE,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,Y,RETAINER,Y,"67,390,722.00","10,196,033.00","77,586,755.00",228,126,354,Y,Y,N,N,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N
SFRO,107985,801-55480,JAMES H. DENNING,DENNING JAMES HARLAN,,,,,,,208-772-0232,208-772-0382,,,,,,,Approved,5/4/1998,4/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,ID,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"67,268,384.00",0,"67,268,384.00",114,0,114,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138338,801-65027,"MITTLEMAN INVESTMENT MANAGEMENT, LLC","MITTLEMAN INVESTMENT MANAGEMENT, LLC",,,,,,,516-708-4759,212-605-0558,575 MADISON AVE. 10TH FLOOR,,NEW YORK,NY,UNITED STATES,10022,Approved,12/16/2005,4/16/2010,Y,WWW.MITTLEMANBROTHERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"40,805,521.00","66,313.00","40,871,834.00",172,3,175,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,153372,801-71371,"SIMPLE ALTERNATIVES, LLC","SIMPLE ALTERNATIVES, LLC",25 BURTIS AVENUE,,NEW CANAAN,CT,UNITED STATES,6840,203-594-1551,203-594-1552,,,,,,,120-Day Approval,4/26/2010,4/16/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,PROPOSED PORTFOLIO MANAGEMENT FOR INVESTMENT COMPANIES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,24750,801-61795,DU PASQUIER ASSET MANAGEMENT,"DUPASQUIER & CO., INC.",ONE BATTERY PARK PLAZA,,NEW YORK,NY,UNITED STATES,10004,212-624-1001,212-624-1233,,,,,,,Approved,2/27/2003,4/16/2010,Y,WWW.DUPASCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"35,024,236.00","898,317.00","35,922,553.00",161,3,164,N,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,Y,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
FWRO,130914,801-63009,"IMS FINANCIAL ADVISORS, INC.","IMS FINANCIAL ADVISORS, INC.",WEST8 TOWER,"10205 WESTHEIMER, SUITE 500",HOUSTON,TX,UNITED STATES,77042,713-266-2993,713-266-2997,WEST8 TOWER,"10205 WESTHEIMER, SUITE 500",HOUSTON,TX,UNITED STATES,77042,Approved,4/28/2004,4/16/2010,Y,IMS-SECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"1,500",26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"58,001,714.00","8,953,049.00","66,954,763.00",536,40,576,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,Y,Y,Y,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108341,801-43581,CULBERTSON A N & CO INC,CULBERTSON A N & CO INC,ONE BOARS HEAD POINTE,SUITE 101,CHARLOTTESVILLE,VA,USA,22903-4612,434-972-7766,434-984-8307,,,,,,,Approved,4/8/1993,4/16/2010,Y,WWW.ANCULBERTSON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"166,439,364.00","10,404,853.00","176,844,217.00",747,5,752,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137407,801-65492,VICTOIRE FINANCE CAPITAL LLC,VICTOIRE FINANCE CAPITAL LLC,598 MADISON AVENUE,9TH FLOOR,NEW YORK,NY,USA,10022,212-752-9880,212-752-7690,,,,,,,Approved,1/23/2006,4/16/2010,Y,WWW.VICTOIRECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"41,000,000.00",0,"41,000,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGER FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,150390,801-70209,KENDALL SQUARE CAPITAL LLC,KENDALL SQUARE CAPITAL LLC,235 MONTGOMERY ST.,SUITE 669,SAN FRANCISCO,CA,UNITED STATES,94104,415-391-1540,415-391-1477,,,,,,,Approved,6/22/2009,4/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"81,518,689.00",0,"81,518,689.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER TO PRIVATE POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,134556,801-64225,"PROPHECY ASSET MANAGEMENT, INC","PROPHECY ASSET MANAGEMENT, INC",641 LEXINGTON AVENUE,14TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212.328.9565,212.659.0103,,,,,,,Approved,6/7/2005,4/16/2010,Y,WWW.PROPHECYFUND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,Up to 10 percent,11-25 percent,0 percent,26-50 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"21,000,000.00","17,000,000.00","38,000,000.00",2,3,5,N,Y,Y,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,144125,801-67956,"HERITAGE ASSET ADVISORS LTD., LLP","HERITAGE ASSET ADVISORS LTD., LLP","1155 DAIRY ASHFORD, SUITE 120",,HOUSTON,TX,UNITED STATES,77079,281.966.3370,281.966.3371,,,,,,,Approved,6/6/2007,4/16/2010,Y,WWW.HERITAGEASSETADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"131,137,756.00","9,100,568.00","140,238,324.00",724,44,768,Y,Y,N,Y,N,N,N,N,N,N,,0,,Y,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110073,801-26994,DELAROCHE & CO INC,DELAROCHE & CO INC,"3715 MARKET STREET, SUITE 112",,GLENDALE,CA,USA,91208,818-957-3157,818-957-3128,,,,,,,Approved,5/2/1986,4/16/2010,Y,WWW.DELAROCHE.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"103,000,000.00",0,"103,000,000.00",19,0,19,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,152613,801-71076,"OAKSTREET WEALTH MANAGEMENT, INC.","OAKSTREET WEALTH MANAGEMENT, INC.",3131 SOUTH DIXIE DRIVE,SUITE 414,DAYTON,OH,UNITED STATES,45429-2287,937-294-4200,937-299-4317,,,,,,,Approved,2/4/2010,4/16/2010,Y,WWW.OAKSTREETWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,0,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"177,323,788.00","46,258,092.00","223,581,880.00","1,241",229,"1,470",Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124310,801-66557,FINANCIAL MANAGEMENT ASSOCIATES,"KLEGON, KENNETH LOUIS",2211 ASSOCIATION DRIVE,SUITE 200,OKEMOS,MI,UNITED STATES,48864-5990,517-381-0300,866-615-9635,,,,,,,Approved,5/17/2006,4/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"33,945,000.00","33,945,000.00",0,114,114,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,108344,801-54089,"SMH CAPITAL ADVISORS, INC.","SMH CAPITAL ADVISORS, INC.",4800 OVERTON PLAZA,SUITE 300,FORT WORTH,TX,UNITED STATES,76109,817-731-4308,817-731-4641,,,,,,,Approved,6/6/1997,4/16/2010,Y,WWW.SMHCA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,5-Jan,0,More than 500,"2,000",26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,51-75 percent,SUB-ADVISER TO WRAP PROGRAM PLATFORMS,Y,Y,N,N,Y,Y,N,,Y,"1,578,893,090.00",0,"1,578,893,090.00","2,028",0,"2,028",Y,Y,Y,Y,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,152024,801-70863,"NEWMAN ADVISORS, LLC","NEWMAN ADVISORS, LLC",1560 SAWGRASS CORPORATE PARKWAY,4TH FLOOR,FORT LAUDERDALE,FL,UNITED STATES,33323,305-789-6664,,,,,,,,Approved,1/4/2010,4/16/2010,Y,WWW.NEWMANADVISORS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"27,285,113.00","3,973,887.00","31,259,000.00",22,6,28,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110929,801-67082,"CAPITAL ASSET ADVISORY SERVICES, LLC","CAPITAL ASSET ADVISORY SERVICES, LLC",15744 PEACOCK ROAD,,HASLETT,MI,USA,48840,517-339-7662,517-339-1573,,,,,,,Approved,8/10/2006,4/16/2010,Y,WWW.CAPITALASSETADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,More than 500,984,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"109,559,485.00","97,559,485.00","207,118,970.00","1,157","1,191","2,348",Y,Y,N,N,N,Y,N,N,N,N,,0,,Y,Y,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N
LARO,133680,801-68216,"ABSOLUTE RETURN CAPITAL ADVISORS, LLC.","ABSOLUTE RETURN CAPITAL ADVISORS, LLC.","1901 AVENUE OF THE STARS, 2ND FLOOR",,LOS ANGELES,CA,USA,90067,310-275-3731,310-461-1419,,,,,,,Approved,8/2/2007,6/7/2010,Y,WWW.THEMONEYFACTORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"35,574,862.00",0,"35,574,862.00",117,0,117,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,108418,801-56050,"MOYLAN KROPP RETIREMENT PLANNING, LLC","MOYLAN KROPP RETIREMENT PLANNING, LLC",1010 SOUTH 120TH STREET,SUITE 320,OMAHA,NE,UNITED STATES,68154,402-390-9066,402-390-9180,,,,,,,Approved,11/27/1998,6/7/2010,Y,MKRP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"60,000,000.00",0,"60,000,000.00",350,0,350,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105762,801-8984,VALLEY FORGE MANAGEMENT CORP,VALLEY FORGE MANAGEMENT CORP,,,,,,,610-688-6839,610-917-9939,,,,,,,Approved,12/16/1972,6/7/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"13,000,000.00",0,"13,000,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,134340,801-67135,"ALPS ADVISORS, INC.","ALPS ADVISORS, INC.","1290 BROADWAY, SUITE 1100",,DENVER,CO,UNITED STATES,80203,303-623-2577,303-623-7850,PO BOX 328,,DENVER,CO,UNITED STATES,80201-0328,Approved,9/12/2006,12/22/2009,Y,WWW.ALPSFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,511,080,270.00",0,"1,511,080,270.00",20,0,20,N,N,Y,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,106224,801-52027,HARVEY CAPITAL MANAGEMENT INC,HARVEY CAPITAL MANAGEMENT INC,400 ROYAL PALM WAY,SUITE 400,PALM BEACH,FL,UNITED STATES,33480,561-804-9181,561-804-9107,,,,,,,Approved,5/28/1996,6/7/2010,Y,WWW.HARVEYCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"245,073,718.00",0,"245,073,718.00",162,0,162,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108609,801-57956,RETIREMENT ADVISORY SERVICES CORP,RETIREMENT ADVISORY SERVICES CORP.,1300 VIRGINIA DRIVE,SUITE 123,FORT WASHINGTON,PA,UNITED STATES,19034,215-628-8500,215-628-9500,,,,,,,Approved,9/20/2000,12/23/2009,Y,WWW.RASCORP.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,5-Jan,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"83,947,218.00","5,868,512.00","89,815,730.00",209,25,234,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112158,801-44058,PLANTE MORAN FINANCIAL ADVISORS,"PLANTE MORAN FINANCIAL ADVISORS, LLC",27400 NORTHWESTERN HWY,,SOUTHFIELD,MI,UNITED STATES,48034,248-223-3400,248-352-0018,,,,,,,Approved,6/3/1993,6/7/2010,Y,HTTP://WWW.PMFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,0,0,More than 500,"2,000",11-25 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"2,838,379,322.00","2,778,549,771.00","5,616,929,093.00","1,334",670,"2,004",Y,Y,N,Y,N,N,N,N,N,N,,More than 500,2000,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,Y,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,142095,801-71518,BHS ADVISORY GROUP INC.,BHS ADVISORY GROUP INC.,3350 SW 148TH AVENUE,SUITE 220,MIRAMAR,FL,UNITED STATES,33027,800-756-7056,954-734-2685,,,,,,,Approved,6/3/2010,6/7/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"27,769,000.00",0,"27,769,000.00",29,0,29,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110557,801-31827,DIESSLIN & ASSOCIATES INC,DIESSLIN & ASSOCIATES INC,303 MAIN STREET,SECOND FLOOR,FORT WORTH,TX,UNITED STATES,76102,817-332-6122,817-335-4839,,,,,,,Approved,4/28/1988,12/23/2009,Y,HTTP//:WWW.DIESSLIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"337,941,369.00","167,304,610.00","505,245,979.00","1,096",684,"1,780",Y,Y,N,Y,N,Y,N,N,N,Y,"""FINANCIAL PLANNING"" IS BROAD, BUT SOME SERVICES (FOR EXAMPLE, EXPERT WITNESS OR REAL ESTATE ADVISORY SERVICE) MAY FALL OUTSIDE.",251-500,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108711,801-56485,WAINWRIGHT INVESTMENT COUNSEL LLC,WAINWRIGHT INVESTMENT COUNSEL LLC,ONE BOSTON PLACE,41ST FLOOR,BOSTON,MA,UNITED STATES,2108,617-531-3100,617-531-3140,,,,,,,Approved,6/18/1999,6/7/2010,Y,WWW.WINVCOUNSEL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"20,902.00","4,022,815,701.00","4,022,836,603.00",2,129,131,N,Y,N,Y,Y,Y,N,N,N,Y,"ASSET ALLOCATION STUDIES, DRAFTING IPS, MANAGER MONITORING, MANAGEMENT OF POOLED INVESTMENT VEHICLES.",0,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112533,801-60329,"WEALTH PLANNING & MANAGEMENT, LLC","WEALTH PLANNING & MANAGEMENT, LLC",,,,,,,317-228-0800,317-334-1795,P.O. BOX 40994,,INDIANAPOLIS,IN,USA,46240-0994,Approved,6/1/2001,6/7/2010,Y,WWW.WPAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"36,000,000.00",0,"36,000,000.00",120,0,120,Y,Y,N,Y,Y,N,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,795,801-69883,STONE & YOUNGBERG LLC,STONE & YOUNGBERG LLC,ONE FERRY BUILDING,SUITE 275,SAN FRANCISCO,CA,UNITED STATES,94111,415-445-2300,415-445-2317,,,,,,,Approved,5/7/2009,12/23/2009,Y,WWW.SYLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"114,518,188.00",0,"114,518,188.00",364,0,364,N,Y,N,N,N,Y,N,N,N,N,,,,Y,Y,Y,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
BRO,104550,801-50661,IRIDIAN ASSET MANAGEMENT LLC,IRIDIAN ASSET MANAGEMENT LLC,276 POST RD WEST,,WESTPORT,CT,UNITED STATES,06880-4704,203-341-9000,203-341-7801,,,,,,,Approved,12/5/1995,6/7/2010,Y,WWW.IRIDIAN.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"7,774,536,041.00",0,"7,774,536,041.00",156,0,156,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,46947,801-71178,"SILVER OAK SECURITIES, INC.",SILVER OAK SECURITIES INCORPORATED,3339 NORTH HIGHLAND AVENUE,,JACKSON,TN,UNITED STATES,38305,731-668-3825,731-668-3844,,,,,,,Approved,4/16/2010,6/7/2010,Y,WWW.SILVEROAKSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"17,000,000.00","15,000,000.00","32,000,000.00",150,50,200,Y,Y,N,Y,N,Y,N,N,Y,N,,10-Jan,,N,N,Y,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N
FWRO,153302,801-71557,"ACIS CAPITAL MANAGEMENT, L.P.","ACIS CAPITAL MANAGEMENT, L.P.",13455 NOEL ROAD,SUITE 800,DALLAS,TX,UNITED STATES,75240,972-628-4100,972-628-4147,,,,,,,Approved,6/22/2010,6/7/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGMENT SERVICES FOR POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N
PLRO,519,801-14059,"LINCOLN INVESTMENT PLANNING, INC","LINCOLN INVESTMENT PLANNING, INC.",FORST PAVILION,218 GLENSIDE AVE,WYNCOTE,PA,UNITED STATES,19095-1595,215-887-8111,215-376-1046,,,,,,,Approved,9/11/1978,6/7/2010,Y,WWW.LINCOLNINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,501-1000,0,251-500,0,251-500,0,5-Jan,0,More than 500,"46,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"2,224,922,915.00","579,877,458.00","2,804,800,373.00","34,797","16,338","51,135",Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,Y,N,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,N,Y,Y,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N
ARO,125573,801-71473,"YOUR RETIREMENT COACH, INC.","YOUR RETIREMENT COACH, INC.",540 POWDER SPRINGS STREET,SUITE C-20,MARIETTA,GA,USA,30064,770.427.5227,770.919.2076,,,,,,,Approved,6/7/2010,6/7/2010,Y,WWW.YOURRETIREMENTCOACH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISORY FEES,Y,"53,129,192.00",0,"53,129,192.00",462,0,462,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,152869,801-71044,VOLORIDGE,"VOLORIDGE INVESTMENT MANAGEMENT, LLC",2203 NORTH LOIS AVENUE,9TH FLOOR,TAMPA,FL,UNITED STATES,33607,813 389-0148,800 246-8656,,,,,,,Approved,2/5/2010,6/7/2010,Y,WWW.VOLORIDGE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"30,276,438.00",0,"30,276,438.00",3,0,3,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,113387,801-63233,"FINANCIAL DESIGN & MANAGEMENT, INC.","FINANCIAL DESIGN & MANAGEMENT, INC.",4645 ZIEGLER ROAD,SUITE 220,FORT COLLINS,CO,UNITED STATES,80528,970-490-2033,,,,,,,,Approved,6/24/2004,6/7/2010,Y,WWW.G5FINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,10-Jun,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,Y,RETAINER,Y,"185,837,961.00",0,"185,837,961.00",630,0,630,Y,Y,N,N,Y,Y,N,N,N,N,,26-50,,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,131801,801-64872,OASIS CAPITAL MANAGEMENT LLC,OASIS CAPITAL MANAGEMENT LLC,,,,,,,435-604-0494,435-649-3796,P.O. BOX 682350,,PARK CITY,UT,UNITED STATES,84068,Approved,12/5/2005,6/7/2010,Y,WWW.OASISCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"35,802,097.00","1,409,773.00","37,211,870.00",26,1,27,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,136991,801-64715,BLACKSTONE ASIA ADVISORS L.L.C.,BLACKSTONE ASIA ADVISORS L.L.C.,345 PARK AVENUE,,NEW YORK,NY,USA,10154,212-583-5000,212-583-5687,,,,,,,Approved,9/21/2005,3/22/2010,Y,WWW.BLACKSTONE.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,INCENTIVE ALLOCATION FOR THE ASIA OPPORTUNITIES FUND.,Y,"1,704,106,371.00",0,"1,704,106,371.00",3,0,3,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150522,801-70264,"ONE WILLIAM STREET CAPITAL MANAGEMENT, LP.","ONE WILLIAM STREET CAPITAL MANAGEMENT, LP.",1271 AVENUE OF THE AMERICAS,39TH FLOOR,NEW YORK,NY,UNITED STATES,10020,212-957-2500,212-259-2106,,,,,,,Approved,6/22/2009,3/22/2010,Y,WWW.ONEWILLIAMSTREET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,897,086,222.00",0,"1,897,086,222.00",20,0,20,N,N,N,Y,N,N,N,N,N,Y,PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106577,801-45064,CFS INVESTMENT ADVISORY SERVICES LLC,CFS INVESTMENT ADVISORY SERVICES LLC,97 LACKAWANNA AVENUE,SUITE 101,TOTOWA,NJ,USA,7512,973-826-8800,973-256-8688,,,,,,,Approved,12/28/1993,3/22/2010,Y,WWW.CFSIAS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"78,892,404.00","508,552,530.00","587,444,934.00",147,350,497,Y,Y,N,Y,N,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,131660,801-65209,"AMERICAN ASSETS INVESTMENT MANAGEMENT, LLC","AMERICAN ASSETS INVESTMENT MANAGEMENT, LLC",11455 EL CAMINO REAL,SUITE 200,SAN DIEGO,CA,UNITED STATES,92130,858-350-2870,858-350-2620,,,,,,,Approved,1/18/2006,3/22/2010,Y,WWW.AAIMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"697,997,675.00",0,"697,997,675.00",2,0,2,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107227,801-40071,WHELAN FINANCIAL,WHELAN VINCENT JOSEPH,735 WEST ALLUVIAL AVE. #101,,FRESNO,CA,UNITED STATES,93711,559-228-8002,559-228-8028,,,,,,,Approved,10/28/1991,3/22/2010,Y,WWW.WHELANFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"109,482,216.00","1,629,712.00","111,111,928.00",533,38,571,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,145594,801-68572,"SENDERO WEALTH MANAGEMENT, LLC","SENDERO WEALTH MANAGEMENT, LLC",7373 BROADWAY,SUITE 501,SAN ANTONIO,TX,UNITED STATES,78209,210-805-0171,210-805-0577,,,,,,,Approved,11/30/2007,3/22/2010,Y,WWW.SENDERO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"1,558,265,614.00","1,558,265,614.00",0,"1,476","1,476",N,Y,N,Y,N,Y,N,N,N,N,,,,Y,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,118285,801-60897,"MCCARTHY ASSET MANAGEMENT, INC.","MCCARTHY ASSET MANAGEMENT, INC.","3 LAGOON DRIVE, SUITE 155",,REDWOOD SHORES,CA,USA,94065,650-610-9540,650-610-9541,,,,,,,Approved,2/1/2002,3/22/2010,Y,MAMPORTFOLIOS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"106,590,192.00",0,"106,590,192.00",542,0,542,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106074,801-24178,LUTHER DEARBORN INVESTMENT ADVISORY INC,LUTHER DEARBORN INVESTMENT ADVISORY INC,5 REVERE DRIVE,STE 200,NORTHBROOK,IL,UNITED STATES,60062,847-205-5333,847-205-5330,,,,,,,Approved,5/14/1985,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"26,922,235.00","26,922,235.00",0,14,14,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,140824,801-67215,"VIDA WEALTH PARTNERS, INC.","VIDA WEALTH PARTNERS, INC.",200 E. CARRILLO ST.,SUITE 302,SANTA BARBARA,CA,UNITED STATES,93101,805-962-8455,805-965-5682,,,,,,,Approved,10/5/2006,3/22/2010,Y,WWW.MJLADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"28,238,060.00","68,661,845.00","96,899,905.00",53,23,76,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,Y,N,Y,Y,N,Y,"VENTURE CAPITAL, EQUIPTMENT LEASING",N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110944,801-61434,"STEWARDSHIP CAPITAL, LTD.","STEWARDSHIP CAPITAL, LTD.",4200 LITTLE BLUE PARKWAY,SUITE 620,INDEPENDENCE,MO,UNITED STATES,64057,816-833-6650,816-833-6011,,,,,,,Approved,8/30/2002,3/22/2010,Y,WWW.STEWCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"44,054,917.00","1,726,629.00","45,781,546.00",562,56,618,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,Y,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107539,801-51319,TINGEY ADVISORS INC,CANNON TINGEY INVESTMENT ADVISORS INC,948 EAST 7145 SOUTH,SUITE C-101,MIDVALE,UT,UNITED STATES,84047,801-352-8166,801-352-8168,,,,,,,Approved,2/16/1996,3/30/2010,Y,WWW.CANNONTINGEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"44,016,482.00","12,859,895.00","56,876,377.00",193,7,200,Y,Y,N,Y,Y,Y,Y,N,N,Y,BUSINESS MANAGEMENT CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108860,801-57939,"POST ADVISORY GROUP, LLC","POST ADVISORY GROUP, LLC",1620 26TH STREET,SUITE 6500,SANTA MONICA,CA,UNITED STATES,90404,310-996-9600,310-996-9688,,,,,,,Approved,9/18/2000,3/30/2010,Y,WWW.POSTADVISORY.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,101-250,0,0 percent,Up to 10 percent,0 percent,11-25 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,51-75 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"9,167,352,408.00","154,072,262.00","9,321,424,670.00",55,1,56,N,N,Y,Y,N,N,N,N,N,Y,"POST ADVISORY GROUP, LLC PROVIDES INVESTMENT ADVISORY SERVICES TO POOLED INVESTMENT VEHICLES.",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104734,801-24638,DOLAN FINANCIAL CORP,DOLAN FINANCIAL CORP,8455 COLESVILLE RD STE 710,,SILVER SPRING,MD,UNITED STATES,20910-3318,301-495-5900,301-495-5905,,,,,,,Approved,6/14/1985,3/30/2010,Y,WWW.DOLANFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"50,549,134.00",0,"50,549,134.00",91,0,91,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,128442,801-64536,"PALM ADVISORS, LLC","PALM ADVISORS, LLC",5941 SOUTH MIDDLEFIELD,SUITE 200,LITTLETON,CO,UNITED STATES,80123,3039623500,3039620307,,,,,,,Approved,8/18/2005,3/30/2010,Y,WWW.PALM-ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,FOUNDTIONS/ENDOWMENTS,Y,N,N,N,N,Y,Y,STRUCTURING,Y,"30,312,328.00",0,"30,312,328.00",2,0,2,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,129534,801-68148,TEPPER CAPITAL MANAGEMENT,"TEPPER, DAVID LOUIS",220 MONTGOMERY STREET,SUITE 1018,SAN FRANCISCO,CA,USA,94104,415-956-5593,415-956-5661,41 SUTTER STREET,NO. 1487,SAN FRANCISCO,CA,USA,94104,Approved,7/23/2007,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"30,989,447.00",0,"30,989,447.00",78,0,78,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,113136,801-61063,"AA CAPITAL PARTNERS, INC.","AA CAPITAL PARTNERS, INC.",10 S. LASALLE ST.,SUITE 1430,CHICAGO,IL,UNITED STATES,60603-1024,312-419-4780,312-419-4790,"SCOTT PORTERFIELD, BFKN","200 W. MADISON ST, STE 3900",CHICAGO,IL,UNITED STATES,60606,Approved,4/8/2002,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,TAFT-HARTLEY FUNDS (5) AND UNION GENERAL FUND (1),Y,N,N,N,N,N,N,,Y,"95,071,797.00",0,"95,071,797.00",6,0,6,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y
LARO,126887,801-70089,"WILLOWBROOK ASSET MANAGEMENT, LLC","WILLOWBROOK ASSET MANAGEMENT, LLC",1900 AVENUE OF THE STARS,SUITE 2701,LOS ANGELES,CA,UNITED STATES,90067,310-432-2101,310-432-2119,,,,,,,Approved,5/15/2009,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"29,800,000.00",0,"29,800,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109613,801-57461,"HORIZON ASSET MANAGEMENT, LLC","HORIZON ASSET MANAGEMENT, LLC","601 UNION STREET, SUITE 4200",,SEATTLE,WA,UNITED STATES,98101,800-568-8213,800-507-0952,,,,,,,Approved,4/14/2000,3/30/2010,Y,WWW.HORIZONASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"49,882,963.00","145,198,268.00","195,081,231.00",125,61,186,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108586,801-57460,TA REALTY LLC,TA REALTY LLC,28 STATE ST  10TH FLOOR,,BOSTON,MA,UNITED STATES,2109,(617)476-2700,(617)476-2799,,,,,,,Approved,4/11/2000,3/30/2010,Y,WWW.TAREALTY.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,51-250,0,51-250,0,0,0,0,0,25-Nov,0,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,Y,% OF CLIENT INCOME AND TRANSACTION BASED FEES,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,Y,"ADVICE ON THE SELECTION, ACQUISITION, MANAGEMENT AND DISPOSITION OF REAL ESTATE ASSETS",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,Y,N,N,Y,N,N,N,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111503,801-36893,"PENTEGRA INVESTORS, INC.","PENTEGRA INVESTORS, INC.",108 CORPORATE PARK DRIVE,,WHITE PLAINS,NY,UNITED STATES,10604,914-821-9569,212-503-0129,,,,,,,Approved,8/1/1990,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"328,000,000.00","132,000,000.00","460,000,000.00",1,1,2,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
DRO,151620,801-70631,ATRATO ASSET MANAGEMENT LLC,ATRATO ASSET MANAGEMENT LLC,,,,,,,505-989-9979,505-989-1683,,,,,,,Approved,9/24/2009,3/30/2010,Y,WWW.ATRATOFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,Y,COMMISSIONS MAY BE PAID TO ADVISER'S RELATED PERSON,Y,"27,098,331.00","90,350,026.00","117,448,357.00",3,5,8,N,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT CONSULTING SERVICES; FAMILY OFFICE SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107512,801-37990,TA ASSOCIATES REALTY,REALTY ASSOCIATES ADVISORS LLC,"28 STATE STREET, 10TH FL",,BOSTON,MA,UNITED STATES,2109,(617) 476-2700,(617) 476-2799,,,,,,,Approved,12/24/1990,3/30/2010,Y,WWW.TAREALTY.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,Y,% OF CLIENT INCOME AND TRANSACTION BASED FEES,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,Y,"ADVICE ON THE SELECTION, ACQUISITION, MANAGEMENT AND DISPOSITION OF REAL ESTATE ASSETS",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,Y,N,N,Y,N,N,N,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,127471,801-62490,BENCHMARK PLUS MANAGEMENT,BENCHMARK PLUS MANAGEMENT LLC,820 A STREET,SUITE 700,TACOMA,WA,UNITED STATES,98402,253-573-0657,253-396-9066,,,,,,,Approved,10/31/2003,3/30/2010,Y,WWW.BPFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,771,947,329.00",0,"1,771,947,329.00",9,0,9,N,N,N,Y,N,N,N,N,N,Y,HEDGE FUND OF FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108320,801-46631,MUNICIPAL ASSET MANAGEMENT INC,MUNICIPAL ASSET MANAGEMENT INC,60 EAST 42ND STREET,SUITE 2134,NEW YORK,NY,UNITED STATES,10165,212-935-8313,212-935-8491,,,,,,,Approved,5/31/1994,3/30/2010,Y,WWW.MAMINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,NOT FOR PROFIT,Y,Y,N,Y,N,N,N,,Y,"837,847,038.00",0,"837,847,038.00",64,0,64,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT ADVISOR TO STATE AND LOCAL GOVERNMENT AGENCIES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,149649,801-69966,"CALEDONIA WEALTH MANAGEMENT, LTD.","CALEDONIA WEALTH MANAGEMENT, LTD.",1426 PEARL STREET,SUITE 207,BOULDER,CO,UNITED STATES,80302,720-239-1260,720-239-1264,,,,,,,Approved,2/24/2009,3/30/2010,Y,WWW.CALEDONIAWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"12,532,456.00","12,919,834.00","25,452,290.00",59,62,121,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110242,801-60039,"DENALI ADVISORS, LLC","DENALI ADVISORS, LLC",4275 EXECUTIVE SQUARE,SUITE 650,LA JOLLA,CA,UNITED STATES,92037,858-558-3600,858-558-3657,,,,,,,Approved,3/2/2001,3/30/2010,Y,WWW.DENALIADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,51-75 percent,11-25 percent,INDIAN TRIBES,Y,N,N,N,N,Y,N,,Y,"1,274,412,604.00",0,"1,274,412,604.00",32,0,32,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,147200,801-69190,"AKT WEALTH ADVISORS, LP","AKT WEALTH ADVISORS, LP",5665 SW MEADOWS RD,SUITE 200,LAKE OSWEGO,OR,UNITED STATES,97035,503-620-5329,503-624-1349,,,,,,,Approved,5/27/2008,3/30/2010,Y,WWW.WEALTHADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,OR,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"230,000,000.00","2,000,000.00","232,000,000.00",794,9,803,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,113202,801-60363,SANTA BARBARA ALPHA STRATEGIES,SANTA BARBARA ALPHA STRATEGIES,24 EL PASEO BLDG.,,SANTA BARBARA,CA,UNITED STATES,93101,805-963-2661,805-568-5321,,,,,,,Approved,6/22/2001,3/30/2010,Y,WWW.SBALPHA.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,AFFILIATED PRIVATE INVESTMENT PARTNERSHIPS,Y,N,N,N,N,N,N,,Y,"1,845,610.00",0,"1,845,610.00",2,0,2,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR AFFILIATED PRIVATE INVESTMENT PARTNERSHIPS,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107917,801-39889,FINANCIAL MANAGEMENT ADVISORS INC,FINANCIAL MANAGEMENT ADVISORS INC,"410 PINE ST SE, SUITE 310",,VIENNA,VA,UNITED STATES,22180,703-255-9533,703-255-9535,,,,,,,Approved,10/10/1991,3/30/2010,Y,FMAOFVA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"31,807,304.00","10,271,893.00","42,079,197.00",53,8,61,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152274,801-70822,"CHIEFTAIN CAPITAL MANAGEMENT, INC.","CHIEFTAIN CAPITAL MANAGEMENT, INC.",500 FIFTH AVENUE,44TH FLOOR,NEW YORK,NY,UNITED STATES,10110,212-626-6100,212-626-6150,,,,,,,Approved,11/25/2009,3/30/2010,Y,WWW.CHIEFTAINCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,ENDOWMENTS/FOUNDATIONS,Y,N,N,N,N,N,N,,Y,"970,696,839.00",0,"970,696,839.00",179,0,179,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,133260,801-63757,"CONWAY CAPITAL MANAGEMENT, INC.","CONWAY CAPITAL MANAGEMENT, INC.",11560 ACAMA STREET,,STUDIO CITY,CA,UNITED STATES,91604,213-434-1145,818-973-2707,3500 W. OLIVE AVENUE,SUITE 300,BURBANK,CA,UNITED STATES,91505,Approved,12/16/2004,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,CONSULTING FEES,Y,"26,048,674.00","726,434.00","26,775,108.00",78,6,84,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,124062,801-62001,ATHENA CAPITAL ADVISORS LLC,ATHENA CAPITAL ADVISORS LLC,55 OLD BEDFORD RD,SUITE 302,LINCOLN,MA,UNITED STATES,1773,781-274-9300,781-274-9190,,,,,,,Approved,4/17/2003,3/30/2010,Y,WWW.ATHENACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,571,495,614.00","1,496,860,444.00","3,068,356,058.00",138,9,147,Y,Y,N,Y,N,Y,N,N,N,Y,PRIVATE PLACEMENT MANAGEMENT,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,114106,801-60466,"OMT CAPITAL MANAGEMENT, LLC","OMT CAPITAL MANAGEMENT, LLC",ONE MONTGOMERY STREET,SUITE 3300,SAN FRANCISCO,CA,USA,94104,415-296-8100,415-296-8144,,,,,,,Approved,8/10/2001,3/30/2010,Y,WWW.OMTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"94,207,873.00",0,"94,207,873.00",10,0,10,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,10331,801-16773,"STANFORD INVESTMENT GROUP, INC.","STANFORD INVESTMENT GROUP, INC.",2570 W. EL CAMINO REAL,SUITE 520,MOUNTAIN VIEW,CA,UNITED STATES,94040,650-941-1717,650-941-3131,,,,,,,Approved,1/29/1982,3/30/2010,Y,WWW.STANFORDINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"445,833,848.00","6,131,615.00","451,965,463.00",804,2,806,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,Y,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,139401,801-66142,CARMICHAEL STRATEGIES LLC,CARMICHAEL STRATEGIES LLC,1507 W PARKSIDE LANE,,PHOENIX,AZ,USA,85027,623-580-9500,623-580-9720,,,,,,,Approved,2/1/2006,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"43,207,719.00",0,"43,207,719.00",3,0,3,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,134174,801-68504,"GOLDBERG ADVISERS, LLC","GOLDBERG ADVISERS, LLC",44 MONTGOMERY STREET,SUITE 2100,SAN FRANCISCO,CA,UNITED STATES,94104,(415) 399-9100,,,,,,,,Approved,11/21/2007,3/30/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"14,774,000.00",0,"14,774,000.00",2,0,2,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109280,801-58179,"SUMMIT FINANCIAL ADVISORS, LLC","SUMMIT FINANCIAL ADVISORS, LLC",160 BOVET ROAD,SUITE 405,SAN MATEO,CA,USA,94402,650-357-9410,650-357-0718,,,,,,,Approved,12/1/2000,3/30/2010,Y,WWW.SUMMIT-ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"555,175.00","164,978,600.00","165,533,775.00",10,837,847,Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138761,801-66091,HANOVER,HANOVER INVESTORS MANAGEMENT LLP,THE ECONOMIST PLAZA,26 ST JAMES STREET,LONDON,,UNITED KINGDOM,SW1A 1HA,44-0-20-7766 8400,44 0 20 7930-6300,,,,,,,Approved,2/3/2006,2/3/2006,Y,WWW.HANOVERINVESTORS.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"30,600,014.00",0,"30,600,014.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,116945,801-58277,DECISION CAPITAL LLC,DECISION CAPITAL LLC,537 STEAMBOAT ROAD,SUITE 200,GREENWICH,CT,USA,6830,203-769-2350,203-769-2322,,,,,,,Approved,1/18/2001,3/26/2007,Y,WWW.DECISIONCAPITAL.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"9,400,000.00",0,"9,400,000.00",6,0,6,N,N,N,Y,N,Y,N,N,N,Y,"GENERAL PARTNER, MANAGING MEMBER OR INVESTMENT ADVISOR TO PRIVATE INVESTMENT FUNDS.",,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,113854,801-6082,BRIGGS MANAGEMENT & RESEARCH CO.,BRIGGS MANAGEMENT & RESEARCH CO.,1000 MAIN STREET,SUITE 2560,HOUSTON,TX,UNITED STATES,77002,713-651-1589,713-651-3079,,,,,,,Approved,10/24/1969,5/4/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,CORPORATE VALUATIONS,Y,Y,N,Y,N,N,N,,Y,"9,259,961.00","5,814,117.00","15,074,078.00",22,1,23,Y,Y,N,N,N,N,Y,N,N,Y,VALUATIONS OF PRIVATELY OWNED COMPANIES,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,132698,801-63569,"WELLSPRING CAPITAL ADVISORS, LLC","WELLSPRING CAPITAL ADVISORS, LLC",333 WEST WACKER DRIVE,SUITE 850,CHICAGO,IL,UNITED STATES,60606-1248,312-346-6822,312-896-1476,,,,,,,Approved,10/8/2004,7/6/2010,Y,WWW.WELLSPRINGCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"2,680,000,000.00","2,680,000,000.00",0,6,6,N,N,N,N,N,N,N,N,N,Y,INVESTMENT CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,151895,801-70850,CRA MANAGEMENT PTE LTD,CRA MANAGEMENT PTE LTD,"80 RAFFLES PLACE, #18-01",UOB PLAZA I,SINGAPORE,,SINGAPORE,48624,+65 6512 2360 / 2361,+65 6512 2370,,,,,,,Approved,12/18/2009,7/6/2010,Y,WWW.CLSACAPITAL.COM/CLEAN_RESOURCES/INDEX.CFM,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),SINGAPORE PRIVATE LIMITED COMPANY,,SINGAPORE,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"129,700,000.00",2,"129,700,002.00",4,1,5,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGER AND INVESTMENT ADVISER FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
HQ,143177,801-67557,VALUE PARTNERS LIMITED,VALUE PARTNERS LIMITED,"9TH FLOOR, NEXXUS BUILDING",41 CONNAUGHT ROAD CENTRAL,HONG KONG,,HONG KONG,,852-2880-9263,852-2523-2686,,,,,,,Approved,4/9/2007,7/6/2010,Y,WWW.VALUEPARTNERS.COM.HK,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,BRITISH VIRGIN ISLANDS,51-250,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,SUBSCRIPTION AND REDEMPTION CHARGES,Y,"5,219,516,025.00","15,169,571.00","5,234,685,596.00",27,1,28,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,154185,801-71673,"BLASER INVESTMENT MANAGEMENT GROUP, LLC","BLASER INVESTMENT MANAGEMENT GROUP, LLC",3065 S CHURCH STREET,,BURLINGTON,NC,UNITED STATES,27215,336-586-0012,336-586-0013,,,,,,,120-Day Approval,7/9/2010,7/7/2010,Y,WWW.RETIRECARESOLUTIONS.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,141601,801-71667,CASTLE WEALTH PLANNING,CASTLE WEALTH PLANNING LLC,1105 CHAPALA STREET,SUITE 4,SANTA BARBARA,CA,UNITED STATES,93101,805-962-5630,805-962-5637,,,,,,,Approved,7/9/2010,7/7/2010,Y,WWW.CASTLEWEALTHPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,RETAINER AGREEMENT,Y,"43,040,992.00",0,"43,040,992.00",71,0,71,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,154176,801-71674,"ALPHADYNE ASSET MANAGEMENT, LLC","ALPHADYNE ASSET MANAGEMENT, LLC","17 STATE STREET, 20TH FLOOR",,NEW YORK,NY,UNITED STATES,10004,212-806-3700,212-806-3701,,,,,,,Approved,7/9/2010,7/7/2010,Y,WWW.ADYNE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,636,270,449.00",0,"1,636,270,449.00",6,0,6,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT OF OTHER POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122709,801-64601,SKINNER FINANCIAL SERVICES,"SKINNER FINANCIAL SERVICES, INC.",9813 DAWSONS CREEK BLVD,,FORT WAYNE,IN,UNITED STATES,46825,260-496-8560,260-496-8548,,,,,,,Approved,8/19/2005,7/7/2010,Y,SKINNER-FINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"34,000,000.00",0,"34,000,000.00",105,0,105,Y,Y,N,N,Y,N,N,N,N,Y,ACCOUNTING AND TAX,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153418,801-71355,"KEYSTONE WEALTH ADVISORS, INCORPORATED","KEYSTONE WEALTH ADVISORS, INCORPORATED",33 SOUTH SIXTH STREET,SUITE 4100,MINNEAPOLIS,MN,UNITED STATES,55402,612-465-8118,,,,,,,,120-Day Approval,4/30/2010,7/7/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,Up to 10 percent,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"1,950,000.00","32,000,000.00","33,950,000.00",20,127,147,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,118437,801-63919,"CORNERSTONE INVESTMENT SERVICES, INC.","CORNERSTONE INVESTMENT SERVICES, INC.",,,,,,,704-698-1040,704-698-1042,,,,,,,Approved,2/17/2005,7/7/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,SET-UP FEE,Y,"19,082,720.00",0,"19,082,720.00",169,0,169,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,148148,801-71513,LOCUST CAPITAL MANAGEMENT LLC,LOCUST CAPITAL MANAGEMENT LLC,1629 LOCUST STREET,,PHILADELPHIA,PA,UNITED STATES,19103,215-735-9530,215-735-9540,,,,,,,Approved,6/9/2010,7/7/2010,Y,WWW.LOCUSTCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"35,000,000.00","35,000,000.00",0,250,250,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107653,801-48109,"PERRYMAN FINANCIAL ADVISORY, INC.","PERRYMAN FINANCIAL ADVISORY, INC.",12221 MERIT DR STE 1725,,DALLAS,TX,USA,75251,972-770-4800,972-770-4888,,,,,,,Approved,12/23/1994,7/7/2010,Y,WWW.BILLPERRYMAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"150,000,000.00","50,000,000.00","200,000,000.00",320,125,445,Y,Y,N,Y,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,134626,801-64054,"GENESIS INVESTMENT ADVISORS, LLC","GENESIS INVESTMENT ADVISORS, LLC",355 ALHAMBRA CIRCLE,,CORAL GABLES,FL,UNITED STATES,33134,212-326-3135,212-326-3105,,,,,,,Approved,5/10/2005,7/7/2010,Y,WWW.GENESISIA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"147,000,000.00","514,000,000.00","661,000,000.00",78,609,687,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111064,801-19279,BUFFALO CAPITAL CORPORATION,BUFFALO CAPITAL CORPORATION,4299 MACARTHUR BLVD,SUITE 100,NEWPORT BEACH,CA,UNITED STATES,92660,949-476-2799,949-476-2790,,,,,,,Approved,7/7/1983,7/7/2010,Y,BUFFALOCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"58,463,258.00",0,"58,463,258.00",276,0,276,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,Y,LIFE INSURANCE,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,149260,801-69877,ADVISORCENTRIC LLC,ADVISORCENTRIC LLC,134 SOUTH HIGHLAND AVE,3RD FLOOR,PITTSBURGH,PA,UNITED STATES,15206,412-441-1272,412-361-2191,,,,,,,Approved,1/15/2009,7/7/2010,Y,WWW.WHOLEADVICE.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,Y,Y,N,N,Y,FEES FOR ACCESS TO EDUCATIONAL WEBINARS AND MATERIALS,Y,0,0,0,0,0,0,N,Y,N,N,N,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110365,801-53077,YCMNET ADVISORS,YCMNET ADVISORS,2001 NORTH MAIN STREET,SUITE 270,WALNUT CREEK,CA,USA,94596,925-935-2900,925-935-1008,,,,,,,Approved,10/11/1996,7/7/2010,Y,WWW.YCMNET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,500",11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"946,864,658.00","4,069,289.00","950,933,947.00","3,275",32,"3,307",Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,118616,801-61001,"ADVOCATE ASSET MANAGEMENT, LLC","ADVOCATE INVESTMENT ADVISORS, L.L.C.",55 W. MONROE,SUITE 910,CHICAGO,IL,UNITED STATES,60603,312-578-8300,312-578-8877,,,,,,,Approved,3/14/2002,7/7/2010,Y,WWW.ADVOCATEVENTURES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"78,200,000.00",0,"78,200,000.00",26,0,26,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,141396,801-67213,"HOCHMAN & BAKER INVESTMENT ADVISORS, INC.","HOCHMAN & BAKER INVESTMENT ADVISORS, INC.",608 ACADEMY DRIVE,,NORTHBROOK,IL,UNITED STATES,60062-2421,847-559-0180,847-559-7470,,,,,,,Approved,10/2/2006,7/7/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"133,051,074.00","133,051,074.00",0,172,172,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110985,801-57116,COLCHESTER GLOBAL INVESTORS,COLCHESTER GLOBAL INVESTORS LTD,HEATHCOAT HOUSE,20 SAVILE ROW,LONDON,,UNITED KINGDOM,W1S 3PR,011-44207-292-6920,011-44207-292-6932,,,,,,,Approved,1/21/2000,7/7/2010,Y,WWW.COLCHESTERGLOBAL.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,26-50 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"11,479,754,786.00",0,"11,479,754,786.00",57,0,57,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126595,801-62382,"CASPIAN CAPITAL MANAGEMENT, LLC","CASPIAN CAPITAL MANAGEMENT, LLC",745 FIFTH AVENUE,28TH FLOOR,NEW YORK,NY,UNITED STATES,10151,212-703-0300,212-703-0310,,,,,,,Approved,10/2/2003,7/7/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,Nov-50,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"806,000,000.00",0,"806,000,000.00",5,0,5,N,N,N,Y,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR OFFSHORE FUNDS,,,N,N,N,N,Y,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,44225,801-66693,"WOLF FINANCIAL MANAGEMENT, LLC","WOLF FINANCIAL MANAGEMENT, LLC",2100 CLEARWATER DRIVE,,OAK BROOK,IL,UNITED STATES,60523-1927,630-545-4747,630-574-0668,,,,,,,Approved,5/30/2006,7/7/2010,Y,WWW.WOLFFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"103,500,000.00","103,500,000.00",0,539,539,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,153425,801-71327,PANTHEON VENTURES,PANTHEON VENTURES (US) LLP,600 MONTGOMERY STREET,23RD FLOOR,SAN FRANCISCO,CA,UNITED STATES,94111,415-249-6200,415-249-6299,,,,,,,Approved,4/28/2010,7/7/2010,Y,WWW.PANTHEONVENTURES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,FAMILY COMPANY,Y,N,N,Y,N,Y,N,,Y,"4,188,674,293.00","417,492,578.00","4,606,166,871.00",11,4,15,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153227,801-71216,DAVIDSON WEALTH MANAGEMENT LLC,DAVIDSON WEALTH MANAGEMENT LLC,198 ROUTE 9 N,STE 205,MANALAPAN,NJ,UNITED STATES,7726,732-409-1060,732-409-1052,,,,,,,Approved,3/22/2010,6/29/2010,Y,WWW.DAVIDSONWEALTHMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"44,278,104.00","76,633,425.00","120,911,529.00",358,419,777,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,147119,801-69261,"PAYNE CAPITAL MANAGEMENT, LLC","PAYNE CAPITAL MANAGEMENT, LLC","11 HARRISON STREET, LEVEL 2",,NEW YORK,NY,USA,10013,646-461-7670,,,,,,,,Approved,6/19/2008,6/28/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"120,212,822.00","120,212,822.00",0,"1,021","1,021",Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,108153,801-55966,SEMPER AUGUSTUS INVESTMENTS GROUP LLC,SEMPER AUGUSTUS INVESTMENTS GROUP LLC,640 PLAZA DRIVE STE 160,,HIGHLANDS RANCH,CO,UNITED STATES,80129,303-893-1214,303-893-1207,,,,,,,Approved,10/26/1998,6/28/2010,Y,WWW.SEMPERAUGUSTUS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"133,678,454.00","1,329,180.00","135,007,634.00",257,25,282,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,143635,801-68079,STEPSTONE GROUP LLC,STEPSTONE GROUP LLC,4350 LA JOLLA VILLAGE DRIVE,SUITE 800,SAN DIEGO,CA,UNITED STATES,92122,858-558-9700,858-558-9701,,,,,,,Approved,7/27/2007,6/28/2010,Y,WWW.STEPSTONELLC.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,11-25 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"49,124,113.00","60,020,658.00","109,144,771.00",4,2,6,N,N,N,Y,Y,Y,N,N,N,Y,INVESTMENT SUPERVISORY SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,117595,801-67022,"WJM FINANCIAL, LLC","WJM FINANCIAL, LLC",2 COMMERCE DRIVE,SUITE 207,BEDFORD,NH,UNITED STATES,3110,603-589-8010,603-484-9181,,,,,,,Approved,7/21/2006,6/28/2010,Y,WWW.WJMFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"64,004,614.00","64,004,614.00",0,261,261,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,Y,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,110447,801-40001,CAPITAL MANAGEMENT ADVISORS INC,CAPITAL MANAGEMENT ADVISORS INC,TWO PARKWAY CENTER,"1800 PARKWAY PL SE, STE 850",MARIETTA,GA,UNITED STATES,30067-8289,770-422-4606,770-422-3296,,,,,,,Approved,11/5/1991,6/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"73,534,770.00","13,310,397.00","86,845,167.00",366,15,381,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,38,801-57838,AMERICAN INVESTORS CO,"L.S.Y., INC","2682 BISHOP DR., SUITE 123",PO BOX 1307,SAN RAMON,CA,UNITED STATES,94583,925-866-2882,925-866-8989,,,,,,,Approved,8/22/2000,6/28/2010,Y,HTTP://WWW.AMERICANINVESTORSCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,"1,000",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"187,788,544.00","19,406,430.00","207,194,974.00","1,457",304,"1,761",Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N
NYRO,139114,801-65828,PICKWICK CAPITAL ADVISORS LLC,PICKWICK CAPITAL ADVISORS LLC,445 HAMILTON AVENUE,SUITE 1102,WHITE PLAINS,NY,UNITED STATES,10601,914-220-5880,914-428-4001,,,,,,,Approved,1/24/2006,6/29/2010,Y,WWW.PICKWICKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"23,651,000.00","6,581,000.00","30,232,000.00",50,10,60,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106984,801-41702,AMERICA FIRST INVESTMENT ADVISORS LLC,AMERICA FIRST INVESTMENT ADVISORS LLC,"1004 FARNAM STREET, STE 400",,OMAHA,NE,UNITED STATES,68102,402-930-3020,402-930-3010,,,,,,,Approved,6/12/1992,6/29/2010,Y,HTTP://WWW.YOURADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"174,196,138.00",0,"174,196,138.00",201,0,201,Y,Y,N,Y,N,N,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110894,801-39266,INVESTEC ASSET MANAGEMENT US LTD.,INVESTEC ASSET MANAGEMENT US LTD.,2 GRESHAM STREET,,LONDON,,UNITED KINGDOM,EC2V 7QP,0044 20 7597 2000,0044 20 7597 2001,,,,,,,Approved,7/18/1991,6/29/2010,Y,WWW.INVESTECASSETMANAGEMENT.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,51-250,0,51-250,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"593,036,000.00",0,"593,036,000.00",12,0,12,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,15708,801-56010,INVESTMENT ADVISORS,PROEQUITIES INC,2801 HIGHWAY 280 SOUTH,,BIRMINGHAM,AL,USA,35223,800-288-3035,205-268-3622,P.O. BOX 518,,BIRMINGHAM,AL,USA,35201-0518,Approved,11/20/1998,6/29/2010,Y,WWW.PROEQUITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,More than 1000,"1,000",501-1000,0,501-1000,0,5-Jan,0,More than 500,"16,000",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"233,778,324.00","701,334,970.00","935,113,294.00","4,058","12,176","16,234",Y,Y,N,Y,Y,Y,N,N,Y,N,,251-500,,Y,Y,Y,Y,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
NYRO,107677,801-9788,JEANNERET J P ASSOCIATES INC,JEANNERET J P ASSOCIATES INC,4713 CROSSROADS PARK DRIVE,SUITE 601,LIVERPOOL,NY,UNITED STATES,13088,315-478-2770,315-478-3043,,,,,,,Approved,2/16/1974,6/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"193,692,313.00",0,"193,692,313.00",73,0,73,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,149940,801-70767,"HORIZON FUNDS MANAGEMENT, LLC","HORIZON FUNDS MANAGEMENT, LLC",,,,,,,770-977-8587,770-977-8587,PO BOX  71865,,MARIETTA,GA,UNITED STATES,30007,Approved,11/19/2009,6/29/2010,Y,WWW.HORIZONFUNDSMGT.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138539,801-66100,"LITESPEED MANAGEMENT, L.L.C.","LITESPEED MANAGEMENT, L.L.C.",237 PARK AVENUE,SUITE 900,NEW YORK,NY,UNITED STATES,10017,212-808-7426,212-808-7425,,,,,,,Approved,1/26/2006,6/29/2010,Y,WWW.LITESPEEDPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"698,000,000.00",0,"698,000,000.00",1,0,1,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,113086,801-60972,"FIRST ASSOCIATED INVESTMENT ADVISORS, INC.","FIRST ASSOCIATED INVESTMENT ADVISORS, INC.",5161 MILLER TRUNK HIGHWAY,,DULUTH,MN,UNITED STATES,55811,218-722-8248,218-722-8823,,,,,,,Approved,3/6/2002,6/29/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"36,762,252.00","1,872,518.00","38,634,770.00",1,21,22,N,Y,Y,N,N,N,N,N,Y,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105184,801-22193,MODERA WEALTH MANAGEMENT,"MODERA, INC.",56 JEFFERSON AVE,,WESTWOOD,NJ,UNITED STATES,7675,201-768-4600,201-768-1111,,,,,,,Approved,9/4/1984,6/29/2010,Y,WWW.MODERAWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"468,351,861.00","1,187,437.00","469,539,298.00","1,198",11,"1,209",Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,146374,801-69013,"CITRIN COOPERMAN WEALTH MANAGEMENT, LP","CITRIN COOPERMAN WEALTH MANAGEMENT, LP","1800 JFK BLVD., 20TH FLOOR",,PHILADELPHIA,PA,UNITED STATES,19103,215-545-4800,215-545-4810,,,,,,,Approved,4/2/2008,6/29/2010,Y,WWW.CCWMLP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP (LP),PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"81,625,109.00","1,293,917.00","82,919,026.00",356,26,382,Y,Y,N,Y,N,Y,N,N,N,Y,ADVICE OF MATTERS NOT INVOLVING SECURITIES,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,114445,801-55877,RELIANT CONSULTING & RESEARCH,CLARK DANIEL,29080 HANSVILLE ROAD N.E.,,KINGSTON,WA,USA,98346,877-855-8172,,,,,,,,Approved,10/1/1998,7/7/2008,N,,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"1,432,000,000.00","1,432,000,000.00",0,30,30,Y,N,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,115737,801-71094,"AFC ASSET MANAGEMENT SERVICES, INC.","AFC ASSET MANAGEMENT SERVICES, INC.",18310 MONTGOMERY VILLAGE AVENUE,SUITE 440,GAITHERSBURG,MD,UNITED STATES,20879-3551,301-588-5000,301-208-3744,,,,,,,Approved,2/18/2010,6/29/2010,Y,WWW.AFCASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"26,404,799.00","923,395.00","27,328,194.00",135,2,137,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,126450,801-65941,CALDWELL ASSET MANAGEMENT INC.,CALDWELL ASSET MANAGEMENT INC.,450 PARK AVE,STE 1900,NEW YORK,NY,UNITED STATES,10022,212-220-4260,212-644-6344,,,,,,,Approved,1/31/2006,6/29/2010,Y,WWW.CALDWELLSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,11-25 percent,FOUNDATIONS,Y,N,N,Y,N,Y,N,,Y,"40,823,461.00",0,"40,823,461.00",14,0,14,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,146586,801-69247,"VALUED WEALTH ADVISORS, LLC","VALUED WEALTH ADVISORS, LLC",1245 E BRICKYARD RD.,STE. 160,SALT LAKE CITY,UT,UNITED STATES,84106,801-484-6004,801-303-9213,,,,,,,Approved,6/20/2008,6/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,Y,RETAINER,Y,"31,444,400.00",0,"31,444,400.00",225,0,225,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,Y,Y,N,Y,MORTGAGE LOANS,Y,Y,Y,N,N,Y,N,N,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,153278,801-71232,"V WEALTH MANAGEMENT, LLC","V WEALTH MANAGEMENT, LLC",6800 COLLEGE BLVD.,SUITE 200,OVERLAND PARK,KS,UNITED STATES,66211,913 827-4600,913 827-4602,,,,,,,Approved,4/6/2010,8/5/2010,Y,WWW.VWEALTHLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,0,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"59,369,148.00",0,"59,369,148.00",286,0,286,Y,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,108208,801-8599,INVESTMENT RESEARCH CORP,INVESTMENT RESEARCH CORP,110 16TH STREET,SUITE 1400,DENVER,CO,UNITED STATES,80202,303-626-0634,303-626-0614,,,,,,,Approved,4/26/1972,8/5/2010,Y,WWW.INVRESEARCH.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"16,056,904.00","7,891,056.00","23,947,960.00",1,28,29,Y,N,Y,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,119310,801-62780,"WATERS CAPITAL ADVISERS, LLC","WATERS CAPITAL ADVISERS, LLC",KEY BANK BUILDING,"3300 E. FIRST AVENUE, SUITE 490",DENVER,CO,USA,80206,303-333-7779,303-468-0202,,,,,,,Approved,2/5/2004,4/1/2009,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"19,000,000.00",0,"19,000,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVICE TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,127161,801-67774,"GREENWICH INVESTMENT MANAGEMENT, INC.","GREENWICH INVESTMENT MANAGEMENT, INC.",67 MASON STREET,,GREENWICH,CT,UNITED STATES,6830,203-625-5316,203-862-4527,,,,,,,Approved,6/21/2007,8/5/2010,Y,WWW.GREENWICHINVESTMENTMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"319,029,838.00",0,"319,029,838.00",376,0,376,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153060,801-71176,"SARATOGA INVESTMENT ADVISORS, LLC","SARATOGA INVESTMENT ADVISORS, LLC",535 MADISON AVENUE,4TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-906-7966,212-750-3343,,,,,,,Approved,3/16/2010,8/5/2010,Y,WWW.SARATOGAPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"96,479,570.00",0,"96,479,570.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,139987,801-67442,PORTFORMULAS INVESTING CORPORATION,PORTFORMULAS INVESTING CORPORATION,6020 EAST FULTON STREET,,ADA,MI,UNITED STATES,49301,(800)869-5994,(888)869-9411,,,,,,,Approved,2/1/2007,8/5/2010,Y,WWW.PORTFORMULAS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,51-250,0,51-250,0,51-250,0,51-250,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"81,619,678.00",0,"81,619,678.00","1,138",0,"1,138",N,Y,N,Y,N,N,N,N,N,N,,251-500,,Y,Y,N,N,N,N,N,N,N,,N,N,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,105526,801-26644,LONGER INVESTMENTS INC,LONGER INVESTMENTS INC,9 N. WEST AVENUE,,FAYETTEVILLE,AR,UNITED STATES,72701,479-443-5851,479-443-7129,P. O. BOX 1269,,FAYETTEVILLE,AR,UNITED STATES,72702,Approved,4/4/1986,8/5/2010,Y,WWW.LONGERINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AR,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"154,793,011.00","523,784.00","155,316,795.00",138,2,140,N,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,152964,801-71310,"J2 CAPITAL MANAGEMENT, INC.","J2 CAPITAL MANAGEMENT, INC.",2025 W. LONG LAKE RD.,SUITE 108,TROY,MI,UNITED STATES,48098,248-641-4444,,,,,,,,Approved,4/30/2010,8/5/2010,Y,WWW.J2CMONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"50,000,000.00",0,"50,000,000.00",478,0,478,Y,Y,N,Y,Y,N,N,N,Y,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,44274,801-63835,THINKEQUITY LLC,THINKEQUITY LLC,600 MONTGOMERY STREET,3RD FLOOR,SAN FRANCISCO,CA,UNITED STATES,94111,415-249-2900,415-772-9071,,,,,,,Approved,1/14/2005,8/5/2010,Y,WWW.THINKEQUITY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"243,471,790.00",0,"243,471,790.00",354,0,354,Y,Y,N,Y,N,Y,N,N,N,Y,PORTFOLIO REPORTING,25-Nov,,Y,N,Y,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N
NYRO,128169,801-62351,"STILLWATER CAPITAL PARTNERS,INC.","STILLWATER CAPITAL PARTNERS,INC.","41 MADISON AVENUE, 29TH FLOOR",,NEW YORK,NY,UNITED STATES,10010,212-629-7866,212-244-3707,,,,,,,Approved,9/22/2003,8/5/2010,Y,WWW.STILLWATERCAPITAL.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"668,231,025.00",0,"668,231,025.00",8,0,8,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N
PLRO,122478,801-61423,"NEW CENTURY ADVISORS, LLC","NEW CENTURY ADVISORS, LLC",7272 WISCONSIN AVENUE,SUITE 300,BETHESDA,MD,UNITED STATES,20814,301-941-1933,301 215-6451,,,,,,,Approved,8/22/2002,8/5/2010,Y,WWW.NEWCENTURYADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,11-25 percent,0 percent,0 percent,51-75 percent,UNIVERSITIES AND INVESTMENT MANAGERS FOR WHICH REGISTRANT SERVES AS SUB-ADVISOR,Y,N,N,N,N,N,N,,Y,"826,999,705.00",0,"826,999,705.00",18,0,18,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110879,801-60159,RAMIUS ALTERNATIVE SOLUTIONS LLC,RAMIUS ALTERNATIVE SOLUTIONS LLC,599 LEXINGTON AVENUE,19TH FL.,NEW YORK,NY,UNITED STATES,10022,212-845-7900,212-845-7998,,,,,,,Approved,5/11/2001,8/5/2010,Y,WWW.RAMIUS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,Nov-50,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"933,414,555.00","1,569,906,699.00","2,503,321,254.00",32,9,41,N,Y,Y,Y,N,Y,N,N,N,Y,INVESTMENT MANAGER OF HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,154532,801-71751,"ALBION WEALTH ADVISORS, INC.","ALBION WEALTH ADVISORS, INC.","61 W. PALISADE AVE., 2ND FLOOR",,ENGLEWOOD,NJ,UNITED STATES,7631,201-705-1200,201-705-1201,,,,,,,120-Day Approval,8/10/2010,8/5/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,IN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,140777,801-71320,"FIRST CITIZENS ASSET MANAGEMENT, INC","FIRST CITIZENS ASSET MANAGEMENT, INC",1230 MAIN STREET,,COLUMBIA,SC,UNITED STATES,29201,803-931-1691,803-931-1196,,,,,,,Approved,4/28/2010,8/5/2010,Y,WWW.FIRSTCITIZENSONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,SC,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"47,291,693.00","47,291,693.00",0,284,284,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110623,801-60073,"IRONWOOD INVESTMENT COUNSEL, LLC","IRONWOOD INVESTMENT COUNSEL, LLC",14646 N. KIERLAND BLVD,SUITE 135,PHOENIX,AZ,UNITED STATES,85254,602-493-4042,602-493-4045,,,,,,,Approved,3/6/2001,8/5/2010,Y,WWW.IRONWOODIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"414,848,841.00","5,131,444.00","419,980,285.00",923,55,978,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115306,801-71713,"WIXON ADVISORS, INC.",WIXON FINANCIAL SERVICES CORPORATION,6439 SYCAMORE COURT NORTH,,MAPLE GROVE,MN,UNITED STATES,55369,763-543-1819,763-543-1693,,,,,,,Approved,8/5/2010,8/5/2010,Y,WWW.WIXONADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"35,197,000.00","35,197,000.00",0,91,91,Y,Y,N,Y,N,N,N,N,N,Y,INSURANCE PLANNING AND SALES,51-100,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,149451,801-69917,"QUORUM INVESTMENT COUNSEL, LLC","QUORUM INVESTMENT COUNSEL, LLC","501 BRICKELL KEY DR., SUITE 102",,MIAMI,FL,UNITED STATES,33131,(305) 372-1611,,,,,,,,Approved,2/3/2009,8/5/2010,Y,WWW.QUORUMCOUNSEL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"55,600,000.00","123,400,000.00","179,000,000.00",76,4,80,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114298,801-71718,"TEAKWOOD FINANCIAL ADVISORS, INC.","TEAKWOOD FINANCIAL ADVISORS, INC.",,,,,,,713-465-9594,713-465-9571,,,,,,,Approved,8/26/2010,8/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"32,065,559.00",0,"32,065,559.00",54,0,54,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
HQ,136438,801-70756,NEW FINANCE CAPITAL LLP,NEW FINANCE CAPITAL LLP,"20 NORTH AUDLEY STREET, 3RD FLOOR",,LONDON,,UNITED KINGDOM,W1K 6WE,+44 207 529 6700,+44 207 529 6701,,,,,,,Approved,11/30/2009,8/5/2010,Y,WWW.NEWFINANCECAPITAL.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,Nov-50,0,26-100,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,000,000,000.00",0,"3,000,000,000.00",30,0,30,N,N,N,Y,N,Y,N,N,N,Y,PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,116836,801-61846,"FOCUS WEALTH MANAGEMENT, LTD.","FOCUS WEALTH MANAGEMENT, LTD.",112 WEST WASHINGTON STREET,SUITE 201,MIDDLEBURG,VA,UNITED STATES,20117,540-931-9051,540-931-9024,P. O. BOX 327,,MIDDLEBURG,VA,UNITED STATES,20118,Approved,3/21/2003,8/5/2010,Y,WWW.FOCUS-WEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"113,040,039.00",0,"113,040,039.00",253,0,253,Y,Y,N,N,N,N,N,N,N,Y,INSURANCE CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,40395,801-51940,"BRECEK & YOUNG ADVISORS, INC.","BRECEK & YOUNG ADVISORS, INC.",1110 IRON POINT RD STE 100,,FOLSOM,CA,UNITED STATES,95630,866-822-9880,916-932-4140,,,,,,,Approved,5/22/1996,8/5/2010,Y,WWW.IRONPOINTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,51-250,0,More than 500,"1,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"270,752,180.00","3,029,557.00","273,781,737.00","1,707",5,"1,712",N,Y,N,N,Y,N,N,N,N,Y,REGISTRANT ALSO PROVIDES MODEL PORTFOLIO SERVICES TO OTHER TURN-KEY ASSET MANAGEMENT PLATFORMS,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
NYRO,132466,801-64744,"FIRST PRINCIPLES CAPITAL MANAGEMENT, LLC","FIRST PRINCIPLES CAPITAL MANAGEMENT, LLC",140 BROADWAY,18TH FLOOR,NEW YORK,NY,USA,10005,212-380-2280,212-380-2290,,,,,,,Approved,10/3/2005,8/5/2010,Y,WWW.FPCMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,25-Nov,0,0 percent,51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"4,016,366,235.00","3,837,003,032.00","7,853,369,267.00",23,1,24,N,Y,N,Y,N,N,N,N,N,Y,MANAGE PORTFOLIOS FOR POOLED PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,110518,801-45628,"SECURITIES AMERICA ADVISORS, INC.","SECURITIES AMERICA ADVISORS, INC.",12325 PORT GRACE BLVD,,LA VISTA,NE,UNITED STATES,68128-8204,402-399-9111,402-384-7575,P.O. BOX 460001,,PAPILLION,NE,UNITED STATES,68046,Approved,1/25/1994,8/5/2010,Y,WWW.SECURITIESAMERICA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,More than 1000,"1,800",More than 1000,"1,400",More than 1000,"1,400",51-250,0,More than 500,"20,200",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"5,559,354,965.00","830,394,789.00","6,389,749,754.00","35,834","4,608","40,442",Y,Y,N,Y,Y,Y,Y,N,N,N,,More than 500,2300,Y,Y,N,N,N,N,N,N,N,,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,N,Y,N,N,N,N
LARO,14455,801-70084,"UNIONBANC INVESTMENT SERVICES, LLC","UNIONBANC INVESTMENT SERVICES, LLC","445 S. FIGUEROA STREET, 2ND FLOOR",,LOS ANGELES,CA,UNITED STATES,90071,213-236-7884,213-236-7332,,,,,,,Approved,8/14/2009,8/5/2010,Y,WWW.UNIONBANK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,251-500,0,51-250,0,251-500,0,5-Jan,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"107,913,658.00",0,"107,913,658.00",547,0,547,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,Y,Y,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,Y,N,N,N,N
NYRO,128714,801-62422,"REDFIELD, BLONSKY & CO., LLC","REDFIELD, BLONSKY & CO., LLC",15 NORTH UNION AVENUE,,CRANFORD,NJ,USA,7016,908-276-7226,908-276-7274,P.O. BOX 1103,,CRANFORD,NJ,USA,07016-1103,Approved,10/16/2003,8/5/2010,Y,WWW.RBCPA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"44,563,605.00",0,"44,563,605.00",365,0,365,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109688,801-57219,"BBR PARTNERS, LLC","BBR PARTNERS, LLC",TWO GRAND CENTRAL TOWER,"140 EAST 45TH STREET, 26TH FLOOR",NEW YORK,NY,UNITED STATES,10017,212-313-9870,212-692-9492,,,,,,,Approved,2/8/2000,8/27/2010,Y,WWW.BBRPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,More than 500,500,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"3,734,984,887.00","363,957,185.00","4,098,942,072.00",649,18,667,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,7870,801-60469,"TD AMERITRADE, INC.","TD AMERITRADE, INC.",1005 N AMERITRADE PLACE,,BELLEVUE,NE,USA,68005,402-970-5281,402-970-3440,,,,,,,Approved,8/22/2001,8/27/2010,Y,WWW.TDAINSTITUTIONAL.COM,N,N,N,N,N,N,N,N,N,Y,N,N,N,Corporation,,NY,UNITED STATES,More than 1000,"5,000",501-1000,0,More than 1000,"3,000",0,0,More than 500,"15,000",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,"PERCENTAGE OF ADVISORY FEE,PORTION OF ALL INCLUSIVE FEE",N,0,0,0,0,0,0,N,N,N,N,N,Y,N,N,N,N,,,,Y,N,Y,N,N,N,N,N,N,,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,Y,N,N,N,N
BRO,127431,801-62171,"DECISION ECONOMICS, INCORPORATED","DECISION ECONOMICS, INCORPORATED","ONE BOSTON PLACE, SUITE 1650",,BOSTON,MA,USA,02108-4402,617-994-0500,617-994-0501,,,,,,,Approved,7/8/2003,8/27/2010,Y,WWW.DECISIONECONOMICSINC.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,101-250,0,0 percent,Up to 10 percent,11-25 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,,N,N,Y,Y,N,N,N,,N,0,0,0,0,0,0,N,N,Y,N,N,Y,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,137839,801-71562,Q3 ASSET MANAGEMENT CORPORATION,Q3 ASSET MANAGEMENT CORPORATION,2175 COLE STREET,,BIRMINGHAM,MI,UNITED STATES,48009,(248) 566-1122,(888) 439-2572,,,,,,,Approved,6/14/2010,8/27/2010,Y,WWW.Q3AM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,10-Jun,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,Y,N,N,N,N,,Y,"25,271,000.00",0,"25,271,000.00",240,0,240,Y,Y,N,Y,N,N,Y,N,Y,Y,CONSULTATION SERVICES,51-100,,N,N,N,N,N,N,N,N,Y,RELATED PERSON IS A INTRODUCING BROKER,Y,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,127216,801-68893,INFINITI WEALTH MANAGEMENT,"DURANTE & WATERS, LLC",2424 ROUTE 6,,BREWSTER,NY,UNITED STATES,10509,(845) 278-8638,(845) 278-8640,,,,,,,Approved,3/4/2008,8/27/2010,Y,WWW.DWADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"30,210,122.00",0,"30,210,122.00",65,0,65,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,127590,801-62384,BLACK RIVER ASSET MANAGEMENT LLC,BLACK RIVER ASSET MANAGEMENT LLC,12700 WHITEWATER DRIVE,,MINNETONKA,MN,UNITED STATES,55343,952-984-3524,952-984-3806,,,,,,,Approved,9/29/2003,8/27/2010,Y,WWW.BLACK-RIVER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,FOREIGN GOVERNMENT ENTITIES,Y,N,N,N,N,Y,N,,Y,"4,739,176,582.00",0,"4,739,176,582.00",30,0,30,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,Y,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110933,801-60694,"ALPINE INVESTMENT MANAGEMENT,LLC","ALPINE INVESTMENT MANAGEMENT,LLC",8000 MARYLAND AVE,SUITE 700,ST. LOUIS,MO,UNITED STATES,63105,314-932-1010,314-932-1111,,,,,,,Approved,11/13/2001,8/27/2010,Y,WWW.ALPINE-INVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,SMA ACCOUNTS,Y,N,N,N,N,N,N,,Y,"152,899,553.00",0,"152,899,553.00",93,0,93,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,142135,801-69778,"TLA CAPITAL MANAGEMENT, LLC","TLA CAPITAL MANAGEMENT, LLC",3 LAGOON DRIVE,SUITE 150,REDWOOD SHORES,CA,UNITED STATES,94065,(650) 610-9368,,,,,,,,Approved,1/2/2009,8/27/2010,Y,WWW.TLACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"92,379,911.00",0,"92,379,911.00",120,0,120,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,104795,801-35218,"BLANKINSHIP & FOSTER, LLC","BLANKINSHIP & FOSTER, LLC",420 STEVENS AVENUE,SUITE 250,SOLANA BEACH,CA,UNITED STATES,92075,858-755-5166,858-755-5358,,,,,,,Approved,7/1/1989,8/27/2010,Y,WWW.BFADVISERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"292,000,000.00",0,"292,000,000.00",975,0,975,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,138476,801-65208,"TRADEWINDS GLOBAL INVESTORS, LLC","TRADEWINDS GLOBAL INVESTORS, LLC",2049 CENTURY PARK EAST,20TH FLOOR,LOS ANGELES,CA,UNITED STATES,90067-3120,310-552-8900,310-552-8910,,,,,,,Approved,12/16/2005,8/27/2010,Y,WWW.NUVEEN.COM/TRADEWINDS,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,5-Jan,0,More than 500,"46,500",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,"EDUCATIONAL INSTITUTIONS, OTHERS NOT INDICATED ABOVE.",Y,N,N,N,N,Y,N,,Y,"25,388,600,000.00",0,"25,388,600,000.00","46,080",0,"46,080",N,Y,Y,Y,N,N,N,N,N,Y,PRIVATE FUNDS,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N
CHRO,153527,801-71341,"HARBOR WEALTH MANAGEMENT, LLC","HARBOR WEALTH MANAGEMENT, LLC",,,,,,,920-434-5310,920-434-4967,,,,,,,120-Day Approval,4/30/2010,8/28/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"31,900,000.00",0,"31,900,000.00",157,0,157,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,154248,801-71585,OAK TREE ASSET MANAGEMENT,"OAK TREE ASSET MANAGEMENT, INC.",1237 N. RIVERSIDE AVENUE,SUITE 25,MEDFORD,OR,UNITED STATES,97501,800-971-8070,800-971-8075,,,,,,,120-Day Approval,6/23/2010,8/28/2010,Y,WWW.OAKTREEAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"44,700,000.00",0,"44,700,000.00",97,0,97,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153280,801-71230,"PIRMANN FINANCIAL SERVICES, INCORPORATED","PIRMANN FINANCIAL SERVICES, INCORPORATED",2201 AUBURN ROAD,SUITE B,AUBURN HILLS,MI,UNITED STATES,48326,(248) 454-1970,(248) 454-1971,,,,,,,Approved,3/17/2010,8/30/2010,Y,WWW.PIRMANNFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"18,572,881.00","13,459,820.00","32,032,701.00",217,75,292,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119880,801-67471,"HORTER INVESTMENT MANAGEMENT, LLC","HORTER INVESTMENT MANAGEMENT, LLC",8316 CORNELL ROAD,,CINCINNATI,OH,UNITED STATES,45249,513-984-9933,513-984-5219,,,,,,,Approved,1/12/2007,8/30/2010,Y,WWW.PEAKFUNDMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,51-250,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"72,258,939.00","148,908.00","72,407,847.00","1,147",6,"1,153",Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
MIRO,124185,801-61691,"ANDERSON, RILEY & SPOOR, PA","ANDERSON, RILEY & SPOOR, PA",6830 CENTRAL AVENUE,SUITE A,ST. PETERSBURG,FL,USA,33707,727-322-7681/888-322-7681,727-345-3116,,,,,,,Approved,1/10/2003,8/30/2010,Y,WWW.ARSINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"133,888,979.00","2,500,000.00","136,388,979.00",580,20,600,Y,Y,N,N,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123741,801-67482,MADER & SHANNON WEALTH MANAGEMENT,"MADER & SHANNON WEALTH MANAGEMENT, INC.",4505 MADISON,,KANSAS CITY,MO,USA,64111,816-751-0585,816-751-0586,,,,,,,Approved,1/12/2007,8/30/2010,Y,WWW.MADERSHANNON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"72,166,992.00","378,737.00","72,545,729.00",304,6,310,Y,Y,N,Y,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105310,801-31294,"KRASNEY FINANCIAL, LLC","KRASNEY FINANCIAL, LLC",5 COLD HILL ROAD,SUITE 5,MENDHAM,NJ,UNITED STATES,7945,973-543-6660,973-543-9033,,,,,,,Approved,1/15/1988,8/30/2010,Y,WWW.KRASNEYFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"234,136,155.00",0,"234,136,155.00",609,0,609,Y,Y,N,Y,N,Y,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,112685,801-60365,"TCG ADVISORS, LP","TOTAL COMPENSATION GROUP INVESTMENT ADVISORY SERVICES, LP",900 S. CAPITOL OF TEXAS HWY,SUITE 350,AUSTIN,TX,UNITED STATES,78746,512-306-9939,512-306-9959,,,,,,,Approved,6/29/2001,8/30/2010,Y,WWW.TCGINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,26-50 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"177,409,610.00","55,450,124.00","232,859,734.00",374,41,415,Y,Y,N,Y,Y,N,Y,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106926,801-46919,TRUST ADVISORY GROUP LTD,TRUST ADVISORY GROUP LTD,161 ASH STREET,,READING,MA,USA,1867,781-942-5070,781-942-5075,,,,,,,Approved,7/25/1994,8/30/2010,Y,HTTP//WWW.TRUSTADVISORYGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"88,474,606.00",0,"88,474,606.00",459,0,459,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,Y,Y,N,N,Y,N,N,,N,N,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104952,801-27662,TOTH FINANCIAL ADVISORY CORP,TOTH FINANCIAL ADVISORY CORP,608 SOUTH KING STREET,SUITE 300,LEESBURG,VA,UNITED STATES,20175,703-443-8684,703-669-4577,,,,,,,Approved,8/21/1986,8/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"194,090,012.00",0,"194,090,012.00","1,028",0,"1,028",Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,113364,801-60356,"SOUTHPORT CAPITAL, INC.",LIVINGSTON GROUP ASSET MANAGEMENT COMPANY,ONE UNION SQUARE SUITE 300,,CHATTANOOGA,TN,UNITED STATES,37402-2936,423-265-2700,423-265-3560,,,,,,,Approved,6/8/2001,8/30/2010,Y,WWW.SOUTHPORTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"128,975,034.00",0,"128,975,034.00",307,0,307,Y,Y,N,Y,Y,N,N,N,Y,Y,GENERAL ADVICE ON INVESTMENTS,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,154873,801-71778,"LONG TERM ADVISORS, INC","LONG TERM ADVISORS, INC","411 SOUTH SANGAMON STREET, SUITE 5 B",,CHICAGO,IL,UNITED STATES,60607-3538,312-421-5050,312-421-9366,,,,,,,120-Day Approval,8/24/2010,8/30/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO REVIEW ON AN HOURLY BASIS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114222,801-62572,"DISCOVERY MANAGEMENT, LTD.","DISCOVERY MANAGEMENT, LTD.",100 CRESCENT COURT,SUITE 1150,DALLAS,TX,USA,75201,214-880-4602,214-880-4642,,,,,,,Approved,1/9/2004,8/30/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"3,869,400.00","56,055,340.00","59,924,740.00",1,1,2,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MAN. FOR HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,126241,801-65998,TOWNSEND WEALTH MANAGEMENT,"TOWNSEND PERSONAL FINANCIAL PLANNING, LLC",6867 MOUNTAINBROOK DR.,SUITE 102,COLUMBUS,GA,UNITED STATES,31904,706-221-8200,706-221-8600,,,,,,,Approved,2/21/2006,8/30/2010,Y,WWW.TOWNSENDWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"42,621,417.00","1,496,753.00","44,118,170.00",280,6,286,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,123991,801-71741,KALTBAUM CAPITAL MANAGEMENT,"INVESTORS EDGE, LLC",201 S ORANGE AVE.,STE. 1017,ORLANDO,FL,UNITED STATES,32801,407-514-3180,407-648-1472,,,,,,,120-Day Approval,8/16/2010,8/30/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,Y,PROVIDES FOR A FEE INTRADAY AND END-OF-DAY EMAIL ALERTS.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,4031,801-56151,"HORNOR, TOWNSEND & KENT, INC.","HORNOR, TOWNSEND & KENT, INC.",600 DRESHER RD,STE C1C,HORSHAM,PA,US,19044,215-957-7300,215-957-7334,,,,,,,Approved,2/25/1999,8/30/2010,Y,WWW.HTK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,501-1000,0,501-1000,0,501-1000,0,0,0,More than 500,"4,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,"TRAIL COMMISSIONS, ASSET-BASED DISTRIBUTION FEES, OR 12B-1 FEES",Y,"53,451,929.00","886,955,374.00","940,407,303.00",98,"3,687","3,785",Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,Y,N,Y,N,N,N,Y,N,N,,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
CHRO,149894,801-70268,"SINGER PARTNERS, LLC","SINGER PARTNERS, LLC",914 GREEN BAY ROAD,,WINNETKA,IL,UNITED STATES,60093,847-716-3131,,,,,,,,Approved,7/10/2009,8/30/2010,Y,WWW.SINGERLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"11,000,000.00","127,000,000.00","138,000,000.00",2,2,4,N,N,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139012,801-65715,MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED,MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED,"SALTIRE COURT, 20 CASTLE TERRACE",,EDINBURGH,,UNITED KINGDOM,EH1 2ES,44 131 229 5252,44 131 228 5959,,,,,,,Approved,1/27/2006,8/30/2010,Y,WWW.MARTINCURRIE.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,,UNITED KINGDOM,251-500,0,Nov-50,0,5-Jan,0,0,0,101-250,0,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,51-75 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"12,516,664,491.00","45,051,837.00","12,561,716,328.00",124,2,126,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR UNREGISTERED POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110909,801-14261,MARTIN CURRIE INC,MARTIN CURRIE INC,SALTIRE COURT,20 CASTLE TERRACE,EDINBURGH,,UNITED KINGDOM,EH1 2ES,44 131 229 5252,44 131 228 5959,,,,,,,Approved,11/27/1978,8/30/2010,Y,WWW.MARTINCURRIE.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,101-250,0,0 percent,26-50 percent,0 percent,11-25 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"6,086,032,167.00","55,515,675.00","6,141,547,842.00",49,2,51,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109133,801-55883,JACOBS & COMPANY,JACOBS & COMPANY,300 SUMMERS STREET,SUITE 970,CHARLESTON,WV,UNITED STATES,25301,304-342-3535,304-342-9726,,,,,,,Approved,9/22/1998,8/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"26,685,836.00",0,"26,685,836.00",53,0,53,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124281,801-64585,"DICKMEYER BOYCE FINANCIAL MANAGEMENT, INC","DICKMEYER BOYCE FINANCIAL MANAGEMENT, INC",6510 CONSTITUTION DRIVE,,FORT WAYNE,IN,UNITED STATES,46804-1550,260-436-2051,260-436-2536,,,,,,,Approved,8/11/2005,2/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"68,614,848.00",0,"68,614,848.00",133,0,133,Y,Y,N,Y,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,135729,801-66225,"BORER DENTON & ASSOCIATES, INC.","BORER DENTON & ASSOCIATES, INC.","610 SENTRY PARKWAY, SUITE 100",,BLUE BELL,PA,USA,19422,610-238-0888,610-238-9989,,,,,,,Approved,2/7/2006,2/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"51,094,538.00","28,564,744.00","79,659,282.00",75,31,106,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,117568,801-69874,ASSOCIATED PROFESSIONAL INVESTMENTS,"ASSOCIATED PROFESSIONAL INVESTMENTS, LLC",152 N. POWER ROAD,SUITE 1,MESA,AZ,UNITED STATES,85205,480.981.0551,480.981.0804,,,,,,,Approved,1/13/2009,2/23/2010,Y,WWW.APIMESAAZ.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,SELECTION OF OTHER ADVISORS,Y,"27,878,822.00",0,"27,878,822.00",201,0,201,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111773,801-43106,"FOREST INVESTMENT MANAGEMENT, LLC","FOREST INVESTMENT MANAGEMENT, LLC",53 FOREST AVENUE,,OLD GREENWICH,CT,UNITED STATES,06870-1526,203-698-0044,203-637-7999,,,,,,,Approved,1/26/1993,2/23/2010,Y,WWW.FORESTINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,11-25 percent,Up to 10 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"397,880,653.00",0,"397,880,653.00",5,0,5,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,125820,801-67217,SILVERSAGE ADVISORS,SILVERSAGE ADVISORS,"19200 VON KARMAN AVENUE,",SUITE 370,IRVINE,CA,USA,92612,949-223-5175,949-223-5183,,,,,,,Approved,2/9/2007,2/23/2010,Y,WWW.SILVERSAGEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"52,063,816.00","1,680,164.00","53,743,980.00",216,8,224,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108376,801-56897,"PARADIGM GLOBAL ADVISORS, LLC","PARADIGM GLOBAL ADVISORS, LLC",2 OVERHILL ROAD,SUITE 400,SCARSDALE,NY,UNITED STATES,10583,914-220-8357,914-358-0039,,,,,,,Approved,10/27/1999,2/23/2010,Y,PARADIGMHEDGEFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,INSURANCE COMPANIES - NON-US,Y,N,N,N,N,Y,Y,CONSULTING FEES,Y,"190,060,020.00",0,"190,060,020.00",8,0,8,N,N,N,Y,N,N,N,N,N,Y,PRIVATE INVESTMENT VEHICLES,,,N,N,N,N,Y,N,N,N,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,132580,801-63529,OMEGA WEALTH MANAGEMENT LLC,OMEGA WEALTH MANAGEMENT LLC,200 N. GLEBE ROAD,SUITE 812,ARLINGTON,VA,UNITED STATES,22203,703-387-0919,703-387-0918,,,,,,,Approved,9/30/2004,2/23/2010,Y,WWW.OMEGAWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"46,756,956.00","46,756,956.00",0,306,306,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,135812,801-64508,"ALLODIUM INVESTMENT CONSULTANTS, LLC","ALLODIUM INVESTMENT CONSULTANTS, LLC",500 WASHINGTON AVENUE SOUTH,SUITE 2015,MINNEAPOLIS,MN,UNITED STATES,55415-1151,612-230-3700,612-234-4409,,,,,,,Approved,7/7/2005,2/23/2010,Y,WWW.AICRIA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"141,453,230.00",0,"141,453,230.00",338,0,338,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107309,801-661,MEYER HANDELMAN COMPANY LLC,MEYER HANDELMAN COMPANY LLC,RECKSON EXECUTIVE PARK 4 INTERNATIONAL DR,,RYE BROOK,NY,UNITED STATES,10573-1056,914-939-4060,914-939-4066,P.O. BOX 817,,PURCHASE,NY,UNITED STATES,10577-0817,Approved,8/19/1951,2/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,PERSONAL HOLDING COMPANIES & FAMILY PARTNERSHIPS,Y,N,N,Y,N,N,N,,Y,"1,174,069,309.00","237,477,195.00","1,411,546,504.00",342,5,347,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,104839,801-15482,CHARLESWORTH & RUGG INC,CHARLESWORTH & RUGG INC,20750 VENTURA BLVD STE 420,,WOODLAND HILLS,CA,USA,91364,818-340-0157,818-702-8851,,,,,,,Approved,7/31/1980,2/23/2010,Y,WWW.CHARLESWORTHRUGG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"83,211,418.00","3,208,575.00","86,419,993.00",133,1,134,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,128174,801-70277,"RETIREMENT COUNSELING ASSOCIATES, LLC","RETIREMENT COUNSELING ASSOCIATES, LLC",191 POST ROAD WEST,,WESTPORT,CT,UNITED STATES,6880,(203) 222-9393,(203) 222-2202,PO BOX 169,,WESTPORT,CT,UNITED STATES,06881-0169,Approved,6/17/2009,2/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"46,405,456.00",0,"46,405,456.00",283,0,283,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107639,801-38245,"TANGLEWOOD WEALTH MANAGEMENT, INC.","TANGLEWOOD WEALTH MANAGEMENT, INC.",1400 POST OAK BLVD,SUITE 550,HOUSTON,TX,UNITED STATES,77056,713-840-8880,713-622-7307,,,,,,,Approved,1/25/1991,2/23/2010,Y,WWW.TANGLEWOODWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"561,390,409.00",0,"561,390,409.00",706,0,706,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114571,801-69005,"OXFORD ASSET MANAGEMENT, LLC","OXFORD ASSET MANAGEMENT, LLC",5800 PADRE BLVD,SUITE 210,SOUTH PADRE ISLAND,TX,UNITED STATES,78597-4181,956-772-9530,956-772-9532,PO BOX 40181,,SOUTH PADRE ISLAND,TX,UNITED STATES,78597-4181,Approved,4/28/2008,2/23/2010,Y,WWW.OXFORDASSETMANAGEMENT.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"98,000,000.00",0,"98,000,000.00",732,0,732,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,134015,801-66004,"QUANTAL ASSET MANAGEMENT, LLC.","QUANTAL ASSET MANAGEMENT, LLC.",455 MARKET ST.,SUITE 1200,SAN FRANCISCO,CA,USA,94105,415-644-0754,4156440948,,,,,,,Approved,1/27/2006,5/29/2008,Y,WWW.QUANTAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"50,000,000.00",0,"50,000,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,131958,801-63448,"VARDE MANAGEMENT INTERNATIONAL, L.P.","VARDE MANAGEMENT INTERNATIONAL, L.P.",8500 NORMANDALE LAKE BLVD,SUITE 1500,MINNEAPOLIS,MN,UNITED STATES,55437-3813,952-893-1554,952-893-9613,,,,,,,Approved,8/19/2004,3/31/2010,Y,WWW.VARDE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"283,188,672.00",0,"283,188,672.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,22549,801-65646,BURNHAM SECURITIES INC,BURNHAM SECURITIES INC.,1325 AVENUE OF THE AMERICAS,26TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-262-3100,212-603-7525,,,,,,,Approved,1/27/2006,3/31/2010,Y,WWW.BURNHAMFINANCIAL.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,NY,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,N,Y,N,N,,Y,"98,351,532.00",0,"98,351,532.00",252,0,252,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,Y,N,N,N,Y,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
HQ,105819,801-25482,ROGGE GLOBAL PARTNERS,ROGGE GLOBAL PARTNERS PLC,SION HALL 56 VICTORIA EMBANKMENT,,LONDON ENGLAND,,UNITED KINGDOM,EC4Y0DZ,+44 20 7842 8420,+44 20 7842 8421,,,,,,,Approved,9/30/1985,3/31/2010,Y,WWW.ROGGE.CO.UK,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,51-250,0,Nov-50,0,0,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,51-75 percent,NON-US CLIENTS,Y,N,N,Y,N,Y,N,,Y,"24,471,494,611.00",0,"24,471,494,611.00",105,0,105,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146161,801-68753,"TEN-SIXTY ASSET MANAGEMENT, LLC","TEN-SIXTY ASSET MANAGEMENT, LLC",750 THIRD AVE.,9TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-572-9627,212-572-9628,,,,,,,Approved,2/7/2008,3/31/2010,Y,HTTP://WWW.TEN-SIXTY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"193,667,552.00","1,718,396,960.00","1,912,064,512.00",96,2,98,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT ANALYTIC SERVICE,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110382,801-13081,HABERER REGISTERED INVESTMENT ADVISOR INC,HABERER REGISTERED INVESTMENT ADVISOR INC,201 E FIFTH ST,SUITE 1100,CINCINNATI,OH,UNITED STATES,45202,513-381-8200,513-345-6347,,,,,,,Approved,6/9/1977,3/31/2010,Y,WWW.HABERER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"601,422,053.00","8,301,585.00","609,723,638.00","1,354",46,"1,400",Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N
BRO,118729,801-60839,CABOT PROPERTIES L.P.,CABOT PROPERTIES L.P.,ONE BEACON STREET,SUITE 1700,BOSTON,MA,UNITED STATES,2108,617-723-7400,617-723-4200,,,,,,,Approved,12/7/2001,3/31/2010,Y,WWW.CABOTPROP.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,TWO LIMITED PARTNERSHIPS,N,N,N,Y,N,Y,N,,N,0,0,0,0,0,0,N,N,N,Y,Y,N,N,N,N,Y,MANAGEMENT OF REAL ESTATE-RELATED ASSETS,,,N,N,N,N,N,N,N,N,Y,REAL ESTATE INVESTMENT AND MANAGEMENT,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126044,801-66940,"JRF ASSET ADVISORS, LLC.","JRF ASSET ADVISORS, LLC.",100 QUENTIN ROOSEVELT BLVD,SUITE 516,GARDEN CITY,NY,UNITED STATES,11530,516-622-0024,516-495-5655,,,,,,,Approved,6/30/2006,3/31/2010,Y,WWW.JRFADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"44,132,515.00","44,132,515.00",0,118,118,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,126208,801-62034,"VANTAGE INVESTMENT ADVISORS, LLC","VANTAGE INVESTMENT ADVISORS, LLC",8500 SHAWNEE MISSION PARKWAY,SUITE 220,MERRIAM,KS,UNITED STATES,66202,913-895-0435,913-895-0356,,,,,,,Approved,5/1/2003,3/31/2010,Y,WWW.VANTAGEINVESTMENTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,51-75 percent,INSURANCE COMPANIES,Y,Y,N,Y,N,N,N,,Y,"904,714,542.00",0,"904,714,542.00",175,0,175,N,Y,N,Y,N,N,N,N,N,Y,CONSULTING,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107278,801-40257,LANDMARK ADVISERS INC,LANDMARK ADVISERS INC,ATTN: ANTOINETTE LAZARUS,10 MILL POND LANE,SIMSBURY,CT,UNITED STATES,06070-2429,860-651-9760,860-651-8890,,,,,,,Approved,11/25/1991,3/31/2010,Y,WWW.LANDMARKPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,081,270,625.00",0,"1,081,270,625.00",5,0,5,N,N,N,Y,N,N,N,N,N,Y,FUND OF FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
FWRO,108149,801-57618,NATIVE AMERICAN FUND ADVISORS LLC,NATIVE AMERICAN FUND ADVISORS LLC,15 WEST 6TH STREET,SUITE 2401,TULSA,OK,UNITED STATES,74119,918-582-9823,918-587-6502,,,,,,,Approved,6/28/2000,3/31/2010,Y,WWW.INDIANFUNDADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,51-75 percent,INDIAN TRIBAL ENTITIES,Y,Y,N,N,N,Y,N,,Y,"211,109,801.00","594,279.00","211,704,080.00",7,6,13,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,Y,LIFE INSURANCE,N,,N,Y,N,Y,N,N,N,Y,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,144549,801-68158,"PARR FINANCIAL GROUP, LLC","PARR FINANCIAL GROUP, LLC","5100 POPLAR AVENUE, SUITE 3117",,MEMPHIS,TN,USA,38137,901-680-5266,901-680-5587,,,,,,,Approved,7/11/2007,3/31/2010,Y,WWW.THEUSXCHINAFUND.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,Up to 10 percent,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"28,607,383.00",0,"28,607,383.00",10,0,10,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,105326,801-27723,LBS CAPITAL MANAGEMENT INC,LBS CAPITAL MANAGEMENT INC,,,,,,,[727] 726-5656,[727] 726-2517,"4532 W KENNEDY BLVD., #310",,TAMPA,FL,UNITED STATES,33609,Approved,9/8/1986,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,Nov-50,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,INVESTMENT ADVISORS,Y,N,N,N,N,N,Y,SUB-ADVISORY FEES,Y,"38,669,701.00",0,"38,669,701.00",187,0,187,N,Y,N,N,N,N,N,N,N,Y,SUB-ADVISOR TO REGISTERED INVESTMENT ADVISOR,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,Y,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108009,801-55057,"VARDE PARTNERS, L.P.","VARDE PARTNERS, L.P.",8500 NORMANDALE LAKE BLVD,SUITE 1500,MINNEAPOLIS,MN,UNITED STATES,55437,952-893-1554,952-893-9613,,,,,,,Approved,11/21/1997,3/31/2010,Y,WWW.VARDE.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,"5,823,798,635.00",0,"5,823,798,635.00",21,0,21,N,N,N,N,N,N,N,N,N,Y,PRIVATE FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108314,801-44613,AFW WEALTH ADVISORS,AFW ASSET MANAGEMENT INC,3020 WESTCHESTER AVE,,PURCHASE,NY,UNITED STATES,10577,914-696-5300,914-696-5308,,,,,,,Approved,10/27/1993,3/31/2010,Y,WWW.AFW.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),S-CORP,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"136,973,000.00","342,000.00","137,315,000.00",703,11,714,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,127739,801-62369,"CWC ADVISORS, LLC","CLELAND WOOLWORTH CAPITAL GROUP, LLC",5800 MEADOWS ROAD,SUITE 230,LAKE OSWEGO,OR,USA,97035,503-968-0950,503-968-0898,,,,,,,Approved,10/2/2003,3/31/2010,Y,CWCGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"95,256,000.00","6,686,000.00","101,942,000.00",602,52,654,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104932,801-30786,COLUMBIA RIDGE CAPITAL MANAGEMENT,"COLUMBIA RIDGE CAPITAL MANAGEMENT, INC.",520 COLUMBIA DRIVE,SUITE 103,JOHNSON CITY,NY,UNITED STATES,13790,607-584-4141,607-584-4149,,,,,,,Approved,11/23/1987,3/31/2010,Y,WWW.COLUMBIARIDGECM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"61,079,147.00","18,137,980.00","79,217,127.00",348,9,357,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105631,801-9613,"MERCER INVESTMENT CONSULTING, INC.","MERCER INVESTMENT CONSULTING, INC.",155 NORTH WACKER DRIVE,SUITE 1500,CHICAGO,IL,UNITED STATES,60606,(312) 917-9900,(312) 917-8999,,,,,,,Approved,11/8/1973,3/31/2010,Y,WWW.MERCER.COM/IC,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,KY,UNITED STATES,51-250,0,51-250,0,0,0,0,0,251-500,0,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,51-75 percent,0 percent,11-25 percent,Up to 10 percent,11-25 percent,0 percent,,Y,Y,Y,Y,N,Y,N,,Y,"779,168,510.00",0,"779,168,510.00",1,0,1,N,N,N,N,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,FINANCIAL SOFTWARE,N,N,Y,Y,N,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y
DRO,107272,801-52309,"MAXIM CAPITAL MANAGEMENT, LLC",GW CAPITAL MANAGEMENT LLC,8515 EAST ORCHARD ROAD,,GREENWOOD  VILLAGE,CO,USA,80111,303-737-3817,303-737-3827,,,,,,,Approved,6/28/1996,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,101-250,0,0 percent,0 percent,0 percent,51-75 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"8,707,318,391.00",0,"8,707,318,391.00",64,0,64,N,N,Y,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
SFRO,105538,801-11975,"DOOLITTLE & GANOS INVESTMENT COUNSEL, LLC","DOOLITTLE & GANOS INVESTMENT COUNSEL, LLC",100 CLOCK TOWER PLACE,SUITE 210,CARMEL,CA,UNITED STATES,93923,831-624-3317,831-624-0620,P.O. BOX 221610,,CARMEL,CA,UNITED STATES,93922,Approved,7/1/1976,3/31/2010,Y,WWW.DOOLITTLEGANOS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"166,176,510.00","7,992,711.00","174,169,221.00",264,4,268,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,5493,801-8259,NEUBERGER BERMAN MANAGEMENT LLC,NEUBERGER BERMAN MANAGEMENT LLC,605 THIRD AVENUE,,NEW YORK,NY,UNITED STATES,10158-0180,800-877-9700,212-476-8937,,,,,,,Approved,12/14/1971,3/31/2010,Y,NB.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,251-500,0,51-250,0,Nov-50,0,0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"27,105,628,015.00",0,"27,105,628,015.00",70,0,70,N,N,Y,N,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
PLRO,34939,801-45618,"TIFF ADVISORY SERVICES, INC.","TIFF ADVISORY SERVICES, INC.",FOUR TOWER BRIDGE,"200 BARR HARBOR DRIVE, SUITE 100",WEST CONSHOHOCKEN,PA,UNITED STATES,19428,610-684-8000,610-684-8080,,,,,,,Approved,3/15/1994,3/31/2010,Y,WWW.TIFF.ORG,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,10-Jun,0,0,0,26-100,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,Y,CARRIED INTEREST-CERTAIN PE VEHICLES,Y,"7,008,413,231.00","170,509,710.00","7,178,922,941.00",36,1,37,N,N,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,147830,801-69458,"SWISS ASSET ADVISORS, A.G.","SWISS ASSET ADVISORS, A.G.",INDUSTRIESTRASSE 47,,ZUG,,SWITZERLAND,6300,041 761 5757,041 767 5744,,,,,,,Approved,7/31/2008,3/31/2010,Y,WWW.SWISSASSETADVISORS.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SWITZERLAND,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"111,092,457.00","152,764,569.00","263,857,026.00",48,69,117,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,29722,801-60427,"NEWPORT GROUP SECURITIES, INC.","NEWPORT GROUP SECURITIES, INC.",300 INTERNATIONAL PARKWAY,SUITE 270,HEATHROW,FL,USA,32746,407-333-2905,407-333-2815,,,,,,,Approved,7/20/2001,3/31/2010,Y,WWW.NGBENEFITS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,Nov-50,0,101-250,0,0 percent,0 percent,Up to 10 percent,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"10,402,352,539.00","10,402,352,539.00",0,155,155,N,N,N,Y,Y,Y,N,N,N,N,,0,,N,N,Y,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105412,801-8868,PEARL MANAGEMENT COMPANY,PEARL MANAGEMENT COMPANY,2610 PARK AVE,,MUSCATINE,IA,UNITED STATES,52761-5639,563-288-2773,563-288-4101,PO BOX 209,,MUSCATINE,IA,UNITED STATES,52761-5639,Approved,9/27/1972,3/31/2010,Y,WWW.PEARLFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"120,036,697.00",0,"120,036,697.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107545,801-27792,THIRD AVENUE MANAGEMENT LLC,THIRD AVENUE MANAGEMENT LLC,622 THIRD AVE,32ND FLOOR,NEW YORK,NY,UNITED STATES,10017-6715,212-888-5222,212-735-0003,,,,,,,Approved,8/29/1986,3/31/2010,Y,HTTP://WWW.THIRDAVENUEFUNDS.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,"EDUCATIONAL INSTITUTIONS, OTHER NOT FOR PROFIT ENTITIES",Y,N,N,N,N,Y,N,,Y,"15,688,112,013.00",0,"15,688,112,013.00",351,0,351,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,128138,801-62393,KNIGHT VINKE ASSET MANAGEMENT LLC,KNIGHT VINKE ASSET MANAGEMENT LLC,489 FIFTH AVENUE,,NEW YORK,NY,UNITED STATES,10017-6100,(212) 660-5720,(212) 660-5721,,,,,,,Approved,10/14/2003,3/31/2010,Y,WWW.KVAMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,Nov-50,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,26-50 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,Y,ALL SUCH FEES ARE PAID TO AFFILIATED COMPANIES.,Y,"1,401,059,106.00","603,756,256.00","2,004,815,362.00",10,3,13,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,127488,801-62377,"MORGAN STANLEY REAL ESTATE ADVISOR, INC.","MORGAN STANLEY REAL ESTATE ADVISOR, INC.",1585 BROADWAY,"REAL ESTATE FUNDS, 37TH FLOOR",NEW YORK,NY,UNITED STATES,10036,212-761-4700,212-761-0511,,,,,,,Approved,10/7/2003,3/31/2010,Y,WWW.MORGANSTANLEY.COM/REALESTATE/,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,251-500,0,251-500,0,Nov-50,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,11-25 percent,0 percent,11-25 percent,0 percent,11-25 percent,"INSURANCE COMPANIES, TAFT HARTLEY, GOVERNMENT AGENCIES (FANNIE MAE)",Y,N,N,Y,N,Y,Y,"ACQUISITION, DEBT PLACEMENT AND DISPOSITION FEES",Y,"7,454,440,792.00","1,622,493,320.00","9,076,934,112.00",3,2,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,Y,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,125830,801-68034,"LETSON INVESTMENT MANAGEMENT, INC.","LETSON INVESTMENT MANAGEMENT, INC.",,,,,,,404-237-7794,404-262-6100,,,,,,,Approved,6/19/2007,3/31/2010,Y,WWW.LETSONINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"40,852,307.00",0,"40,852,307.00",52,0,52,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,127498,801-62183,AVATAR ASSOCIATES,OAM AVATAR LLC,575 LEXINGTON AVENUE,8TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-624-1900,212-624-1934,,,,,,,Approved,6/2/2003,3/31/2010,Y,WWW.AVATAR-ASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,Nov-50,0,More than 500,"2,000",Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"659,906,551.00",0,"659,906,551.00","2,134",0,"2,134",N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,128390,801-62357,GREYBULL PARTNERS LLC,GREYBULL PARTNERS LLC,"1180 PEACHTREE STREET, NE",SUITE 2350,ATLANTA,GA,USA,30309,404-815-8772,404-815-8948,,,,,,,Approved,9/17/2003,3/31/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,565,908.00",0,"1,565,908.00",1,0,1,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,29278,801-62290,"BELLE HAVEN INVESTMENTS, L.P.","BELLE HAVEN INVESTMENTS, L.P.",1133 WESTCHESTER AVE.,SUITE 221,WHITE PLAINS,NY,UNITED STATES,10604,203-629-3323,914-694-2616,,,,,,,Approved,1/26/2006,3/31/2010,Y,WWW.BELLEHAVEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,CT,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"380,969,734.00",0,"380,969,734.00",391,0,391,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,104626,801-14147,NUVEEN ASSET MANAGEMENT,NUVEEN ASSET MANAGEMENT,333 WEST WACKER DRIVE,,CHICAGO,IL,UNITED STATES,60606,312-917-7700,312-917-6912,,,,,,,Approved,11/2/1978,3/31/2010,Y,WWW.NUVEEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,"21,000",51-75 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"84,587,521,065.00","939,370,935.00","85,526,892,000.00","21,108",1,"21,109",N,Y,Y,Y,N,Y,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107892,801-52116,CORE LLC,CORE LLC,108 CALEDONIA STREET,,SAUSALITO,CA,USA,94965,415 332 2000,415 332 2151,PO BOX 1629,,SAUSALITO,CA,,94966,Approved,10/29/1996,3/31/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,634,306.00",0,"1,634,306.00",9,0,9,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,140137,801-66688,KEMPEN CAPITAL MANAGEMENT N.V.,KEMPEN CAPITAL MANAGEMENT N.V.,BEETHOVENSTRAAT 300,,AMSTERDAM,,NETHERLANDS,1077 WZ,011-3120-348-8800,011-3120-348-8850,,,,,,,Approved,5/17/2006,3/31/2010,Y,WWW.KEMPEN.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,,NETHERLANDS,51-250,0,Nov-50,0,0,0,5-Jan,0,101-250,0,0 percent,Up to 10 percent,0 percent,26-50 percent,11-25 percent,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"15,506,710,000.00",0,"15,506,710,000.00",112,0,112,N,Y,Y,Y,Y,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,Y,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N
BRO,106894,801-32954,SEIDMAN INVESTMENT PORTFOLIOS,SEIDMAN DANIEL JAY,23 MAYFLOWER LANE,,VINEYARD HAVEN,MA,UNITED STATES,2568,508 696-0330,508 693-2519,,,,,,,Approved,9/29/1988,3/31/2010,Y,HTTP://WWW.SEIDMANSAYS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"21,239,563.00","10,700,000.00","31,939,563.00",101,1,102,Y,Y,N,Y,N,N,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105542,801-5336,"GROWTH STOCK OUTLOOK, INC",GROWTH STOCK OUTLOOK INC,4405 EAST WEST HIGHWAY,,BETHESDA,MD,UNITED STATES,20814,301-654-5205,301-986-0722,,,,,,,Approved,1/8/1969,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"190,807,522.00",0,"190,807,522.00",113,0,113,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,108899,801-57108,GLG PARTNERS INTERNATIONAL LIMITED,GLG PARTNERS INTERNATIONAL LIMITED,1 CURZON STREET,,LONDON,,UNITED KINGDOM,W1J 5HB,+4420 7016 7000,+4420 7016 7200,,,,,,,Approved,12/30/1999,3/31/2010,Y,WWW.GLG.CO.UK,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED LIABILITY COMPANY(ENGLISH LAW),,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,862,464,416.00",0,"1,862,464,416.00",10,0,10,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N
LARO,138123,801-65003,"SANTA BARBARA ASSET MANAGEMENT, LLC","SANTA BARBARA ASSET MANAGEMENT, LLC",200 EAST CARRILLO STREET,SUITE 300,SANTA BARBARA,CA,UNITED STATES,93101,805-965-4600,805-965-8700,,,,,,,Approved,12/9/2005,3/31/2010,Y,WWW.NUVEEN.COM/SANTABARBARA/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"12,000",More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,783,084,223.00","45,922,722.00","3,829,006,945.00","6,561",5,"6,566",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107707,801-21972,"RESERVE MANAGEMENT CO., INC.","RESERVE MANAGEMENT CO., INC.",C/O THE RESERVE,"1250 BROADWAY, 32ND FLOOR",NEW YORK,NY,USA,10001-3701,212-401-5500,212-401-5950,,,,,,,Approved,8/21/1984,6/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,690,406,000.00",0,"3,690,406,000.00",5,0,5,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N
PLRO,130846,801-71576,ZUNIC ADVISORY SERVICES,"ZUNIC, JEFFREY JOSEPH",,,,,,,717-764-8992,717-764-1050,,,,,,,Approved,6/24/2010,6/11/2010,Y,WWW.ZUNICADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"26,891,867.00","3,412,472.00","30,304,339.00",162,3,165,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,152649,801-71372,"URBANAMERICA PRINCIPALS II, LLC","URBANAMERICA PRINCIPALS II, LLC",15601 DALLAS PARKWAY,SUITE 600,ADDISON,TX,UNITED STATES,75001,214-655-1600,469-341-2801,,,,,,,Approved,5/27/2010,6/11/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,REAL ESTATE FUND,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,152648,801-71377,"URBANAMERICA PRINCIPALS, LLC","URBANAMERICA PRINCIPALS, LLC",15601 DALLAS PARKWAY,SUITE 600,ADDISON,TX,UNITED STATES,75001,(214) 655-1600,(469) 341-2801,,,,,,,Approved,5/27/2010,6/11/2010,Y,WWW.URBANAMERICAADVISORS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,REAL ESTATE FUND,N,N,N,N,N,N,Y,REIMBURSED FOR COSTS INCURRED IN PERFORMING ADVISORY SERVICES,N,0,0,0,0,0,0,N,N,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110766,801-38059,INVESTOR RESOURCES INC,INVESTOR RESOURCES INC,691 BETHEL AVE,SUITE B,PORT ORCHARD,WA,UNITED STATES,98366,360-895-9119,360-895-9121,P O BOX 759,,PORT ORCHARD,WA,UNITED STATES,98366-0759,Approved,1/3/1991,6/11/2010,Y,WWW.INVESTORRESOURCESINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"47,448,730.00","2,463,884.00","49,912,614.00",103,17,120,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,136144,801-65101,"MATTHES CAPITAL MANAGEMENT, LLC","MATTHES CAPITAL MANAGEMENT, LLC","ONE MARITIME PLAZA SUITE, 1555",,SAN FRANCISCO,CA,USA,94111,415-765-5155,415-788-4320,,,,,,,Approved,1/3/2006,6/11/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,PERFORMANCE-BASED PROFIT ALLOCATION,Y,"10,192,194.00",0,"10,192,194.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,134035,801-67754,"R. MEIER, INC.","R. MEIER, INC.",202 S THIRD STREET W,,FORT ATKINSON,WI,UNITED STATES,53538,920-568-3601,920-568-3603,,,,,,,Approved,4/19/2007,6/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"40,076,899.00",0,"40,076,899.00",342,0,342,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,145540,801-71536,"PROSPERITY FINANCIAL GROUP, INC.","PROSPERITY FINANCIAL GROUP, INC.",2333 SAN RAMON VALLEY BLVD.,SUITE 200,SAN RAMON,CA,UNITED STATES,94583,925-314-8506,925-314-8504,,,,,,,Approved,6/11/2010,6/11/2010,Y,WWW.PROSPERITYFG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"40,000,000.00",0,"40,000,000.00",200,0,200,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,Y,Y,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,150144,801-70110,"EFFICIENT ADVISORS, LLC","EFFICIENT ADVISORS, LLC",1500 MARKET STREET,SUITE 3310E,PHILADELPHIA,PA,UNITED STATES,19102-2101,267-613-6250,267-613-6259,,,,,,,Approved,5/1/2009,6/11/2010,Y,WWW.EFFICIENTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,Nov-50,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"38,257,237.00",0,"38,257,237.00",339,0,339,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,112364,801-41021,CORDILLERA ASSET MANAGEMENT,CORDILLERA ASSET MANAGEMENT,4175 HARLAN ST STE 250,,WHEAT RIDGE,CO,UNITED STATES,80033,303-572-6888,303-572-6885,,,,,,,Approved,3/23/1992,3/30/2009,Y,WWW.CORDILLERA.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"27,396,838.00",0,"27,396,838.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,152151,801-71404,"URBANAMERICA PRINCIPALS III, LLC","URBANAMERICA PRINCIPALS III, LLC",15601 DALLAS PARKWAY,SUITE 600,ADDISON,TX,UNITED STATES,75001,214-655-1600,469-341-2801,,,,,,,Approved,6/10/2010,6/11/2010,Y,WWW.URBANAMERICAADVISORS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,REAL ESTATE FUND,Y,N,N,N,N,N,Y,REIMBURSED FOR COSTS INCURRED IN PERFORMING ADVISORY SERVICES,N,0,0,0,0,0,0,N,N,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107157,801-46887,"TEACHERS ADVISORS, INC.","TEACHERS ADVISORS, INC.",730 THIRD AVE,21ST FLR,NEW YORK,NY,UNITED STATES,10017-3206,212-490-9000,212-916-6383,,,,,,,Approved,7/21/1994,6/12/2010,Y,TIAA-CREF.ORG,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,501-1000,0,251-500,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,0 percent,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,"ADVISOR PROVIDES INVESTMENT ADVISORY, SUB-ADVISORY AND SUPERVISORY SERVICES TO SPECIAL PURPOSE ENTITIES.",Y,N,N,N,N,N,N,,Y,"28,232,231,456.00",0,"28,232,231,456.00",76,0,76,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,107168,801-38029,TIAA-CREF INVESTMENT MANAGEMENT LLC,TIAA-CREF INVESTMENT MANAGEMENT LLC,730 THIRD AVE,21ST FLR,NEW YORK,NY,UNITED STATES,10017-3206,212-490-9000,212-916-6383,,,,,,,Approved,12/31/1990,6/12/2010,Y,TIAA-CREF.ORG,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,501-1000,0,251-500,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"173,617,836,799.00",0,"173,617,836,799.00",8,0,8,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
LARO,153991,801-71532,"TAMAR SECURITIES, LLC","TAMAR SECURITIES, LLC",21031 VENTURA BOULEVARD,STE 1101,WOODLAND HILLS,CA,UNITED STATES,91364,818-430-3922,,,,,,,,120-Day Approval,6/11/2010,6/14/2010,Y,WWW.TASSETFUND.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,Y,N,N,N,N,,0,,Y,Y,N,Y,N,N,Y,N,Y,ESTATE PLANNING/MORTGAGE,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,35830,801-58292,"WALL STREET FINANCIAL GROUP, INC","WALL STREET FINANCIAL GROUP, INC.",255 WOODCLIFF DR,,FAIRPORT,NY,UNITED STATES,14450,585-267-8000,585-267-8001,,,,,,,Approved,2/2/2001,6/14/2010,Y,WWW.WSFG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"2,000",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"301,557,530.00",0,"301,557,530.00","2,041",0,"2,041",Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,Y,N,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
FWRO,135226,801-64482,"CHOICE ADVISORY GROUP, INC.","CHOICE ADVISORY GROUP, INC.",4800 BEE CAVES ROAD,,AUSTIN,TX,UNITED STATES,78746,512-302-6060,512-302-6093,P.O. BOX 161718,,AUSTIN,TX,UNITED STATES,78716-1718,Approved,7/29/2005,6/14/2010,Y,WWW.CHOICEAMI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,Nov-50,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"47,000,000.00","1,000.00","47,001,000.00",335,1,336,Y,Y,N,Y,N,Y,Y,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
PLRO,142359,801-68058,CORNERSTONE ADVISORY LLP,CORNERSTONE ADVISORY LLP,1 EAST FRANKLIN STREET,SUITE 300,BALTIMORE,MD,USA,21202,410-468-1694,410-385-2931,,,,,,,Approved,7/5/2007,6/14/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,MD,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISORY FEES,Y,0,"110,975,031.00","110,975,031.00",0,408,408,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151109,801-71409,"NCM CAPITAL MANAGEMENT, LLC","NCM CAPITAL MANAGEMENT, LLC",,,,,,,(201) 529-1429,(888) 314-7082,PO BOX 188,,MAHWAH,NJ,UNITED STATES,7430,Approved,5/4/2010,6/14/2010,Y,WWW.NCMCAPITALMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"28,500,000.00",0,"28,500,000.00",70,0,70,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,154006,801-71579,"GRAVITY CAPITAL PARTNERS, LLC","GRAVITY CAPITAL PARTNERS, LLC",475 17TH STREET,SUITE 450,DENVER,CO,UNITED STATES,80202,303-797-0550,303-797-0436,,,,,,,120-Day Approval,6/24/2010,6/14/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108483,801-57771,STRUDWICK WEALTH STRATEGIES INC,STRUDWICK & ASSOCIATES INC,12 EAST EAGER STREET,,BALTIMORE,MD,USA,21202,410-727-6444,410-783-9070,,,,,,,Approved,7/17/2000,2/16/2005,Y,NOLOAD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"45,000,000.00","12,000,000.00","57,000,000.00",275,65,340,Y,Y,N,N,N,N,Y,N,N,N,,10-Jan,,N,N,N,Y,N,Y,Y,N,Y,LAND BANKING,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,,N,N,Y,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115290,801-60566,"RYAN CAPITAL ADVISORS, LLC","RYAN CAPITAL ADVISORS, LLC",,,,,,,952-237-1400,952-942-7279,,,,,,,Approved,9/12/2001,8/5/2009,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"6,529,980.00","6,529,980.00",0,17,17,N,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,Y,REGISTERED INVESTMENT ADVISOR,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153550,801-71331,"RICHWOOD INVESTMENT ADVISORS, LLC","RICHWOOD INVESTMENT ADVISORS, LLC",5082 WOOSTER ROAD,SUITE 100,CINCINNATI,OH,UNITED STATES,45226,(513) 871-0123,(513) 871-0124,,,,,,,120-Day Approval,4/14/2010,8/16/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,152711,801-71033,ARTISAN PARTNERS UK LLP,ARTISAN PARTNERS UK LLP,25 ST. JAMES'S STREET,3RD FLOOR,LONDON,,UNITED KINGDOM,SW1A 1HA,44-20-7766-7110,44-20-7766-7111,,,,,,,Approved,1/25/2010,8/16/2010,N,,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106189,801-46878,VICTORY CAPITAL MANAGEMENT INC.,VICTORY CAPITAL MANAGEMENT INC.,"127 PUBLIC SQUARE, 20TH FLOOR",,CLEVELAND,OH,UNITED STATES,44114-1306,216-689-0830,216-689-7179,,,,,,,Approved,5/10/1994,8/16/2010,Y,WWW.VICTORYCONNECT.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,"7,000",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,ESCROW ACCOUNTS,Y,N,N,Y,N,Y,Y,RESEARCH,Y,"41,276,965,858.00","16,503,204,939.00","57,780,170,797.00","6,686","40,664","47,350",N,Y,Y,Y,N,N,N,N,N,Y,RESEARCH - MODEL PORTFOLIOS,0,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,Y,N,Y,N,Y,N,Y,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,111370,801-15125,"TEMPLETON INVESTMENT COUNSEL, LLC","TEMPLETON INVESTMENT COUNSEL, LLC",500 E. BROWARD BLVD,SUITE 2100,FT. LAUDERDALE,FL,UNITED STATES,33394,(954) 527-7500,(954) 527-7329,,,,,,,Approved,4/7/1980,8/16/2010,Y,WWW.FRANKLINTEMPLETON.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,101-250,0,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,26-50 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"33,100,320,715.00",0,"33,100,320,715.00",120,0,120,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
BRO,105085,801-14882,FORTIS INVESTMENTS,"FORTIS INVESTMENT MANAGEMENT USA, INC.","75 STATE STREET, 27TH FLOOR",,BOSTON,MA,UNITED STATES,2109,617-478-7200,617-439-9789,,,,,,,Approved,10/26/1979,8/16/2010,Y,WWW.FORTISINVESTMENTSUSA.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,51-250,0,Nov-50,0,10-Jun,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,OFFSHORE LUX  FUNDS;FOUNDATIONS & ENDOWMENTS; CLO & CDO SPECIAL PURPOSE ENTITIES,Y,N,N,Y,N,N,N,,Y,"18,685,076,371.00","74,844,457.00","18,759,920,828.00",94,1,95,N,Y,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR EUROPEAN FUNDS,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,124147,801-62201,"FRANK, RIMERMAN ADVISORS LLC","FRANK, RIMERMAN ADVISORS LLC",1801 PAGE MILL ROAD,,PALO ALTO,CA,UNITED STATES,94304,650-845-8100,650-494-1975,,,,,,,Approved,7/1/2003,8/16/2010,Y,HTTP://WWW.FR-CO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"215,900,121.00","49,450,000.00","265,350,121.00",50,2,52,Y,Y,N,N,N,Y,N,N,N,Y,"GENERAL INVESTMENT ADVICE, PORTFOLIO EVALUATIONS, PERFORMANCE REPORTING",26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,112923,801-50373,"STERLING INVESTMENT MANAGEMENT, INC.","STERLING INVESTMENT MANAGEMENT, INC.","3561 EAST SUNRISE DRIVE, SUITE 117",,TUCSON,AZ,UNITED STATES,85718,520-293-3311,520-292-1677,,,,,,,Approved,10/16/1995,8/16/2010,Y,HTTP://WWW.STERLINGINVESTMENTMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"184,509,452.00","663,985.00","185,173,437.00",133,3,136,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105829,801-11563,LESESNE CAPITAL MANAGEMENT INC,LESESNE CAPITAL MANAGEMENT INC,3630 PEACHTREE ROAD NE,SUITE 940,ATLANTA,GA,UNITED STATES,30326,404-231-3414,404-231-9732,,,,,,,Approved,6/21/1976,8/16/2010,Y,WWW.LESESNECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"185,600,000.00",0,"185,600,000.00",237,0,237,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111289,801-55296,"TORCHLIGHT INVESTORS, LLC","TORCHLIGHT INVESTORS, LLC",230 PARK AVENUE,12TH FLOOR,NEW YORK,NY,UNITED STATES,10169,212-883-2500,212-883-2700,,,,,,,Approved,2/27/1998,8/16/2010,N,,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,200,000,000.00",0,"4,200,000,000.00",11,0,11,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,124994,801-71677,"HORIZONS WEST CAPITAL PARTNERS, LLC","HORIZONS WEST CAPITAL PARTNERS, LLC",100 TECHNOLOGY DRIVE,SUITE # 208,TRUMBULL,CT,UNITED STATES,6611,203-763-4024,203-816-8620,,,,,,,Approved,8/11/2010,8/16/2010,Y,WWW.HWCPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"8,125,365.00","18,765,123.00","26,890,488.00",5,50,55,N,Y,N,Y,N,N,N,N,N,Y,ASSET ALLOCATION CONSULTING,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150114,801-70101,ARTISAN PARTNERS LIMITED PARTNERSHIP,ARTISAN PARTNERS LIMITED PARTNERSHIP,875 EAST WISCONSIN AVENUE,SUITE 800,MILWAUKEE,WI,UNITED STATES,53202,414-390-6100,414-390-6139,,,,,,,Approved,4/9/2009,8/16/2010,Y,WWW.ARTISANPARTNERS.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,101-250,0,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,26-50 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,OTHER CLIENT TYPES NOT LISTED ABOVE,Y,N,N,N,N,Y,N,,Y,"45,592,639,665.00",0,"45,592,639,665.00",156,0,156,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,146757,801-69015,"PARTNER INVESTMENT MANAGEMENT, L.P.","PARTNER INVESTMENT MANAGEMENT, L.P.",ONE MARKET STREET,"SUITE 2200, STEUART TOWER",SAN FRANCISCO,CA,UNITED STATES,94105,415-281-1000,415-281-1076,,,,,,,Approved,4/11/2008,8/16/2010,Y,WWW.PFMLP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,117,741,657.00",0,"1,117,741,657.00",8,0,8,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT MANAGER TO PRIVATE POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,105870,801-28464,HSBC GLOBAL ASSET MANAGEMENT (TAIWAN) LIMITED,HSBC GLOBAL ASSET MANAGEMENT (TAIWAN) LIMITED,24TH FLOOR,"99 TUNHWA SOUTH RD., SECTION 2",TAIPEI,,"TAIWAN,  REPUBLIC OF CHINA",106,886-2-2325-7888,886-2-2325-9086,,,,,,,Approved,12/10/1986,8/16/2010,Y,WWW.ASSETMANAGEMENT.HSBC.COM.TW,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,"TAIWAN,  REPUBLIC OF CHINA",51-250,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,496,504,445.00",0,"3,496,504,445.00",35,0,35,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,149094,801-69863,"SKYBOX FINANCIAL GROUP, INC.","SKYBOX FINANCIAL GROUP, INC.",8792 SR 70,,BRADENTON,FL,UNITED STATES,34202,941-753-3814,941-755-7055,,,,,,,Approved,1/7/2009,8/16/2010,Y,WWW.SKYBOXFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,THIRD PARTY ADVISORY FEES,Y,"58,000,000.00","30,000,000.00","88,000,000.00",330,45,375,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,Y,N,N,N,N,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,146756,801-69014,"PARTNER ADVISORY SERVICES, L.P.","PARTNER ADVISORY SERVICES, L.P.",ONE MARKET STREET,"SUITE 2200, STEUART TOWER",SAN FRANCISCO,CA,UNITED STATES,94105,415-281-1000,415-281-1076,,,,,,,Approved,4/11/2008,8/16/2010,Y,WWW.PFMLP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"248,576,941.00",0,"248,576,941.00",4,0,4,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT MANAGER AND SUBADVISER TO PRIVATE POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,151878,801-70832,CHOTIN ASSET MANAGEMENT CORPORATION,CHOTIN ASSET MANAGEMENT CORPORATION,6400 S. FIDDLER'S GREEN CIRCLE,SUITE 1200,GREENWOOD VILLAGE,CO,UNITED STATES,80111,303-741-0100,303-741-6944,,,,,,,Approved,12/2/2009,8/16/2010,Y,WWW.CHOTIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,834,000,000.00",0,"2,834,000,000.00",8,0,8,N,N,N,N,N,N,N,N,N,Y,CDO COLLATERAL MANAGER/ADVISOR,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,138151,801-65765,"GRATUS CAPITAL MANAGEMENT, LLC","GRATUS CAPITAL MANAGEMENT, LLC",1300 PARKWOOD CIRCLE,SUITE 170,ATLANTA,GA,UNITED STATES,30339,404-961-6000,404-961-6020,,,,,,,Approved,1/26/2006,8/17/2010,Y,WWW.GRATUSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"145,418,340.00","10,693,444.00","156,111,784.00",292,54,346,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,Y,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108941,801-55657,PLANFIRST INC,PLANFIRST INC,9 HALTON GREEN WAY,,GREENVILLE,SC,UNITED STATES,29607,864-233-7405,864-232-7153,,,,,,,Approved,6/22/1998,8/17/2010,Y,WWW.PLANFIRST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,SC,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"190,349,358.00",0,"190,349,358.00","1,079",0,"1,079",Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,100,801-68111,1914 ADVISORS,"BOENNING & SCATTERGOOD, INC.","FOUR TOWER BRIDGE, 200 BARR HARBOR DRIVE",SUITE 300,WEST CONSHOHOCKEN,PA,UNITED STATES,19428,610-832-1212,610-832-1232,,,,,,,Approved,8/1/2007,8/17/2010,Y,HTTP://WWW.BOENNINGANDSCATTERGOOD.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"218,469,938.00","160,233,740.00","378,703,678.00",268,364,632,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,N
PLRO,149877,801-70045,ROTHSCHILD CAPITAL MANAGEMENT,"ROTHSCHILD CAPITAL MANAGEMENT, LLC",1122 KENILWORTH DRIVE,SUITE 317,TOWSON,MD,UNITED STATES,21204,410-339-6990,410-339-6993,,,,,,,Approved,3/31/2009,8/17/2010,Y,WWW.ROTHCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"475,975,000.00",0,"475,975,000.00",73,0,73,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,151800,801-70704,HERMES FUND MANAGERS (NORTH AMERICA) LP,HERMES FUND MANAGERS (NORTH AMERICA) LP,75 PARK PLAZA,2ND FLOOR,BOSTON,MA,UNITED STATES,02116-3993,(617) 892-8990,(617) 892-8988,,,,,,,Approved,11/16/2009,8/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"415,813,000.00",0,"415,813,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,152635,801-71177,"ANDERSON FINANCIAL, INC.","ANDERSON FINANCIAL, INC.",12466 LOS INDIOS TRAIL,SUITE 200,AUSTIN,TX,UNITED STATES,78729,512-258-4040,512-258-4958,,,,,,,120-Day Approval,3/5/2010,8/17/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,SOLICITOR/REFERRAL FEES,Y,0,0,0,0,0,0,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152936,801-71089,OPTIMIZE INC.,OPTIMIZE INC.,14 WALL STREET,20TH FLOOR,NEW YORK,NY,UNITED STATES,10005,212-380-3642,212-380-3207,,,,,,,Approved,3/2/2010,8/17/2010,Y,WWW.OPTIMIZE.COM (NOT YET LIVE),N,N,N,N,N,N,N,N,N,N,Y,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,"THIS IS A PRE-LAUNCH COMPANY. OUR CLIENTS *WILL* BE ALMOST ENTIRELY (100%) INDIVIDUALS (ANSWER ""1"" ABOVE)",N,N,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108526,801-30067,MARTINGALE ASSET MANAGEMENT,MARTINGALE ASSET MANAGEMENT LP,222 BERKELEY ST,19TH FLOOR,BOSTON,MA,UNITED STATES,2116,617-424-4700,617-424-4747,,,,,,,Approved,6/7/1987,8/17/2010,Y,WWW.MGALE.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,51-75 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,SUB-ADVISORY,Y,N,N,N,N,Y,N,,Y,"2,434,353,013.00",0,"2,434,353,013.00",61,0,61,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,120715,801-61310,BERMUDA INVESTMENT ADVISORY SERVICES LIMITED,BERMUDA INVESTMENT ADVISORY SERVICES LIMITED,"VALLIS BUILDING, 58 PAR-LA-VILLE ROAD",4TH. FLOOR,HAMILTON,,BERMUDA,HM 11,441-292-4292,441-292-7292,P.O. BOX HM 988,,HAMILTON,,BERMUDA,HM-DX,Approved,7/12/2002,8/17/2010,Y,WWW.BIAS.BM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,BERMUDA,Nov-50,0,10-Jun,0,5-Jan,0,0,0,251-500,0,11-25 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"120,000,000.00","65,000,000.00","185,000,000.00",63,256,319,Y,Y,N,Y,Y,N,Y,N,N,N,,51-100,,N,N,Y,N,N,N,N,N,N,,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153677,801-71368,"GLOBAL INVESTMENT MANAGEMENT, LLC","GLOBAL INVESTMENT MANAGEMENT, LLC","300 ALEXANDER PARK,",SUITE 206,PRINCETON,NJ,UNITED STATES,8540,609-452-2929,609-452-0048,,,,,,,120-Day Approval,4/23/2010,8/17/2010,Y,WWW.GIMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"152,566,085.00",0,"152,566,085.00",357,0,357,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,140220,801-66607,"SMC FIXED INCOME MANAGEMENT, LP","SMC FIXED INCOME MANAGEMENT, LP",3 INDEPENDENCE WAY,SUITE 205,PRINCETON,NJ,UNITED STATES,8540,609-228-8251,609-228-8431,,,,,,,Approved,5/4/2006,8/17/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"211,869,880.00","1,061,821,597.00","1,273,691,477.00",16,44,60,N,Y,Y,Y,N,N,N,N,N,Y,PROVIDE BOND RECOMENDATIONS TO UIT SPONSOR,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,132080,801-64752,"MONEY PROFESSIONALS, LLC","MONEY PROFESSIONALS, LLC",625 EAST ROMANA STREET,,PENSACOLA,FL,UNITED STATES,32502-6111,850-433-5830,850-433-5931,,,,,,,Approved,10/13/2005,8/17/2010,Y,WWW.MONEYPROFESSIONALS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"54,431,180.00",0,"54,431,180.00",430,0,430,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,150286,801-70192,"EQA PARTNERS, LP","EQA PARTNERS, LP",1055 WASHINGTON BOULEVARD,SUITE 600,STAMFORD,CT,UNITED STATES,6901,203-276-3800,203-276-3801,,,,,,,Approved,6/3/2009,8/17/2010,Y,WWW.EQAPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"47,738,000.00",0,"47,738,000.00",17,0,17,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107301,801-15835,AUSTIN CALVERT & FLAVIN INC,AUSTIN CALVERT & FLAVIN INC,755 E. MULBERRY,SUITE 470,SAN ANTONIO,TX,UNITED STATES,78212,210-353-0500,210.353.0503,,,,,,,Approved,3/13/1981,8/6/2010,Y,WWW.AUSCAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,0 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"420,317,582.00","117,747,817.00","538,065,399.00",162,14,176,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,153602,801-71430,DOUBLOON CAPITAL LLC,DOUBLOON CAPITAL LLC,187 DANBURY ROAD,SUITE 1C,WILTON,CT,UNITED STATES,6897,203-939-1100,203-939-1101,,,,,,,Approved,5/20/2010,8/6/2010,Y,WWW.DOUBLOONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"87,763,790.00",0,"87,763,790.00",4,0,4,N,N,N,Y,N,N,N,N,N,Y,HEDGE FUND MANAGEMENT,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,14829,801-49374,FINANCIAL DESIGNS CORPORATION,FINANCIAL DESIGNS CORPORATION,540 W. BASELINE RD,#10,CLAREMONT,CA,UNITED STATES,91711-5805,909-626-1642,909-626-1529,,,,,,,Approved,5/24/1995,8/26/2010,Y,WWW.FINANCIALDESIGNSCORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,More than 500,500,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,INCOME TAX PREPARATION SERVICES,Y,"148,467,847.00","5,285,543.00","153,753,390.00",672,218,890,Y,Y,N,N,N,N,N,N,N,Y,ASSET ALLOCATION,More than 500,500,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108146,801-56358,"POTOMAC INVESTMENTS, INC.","POTOMAC INVESTMENTS, INC.",600 UNIVERSITY STREET,SUITE 1901,SEATTLE,WA,UNITED STATES,98101,206-622-1210,206-622-1214,,,,,,,Approved,3/22/1999,8/26/2010,Y,WWW.MARCIAJS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"75,000,000.00","15,000,000.00","90,000,000.00",275,50,325,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,154388,801-71721,GLOBAL FINANCIAL INC,GLOBAL FINANCIAL INC.,3258 LANIER DRIVE,,BATON ROUGE,LA,UNITED STATES,70814,225-287-8344,235-927-1409,,,,,,,120-Day Approval,8/12/2010,8/26/2010,Y,HTTP://WWW.GOGLOBALFINANCIAL.NET,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,26-50 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"367,000.00",0,"367,000.00",3,0,3,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,152180,801-70931,"INFINITY 8 INVESTMENTS, LLC","INFINITY 8 INVESTMENTS, LLC",1250 OAKMEAD PARKWAY,SUITE 210,SUNNYVALE,CA,UNITED STATES,94085,408-501-8848,408-501-8808,,,,,,,120-Day Approval,1/19/2010,8/26/2010,Y,WWW.INFINITY8INVESTMENTS.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"3,600,000.00","8,300,000.00","11,900,000.00",20,26,46,Y,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,130007,801-62759,"HAVERFORD FINANCIAL SERVICES, INC.","HAVERFORD FINANCIAL SERVICES, INC.",THREE RADNOR CORPORATE CENTER,SUITE 450,RADNOR,PA,UNITED STATES,19087-4546,610-995-8700,610-995-8795,,,,,,,Approved,2/12/2004,8/26/2010,Y,WWW.HAVERFORDFINANCIAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,UNION,Y,N,N,N,N,N,N,,Y,"228,343,411.00","75,687,011.00","304,030,422.00",279,2,281,N,Y,Y,Y,N,N,N,N,N,Y,HFS MAY PROVIDE MODEL PORTFOLIOS TO THIRD PARTIES,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,118544,801-60820,"MAIN STREET INVESTMENT ADVISORS, LLC","MAIN STREET INVESTMENT ADVISORS, LLC",70 E. MAIN STREET,,MOORESTOWN,NJ,UNITED STATES,8057,856-234-3550,856-234-3577,,,,,,,Approved,12/21/2001,8/26/2010,Y,WWW.MAINSTREETIA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"95,672,245.00","9,288,085.00","104,960,330.00",325,12,337,Y,Y,N,N,Y,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110935,801-62319,"THE MARSHALL FINANCIAL GROUP, INC","THE MARSHALL FINANCIAL GROUP, INC",33 WEST COURT STREET,,DOYLESTOWN,PA,USA,18901,(215)348-9393,(215)348-7971,,,,,,,Approved,8/29/2003,8/26/2010,Y,WWW.MARSHALLFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"239,346,866.00","14,805,832.00","254,152,698.00",541,111,652,Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110905,801-56928,"BKD WEALTH ADVISORS, LLC","BKD WEALTH ADVISORS, LLC",910 EAST ST LOUIS ST,SUITE 200,SPRINGFIELD,MO,UNITED STATES,65806,417.866.5822,417.865.0682,P.O. BOX 1190,,SPRINGFIELD,MO,UNITED STATES,65801,Approved,10/28/1999,8/26/2010,Y,WWW.BKDWEALTHADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,5-Jan,0,More than 500,"1,000",26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,197,540,973.00","90,690,917.00","1,288,231,890.00",948,70,"1,018",Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,Y,N,Y,Y,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,131539,801-63263,"STRUCTURED ASSET INVESTORS, LLC","STRUCTURED ASSET INVESTORS, LLC",301 S COLLEGE STREET NC0602,TW8,CHARLOTTE,NC,UNITED STATES,28288,(704) 374-3390,704-383-0126,,,,,,,Approved,7/6/2004,8/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"1,305,516,418.00",0,"1,305,516,418.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,131221,801-63081,"STONNINGTON GROUP, LLC","STONNINGTON GROUP, LLC",515 SOUTH FIGUEROA STREET,SUITE 1100,LOS ANGELES,CA,UNITED STATES,90071,213-683-4511,213-955-4983,,,,,,,Approved,4/30/2004,8/26/2010,Y,WWW.STONNINGTON.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,"129,444,000.00","67,612,397.00","197,056,397.00",228,5,233,N,Y,N,Y,Y,Y,N,N,N,Y,PORTFOLIO REVIEW AND MONITORING,0,,N,N,Y,N,N,N,Y,N,Y,REAL ESTATE AND PRIVATE PLACEMENT,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,134139,801-63930,"CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.","CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.",1776 PLEASANT PLAIN RD.,,FAIRFIELD,IA,USA,52556-8757,641-472-5100,641-470-1292,,,,,,,Approved,2/3/2005,8/26/2010,Y,WWW.CIR2.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,More than 1000,"1,000",More than 1000,"1,000",More than 1000,"1,000",51-250,0,More than 500,"88,847",More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITATION FEES FROM 3RD PARTY MONEY MANAGERS,Y,"6,613,661,421.00","6,607,939,808.00","13,221,601,229.00","38,262","35,423","73,685",Y,Y,N,Y,Y,Y,N,N,Y,N,,More than 500,1500,Y,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,N,N,Y,N,Y,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,N,Y,N,N,N,N
ARO,127263,801-63180,MINERVA PLANNING GROUP,"MINERVA PLANNING GROUP, INC.",,,,,,,912.634.5583,419.821.2646,PO BOX 77705,,ATLANTA,GA,UNITED STATES,30357,Approved,5/27/2004,8/26/2010,Y,WWW.MINERVAPLANNINGGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"45,124,636.00","45,124,636.00",0,248,248,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,149123,801-69857,"INFINIUM INVESTMENT ADVISORS, LLC","INFINIUM INVESTMENT ADVISORS, LLC","50 S. STEELE, SUITE 750",,DENVER,CO,UNITED STATES,80209,(720) 253-1818,,,,,,,,Approved,1/12/2009,8/26/2010,Y,WWW.INFINIUMADVISORS.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"27,000,000.00",0,"27,000,000.00",220,0,220,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,144136,801-71026,"FAMILY OFFICE RESEARCH, LLC","FAMILY OFFICE RESEARCH, LLC",,,,,,,301-675-6993,240-235-4457,,,,,,,Approved,1/28/2010,8/26/2010,Y,WWW.FAMILYOFFICERESEARCH.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,0,"25,000,000.00","25,000,000.00",0,125,125,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137759,801-65166,PARK PLACE CAPITAL LIMITED,PARK PLACE CAPITAL LIMITED,17C CURZON STREET,MAYFAIR,LONDON,,UNITED KINGDOM,W1J 5HU,44-207-408-4800,44-207-629-2439,,,,,,,Approved,1/31/2006,8/27/2010,Y,WWW.PARKPLACE.NET,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"47,800,000.00",0,"47,800,000.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HEDGE FUNDS,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,142000,801-67219,MILLBROOK ADVISORS LLC,MILLBROOK ADVISORS LLC,67 RANGE ROAD,,CUMBERLAND,ME,UNITED STATES,4021,207-400-1719,NA,,,,,,,Approved,10/19/2006,8/27/2010,Y,WWW.MILLBROOKADVISORS.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,ME,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,N,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,Y,FINANCIAL PLANNER,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150973,801-70651,"METROPOLITAN INVESTMENT MANAGEMENT GROUP, LLC","METROPOLITAN INVESTMENT MANAGEMENT GROUP, LLC",7416 N. MAIN ST.,SUITE E,DAYTON,OH,UNITED STATES,45415,937-567-4015,937-567-4021,7416 N. MAIN ST.,SUITE E,DAYTON,OH,UNITED STATES,45415,Approved,10/9/2009,8/27/2010,Y,HTTP://WWW.METROPOLITANIMG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,11-25 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"25,000,000.00",0,"25,000,000.00",2,0,2,N,Y,N,Y,Y,N,N,N,N,Y,SYNDICATED COMMERCIAL MORTGAGE INVESTMENT FUND MANAGEMENT,,,N,N,N,N,N,N,N,N,Y,MORTGAGE BANKER/BROKER,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109116,801-54611,HAMILTON CAPITAL MANAGEMENT INC,HAMILTON CAPITAL MANAGEMENT INC,5025 ARLINGTON CENTRE BLVD,,COLUMBUS,OH,USA,43220,614-273-1000,614-273-1001,,,,,,,Approved,6/17/1997,8/27/2010,Y,WWW.HAMILTONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,Nov-50,0,0,0,10-Jun,0,More than 500,500,More than 75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"644,524,307.00",0,"644,524,307.00","2,904",0,"2,904",Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110986,801-46266,CITY OF LONDON INVESTMENT MANAGEMENT COMPANY LIMITED,CITY OF LONDON INVESTMENT MANAGEMENT CO LTD,77 GRACECHURCH STREET,,LONDON,,UNITED KINGDOM,EC3V 0AS,0207 711 0771,0207 338 9803,,,,,,,Approved,4/28/1994,8/27/2010,Y,HTTP://WWW.CITLON.CO.UK,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,51-250,0,Nov-50,0,0,0,5-Jan,0,101-250,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"4,423,768,240.00",0,"4,423,768,240.00",265,0,265,N,N,Y,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,112242,801-13252,THE CAPITAL MANAGEMENT CORPORATION,THE CAPITAL MANAGEMENT CORPORATION,4101 COX ROAD,SUITE 110,GLEN ALLEN,VA,UNITED STATES,23060,804-270-4000,804-270-4400,,,,,,,Approved,9/26/1977,8/27/2010,Y,WWW.CMCVA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"214,685,171.00","4,142,639.00","218,827,810.00",349,2,351,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,114753,801-37533,"THE PORTFOLIO STRATEGY GROUP, INC.","THE PORTFOLIO STRATEGY GROUP, INC.",81 MAIN STREET,SUITE 122,WHITE PLAINS,NY,UNITED STATES,10601,914-328-6660,914-328-6670,,,,,,,Approved,9/28/1990,8/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"905,000,000.00",0,"905,000,000.00",220,0,220,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,118097,801-60890,FRONTPOINT PARTNERS LLC,FRONTPOINT PARNTERS LLC,TWO GREENWICH PLAZA,4TH FLOOR,GREENWICH,CT,UNITED STATES,6830,203-622-5200,203-622-5450,,,,,,,Approved,2/1/2002,8/27/2010,Y,WWW.FPPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"6,416,270,418.00",0,"6,416,270,418.00",84,0,84,N,N,N,Y,N,Y,N,N,N,Y,INVESTMENT ADVICE TO PRIVATE FUNDS.,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,131716,801-63258,"FRONTPOINT UNIVERSAL GP, LLC","FRONTPOINT UNIVERSAL GP, LLC",TWO GREENWICH PLAZA,4TH FLOOR,GREENWICH,CT,UNITED STATES,6830,203-622-5200,203-622-5450,,,,,,,Approved,6/30/2004,8/27/2010,Y,WWW.FPPARTNERS.COM,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"48,824,539.00",0,"48,824,539.00",2,0,2,N,N,N,Y,N,Y,N,N,N,Y,INVESTMENT ADVICE TO PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110463,801-15480,CORE ASSET MANAGEMENT COMPANY,CORE ASSET MANAGEMENT COMPANY,108 CALEDONIA STREET,,SAUSALITO,CA,UNITED STATES,94965,415-332-2000,415-332-2151,PO BOX 1629,,SAUSALITO,CA,UNITED STATES,94966,Approved,7/14/1980,8/27/2010,Y,WWW.COREASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"70,422,771.00",0,"70,422,771.00",243,0,243,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,N,N,Y,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,129365,801-71502,"PINE HAVEN INVESTMENT COUNSEL, INC.","PINE HAVEN INVESTMENT COUNSEL, INC.",,,,,,,508-993-0336,888-764-6760,,,,,,,Approved,5/28/2010,5/24/2010,Y,WWW.PINEHAVENINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"54,382,096.00",0,"54,382,096.00",301,0,301,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109068,801-48783,"RIVERPOINT CAPITAL MANAGEMENT, INC.","RIVERPOINT CAPITAL MANAGEMENT, INC.",312 WALNUT ST,SUITE 3120,CINCINNATI,OH,UNITED STATES,45202,513-421-3100,513-421-5948,,,,,,,Approved,5/2/1995,5/24/2010,Y,HTTP://WWW.RIVERPOINTCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"905,672,349.00","32,007,703.00","937,680,052.00","1,047",27,"1,074",Y,Y,N,Y,N,N,Y,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,153334,801-71304,"SENSATO CAPITAL MANAGEMENT, LLC","SENSATO CAPITAL MANAGEMENT, LLC",345 CALIFORNIA ST.,SUITE 1725,SAN FRANCISCO,CA,UNITED STATES,94104,415-391-4600,415-391-4601,,,,,,,120-Day Approval,6/1/2010,5/24/2010,Y,WWW.SENSATOCAPITAL.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGMENT FOR POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,132073,801-69275,"MULLER & MONROE ASSET MANAGEMENT,LLC","MULLER & MONROE ASSET MANAGEMENT,LLC",180 N. STETSON AVENUE,SUITE 1320,CHICAGO,IL,UNITED STATES,60601-6820,312-782-7771,312-782-9290,,,,,,,Approved,7/3/2008,5/24/2010,Y,WWW.M2AM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,Y,5% CARRIED INTEREST IN ADVISORY CLIENTS,Y,"132,000,000.00",0,"132,000,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,112409,801-16429,HILLER GEORGE M COMPANIES LLC,HILLER GEORGE M COMPANIES LLC,1110 MONARCH PLAZA,3414 PEACHTREE RD NE,ATLANTA,GA,UNITED STATES,30326,404-365-0222,404-365-0565,,,,,,,Approved,9/25/1981,5/24/2010,Y,WWW.GEORGEHILLER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"113,228,152.00","17,792,548.00","131,020,700.00",882,155,"1,037",Y,Y,N,Y,Y,Y,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108031,801-56896,"MORNINGSTAR ASSOCIATES, LLC","MORNINGSTAR ASSOCIATES, LLC",22 WEST WASHINGTON STREET,,CHICAGO,IL,UNITED STATES,60602,312.696.6000,312.696.6630,,,,,,,Approved,10/18/1999,5/24/2010,Y,CORPORATE.MORNINGSTAR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,51-250,0,More than 500,"108,500",More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,PLAN SERVICE PROVIDERS TO DC PLANS,Y,N,N,Y,N,N,Y,BASED ON PRODUCT TYPE/REQUIREMENTS,Y,"20,371,975,360.00",0,"20,371,975,360.00","75,834",0,"75,834",N,Y,Y,N,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,17486,801-63426,G. A. REPPLE & COMPANY,G. A. REPPLE & COMPANY,101 NORMANDY ROAD,,CASSELBERRY,FL,USA,32707,407-339-9090,407-339-9091,,,,,,,Approved,9/16/2004,5/24/2010,Y,WWW.GAREPPLE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"1,500",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,THIRD PARTY ASSET MANAGERS,Y,"101,932,301.00","383,459,608.00","485,391,909.00","1,197","4,500","5,697",Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,Y,Y,Y,N,N,N,Y,N,N,,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,110932,801-71163,"CAMBRIDGE CAPITAL MANAGEMENT, LLC","CAMBRIDGE CAPITAL MANAGEMENT, LLC",852 CAMBRIDGE BOULEVARD,SUITE 100,O'FALLON,IL,UNITED STATES,62269,618-206-3262,618-632-7643,,,,,,,Approved,3/3/2010,5/24/2010,Y,WWW.CAMBRIDGECAPITALMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,LOCAL HIGH SCHOOL'S ENDOWMENT FUND,Y,Y,N,N,N,N,N,,Y,"32,109,541.00","12,123,602.00","44,233,143.00",333,243,576,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,133363,801-69397,"ILLINOIS PRIVATE EQUITY FUND-OF-FUNDS G.P., LLC","ILLINOIS PRIVATE EQUITY FUND-OF-FUNDS G.P., LLC",180 N. STETSON AVENUE,SUITE 1320,CHICAGO,IL,UNITED STATES,60601-6820,312-782-7771,312-782-9290,,,,,,,Approved,7/16/2008,5/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,0,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,Y,"5% CARRIED INTEREST IN ILLINOIS PRIVATE EQUITY FUND-OF-FUNDS, LP",Y,"77,000,000.00",0,"77,000,000.00",1,0,1,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,128557,801-62417,"ALCENTRA NY, LLC","ALCENTRA NY, LLC",200 PARK AVENUE,7TH FLOOR,NEW YORK,NY,UNITED STATES,10166,212-922-8240,212-922-8259,,,,,,,Approved,10/6/2003,5/24/2010,Y,WWW.ALCENTRA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,165,000,000.00",0,"5,165,000,000.00",20,0,20,N,N,N,N,N,N,N,N,N,Y,PRIVATELY OFFERED POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,128583,801-62409,"LIFECOURSE CAPITAL, INC.","LIFECOURSE CAPITAL, INC.","8331 MADISON BLVD., STE. 100",,MADISON,AL,UNITED STATES,35758,256-489-4400,256-489-4403,,,,,,,Approved,1/2/2004,5/24/2010,Y,WWW.LCCAPITAL.NET,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,AL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"20,000,000.00",0,"20,000,000.00",900,0,900,N,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,Y,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,153928,801-71504,"ABACUS FINANCIAL GROUP, INC.","ABACUS FINANCIAL GROUP, INCORPORATED",400 SKOKIE BOULEVARD,SUITE 850,NORTHBROOK,IL,UNITED STATES,60062,312-480-0463,,,,,,,,Approved,6/2/2010,5/24/2010,Y,WWW.ABACUSFGI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,0,"100,000,000.00","100,000,000.00",0,1,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,150801,801-70961,"REACT INVESTMENT SOLUTIONS, LLC","REACT INVESTMENT SOLUTIONS, LLC",459 MONTEREY AVENUE,,LOS GATOS,CA,UNITED STATES,95030,408-399-6330,408-399-6333,,,,,,,Approved,1/20/2010,5/24/2010,Y,WWW.REACTINVESTMENTSOLUTIONS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,10-Jun,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,A PORTION OF PERFORMANCE FEES COLLECTED BY HEDGE FUNDS,Y,0,"28,867,614.00","28,867,614.00",0,91,91,N,N,N,N,N,Y,N,N,N,Y,BACK OFFICE ASSISTANCE AND REPORTING,,,N,N,N,Y,N,Y,Y,N,N,,Y,Y,Y,N,N,Y,N,N,N,Y,Y,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105583,801-31081,PACIFIC ADVISORY GROUP INC,PACIFIC ADVISORY GROUP INC,435 TASSO STREET,SUITE 205,PALO ALTO,CA,UNITED STATES,94301,650-328-0900,650-328-0909,,,,,,,Approved,12/11/1987,5/24/2010,Y,WWW.PACIFICADVISORYGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"107,733,321.00","57,231,870.00","164,965,191.00",227,74,301,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,153463,801-71505,"STELLA CAPITAL, LLC","STELLA CAPITAL, LLC",600 MONTGOMERY STREET,35TH FLOOR,SAN FRANCISCO,CA,UNITED STATES,94111,415-677-0121,415-986-2611,,,,,,,Approved,6/24/2010,5/24/2010,Y,WWW.STELLACAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,10-Jun,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"14,263,500.00","19,000,000.00","33,263,500.00",7,7,14,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
BRO,153197,801-71166,DAINTREE ADVISORS LLC,DAINTREE ADVISORS LLC,100 HIGH STREET,SUITE 1102,BOSTON,MA,UNITED STATES,02110-1781,617-848-3418,,,,,,,,Approved,3/3/2010,5/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,0,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"314,000,000.00",0,"314,000,000.00",11,0,11,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146248,801-68800,"CONGRESSIONAL EFFECT MANAGEMENT, LLC","CONGRESSIONAL EFFECT MANAGEMENT, LLC",420 LEXINGTON AVENUE,SUITE 601,NEW YORK,NY,UNITED STATES,10170,917-307-4180,646-349-1818,,,,,,,Approved,2/14/2008,4/5/2010,Y,WWW.CONGRESSIONALEFFECTMANAGEMENT.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"8,809,000.00",0,"8,809,000.00",3,0,3,N,Y,Y,N,N,N,N,N,N,Y,INVESTMENT PARTNERSHIP,,,N,N,N,Y,N,N,N,N,N,,N,,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,153726,801-71427,"PLAN TO INVEST CAPITAL MANAGEMENT, INC.","PLAN TO INVEST CAPITAL MANAGEMENT, INC.",4600 S. SYRACUSE ST. SUITE 900,,DENVER,CO,UNITED STATES,80237,303-221-0949,303-256-6681,,,,,,,120-Day Approval,5/17/2010,6/14/2010,Y,WWW.PTICM.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,Y,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
SFRO,133381,801-63673,STRATEGIC CAPITAL GROUP L.L.C.,STRATEGIC CAPITAL GROUP L.L.C.,7191 WAGNER WAY NW,SUITE 302,GIG HARBOR,WA,UNITED STATES,98335,253-853-4900,253-851-8819,,,,,,,Approved,11/19/2004,6/14/2010,Y,WWW.SCG-LLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"463,513,427.00",0,"463,513,427.00","1,085",0,"1,085",N,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,152727,801-71007,MONARCH PARTNERS ASSET MANAGEMENT LLC,MONARCH PARTNERS ASSET MANAGEMENT LLC,,,,,,,617-419-2210,,,,,,,,Approved,1/19/2010,6/14/2010,Y,WWW.MONARCHPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,0,0,0 percent,11-25 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,000,000.00",0,"25,000,000.00",3,0,3,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135943,801-65508,"MIDSUMMER CAPITAL, LLC.","MIDSUMMER CAPITAL, LLC.",295 MADISON AVE.,38TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-624-5030,212-624-5040,,,,,,,Approved,1/23/2006,6/14/2010,Y,WWW.MIDSUMMERCAPITAL.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"126,020,197.00",0,"126,020,197.00",8,0,8,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,151306,801-70563,"HEDGEMARK ADVISORS, LLC","HEDGEMARK ADVISORS, LLC","2425 OLYMPIC BOULEVARD, SUITE 670-E",,SANTA MONICA,CA,UNITED STATES,90404,+1 310 667 9270,+1 310 878 8982,,,,,,,Approved,10/6/2009,6/14/2010,Y,WWW.HEDGEMARK.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,151530,801-70641,"HEDGEMARK INSTITUTIONAL CONSULTANTS, LLC","HEDGEMARK INSTITUTIONAL CONSULTANTS, LLC","2425 OLYMPIC BOULEVARD, SUITE 670-E",,SANTA MONICA,CA,UNITED STATES,90404,+1 310 667 9270,+1 310 878 8982,,,,,,,Approved,10/9/2009,6/14/2010,Y,WWW.HEDGEMARK.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,0,"500,000,000.00","500,000,000.00",0,1,1,N,N,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,153015,801-71119,AMERICAN CAPITAL WEALTH MANAGERS LLC,AMERICAN CAPITAL WEALTH MANAGERS LLC,,,,,,,239-325-1886,,,,,,,,Approved,2/23/2010,6/14/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"112,892,600.00",0,"112,892,600.00",597,0,597,Y,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,154009,801-71577,13D MANAGEMENT LLC,13D MANAGEMENT LLC,,,,,,,212-223-2282,646-349-5633,,,,,,,120-Day Approval,6/17/2010,6/14/2010,Y,WWW.13DACTIVISTFUND.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,134775,801-69722,"GB POSITIVE DELTA ASSET MANAGEMENT, LLC","GB POSITIVE DELTA ASSET MANAGEMENT, LLC",3250 WILSHIRE BOULEVARD,SUITE 1404,LOS ANGELES,CA,UNITED STATES,90010,213-427-8911,866-357-4701,,,,,,,Approved,11/19/2008,6/14/2010,Y,WWW.POSITIVEDELTA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,000,000.00","75,000,000.00","80,000,000.00",33,1,34,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,135824,801-64953,"ALIGNMENT CAPITAL GROUP, LLC","ALIGNMENT CAPITAL GROUP, LLC",11940 JOLLYVILLE RD,SUITE #330-N,AUSTIN,TX,USA,78759,512-506-8299,512-996-0970,,,,,,,Approved,1/18/2006,3/23/2007,Y,WWW.ALIGNMENTCAPITAL.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,121307,801-61444,"ACROPOLIS INVESTMENT MANAGEMENT, L.L.C.","ACROPOLIS INVESTMENT MANAGEMENT, L.L.C.",14755 NORTH OUTER FORTY ROAD,SUITE 100,ST. LOUIS,MO,UNITED STATES,63017,888-882-0072,888-453-1266,,,,,,,Approved,8/27/2002,6/14/2010,Y,WWW.ACROPOLISINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"507,388,562.00","261,054,439.00","768,443,001.00","1,186",494,"1,680",Y,Y,N,Y,Y,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105909,801-21192,LEIST ALAN R PLANNING GROUP INC,LEIST ALAN R PLANNING GROUP INC,114 BUSINESS PARK DRIVE,,UTICA,NY,UNITED STATES,13502,315-735-7553,315-735-7739,,,,,,,Approved,5/2/1984,6/14/2010,Y,WWW.INVESTSTRATEGIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"31,958,626.00","158,620,771.00","190,579,397.00",184,"2,297","2,481",Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,N,,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,113538,801-60473,"HERNDON CAPITAL MANAGEMENT, LLC","HERNDON CAPITAL MANAGEMENT, LLC",HERNDON PLAZA,"100 AUBURN AVENUE, N.E.",ATLANTA,GA,UNITED STATES,30303,404-232-8800,404-232-8815,,,,,,,Approved,8/10/2001,6/14/2010,Y,WWW.HERNDONCAP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,51-75 percent,11-25 percent,ASSOCIATIONS; FOUNDATIONS; ENDOWMENTS,Y,N,N,N,N,N,Y,CONSULTING FEES,Y,"1,577,299,168.00",0,"1,577,299,168.00",86,0,86,N,Y,Y,Y,N,N,N,N,N,Y,"MODEL PORTFOLIOS TO INTERMEDIARIES, CONSULTING SERVICES",0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153277,801-71508,"TENOR CAPITAL MANAGEMENT COMPANY, L.P.","TENOR CAPITAL MANAGEMENT COMPANY, L.P.",1180 AVENUE OF THE AMERICAS,SUITE 1940,NEW YORK,NY,UNITED STATES,10036,212 918-5302,212 918-5301,,,,,,,Approved,6/30/2010,6/14/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"950,000,000.00",0,"950,000,000.00",6,0,6,N,N,N,N,N,N,N,N,N,Y,PORTOFOLIO MANAGEMENT FOR POOLED VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,152957,801-71417,RJO INVESTMENT MANAGEMENT,RJO INVESTMENT MANAGEMENT LLC,222 S. RIVERSIDE PLAZA,SUITE 900,CHICAGO,IL,UNITED STATES,60606,312-373-4960,312-373-5238,,,,,,,120-Day Approval,5/7/2010,6/14/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,148565,801-69687,"MERITAS WEALTH MANAGEMENT, LLC","MERITAS WEALTH MANAGEMENT, LLC",100 LARKSPUR LANDING CIRCLE,STE. 110,LARKSPUR,CA,UNITED STATES,94939,415-300-4560,415-461-4022,,,,,,,Approved,10/29/2008,6/14/2010,Y,WWW.MERITASWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"91,798,675.00",0,"91,798,675.00",365,0,365,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,140352,801-66759,"PENSION PERFORMANCE ADVISORS, INC.","PENSION PERFORMANCE ADVISORS, INC.",23212 MILL CREEK ROAD,,LAGUNA HILLS,CA,UNITED STATES,92653,949-831-6311,949-916-9103,26895 ALISO CREEK ROAD,SUITE B578,ALISO VIEJO,CA,UNITED STATES,92656-5301,Approved,6/2/2006,6/14/2010,Y,WWW.PPADVISORS.NET,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"20,000,000.00",0,"20,000,000.00",5,0,5,N,N,N,Y,Y,N,N,N,N,Y,SELECTION OF MUTUAL FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,28432,801-61542,J.P. MORGAN CLEARING CORP.,J.P. MORGAN CLEARING CORP.,THREE CHASE METROTECH CENTER,,BROOKLYN,NY,UNITED STATES,11245,212-272-2570,212-272-7359,"570 WASHINGTON BLVD, 12TH FLOOR",ATTN: CAROL RUOCCO,JERSEY CITY,NJ,UNITED STATES,7310,Approved,11/5/2002,6/14/2010,Y,WWW.BEARSTEARNS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,More than 1000,"2,000",0,0,51-250,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"101,867,911.00",0,"101,867,911.00",521,0,521,N,N,N,N,N,Y,N,N,N,Y,SELECTION OF MUTUAL FUNDS,,,Y,N,Y,N,Y,N,N,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N
DRO,153128,801-71275,FIRST NATIONAL FUND ADVISERS,FIRST NATIONAL BANK (FORT COLLINS),215 W. OAK STREET,4TH FLOOR TOWER,FORT COLLINS,CO,UNITED STATES,80522,970-495-1221,303-417-4033,,,,,,,Approved,5/4/2010,6/14/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),SID OF FIRST NATIONAL BANK (FORT COLLINS),CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"29,028,471.00",0,"29,028,471.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,Y,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,117766,801-66382,"FQ ADVISORS, LLC","FQ ADVISORS, LLC",8770 WEST BRYN MAWR AVE,SUITE 1300,CHICAGO,IL,USA,60631,301-775-0925,,,,,,,,Approved,3/31/2006,5/21/2008,Y,WWW.FQADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,Y,N,,Y,"30,000,000.00",0,"30,000,000.00",23,0,23,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,140023,801-66637,BLUMONT CAPITAL CORPORTION,BLUMONT CAPITAL CORPORTION,220 BAY STREET,SUITE 1500,"TORONTO, ONTARIO",,CANADA,M5J 2W4,416-216-3566,416-360-1102,,,,,,,Approved,5/12/2006,4/26/2006,Y,WWW.BLUMONTCAPITAL.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",Nov-50,0,5-Jan,0,0,0,51-250,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"251,086,726.00",0,"251,086,726.00",8,0,8,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
ARO,109349,801-55882,GRAY & CO,GRAY FINANCIAL GROUP,7000 PEACHTREE DUNWOODY,BUILDING 5,ATLANTA,GA,UNITED STATES,30328,678-805-0541,678-805-0540,,,,,,,Approved,9/24/1998,3/8/2010,Y,WWW.EGRAYCO.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"165,000,000.00",0,"165,000,000.00",6,0,6,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,2002,801-65667,GILDER GAGNON HOWE & CO. LLC,GILDER GAGNON HOWE & CO. LLC,1775 BROADWAY,,NEW YORK,NY,UNITED STATES,10019,212-765-2500,212-830-0600,1775 BROADWAY,,NEW YORK,NY,UNITED STATES,10019,Approved,1/27/2006,3/8/2010,Y,WWW.GGHC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,More than 500,"5,500",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,Y,INTEREST ON CASH POSITIONS OF OPEN SHORT STOCK,Y,"4,978,697,291.00","288,988,733.00","5,267,686,024.00","8,356",313,"8,669",N,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR INVESTMENT PARTNERSHIPS,0,,N,N,Y,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106730,801-46300,HCM INVESTORS INC,HCM INVESTORS INC,275 CENTURY CIRCLE,SUITE 202,LOUISVILLE,CO,USA,80027,720-890-8826,720-890-8823,,,,,,,Approved,6/21/1994,3/8/2010,Y,HCMINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"29,000,000.00","2,000,000.00","31,000,000.00",109,5,114,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122050,801-69787,WEALTH ADVISORS GROUP,"SECURITY FINANCIAL SERVICES, INC.",10301 DAWSON'S CREEK BLVD,STE B,FORT WAYNE,IN,UNITED STATES,46825,260-490-8808,260-490-8908,,,,,,,Approved,1/2/2009,3/8/2010,Y,WWW.THEADVISORSGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"122,199,467.00",0,"122,199,467.00",635,0,635,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,Y,N,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,116322,801-69076,"DURBIN FINANCIAL ADVISORS, INC.","DURBIN FINANCIAL ADVISORS, INC.",10450 SHAKER DR,SUITE 113-B,COLUMBIA,MD,USA,21046,800-805-9764,410-715-9908,,,,,,,Approved,4/10/2008,3/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"29,339,129.00",0,"29,339,129.00",131,0,131,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,132473,801-63415,"IKE CAPITAL, LLC","IKE CAPITAL, LLC",150 EAST 52ND STREET,3RD FLOOR,NEW YORK,NY,UNITED STATES,10022,212-558-8825,212-750-6892,,,,,,,Approved,8/6/2004,3/8/2010,Y,WWW.IKECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"47,460,776.00","346,905,756.00","394,366,532.00",108,14,122,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108407,801-57796,"WATERMARK ASSET MANAGEMENT, INC.","WATERMARK ASSET MANAGEMENT, INC.",4115 BLACKHAWK PLAZA CIRCLE,STE 200,DANVILLE,CA,UNITED STATES,94506,925-648-4730,925-648-4728,,,,,,,Approved,7/28/2000,3/8/2010,Y,WATERMARKASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"126,155,500.00",0,"126,155,500.00",730,0,730,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108013,801-64241,ANDREWS CAPITAL MANAGEMENT INC,ANDREWS CAPITAL MANAGEMENT INC,"1224 TENTH STREET, SUITE 203",,CORONADO,CA,USA,92118,619-435-8866,619-435-1523,,,,,,,Approved,3/15/2005,3/8/2010,Y,WWW.ANDREWSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"35,244,479.00",0,"35,244,479.00",71,0,71,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114752,801-64138,"OLIMPIO NEU & ASSOCIATES, INC.","OLIMPIO NEU & ASSOCIATES, INC.",15660 N. DALLAS PARKWAY,SUITE 950,DALLAS,TX,USA,75248,972-392-1344,972-392-1655,,,,,,,Approved,4/14/2005,3/8/2010,Y,WWW.OLIMPIOFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,501(C)3,Y,Y,N,Y,N,N,N,,Y,"43,010,307.00","1,082,957.00","44,093,264.00",96,2,98,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,140942,801-67891,"MIRZAM ASSET MANAGEMENT, LLC","MIRZAM ASSET MANAGEMENT, LLC",1 MAIN STREET,SUITE 200,TEQUESTA,FL,USA,33469,561-741-3000,561-741-8000,,,,,,,Approved,5/3/2007,3/8/2010,Y,WWW.MIRZAM.ORG,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"6,300,000.00",0,"6,300,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,136851,801-70068,TRAUB CAPITAL MANAGEMENT,"TRAUB CAPITAL MANAGEMENT, LLC",97 CHAPEL ST,2ND FLOOR,NEEDHAM,MA,UNITED STATES,2492,781-453-3929,781-898-7647,,,,,,,Approved,4/16/2009,3/8/2010,Y,WWW.TRAUBCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,26-50 percent,0 percent,26-50 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"39,496,500.00",0,"39,496,500.00",22,0,22,Y,Y,Y,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110129,801-57691,SIERRA CAPITAL LLC,SIERRA CAPITAL LLC,420 LEXINGTON AVENUE,SUITE 2431,NEW YORK,NY,UNITED STATES,10170,212-867-3533,503-210-6273,,,,,,,Approved,6/28/2000,3/8/2010,Y,WWW.SIERRACAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,DIFFERENT FEE STRUCTURES CAN BE NEGOTIATED FROM TIME TO TIME.,Y,"205,000,000.00","51,000,000.00","256,000,000.00",100,50,150,N,Y,Y,Y,N,Y,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,130729,801-67680,CS ADVISORS INC.,CS ADVISORS INC.,7999 N. FEDERAL HIGHWAY,SUITE 200,BOCA RATON,FL,UNITED STATES,33444,561-353-1604,561-347-9855,,,,,,,Approved,3/22/2007,3/8/2010,Y,WWW.CSADVISORSINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"35,000,000.00",0,"35,000,000.00",170,0,170,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107178,801-40373,STARFIRE INVESTMENT ADVISERS INC,STARFIRE INVESTMENT ADVISERS INC,"3000 TOWN CENTER, SUITE 2235",,SOUTHFIELD,MI,USA,48075-1159,248-352-2211,248-352-4535,,,,,,,Approved,1/10/1992,3/8/2010,Y,WWW.STARFIREINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"188,604,000.00","790,000.00","189,394,000.00",849,6,855,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,143128,801-67584,"STRATEGIC INVESTMENT SOLUTIONS, INC.","STRATEGIC INVESTMENT SOLUTIONS, INC.",9501 W 144TH PLACE,,ORLAND PARK,IL,UNITED STATES,60462,708-645-8820,708-873-6205,,,,,,,Approved,3/23/2007,3/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"193,399,037.00",0,"193,399,037.00","1,039",0,"1,039",N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107772,801-56603,STRATEGIC CAPITAL INVESTMENT ADVISORS INC,STRATEGIC CAPITAL INVESTMENT ADVISORS INC,1010 JORIE BLVD,STE 240,OAK BROOK,IL,UNITED STATES,60523-4444,630-928-0820,630-928-0818,,,,,,,Approved,6/15/1999,3/8/2010,Y,WWW.STRATEGICCAP.NET,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,N,Y,N,Y,N,N,Y,"PROJECT-BASED, PERCENTAGE OF ASSETS FOR DISCRETIONARY CONSULTING",N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,Y,"INVESTMENT CONSULTING TO HEALTH & WELFARE FUNDS, ON-BALANCE SHEET/INSURANCE INVESTMENT PROGRAMS, DISCRETIONARY CONSULTING",0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,130009,801-62977,"PLAN SPONSOR SERVICES, LLC","PLAN SPONSOR SERVICES, LLC",2200 E. CAMELBACK RD,#130-B,PHOENIX,AZ,USA,85016,602-277-4570,602-277-4572,,,,,,,Approved,4/30/2004,3/8/2010,Y,WWW.PSSPLANS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,RETIREMENT PLAN SPONSORS,Y,Y,N,Y,N,N,N,,Y,0,"3,617,000.00","3,617,000.00",0,5,5,N,N,N,N,Y,Y,N,N,N,Y,CUSTODIAN & TRUSTEE SERVICES,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,N,Y,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,114871,801-60497,"GREENWICH ASSET MANAGEMENT GROUP, LLC","GREENWICH ASSET MANAGEMENT GROUP, LLC",2 GREEWICH OFFICE PARK,SUITE 300,GREENWICH,CT,UNITED STATES,6831,203-622-1305,203-622-1306,2 SOUND VIEW DRIVE,SUITE 100,GREENWICH,CT,UNITED STATES,6830,Approved,9/5/2001,3/8/2010,Y,WWW.GAMGLLC.COM,N,N,N,N,N,N,N,N,N,Y,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,11-25 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"3,000,000.00",0,"3,000,000.00",20,0,20,N,Y,N,Y,N,Y,N,N,N,Y,"CORPORATE CONSULTANT, MID-TERM ASSET ALLOCATOR.",0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,146811,801-69393,"HARBINGER ASSET MANAGEMENT, LLC","HARBINGER ASSET MANAGEMENT, LLC",5220 LOVERS LANE,SUITE 130,PORTAGE,MI,USA,49002,269-553-0805,269-553-0848,,,,,,,Approved,7/29/2008,3/8/2010,Y,WWW.HARBINGERFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"35,773,528.00","35,773,528.00",0,407,407,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,Y,Y,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,152116,801-70788,"CKW FINANCIAL GROUP, LLC","CKW FINANCIAL GROUP, LLC","1003 BISHOP STREET, #1950",,HONOLULU,HI,UNITED STATES,96813,808-629-7600,,,,,,,,Approved,11/13/2009,3/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,HI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,0,0,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"190,000,000.00","430,000,000.00","620,000,000.00",115,4,119,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,144945,801-70634,"LACERTE CAPITAL ADVISERS, LLC","LACERTE CAPITAL ADVISERS, LLC",2811 MCKINNEY AVENUE,SUITE 206,DALLAS,TX,UNITED STATES,75204,214-922-9211,214-922-9313,,,,,,,Approved,9/30/2009,3/8/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"18,600,000.00",0,"18,600,000.00",1,0,1,N,Y,Y,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106806,801-37738,FINANCIAL MANAGEMENT PARTNERS,FINANCIAL MANAGEMENT PARTNERS,8001 FORSYTH BLVD.,2ND FLOOR,ST LOUIS,MO,USA,63105,314-862-5190,314-862-6551,,,,,,,Approved,12/14/1990,3/8/2010,Y,WWW.FMPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"1,190,272,000.00","1,190,272,000.00",0,148,148,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,149677,801-69977,"RICHFIELD ORION FINANCIAL ADVISORS, INC.","RICHFIELD ORION FINANCIAL ADVISORS, INC.",1111 E. LINCOLNWAY,STE. 103,CHEYENNE,WY,UNITED STATES,82001,720-231-4103,720-921-7913,,,,,,,Approved,3/30/2009,3/8/2010,Y,WWW.RICHFIELDORION.COM,N,N,Y,N,N,N,N,N,N,N,N,N,N,Corporation,,WY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE BASED CONSULTING FEES,N,0,0,0,0,0,0,Y,Y,N,N,N,Y,N,N,N,Y,CAPITAL MARKET CONSULTING,10-Jan,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145965,801-68726,WORLD CAPITAL PARTNERS L.L.C.,WORLD CAPITAL PARTNERS L.L.C.,39400 WOODWARD AVENUE,SUITE 100,BLOOMFIELD HILLS,MI,UNITED STATES,48304-5151,248-593-8800,248-203-6425,,,,,,,Approved,1/23/2008,3/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"151,084,677.00",0,"151,084,677.00",14,0,14,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,139279,801-66345,MACQUARIE FUNDS MANAGEMENT,MACQUARIE FUNDS MANAGEMENT (USA) INC.,"OCEAN RIDGE, 5796 ARMADA DRIVE",SUITE 150,CARLSBAD,CA,UNITED STATES,92008,760-688-3800,760-688-3850,,,,,,,Approved,3/9/2006,6/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"705,000,000.00",0,"705,000,000.00",10,0,10,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,108580,801-56817,"TIAA-CREF TUITION FINANCING, INC.","TIAA-CREF TUITION FINANCING, INC.",730 THIRD AVE,,NEW YORK,NY,UNITED STATES,10017-3206,212-916-4724,212-916-4888,,,,,,,Approved,9/10/1999,8/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,N,N,N,N,N,N,Y,"SEE SCHEDULE D, PAGE 5-MISCELLANEOUS",Y,0,"5,885,977,038.00","5,885,977,038.00",0,9,9,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT RECOMMENDATIONS TO STATE SPONSORS OF QUALIFIED TUITION PROGRAMS.,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,137555,801-65144,"STADIA CAPITAL, LLC","STADIA CAPITAL, LLC",140 EAST 45TH STREET,31ST FLOOR,NEW YORK,NY,USA,10017,212-872-3900,212-872-3901,,,,,,,Approved,1/13/2006,3/28/2007,Y,WWW.STADIACAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"330,000,000.00",0,"330,000,000.00",10,0,10,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145420,801-69131,EQUITYCOMPASS STRATEGIES,"CHOICE FINANCIAL PARTNERS, INC.",501 NORTH BROADWAY,,ST. LOUIS,MO,UNITED STATES,63102,314-342-2000,314-342-2830,,,,,,,Approved,5/8/2008,8/2/2010,Y,WWW.EQUITYCOMPASS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,MO,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,Y,Y,N,Y,Y,PAYMENT FOR MODEL COMPENSATION,Y,0,0,0,0,0,0,N,Y,Y,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,Y,Y,N,Y,N,N,N,Y,N,N,N,N,Y,N,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,122833,801-61449,"SALIENT ADVISORS, L.P.","SALIENT ADVISORS, L.P.",4265 SAN FELIPE,8TH FLOOR,HOUSTON,TX,UNITED STATES,77027-2920,713-993-4675,713-993-4698,,,,,,,Approved,9/13/2002,8/2/2010,Y,WWW.SALIENTPARTNERS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,TX,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"73,090,333.00",0,"73,090,333.00",4,0,4,N,N,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,127462,801-71346,KELLY FINANCIAL SERVICES,"KELLY, WILLIAM, ANTHONY",TEN FORBES ROAD WEST,SUITE 130,BRAINTREE,MA,UNITED STATES,02184-2605,781-849-3090,781-849-3091,,,,,,,Approved,5/20/2010,8/2/2010,Y,WWW.KELLYFINANCIAL.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"31,579,364.00",0,"31,579,364.00",361,0,361,Y,Y,N,N,N,N,N,N,N,Y,ESTATE PLANNING,0,,N,N,N,N,N,N,Y,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,141451,801-67253,"GHE ADVISERS, L.P.","GHE ADVISERS, L.P.",4265 SAN FELIPE,8TH FLOOR,HOUSTON,TX,UNITED STATES,77027-2920,713-993-4675,713-993-4698,,,,,,,Approved,11/13/2006,8/2/2010,Y,WWW.SALIENTPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"101,006,721.00",0,"101,006,721.00",3,0,3,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,129346,801-62618,"ENDOWMENT ADVISERS, L.P.","ENDOWMENT ADVISERS, L.P.",4265 SAN FELIPE,8TH FLOOR,HOUSTON,TX,UNITED STATES,77027-2920,713-993-4675,713-993-4698,,,,,,,Approved,1/2/2004,8/2/2010,Y,WWW.SALIENTPARTNERS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"5,288,321,847.00",0,"5,288,321,847.00",9,0,9,N,N,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,28218,801-43561,CENTURY SECURITIES ASSOCIATES INC,"CENTURY SECURITIES ASSOCIATES, INC.",501 N BROADWAY,,ST LOUIS,MO,UNITED STATES,63102,314-342-4051,314-342-2004,,,,,,,Approved,3/19/1993,8/2/2010,Y,WWW.CENTURYSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,"1,000",51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"48,393,802.00","197,398,644.00","245,792,446.00",321,967,"1,288",Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,Y,Y,Y,N,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,Y,N,Y,N,N,Y,Y,N,N
SFRO,148052,801-69530,PARKSHORE WEALTH MANAGEMENT,PARKSHORE WEALTH MANAGEMENT,1024 IRON POINT ROAD,,FOLSOM,CA,UNITED STATES,95630-8013,916-357-6776,916-357-6775,,,,,,,Approved,9/4/2008,8/2/2010,Y,WWW.PWMADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"65,521,117.00","1,246,076.00","66,767,193.00",368,5,373,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,104711,801-33972,"TOBIAS FINANCIAL ADVISORS, INC.","TOBIAS FINANCIAL ADVISORS, INC.",1000 S. PINE ISLAND ROAD,SUITE 250,PLANTATION,FL,USA,33324,954-424-1660,954-424-9545,,,,,,,Approved,2/27/1989,8/2/2010,Y,WWW.TOBIASFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"140,294,809.00",0,"140,294,809.00",108,0,108,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109877,801-60038,GSC GROUP,"GSCP (NJ), L.P.",500 CAMPUS DRIVE,SUITE 220,FLORHAM PARK,NJ,UNITED STATES,7932,973-437-1000,973-437-1037,,,,,,,Approved,3/1/2001,8/2/2010,Y,WWW.GSC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,BUSINESS DEVELOPMENT COMPANY,Y,N,N,N,N,Y,Y,"SEE ""MISCELLANEOUS"" SECTION OF SCHEDULE D",Y,"10,281,669,102.00",0,"10,281,669,102.00",71,0,71,N,N,N,Y,N,N,N,N,N,Y,BUSINESS DEVELOPMENT COMPANY,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,149909,801-70489,"VELLUM FINANCIAL, LLC","VELLUM FINANCIAL, LLC","4115 BROAD STREET, STE. B6",,SAN LUIS OBISPO,CA,UNITED STATES,93401,(805) 546-1000,(866) 307-2332,,,,,,,Approved,8/18/2009,8/2/2010,Y,WWW.VELLUMFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"63,099,500.00","9,018,000.00","72,117,500.00",393,17,410,Y,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,N,N,N,Y,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,113681,801-66559,TOWNSEND RETIREMENT SPECIALISTS,"TOWNSEND & ASSOCIATES, INC.","2761 W. 120TH AVE., SUITE 200",,WESTMINSTER,CO,UNITED STATES,80234,303-452-5986,303-452-5989,,,,,,,Approved,4/28/2006,8/3/2010,Y,WWW.TOWNSENDRETIREMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,More than 500,"1,180",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"182,209,002.00","22,008,597.00","204,217,599.00",938,156,"1,094",Y,Y,N,N,Y,Y,N,N,N,Y,SEMINARS,More than 500,1180,N,Y,N,Y,N,N,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,124509,801-62020,ABERDEEN ASSET MANAGEMENT ASIA LIMITED,ABERDEEN ASSET MANAGEMENT ASIA LIMITED,"21 CHURCH STREET,#01-01 CAPITAL SQUARE TWO",,SINGAPORE,,SINGAPORE,49480,65-63952705,65-65381002,,,,,,,Approved,4/28/2003,8/2/2010,Y,WWW.ABERDEEN-ASSET.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,SINGAPORE,51-250,0,Nov-50,0,0,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"48,764,026,557.00","2,455,475,030.00","51,219,501,587.00",151,10,161,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108380,801-56027,"MILLER INVESTMENT MANAGEMENT, LP","MILLER INVESTMENT MANAGEMENT, LP","ONE TOWER BRIDGE, STE 1500",,WEST CONSHOHOCKEN,PA,UNITED STATES,19428-2874,610-834-9820,610-834-9824,,,,,,,Approved,11/19/1998,8/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,PA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"1,001,130,595.00","1,219,472,031.00","2,220,602,626.00",111,28,139,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106682,801-46417,IRON FINANCIAL LLC,IRON FINANCIAL LLC,630 DUNDEE ROAD,SUITE 200,NORTHBROOK,IL,UNITED STATES,60062,847-715-3200,847-715-3499,,,,,,,Approved,5/18/1994,8/3/2010,Y,WWW.IRONFINANCIAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,"1,500",11-25 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,$50 MINIMUM QUARTERLY FEE,Y,"870,982,000.00","187,000,000.00","1,057,982,000.00","1,005",292,"1,297",N,Y,Y,Y,N,Y,N,N,Y,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,149772,801-70109,COHANZICK MANAGEMENT LLC,COHANZICK MANAGEMENT LLC,427 BEDFORD ROAD,,PLEASANTVILLE,NY,UNITED STATES,10570,914-741-9600,914-206-4163,,,,,,,Approved,4/15/2009,8/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"214,959,859.00",0,"214,959,859.00",12,0,12,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105176,801-7942,"SENTRY INVESTMENT MANAGEMENT, L.L.C.","SENTRY INVESTMENT MANAGEMENT, L.L.C.",1800 N POINT DRIVE,,STEVENS POINT,WI,UNITED STATES,54481,715-346-6000,715-346-7035,,,,,,,Approved,11/14/1971,8/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,PARTNERSHIP,Y,N,N,N,N,N,N,,Y,"8,528,008,000.00",0,"8,528,008,000.00",41,0,41,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,109471,801-57228,CROSSVAULT CAPITAL MANAGEMENT LLC,CROSSVAULT CAPITAL MANAGEMENT LLC,7373 BROADWAY,SUITE 107,SAN ANTONIO,TX,UNITED STATES,78209-3264,210-223-6929,210-223-5852,,,,,,,Approved,2/17/2000,8/3/2010,Y,WWW.CROSSVAULT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"64,450,235.00","2,005,004.00","66,455,239.00",92,1,93,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138023,801-65666,DIMAIO AHMAD CAPITAL LLC,DIMAIO AHMAD CAPITAL LLC,277 PARK AVENUE,48TH FLOOR,NEW YORK,NY,UNITED STATES,10172,212-328-7900,212-328-7870,,,,,,,Approved,1/25/2006,8/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,STRUCTURING FEES,Y,"3,451,821,416.00",0,"3,451,821,416.00",9,0,9,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVICE TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,114803,801-57702,"GLOBAL FINANCIAL PLANNING GROUP, LLC","GLOBAL FINANCIAL PLANNING GROUP, LLC",3155 WEST BIG BEAVER,SUITE 123,TROY,MI,USA,48084,248-643-4820,248-643-4906,,,,,,,Approved,7/18/2000,6/4/2008,Y,WWW.GFPGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,0,"57,554,000.00","57,554,000.00",0,247,247,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,148352,801-70031,"DFG INVESTMENT ADVISERS, INC.","DFG INVESTMENT ADVISERS, INC.",120 WEST 45TH STREET,4TH FLOOR,NEW YORK,NY,UNITED STATES,10036,212-488-1544,212-488-1546,,,,,,,Approved,3/26/2009,8/3/2010,Y,WWW.DFGIA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"213,427,264.00","635,785,572.00","849,212,836.00",3,2,5,N,N,N,Y,N,N,Y,Y,N,Y,CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,136591,801-64978,"LIGHTHOUSE INVESTMENT PARTNERS, LLC","LIGHTHOUSE INVESTMENT PARTNERS, LLC","3801 PGA BLVD., SUITE 500",,PALM BEACH GARDENS,FL,USA,33410,561-741-0820,561-748-9046,,,,,,,Approved,11/29/2005,8/3/2010,Y,WWW.LIGHTHOUSEPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,Nov-50,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,529,633,695.00",0,"4,529,633,695.00",40,0,40,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,114880,801-63752,"CENTARA CAPITAL MANAGEMENT GROUP, INC.","CENTARA CAPITAL MANAGEMENT GROUP, INC.",4747 EXECUTIVE DRIVE,SUITE 450,SAN DIEGO,CA,UNITED STATES,92121,619-398-1700,619-398-1717,,,,,,,Approved,1/3/2005,8/3/2010,Y,WWW.CENTARACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"59,555,000.00",0,"59,555,000.00",391,0,391,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,Y,Y,N,Y,Y,N,Y,"TAX SERVICES, LIMITED PARTNERSHIPS",Y,N,Y,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122170,801-62912,RICHARD L. EVANS INVESTMENT MANAGEMENT,RICHARD LEE EVANS,,,,,,,708-957-4246,708-957-4246,,,,,,,Approved,4/6/2004,8/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"59,100,000.00",0,"59,100,000.00",268,0,268,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,113051,801-64413,WEALTH MANAGEMENT GROUP,"WEALTH MANAGEMENT GROUP, LLC",220 BEISER BLVD,,DOVER,DE,USA,19904,302-734-5826,302-734-3474,,,,,,,Approved,6/23/2005,8/3/2010,Y,WWW.WMGADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"93,213,573.00",0,"93,213,573.00",409,0,409,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,135069,801-71621,THE MUTUAL FUND STORE,"TMFS-NORFOLK, LLC",1560 LASKIN ROAD,SUITE 156,VIRGINIA BEACH,VA,USA,23451,757-201-7444,757-201-7338,,,,,,,Approved,7/9/2010,8/3/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"30,883,000.00",0,"30,883,000.00",322,0,322,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,142820,801-68897,"GREENWICH WEALTH MANAGEMENT, LLC",GREENWICH WEALTH MANAGEMENT LLC,45 EAST PUTNAM AVENUE,SUITE 109,GREENWICH,CT,UNITED STATES,6830,203-618-0100,203-286-2025,,,,,,,Approved,3/20/2008,8/17/2010,Y,WWW.GREENWICHWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"616,110,627.00","10,000,000.00","626,110,627.00",75,2,77,Y,Y,N,N,Y,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,149117,801-70171,BETTERMENT,BETTERMENT LLC (NEW LEGAL NAME),853 BROADWAY,SUITE 1208,NEW YORK,NY,UNITED STATES,10003,212-228-1328,N/A,,,,,,,Approved,5/21/2009,8/17/2010,Y,WWW.BETTERMENT.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,116840,801-63766,LAIN ASSET MANAGEMENT & PLANNING,"LAIN, STEPHEN PAUL",707 WESTCHESTER DRIVE,SUITE 204,HIGH POINT,NC,UNITED STATES,27262-2418,336-887-9390,336-887-1643,PO BOX 5168,,HIGH POINT,NC,UNITED STATES,27262-5168,Approved,1/3/2005,7/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"44,959,779.00",72,"44,959,851.00",372,1,373,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112008,801-55556,LANCASTER POLLARD INVESTMENT ADVISORY GROUP,LANCASTER POLLARD ASSET MANAGEMENT LLC,65 EAST STATE STREET,16TH FLOOR,COLUMBUS,OH,UNITED STATES,43215-4213,614-224-8800,614-324-1100,,,,,,,Approved,5/15/1998,7/22/2010,Y,WWW.LANCASTERPOLLARD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"174,000,000.00","202,000,000.00","376,000,000.00",24,6,30,N,N,N,Y,Y,Y,N,N,N,Y,FIDUCIARY CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,107752,801-28105,AON INVESTMENT CONSULTING INC.,AON INVESTMENT CONSULTING INC.,7650 W COURTNEY CAMPBELL CAUSEWAY SUITE 1000,SUITE 1000,TAMPA,FL,UNITED STATES,33607,813-636-3000,813-636-3075,,,,,,,Approved,10/9/1986,7/22/2010,Y,AON.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,COMPANY SPONSORED RETIREMENT PLANS OF INVESTMENT MANAGEMENT COMPANIES,Y,Y,N,Y,N,N,Y,PERCENTAGE OF ASSETS UNDER ADVISEMENT,Y,"1,100,000,000.00","28,844,488,748.00","29,944,488,748.00",7,318,325,N,N,N,Y,Y,Y,N,N,N,Y,CONSULT FOR OTHER INSTIT. INVESTORS.  SUBADVISE ON ALTRNTVS TO AON. QUANTIFY/MITIGATE PENSION RISK,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N
DRO,133014,801-63567,"LEGACY INVESTMENT PARTNERS, LLC","LEGACY INVESTMENT PARTNERS, LLC",11350 TOMAHAWK CREEK PARKWAY,SUITE 150,LEAWOOD,KS,USA,66211,913-696-1550,913-696-1560,,,,,,,Approved,10/8/2004,8/17/2010,Y,WWW.LEGACYIP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"64,879,196.00","38,669,562.00","103,548,758.00",78,234,312,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152455,801-71268,NETPLUS CAPITAL LLC,NETPLUS CAPITAL LLC,757 THIRD AVENUE,SUITE 2019,NEW YORK,NY,UNITED STATES,10017,212-376-5632,212-376-5631,,,,,,,Approved,3/25/2010,8/17/2010,Y,WWW.NETPLUSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,0,"108,671,913.00","108,671,913.00",0,62,62,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110774,801-60138,"CAVANAL HILL INVESTMENT MANAGEMENT, INC.","CAVANAL HILL INVESTMENT MANAGEMENT, INC.",ONE WILLIAMS CENTER,15TH FLOOR,TULSA,OK,USA,74172-0172,918-588-8688,918-588-6939,,,,,,,Approved,4/19/2001,8/17/2010,Y,WWW.CAVANALHILL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,Up to 10 percent,26-50 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,523,327,000.00","2,071,316,500.00","6,594,643,500.00",357,1,358,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,110487,801-39572,LOEB CAPITAL MANAGEMENT,LOEB ARBITRAGE MANAGEMENT LP,61 BROADWAY,,NEW YORK,NY,UNITED STATES,10006,212-483-7000,212-574-2001,,,,,,,Approved,7/29/1991,8/17/2010,Y,WWW.LOEBCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"469,050,000.00",0,"469,050,000.00",5,0,5,N,N,N,Y,N,N,N,N,N,Y,HEDGE FUND MANAGEMENT,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
PLRO,154346,801-71716,TINSLEY WEALTH ADVISORS LLC,TINSLEY WEALTH ADVISORS LLC,1045 FIRST AVENUE,SUITE 120,KING OF PRUSSIA,PA,UNITED STATES,19406,610-313-0910,610-313-0920,P.O. BOX 276A,,WAYNE,PA,UNITED STATES,19087,120-Day Approval,8/20/2010,8/17/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,123992,801-61631,LOEB CAPITAL MANAGEMENT,LOEB OFFSHORE MANAGEMENT LP,61 BROADWAY- 24TH FLOOR,,NEW YORK,NY,UNITED STATES,10006,212-483-7000,212-574-2001,,,,,,,Approved,1/2/2003,8/17/2010,Y,WWW.LOEBCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"54,000,000.00",0,"54,000,000.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,HEDGE FUND MANAGEMENT,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,107652,801-49418,NICHOLAS ADVISORS INC,NICHOLAS ADVISORS INC,"750 THIRD AVENUE, 9TH FLR",SUITE 964,NEW YORK,NY,UNITED STATES,10017,212-549-1836,877-577-1479,,,,,,,Approved,6/27/1995,8/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"92,263,507.00","23,475,808.00","115,739,315.00",20,6,26,N,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106823,801-44284,LEGACY CAPITAL MANAGEMENT INC,LEGACY CAPITAL MANAGEMENT INC,"3741 DOUGLAS BLVD, STE 320",,ROSEVILLE,CA,USA,95661,916-783-6200,916-783-6210,,,,,,,Approved,8/18/1993,8/17/2010,Y,WWW.LEGACYCAPITALINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"118,450,921.00",0,"118,450,921.00",115,0,115,N,Y,N,Y,N,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,154822,801-71782,"CLARK DODGE ASSET MANAGEMENT, LLC",CLARK DODGE ASSET MANAGEMENT LLC,2 GANNETT DRIVE,SUITE 410,WHITE PLAINS,NY,UNITED STATES,10604,914-694-2390,914-251-9555,,,,,,,120-Day Approval,8/25/2010,8/18/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,More than 75 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104553,801-51232,"NEW CENTURY FINANCIAL GROUP, LLC","NEW CENTURY FINANCIAL GROUP, LLC",118 WALL STREET,,PRINCETON,NJ,USA,8540,(609)924-2049,(609)924-0649,,,,,,,Approved,2/9/1996,8/18/2010,Y,WWW.NCFG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"182,952,070.00","363,297.00","183,315,367.00",645,1,646,Y,Y,N,Y,N,Y,N,N,Y,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
PLRO,108922,801-56558,"BALDWIN INVESTMENT MANAGEMENT, LLC","BALDWIN INVESTMENT MANAGEMENT, LLC",100 FOUR FALLS CORPORATE CENTER,SUITE 202,WEST CONSHOHOCKEN,PA,USA,19428,610-260-1555,610-260-1551,,,,,,,Approved,5/26/1999,8/18/2010,Y,WWW.BALDWINIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"204,069,000.00","25,447,000.00","229,516,000.00",153,23,176,N,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,146747,801-69012,"PARTNER FUND MANAGEMENT, L.P.","PARTNER FUND MANAGEMENT, L.P.",ONE MARKET STREET,SUITE 2200 STEUART TOWER,SAN FRANCISCO,CA,UNITED STATES,94105,415-281-1000,415-281-1076,,,,,,,Approved,4/10/2008,8/18/2010,Y,WWW.PFMLP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,757,033,482.00",0,"2,757,033,482.00",6,0,6,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT MANAGEMENT TO PRIVATE POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,468,801-56298,"SIGNATOR INVESTORS, INC.","SIGNATOR INVESTORS, INC.",197 CLARENDON STREET,C-8-05,BOSTON,MA,UNITED STATES,2116,800-543-6611,617-572-5631,197 CLARENDON STREET,C-8-05,BOSTON,MA,UNITED STATES,2116,Approved,3/15/1999,8/18/2010,Y,JHNETWORK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,501-1000,0,501-1000,0,501-1000,0,5-Jan,0,More than 500,"8,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"1,059,373,282.00","1,059,373,282.00",0,"7,834","7,834",Y,Y,N,Y,N,Y,N,N,N,Y,SEMINARS,101-250,,Y,N,Y,N,N,N,N,N,N,,N,,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,Y
LARO,119290,801-60943,"BEACON POINTE ADVISORS, LLC","BEACON POINTE ADVISORS, LLC",500 NEWPORT CENTER DRIVE,SUITE 125,NEWPORT BEACH,CA,UNITED STATES,92660,949-718-1600,949-718-0601,,,,,,,Approved,2/20/2002,8/18/2010,Y,WWW.BPADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"978,341,472.00","2,890,738,080.00","3,869,079,552.00","1,628",605,"2,233",Y,Y,N,Y,N,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES,26-50,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106903,801-35882,BUREKER & ASSOCIATES,BUREKER CHARLES RANDOLPH,,,,,,,925-944-5554,925-944-5554,,,,,,,Approved,2/16/1990,8/18/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"20,397,344.00",0,"20,397,344.00",115,0,115,N,Y,N,Y,N,N,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,153540,801-71340,AMS CAPITAL MANAGEMENT LLC,AMS CAPITAL MANAGEMENT LLC,126 2ND AVENUE,#100,SAN MATEO,CA,UNITED STATES,94401,650-344-1160,650-344-1162,,,,,,,120-Day Approval,4/16/2010,8/18/2010,Y,WWW.AMSCAPITALMANAGEMENT.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"13,500,000.00","13,500,000.00",0,39,39,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,146411,801-68918,GML CAPITAL LLP,GML CAPITAL LLP,THE MET BUILDING,22 PERCY STREET,LONDON,,UNITED KINGDOM,W1T 2BU,+44 (20) 7580 8588,+44 (20) 7580 8688,,,,,,,Approved,3/20/2008,8/18/2010,Y,WWW.GMLCAPITAL.NET,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,LOAN ORIGINATION FEES,Y,"93,786,799.00","482,363,836.00","576,150,635.00",7,9,16,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,129120,801-62471,ALEXANDRIA FINANCIAL ASSOCIATES,"BOTREE WESTMOUNT PARTNERS, LLC",4900 SEMINARY ROAD,SUITE 105,ALEXANDRIA,VA,UNITED STATES,22311,703-671-5959,703-671-0531,,,,,,,Approved,10/1/2003,8/18/2010,Y,WWW.AFA-BOTREE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"115,272,131.00",0,"115,272,131.00",525,0,525,Y,Y,N,Y,N,N,N,N,N,Y,TAX PREPARATION,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,144426,801-68114,"INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC","INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC",300 SOUTH ORANGE AVENUE,SUITE 1100,ORLANDO,FL,UNITED STATES,32801,407-254-1516,407-254-1505,,,,,,,Approved,7/5/2007,8/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"29,791,930.00","27,936,866.00","57,728,796.00",89,171,260,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109721,801-70404,"INVESTORS ADVISORY GROUP, LLC","INVESTORS ADVISORY GROUP, LLC","N19 W24200 RIVERWOOD DRIVE, SUITE 150",SUITE 150,WAUKESHA,WI,UNITED STATES,53188,262/446-8150,262/446-8123,,,,,,,Approved,7/28/2009,8/18/2010,Y,WWW.INVESTORSADVISORYGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,PERCENTAGE OF NET WORTH.,Y,"50,000,000.00","174,000,000.00","224,000,000.00",300,"2,050","2,350",Y,Y,N,N,N,Y,N,N,N,Y,INVESTMENT CONSULTATION SERVICES,101-250,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153763,801-71410,"KOLINSKY WEALTH MANAGEMENT, LLC","KOLINSKY WEALTH MANAGEMENT, LLC",50 TICE BOULEVARD,,WOODCLIFF LAKE,NJ,UNITED STATES,7677,201-474-4011,201-505-4879,,,,,,,Approved,5/4/2010,8/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,10-Jun,0,0,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"55,000,000.00",0,"55,000,000.00",314,0,314,Y,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
NYRO,106123,801-46798,"LAWRENCE CAPITAL MANAGEMENT, INC.","LAWRENCE CAPITAL MANAGEMENT, INC.",708 THIRD AVENUE,5TH FLOOR,NEW YORK,NY,UNITED STATES,10017-4201,212-209-3988,646-395-1881,,,,,,,Approved,6/24/1994,8/18/2010,Y,WWW.LAWRENCECAPITALMGT.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"29,000,000.00",0,"29,000,000.00",71,0,71,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,39805,801-54810,"CLAYMORE SECURITIES, INC.","CLAYMORE SECURITIES, INC.",2455 CORPORATE WEST DRIVE,,LISLE,IL,USA,60532,630-505-3700,630-799-3834,,,,,,,Approved,8/26/1997,8/25/2010,Y,CLAYMORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,51-250,0,10-Jun,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,INDEX LICENSING FEE,Y,"3,019,645,537.00",0,"3,019,645,537.00",438,0,438,N,N,Y,N,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153716,801-71481,"GSL ADVISORS, LLC","GSL ADVISORS, LLC",900 THIRD AVENUE,SUITE 1000,NEW YORK,NY,UNITED STATES,10022,212-350-0200,212-350-0302,,,,,,,120-Day Approval,6/15/2010,8/25/2010,Y,WWW.GSLADVISORS.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,Y,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,DIRECTED SECURITIES LENDING,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107538,801-42031,MUTUAL FUND MANAGEMENT CO,MUTUAL FUND MANAGEMENT CO,888 W BIG BEAVER,STE 890,TROY,MI,USA,48084,248-635-1155,248-362-8566,,,,,,,Approved,8/6/1992,8/25/2010,Y,WWW.MFMONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"129,487,493.00","12,310,952.00","141,798,445.00",829,3,832,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,19616,801-37967,"WELLS FARGO ADVISORS, LLC","WELLS FARGO ADVISORS, LLC",ONE NORTH JEFFERSON AVENUE,H0006-028,ST. LOUIS,MO,UNITED STATES,63103,314-955-3000,314-955-2726,,,,,,,Approved,10/5/1990,8/25/2010,Y,WWW.WACHOVIASEC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,More than 1000,"29,000",More than 1000,"11,000",More than 1000,"24,000",251-500,0,More than 500,"850,000",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"90,140,160,184.00","62,698,378,783.00","152,838,538,967.00","425,155","278,029","703,184",Y,Y,N,Y,Y,Y,N,N,N,Y,INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS,101-250,,Y,Y,Y,N,Y,N,N,N,Y,"INSURANCE PRODUCT SALES, MORTGAGE BROKER",N,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y
SFRO,135288,801-69138,"AMERICAN INDEPENDENT SECURITIES GROUP, LLC","AMERICAN INDEPENDENT SECURITIES GROUP, LLC",1036 E IRON EAGLE DR. SUITE 105,,EAGLE,ID,UNITED STATES,83616,208-489-3131,208-489-3123,,,,,,,Approved,5/27/2008,8/25/2010,Y,WWW.AMERICANISG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,ID,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,Nov-50,0,More than 500,607,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"23,357,738.00","31,448,525.00","54,806,263.00",316,222,538,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,119003,801-68596,"MMLISI FINANCIAL ALLIANCES, LLC","MMLISI FINANCIAL ALLIANCES, LLC",1295 STATE STREET,,SPRINGFIELD,MA,USA,01111-0001,413-744-8811,413-744-1295,,,,,,,Approved,12/11/2007,8/25/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,0,0,Nov-50,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,REFERRAL FEE,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,REFERRALS,,,N,N,Y,N,N,N,Y,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
BRO,110526,801-15865,FARROW FINANCIAL INC,FARROW FINANCIAL INC,283 BOUDRO RD,,RANDOLPH CENTER,VT,USA,5061,802-728-4287,802-728-3124,,,,,,,Approved,3/26/1981,8/25/2010,Y,WWW.FARROWFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"89,186,032.00","285,098.00","89,471,130.00",359,1,360,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,154872,801-71772,IRONCLAD INVESTMENTS LLC,IRONCLAD INVESTMENTS LLC,121 SOUTH ORANGE AVE,SUITE 1500,ORLANDO,FL,UNITED STATES,32801,407-982-1888,,,,,,,,120-Day Approval,8/31/2010,8/25/2010,Y,IRONCLADFUNDS.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110353,801-15757,MORGAN STANLEY INVESTMENT MANAGEMENT INC.,MORGAN STANLEY INVESTMENT MANAGEMENT INC.,522 FIFTH AVENUE,,NEW YORK,NY,UNITED STATES,10036,212-296-6600,646-452-0390,,,,,,,Approved,1/28/1981,8/25/2010,Y,WWW.MORGANSTANLEY.COM/IM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,251-500,0,51-250,0,51-250,0,5-Jan,0,251-500,0,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,FOREIGN GOVERNMENT,Y,N,N,Y,N,Y,N,,Y,"124,649,018,508.00","570,131,163.00","125,219,149,671.00","4,200",28,"4,228",N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107517,801-23944,SYM FINANCIAL ADVISORS,SYM FINANCIAL CORP.,801 PARK AVE,,WINONA LAKE,IN,UNITED STATES,46590,574-267-2300,574-269-5905,,,,,,,Approved,5/15/1985,8/25/2010,Y,WWW.SYM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,More than 500,500,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"453,536,619.00","159,482,667.00","613,019,286.00","1,600",391,"1,991",Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,N,N,N,Y,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,7059,801-3387,CITIGROUP GLOBAL MARKETS INC.,CITIGROUP GLOBAL MARKETS INC.,666 FIFTH AVENUE,,NEW YORK,NY,UNITED STATES,10103,212.816.6000,201.716.3957,,,,,,,Approved,2/23/1964,8/25/2010,Y,WWW.SMITHBARNEY.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,251-500,0,Nov-50,0,251-500,0,10-Jun,0,More than 500,"35,000",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"8,849,000,000.00","10,695,000,000.00","19,544,000,000.00","11,455","18,473","29,928",Y,Y,N,Y,Y,Y,N,N,N,Y,ASSET ALLOCATION ADVICE,More than 500,4000,Y,Y,Y,N,Y,N,N,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y
BRO,153428,801-71483,ROSS FARRAR LLC,ROSS FARRAR LLC,33 WHITNEY AVENUE,,NEW HAVEN,CT,UNITED STATES,6510,203-562-1400,203-562-9512,,,,,,,Approved,5/24/2010,8/25/2010,Y,WWW.ROSSFARRAR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"464,360,994.00",0,"464,360,994.00",1,0,1,N,N,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,151913,801-71353,INVESTORS DIVERSIFIED REALTY MANAGEMENT I LLC,INVESTORS DIVERSIFIED REALTY MANAGEMENT I LLC,1111 SUPERIOR AVE.,SUITE 965,CLEVELAND,OH,UNITED STATES,44114,216-622-0004,216-622-0005,,,,,,,120-Day Approval,4/30/2010,8/25/2010,Y,WWW.IDRFOF.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES; PROJECT CONSULTING SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,138037,801-66119,"JER MANAGEMENT, LLC","JER MANAGEMENT, LLC",1650 TYSONS BOULEVARD,SUITE 1600,MCLEAN,VA,UNITED STATES,22102-4846,703-714-8000,703-714-8100,,,,,,,Approved,1/26/2006,8/25/2010,Y,WWW.JER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,130,962,979.00",0,"1,130,962,979.00",14,0,14,N,N,N,Y,N,N,N,N,N,Y,REAL ESTATE AND RELATED FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y
PLRO,111126,801-51407,"FIS GROUP, INC.","FIS GROUP, INC.",1818 MARKET STREET,SUITE 3205,PHILADELPHIA,PA,UNITED STATES,19103,215-567-1100,215-567-1810,,,,,,,Approved,3/4/1996,8/25/2010,Y,WWW.FISGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"1,947,632,886.00",0,"1,947,632,886.00",14,0,14,N,N,N,Y,Y,Y,N,N,N,Y,GENERAL ADVISORY SERVICES ON AN ONGOING BASIS ON ALL MATTERS RELATED TO THE INVESTMENT OF CERTAIN CLIENT ASSETS.,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109562,801-33745,"STANDARD & POOR'S SECURITIES EVALUATIONS, INC.","STANDARD & POOR'S SECURITIES EVALUATIONS, INC.",55 WATER STREET,,NEW YORK,NY,UNITED STATES,10041,212-438-2000,212-438-0027,,,,,,,Approved,11/30/1988,8/25/2010,Y,WWW.STANDARDANDPOORS.COM,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,NY,UNITED STATES,51-250,0,51-250,0,0,0,5-Jan,0,251-500,0,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,51-75 percent,"BROKERS, INSURANCE COMPANIES, NON PROFIT GROUPS, ADVISERS TO INVESTMENT COMPANIES (MUTUAL FUNDS, HEDGE  & OFFSHORE FUNDS",N,N,N,Y,N,N,Y,SUBSCRIPTION FEES FOR PRICING SERVICE,N,0,0,0,0,0,0,N,N,N,N,N,N,N,Y,N,Y,ISSUES DEVICES WHICH CLIENTS MAY USE TO EVALUATE SECURITIES.  REGISTRANT MAY ALSO ISSUE SPECIAL REPORTS ABOUT SECURITIES.,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,153504,801-71313,APS ASSOCIATES,APS ADVISORS INC.,500 SOUTH AVE,SUITE 1,JACKSON,CA,UNITED STATES,95642,(209) 223-0460,,,,,,,,Approved,4/8/2010,8/25/2010,Y,WWW.APSADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"32,000,000.00","8,000,000.00","40,000,000.00",275,50,325,Y,Y,N,Y,Y,Y,Y,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107092,801-40215,WILSON BENNETT CAPITAL MANAGEMENT INC,WILSON BENNETT CAPITAL MANAGEMENT INC,8270 GREENSBORO DRIVE,SUITE 400,MCLEAN,VA,UNITED STATES,22102,703-584-6020,703-883-3814,,,,,,,Approved,12/16/1991,8/25/2010,Y,WWW.WILSONBENNETT.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"115,804,317.00","98,240,402.00","214,044,719.00",146,5,151,N,Y,N,Y,N,N,N,N,N,Y,OPERATIONAL SUPPORT,0,,N,Y,N,N,N,N,N,Y,N,,N,,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,153924,801-71578,"INCOME ENHANCEMENT STRATEGIES, LLC","INCOME ENHANCEMENT STRATEGIES, LLC",200 SOUTH TRYON STREET,SUITE 700,CHARLOTTE,NC,UNITED STATES,28202,704-332-2032,704-332-2092,,,,,,,120-Day Approval,6/24/2010,8/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"72,557,551.00",0,"72,557,551.00",4,0,4,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,137652,801-64952,CATAMOUNT CAPITAL LLC,CATAMOUNT CAPITAL LLC,2602 MCKINNEY AVE.,SUITE 230,DALLAS,TX,UNITED STATES,75204,214-871-1116,214.871.1104,,,,,,,Approved,1/3/2006,8/25/2010,Y,WWW.CATAMOUNTCP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,Y,N,N,N,N,,Y,"18,000,000.00","12,200,000.00","30,200,000.00",47,34,81,Y,Y,N,Y,N,Y,N,N,Y,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,152975,801-71126,"GLENMORE ADVISORS, LLC","GLENMORE ADVISORS, LLC","3715 NORTHSIDE PARKWAY, NW",NORTHCREEK 200 SUITE 650,ATLANTA,GA,UNITED STATES,30327,404-865-3333,877-740-1620,,,,,,,Approved,3/2/2010,8/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,0,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"150,000,000.00",0,"150,000,000.00",300,0,300,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110291,801-47318,AMI ASSET MANAGEMENT CORP,AMI ASSET MANAGEMENT CORP,"10866 WILSHIRE BLVD., STE 770",,LOS ANGELES,CA,UNITED STATES,90024,310-446-2740,310-446-2796,,,,,,,Approved,8/23/1994,8/25/2010,Y,WWW.AMIASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"473,823,940.00","1,830,864.00","475,654,804.00",868,26,894,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,136016,801-64490,ING INVESTMENT MANAGEMENT ASIA/PACIFIC (HONG KONG) LTD.,ING INVESTMENT MANAGEMENT ASIA/PACIFIC (HONG KONG) LTD.,"39/F, ONE INTERNATIONAL FINANCE CENTRE","NO 1 HARBOUR VIEW STREET, CENTRAL",HONG KONG,,CHINA,,852-3762-8800,852-2179-5703,,,,,,,Approved,7/20/2005,8/25/2010,Y,WWW.INGIM.COM.HK,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,51-250,0,Nov-50,0,0,0,51-250,0,26-100,0,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,INSURANCE COMPANIES,Y,N,N,N,N,Y,N,,Y,"6,286,801,806.00",0,"6,286,801,806.00",50,0,50,N,Y,Y,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,Y,N,N,N,N
NYRO,147815,801-71767,"PLANTLY, LLC","PLANTLY, LLC",,,,,,,917-306-9580,718-576-2533,,,,,,,Approved,8/23/2010,8/26/2010,Y,HTTP://WWW.PLANTLY.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,"1,000",0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,BETA TESTERS (ASKED NOT TO INVEST REAL MONEY) FOR PLANTLY'S INTERNET BASED ADVISORY SERVICE,N,N,N,N,N,N,Y,BETA TESTERS DO NOT PAY FOR TESTING PLANTLY'S INTERNET SERVICE,N,0,0,0,0,0,0,N,N,N,N,N,N,Y,N,N,Y,INVESTMENT ADVICE SERVICES (ASSET ALLOCATION),,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,127005,801-68127,"ALUPKA ASSET MANAGEMENT, L.L.C.","ALUPKA ASSET MANAGEMENT, L.L.C.","201 CALIFORNIA STREET, SUITE 640",,SAN FRANCISCO,CA,UNITED STATES,94111,(415) 956-9175,(415) 956-9138,,,,,,,Approved,7/26/2007,8/25/2010,Y,WWW.ALUPKAPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"34,429,020.00",0,"34,429,020.00",51,0,51,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,154034,801-71527,WOLFSON WEALTH MANAGEMENT,"WOLFSON, LESLIE JAY",,,,,,,916-760-7757,916-993-3177,,,,,,,120-Day Approval,6/18/2010,8/25/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"8,000,000.00",0,"8,000,000.00",45,0,45,N,Y,N,N,Y,Y,N,N,N,N,,,,Y,Y,N,N,N,Y,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,140378,801-66690,"ACEX CAPITAL MANAGEMENT, LLC","ACEX CAPITAL MANAGEMENT, LLC",609 SOUTH 6TH STREET,,WORLAND,WY,USA,82401,307-347-8246,800-616-5532,,,,,,,Approved,5/3/2006,5/3/2006,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES.,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108559,801-56293,"FIRST REPUBLIC INVESTMENT MANAGEMENT, INC.","FIRST REPUBLIC INVESTMENT MANAGEMENT, INC.",388 MARKET STREET,5TH FLOOR,SAN FRANCISCO,CA,UNITED STATES,94111-5602,415-288-1400,415-288-1401,111 PINE ST.,7TH FLOOR,SAN FRANCISCO,CA,UNITED STATES,94111-5602,Approved,2/23/1999,8/26/2010,Y,HTTP://WWW.FIRSTREPUBLIC.COM/WEALTH_MANAGEMENT/INDEX.HTML,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,10-Jun,0,More than 500,"5,000",Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,Y,PORTFOLIO CONSULTING / FLAT FEE,Y,"4,339,785,833.00","140,925,200.00","4,480,711,033.00","4,979",74,"5,053",Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,129668,801-62595,PINEWOOD CAPITAL PARTNERS LLC,PINEWOOD CAPITAL PARTNERS LLC,140 GREENWICH AVE,,GREENWICH,CT,USA,6830,203.661.7125,203.618.0534,,,,,,,Approved,1/2/2004,5/3/2006,Y,WWW.PINEWOODCAPITAL.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,750,000.00",0,"5,750,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR OTHER POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115121,801-60794,PRAIRIE FINANCIAL GROUP ADVISORY SERVICES,"PRAIRIE FINANCIAL SERVICES, INC.",1813 N. MILL STREET,SUITE H,NAPERVILLE,IL,UNITED STATES,60563,630-778-8785,630-778-9854,,,,,,,Approved,12/21/2001,2/1/2010,Y,WWW.PRAIRIEFS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"90,000,000.00",0,"90,000,000.00",480,0,480,Y,Y,N,N,N,Y,N,N,N,Y,LIFE PLANNING SERVICES,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,47487,801-45055,LANDAAS & COMPANY,LANDAAS & COMPANY,411 E WISCONSIN AVE,,MILWAUKEE,WI,USA,53202,414-223-1099,414-223-4685,,,,,,,Approved,10/25/1993,2/1/2010,Y,WWW.LANDAAS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"15,574,299.00","26,443,312.00","42,017,611.00",70,131,201,Y,Y,N,Y,N,N,N,N,N,Y,CONSULTATION SERVICES,101-250,,N,N,Y,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,125713,801-64157,INSPIRED FINANCIAL,INSPIRED FINANCIAL LLC,5011 ARGOSY AVE,STE. 7,HUNTINGTON BEACH,CA,UNITED STATES,92649,714-971-0663,714-971-0832,,,,,,,Approved,4/8/2005,2/1/2010,Y,WWW.INSPIREDFINANCIAL.BIZ,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"52,000,000.00",0,"52,000,000.00",250,0,250,Y,Y,N,N,Y,N,N,N,N,Y,TAX SERVICES,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108020,801-55289,ZEPHYR INVESTMENT MANAGEMENT,ZEPHYR INVESTMENT MANAGEMENT,3625 EAST THOUSAND OAKS BLVD,#145,WESTLAKE VILLAGE,CA,USA,91362,805-496-6810,805-496-0630,,,,,,,Approved,4/3/1998,2/1/2010,Y,WWW.ZEPHYRIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"29,813,766.00","3,510,745.00","33,324,511.00",127,23,150,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105858,801-53649,BROOKSTONE ADVISORY INC,BROOKSTONE ADVISORY INC,,,,,,,410-243-0824,410-243-0825,,,,,,,Approved,1/17/1997,2/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"49,592,000.00","49,592,000.00",0,22,22,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,124393,801-65016,"OMNIQUEST CAPITAL, LLC","OMNIQUEST CAPITAL, LLC",11111 SANTA MONICA BLVD.,SUITE 1400,LOS ANGELES,CA,USA,90025,310-473-3018,310-473-6671,,,,,,,Approved,11/17/2005,2/1/2010,Y,WWW.OMNIQUESTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"51,000,000.00",0,"51,000,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PRIVATE INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107812,801-61992,"WS INVESTMENT ADVISORS, LLC",WS & CO INVESTMENT ADVISORS LLC,8101 E PRENTICE AVENUE,#800,GREENWOOD VILLAGE,CO,UNITED STATES,80111-2935,303-771-5300,303-771-7921,,,,,,,Approved,3/21/2002,2/1/2010,Y,WSADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"168,184,954.00",0,"168,184,954.00","1,268",0,"1,268",Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,139034,801-65709,"MV CAPITAL MANAGEMENT, INC.","MV CAPITAL MANAGEMENT, INC.",4520 EAST WEST HIGHWAY,SUITE 400,BETHESDA,MD,UNITED STATES,20814-3353,301-656-6545,301-656-2722,,,,,,,Approved,1/20/2006,2/1/2010,Y,WWW.MVFGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"310,718,599.00","1,178,055.00","311,896,654.00",907,33,940,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,Y,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,150142,801-70456,ESM MANAGEMENT LLC,ESM MANAGEMENT LLC,,,,,,,617-964-1171,617-964-1171,,,,,,,Approved,8/12/2009,2/1/2010,Y,WWW.ESMINVESTORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"97,500,000.00","14,000,000.00","111,500,000.00",8,4,12,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,105523,801-28446,"SCOTT & SELBER, INC. CAPITAL MANAGEMENT","SCOTT & SELBER, INC. CAPITAL MANAGEMENT",5075 WESTHEIMER,SUITE 799,HOUSTON,TX,UNITED STATES,77056,713-850-1717,713-850-1739,,,,,,,Approved,12/4/1986,2/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"266,026,155.00","7,752,801.00","273,778,956.00",293,2,295,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,143733,801-67875,"BIGELOW INVESTMENT ADVISORS, LLC","BIGELOW INVESTMENT ADVISORS, LLC",4 MOULTON STREET,,PORTLAND,ME,UNITED STATES,4101,207-772-2900,207-772-2906,,,,,,,Approved,5/3/2007,2/1/2010,Y,WWW.BIGELOWADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,ME,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"77,480,250.00","8,751,053.00","86,231,303.00",203,3,206,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110799,801-36076,"JOHN A. WOLFE & ASSOCIATES, INC.","JOHN A. WOLFE & ASSOCIATES, INC.",3050 OLD CENTRE ROAD,SUITE 101,PORTAGE,MI,UNITED STATES,49024-4882,269-324-1988,269-324-1970,,,,,,,Approved,3/16/1990,2/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,"1,000",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,FLAT FEE,Y,"342,626,853.00","21,921,857.00","364,548,710.00","1,578",125,"1,703",Y,Y,N,N,N,N,N,N,N,N,,More than 500,500,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,152574,801-70986,"PORTFOLIO RESEARCH, LLC","PORTFOLIO RESEARCH, LLC",,,,,,,425-562-3419,,,,,,,,Approved,2/3/2010,2/1/2010,Y,WWW.PORTFOLIORESEARCHLLC.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,INTERNET CLIENT. COULD INCLUDE ANY OF 1-9,N,N,N,N,N,N,Y,FLAT SUBCRIPTION FEE,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,"ASSET ALLOCATION STRATEGIES, RETIRMENT PLANNING SOFTWARE",0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,143654,801-70128,KOBO WEALTH CONSERVANCY,"KOBO WEALTH CONSERVANCY, LLC",,,,,,,808-546-1001,808-546-1003,,,,,,,Approved,5/15/2009,2/1/2010,Y,WWW.KOBOWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,HI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"48,424,509.00","563,419.00","48,987,928.00",79,2,81,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,147197,801-69153,THE SPIELBERGER GROUP,THE SPIELBERGER GROUP,500 NORTH BROADWAY,SUITE 223,JERICHO,NY,UNITED STATES,11753,516-433-3100,516-960-3100,,,,,,,Approved,5/15/2008,2/1/2010,Y,WWW.THESPIELBERGERGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),SUBCHAPTER S,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"130,000,000.00","2,100,000.00","132,100,000.00",293,3,296,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,138891,801-67151,MAXIM GLOBAL WEALTH ADVISORS,MAXIM CAPITAL MANAGEMENT LLC,6650 SW REDWOOD LANE,SUITE 300,PORTLAND,OR,UNITED STATES,97224,503-620-3600,503-620-3644,,,,,,,Approved,9/5/2006,2/1/2010,Y,WWW.MAXIMADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"47,000,000.00",0,"47,000,000.00",164,0,164,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105190,801-16781,FUTURE FINANCES INC,FUTURE FINANCES INC,"100 NORTHWOODS BLVD. STE ""B""",,COLUMBUS,OH,UNITED STATES,43235,614-888-7526,614-888-5466,,,,,,,Approved,1/27/1982,2/1/2010,Y,WWW.FUTUREFINANCES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"90,000,000.00","20,000,000.00","110,000,000.00",110,35,145,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,Y,N,Y,Y,N,Y,N,N,,Y,N,N,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,139236,801-68776,"BONWELL CAPITAL MANAGEMENT, LLC","BONWELL CAPITAL MANAGEMENT, LLC",5700 WEST GRACE STREET,SUITE 107,RICHMOND,VA,UNITED STATES,23226,804-285-1546,804-285-1547,,,,,,,Approved,1/22/2008,2/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"33,000,000.00",0,"33,000,000.00",75,0,75,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,114866,801-60510,"RWB CAPITAL MANAGEMENT, LLC","RWB CAPITAL MANAGEMENT, LLC","985 PARCHMENT DRIVE, S.E.",,GRAND RAPIDS,MI,UNITED STATES,49546,616-940-9124,616-975-7729,,,,,,,Approved,8/24/2001,3/25/2010,Y,RWBCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"87,896,154.00",0,"87,896,154.00",247,0,247,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109605,801-56651,AXIOM INTERNATIONAL INVESTORS LLC,AXIOM INTERNATIONAL INVESTORS LLC,"33 BENEDICT PLACE, 2ND FLOOR",,GREENWICH,CT,UNITED STATES,6830,203-422-8000,203-422-8090,,,,,,,Approved,7/1/1999,3/25/2010,Y,HTTPS://WWW.AXINTL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,Up to 10 percent,11-25 percent,11-25 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"11,637,211,000.00",0,"11,637,211,000.00",48,0,48,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109353,801-57320,"BERNHARDT WEALTH MANAGEMENT, INC.","BERNHARDT WEALTH MANAGEMENT, INC.",2010 CORPORATE RIDGE,SUITE 210,MCLEAN,VA,UNITED STATES,22102-7849,703-356-4380,703-356-4383,,,,,,,Approved,3/2/2000,3/25/2010,Y,WWW.BERNHARDTWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"122,803,740.00",0,"122,803,740.00",412,0,412,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,106949,801-43668,PETERS WEALTH ADVISORS LLC,PETERS WEALTH ADVISORS LLC,5800 ONE PERKINS PLACE,SUITE 8A,BATON ROUGE,LA,UNITED STATES,70808-9108,225-766-4885,225-766-4908,,,,,,,Approved,4/6/1993,3/25/2010,Y,WWW.PETERSWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"138,379,376.00","17,939,152.00","156,318,528.00",616,"1,144","1,760",Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,Y,Y,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,151753,801-70717,"ARROWHAWK CAPITAL PARTNERS LIQUID MARKETS, LLC","ARROWHAWK CAPITAL PARTNERS LIQUID MARKETS, LLC",1120 BOSTON POST ROAD,,DARIEN,CT,UNITED STATES,6820,203-202-3816,203-662-1183,,,,,,,Approved,10/22/2009,3/25/2010,Y,WWW.ARROWHAWKPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"337,000,000.00",0,"337,000,000.00",9,0,9,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137207,801-65984,"ADAPA CAPITAL MANAGEMENT, LLC","ADAPA CAPITAL MANAGEMENT, LLC","623 FIFTH AVENUE, 25TH FLOOR",,NEW YORK,NY,USA,10022,212-251-3060,212-251-3065,,,,,,,Approved,1/23/2006,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"47,894,000.00",0,"47,894,000.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105918,801-45235,MONTROSE ADVISORS INC,MONTROSE ADVISORS INC,"505 PARK AVENUE, 20TH FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-888-4747,212-888-9634,,,,,,,Approved,11/23/1993,3/25/2010,Y,WWW.MONTROSEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,11-25 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"40,650,741.00","138,407,973.00","179,058,714.00",3,3,6,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,124626,801-61748,MERCANTILE INVESTMENT ADVISORS,"MERCANTILE ADVISORS, L.L.P.",2650 MEACHAM BOULEVARD,,FORT WORTH,TX,UNITED STATES,76137,817-831-6133,817-831-7900,,,,,,,Approved,5/16/2003,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"154,420,000.00","64,325,646.00","218,745,646.00",175,1,176,N,Y,N,Y,N,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,150778,801-70371,TRADEX CAPITAL MARKETS,"TRADEX CAPITAL MARKETS, LLC.",35 MASON STREET,,GREENWICH,CT,UNITED STATES,6830,203-863-1588,203-863-2007,,,,,,,Approved,7/13/2009,3/25/2010,Y,HTTP://WWW.TRADEXCAPITALMARKETS.COM/FLASH.HTML,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,"TRADEX CURRENCY FUND HOLDINGS SPC, LTD.",Y,N,N,N,N,Y,N,,Y,"735,000,000.00",0,"735,000,000.00",1,0,1,N,N,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105057,801-34761,"ELEY FINANCIAL MANAGEMENT, INC.","ELEY FINANCIAL MANAGEMENT, INC.",99 SWIFT STREET,SUITE 305,SOUTH BURLINGTON,VT,UNITED STATES,05403-7360,802-863-4463,802-864-0949,,,,,,,Approved,7/6/1989,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"129,699,011.00",0,"129,699,011.00","1,770",0,"1,770",N,Y,N,Y,N,N,N,N,N,Y,CONSULTING & SEMINARS,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N
NYRO,139733,801-66473,MODERN ASSET MANAGEMENT LLC,MODERN ASSET MANAGEMENT LLC,"5 EAST 59TH STREET, 3RD FLOOR",,NEW YORK,NY,UNITED STATES,10022-7164,212-323-2806,212-323-2746,,,,,,,Approved,3/24/2006,3/25/2010,Y,WWW.MODERNASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"201,077,169.00",0,"201,077,169.00",92,0,92,N,Y,N,Y,N,Y,N,N,N,Y,CASH MANAGEMENT SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,113539,801-60505,III OFFSHORE ADVISORS,III OFFSHORE ADVISORS,777 YAMATO ROAD,SUITE 300,BOCA RATON,FL,USA,33431,561-544-4400,561-544-4433,,,,,,,Approved,8/28/2001,3/25/2010,Y,WWW.IIIOFFSHORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,NV,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,033,000,000.00",5,"1,033,000,005.00",12,4,16,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,151866,801-70720,"CORNERSTONE FINANCIAL PLANNING, INC.","CORNERSTONE FINANCIAL PLANNING, INC.",5750 WEST GRANDE MARKET DR,,APPLETON,WI,UNITED STATES,54913,920-993-1526,920-993-1527,,,,,,,Approved,10/23/2009,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"33,905,709.00","33,905,709.00",0,214,214,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105592,801-56489,MCKINNEY ASSET MANAGEMENT INC.,MCKINNEY ASSET MANAGEMENT INC.,224 COLONIAL HEIGHTS ROAD,,KINGSPORT,TN,UNITED STATES,37663,423-239-5339,404-601-5824,,,,,,,Approved,4/30/1999,3/25/2010,Y,WWW.MAMINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"31,500,000.00",0,"31,500,000.00",276,0,276,N,Y,N,N,Y,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,104957,801-50648,QA3 FINANCIAL LLC,QA3 FINANCIAL LLC,"ONE VALMONT PLAZA, 4TH FLOOR",,OMAHA,NE,UNITED STATES,68154-5203,402-964-3702,402 964-3800,ONE VALMONT PLAZA 4TH FL,P O BOX 542055,OMAHA,NE,UNITED STATES,68154,Approved,11/30/1995,3/25/2010,Y,WWW.QA3.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NE,UNITED STATES,251-500,0,251-500,0,251-500,0,0,0,More than 500,"3,000",26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,Y,Y,Y,Y,N,,Y,"461,869,617.00",0,"461,869,617.00","4,029",0,"4,029",Y,Y,N,Y,Y,Y,N,N,Y,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,143832,801-67866,"OPCO DISTRESSED ADVISORS, LLC","OPCO DISTRESSED ADVISORS, LLC",125 BROAD ST.,,NEW YORK,NY,UNITED STATES,10004,212-668-8000,212-668-8081,,,,,,,Approved,5/21/2007,3/25/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"25,482,095.00",0,"25,482,095.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,Y,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,Y,Y,N,N,N,Y,N,N,N,N
CHRO,136904,801-64788,"UMBAUGH CASH ADVISORY SERVICES, LLC","UMBAUGH CASH ADVISORY SERVICES, LLC",8365 KEYSTONE CROSSING/SUITE 300,,INDIANAPOLIS,IN,UNITED STATES,46240-0458,317-465-1500,317-465-1550,8365 KEYSTONE CROSSING/SUITE300,P.O. BOX 40458,INDIANAPOLIS,IN,UNITED STATES,46240-0458,Approved,11/14/2005,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"416,599,818.00","416,599,818.00",0,32,32,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,RIA,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,136393,801-64523,"TENOR OPPORTUNITY ASSOCIATES, LLC","TENOR OPPORTUNITY ASSOCIATES, LLC",1180 AVENUE OF THE AMERICAS,19TH FLOOR,NEW YORK,NY,USA,10036,212-918-5300,212-918-5301,,,,,,,Approved,7/15/2005,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"900,000,000.00",0,"900,000,000.00",6,0,6,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105603,801-10937,GARRISON BRADFORD & ASSOCIATES INC,GARRISON BRADFORD & ASSOCIATES INC,"228 EAST 45TH STREET, 6TH FLOOR",,NEW YORK,NY,UNITED STATES,10017,212-557-7440,212-557-8008,,,,,,,Approved,8/29/1975,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"108,724,212.00",0,"108,724,212.00",78,0,78,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,151610,801-70624,TWOMBLY ASSET MANAGEMENT LLC,TWOMBLY ASSET MANAGEMENT LLC,809 RIDGE ROAD,SUITE 100,WILMETTE,IL,UNITED STATES,60091,847-256-0900,847-256-0909,,,,,,,Approved,10/2/2009,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,280,000.00",0,"34,280,000.00",114,0,114,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,112908,801-69067,"ELDERADO FINANCIAL, INC","ELDERADO FINANCIAL, INC",1100 S. TOWNSEND AVE,,MONTROSE,CO,UNITED STATES,81401,970-249-9900,970-252-3940,,,,,,,Approved,4/24/2008,3/25/2010,Y,WWW.ELDERADOFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"42,960,306.00",0,"42,960,306.00",185,0,185,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,151217,801-70534,DLS CAPITAL MANAGEMENT LLC,DLS CAPITAL MANAGEMENT LLC,"2275 HALF DAY ROAD, SUITE 135",,BANNOCKBURN,IL,UNITED STATES,60015,847-282-3800,847-282-3828,,,,,,,Approved,9/16/2009,3/25/2010,Y,WWW.DLSCAPITAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"236,100,000.00",0,"236,100,000.00",12,0,12,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,113058,801-56497,MENDON CAPITAL ADVISORS CORP,MENDON CAPITAL ADVISORS CORP,150 ALLENS CREEK ROAD,,ROCHESTER,NY,USA,14618,585-770-1770,585-770-1779,,,,,,,Approved,5/14/1999,3/25/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"214,825,771.00",0,"214,825,771.00",5,0,5,N,N,Y,Y,N,N,N,N,N,Y,SECURITY SELECTION AND CONSULTING SERVICES,0,,N,N,N,Y,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110066,801-57443,CORCORAN GROUP,CORCORAN GROUP LTD,"1010 WISCONSIN AVENUE, N.W.",SUITE 215,WASHINGTON,DC,USA,20007,202-333-4775,202-333-4665,,,,,,,Approved,4/26/2000,3/25/2010,Y,WWW.THECORCORANGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"53,000,000.00",0,"53,000,000.00",131,0,131,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,Y,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,127158,801-62140,BTC CAPITAL MANAGEMENT,"BTC CAPITAL MANAGEMENT, INC.",453 7TH STREET,,DES MOINES,IA,UNITED STATES,50309-3702,515-245-2416,515-247-2054,,,,,,,Approved,7/1/2003,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,26-50 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"470,101,844.00","59,255,085.00","529,356,929.00",37,1,38,N,Y,Y,Y,Y,Y,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111730,801-58214,"P&A FUND MANAGEMENT, INC.","P&A FUND MANAGEMENT, INC.",500 FIFTH AVENUE,SUITE 2700,NEW YORK,NY,USA,10110,212-764-6455,212-921-4249,,,,,,,Approved,12/15/2000,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,10-Jun,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"339,600,000.00",0,"339,600,000.00",8,0,8,N,N,N,N,N,Y,N,N,N,Y,ADVISER TO PRIVATELY PLACED INVESTMENT FUNDS AND ONE SEPARATELY MANAGED ACCOUNT,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,126754,801-62763,"SBM FINANCIAL, LLC","SBM FINANCIAL, LLC",7315 WISCONSIN AVE,SUITE 1250 WEST,BETHESDA,MD,USA,20814,301-656-4200,301-656-8075,,,,,,,Approved,2/11/2004,3/25/2010,Y,WWW.SBMFINANCIAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"27,652,669.00",0,"27,652,669.00",2,0,2,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
BRO,121942,801-61559,"GANNETT WELSH & KOTLER, LLC","GANNETT WELSH & KOTLER, LLC",222 BERKELEY STREET,15TH FLOOR,BOSTON,MA,UNITED STATES,2116,617-236-8900,617-236-1815,,,,,,,Approved,11/18/2002,3/25/2010,Y,WWW.GWKINC.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,10-Jun,0,More than 500,"10,500",0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,ENDOWMENTS AND FOUNDATIONS,Y,N,N,N,N,N,N,,Y,"9,096,083,325.00","105,187,441.00","9,201,270,766.00","10,310",583,"10,893",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,140861,801-67070,"VALENTINE CAPITAL ASSET MANAGEMENT, INC.","VALENTINE CAPITAL ASSET MANAGEMENT, INC.",6111 BOLLINGER CANYON ROAD,SUITE 100,SAN RAMON,CA,USA,94583,925-275-0200,925-867-3333,,,,,,,Approved,8/4/2006,3/25/2010,Y,WWW.VALENTINEWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,500,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"218,000,000.00",0,"218,000,000.00",698,0,698,Y,Y,N,Y,N,N,Y,N,N,Y,EDUCATIONAL FINANCIAL PLANNING SEMINARS,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,141050,801-67040,FIRST INDEPENDENCE INVESTMENT CORPORATION,FIRST INDEPENDENCE INVESTMENT CORPORATION,44 MICHIGAN AVENUE,SUITE 200,DETROIT,MI,USA,48226-2601,313-256-8406,313-256-8811,,,,,,,Approved,8/9/2006,3/25/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,Y,N,,N,,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,142132,801-67412,"MCKEEL CAPITAL MANAGEMENT, LLC","MCKEEL CAPITAL MANAGEMENT, LLC",235 SOUTH DENTON TAP ROAD,SUITE 100,COPPELL,TX,UNITED STATES,75019,972-745-9080,972-745-0799,,,,,,,Approved,1/3/2007,3/25/2010,Y,WWW.MCKEELCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,MAY RECIEVE A CARRY PERCENTAGE,Y,"45,000,000.00","5,000,000.00","50,000,000.00",90,11,101,Y,Y,N,Y,N,Y,N,N,N,Y,LIMITED PARTNERSHIP,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,147000,801-69405,"EVANS INVESTMENT ADVISORS, L.L.C.","EVANS INVESTMENT ADVISORS, L.L.C.",6713 PERKINS ROAD,,BATON ROUGE,LA,USA,70808,225-761-7870,225-761-8581,,,,,,,Approved,7/31/2008,3/25/2010,Y,WWW.EVANSINVESTMENTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"81,419,924.00","16,159,797.00","97,579,721.00",357,64,421,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,131956,801-63292,"SBM CAPITAL MANAGEMENT, LLC","SBM CAPITAL MANAGEMENT, LLC",7315 WISCONSIN AVE,SUITE 1250 WEST,BETHESDA,MD,UNITED STATES,20814,301-656-4200,301-656-8075,,,,,,,Approved,7/21/2004,3/25/2010,Y,WWW.SBMFINANCIAL.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
BRO,105025,801-50599,TOFIAS FINANCIAL ADVISORS LP,TOFIAS FINANCIAL ADVISORS LP,350 MASSACHUSETTS AVENUE,,CAMBRIDGE,MA,USA,2139,617-761-0600,617-761-0601,,,,,,,Approved,11/28/1995,4/15/2008,Y,WWW.TOFIAS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"32,499,671.00","69,122,782.00","101,622,453.00",86,103,189,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,144908,801-70305,"EUDAIMONIA ASSET MANAGEMENT, LLC","EUDAIMONIA ASSET MANAGEMENT, LLC",2533 SOUTH COAST HIGHWAY 101,SUITE 240,CARDIFF BY THE SEA,CA,UNITED STATES,92007,760-479-5070,760-633-1431,,,,,,,Approved,7/17/2009,8/13/2010,Y,WWW.EUDAIMONIA-INVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,51-75 percent,11-25 percent,BUSINESS DEVELOPMENT COMPANY,Y,N,N,N,N,Y,N,,Y,"78,757,561.00",0,"78,757,561.00",9,0,9,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
SFRO,1027,801-57293,"FOOTHILL SECURITIES, INC.","FOOTHILL SECURITIES, INC.",150 E. DANA STREET,,MOUNTAIN VIEW,CA,UNITED STATES,94041,650-625-9701,650-625-9707,,,,,,,Approved,2/22/2000,8/13/2010,Y,FOOTHILLSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"3,500",26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ASSET MANAGEMENT FEES,Y,"239,628,954.00","606,050,417.00","845,679,371.00","1,218","1,683","2,901",Y,Y,N,Y,Y,Y,Y,N,N,N,,251-500,,N,N,Y,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,Y,N,Y,N,Y,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
LARO,115478,801-60807,"AEGIS FINANCIAL GROUP, INC.","AEGIS FINANCIAL GROUP, INC.",16815 S. DESERT FOOTHILLS PKWY,SUITE 123,PHOENIX,AZ,UNITED STATES,85048,480-809-6880,480-809-6883,,,,,,,Approved,1/17/2002,8/13/2010,Y,AEGISFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"146,231,087.00","78,739,816.00","224,970,903.00",245,133,378,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,149887,801-70030,DAN GOLDIE FINANCIAL SERVICES LLC,DAN GOLDIE FINANCIAL SERVICES LLC,750 MENLO AVENUE,SUITE 200,MENLO PARK,CA,UNITED STATES,94025,650-566-1121,650-566-1122,,,,,,,Approved,3/26/2009,8/13/2010,Y,WWW.DANGOLDIE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"349,614,433.00","349,614,433.00",0,826,826,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,154192,801-71614,"INNOVATUM CAPITAL PARTNERS, LLC","INNOVATUM CAPITAL PARTNERS, LLC",,,,,,,(949) 690-2256,NONE,,,,,,,120-Day Approval,7/20/2010,8/13/2010,Y,WWW.INNOVATUMCAP.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,PRIVATE INVESTMENT POOL MANAGEMENT,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,23437,801-60896,MONARCH FINANICAL CORPORATION OF AMERICA,MONARCH FINANCIAL CORPORATION OF AMERICA,230 PARK AVENUE,SUITE 939,NEW YORK,NY,UNITED STATES,10169,212-332-7000,212-332-7043,,,,,,,Approved,2/4/2002,8/14/2010,Y,WWW.MONARCHFINANCIALCORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"27,948,593.00","20,152,200.00","48,100,793.00",17,9,26,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,Y,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y
PLRO,151162,801-70460,PAUL-ELLIS INVESTMENT ASSOCIATES,JOHN DEE ELLIS,9 LAWN AVENUE,,JEFFERSONVILLE,PA,UNITED STATES,19403,610-410-7427,610-410-7413,,,,,,,Approved,9/2/2009,8/16/2010,Y,WWW.PAULELLISLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"30,000,000.00",0,"30,000,000.00",5,0,5,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,154011,801-71510,"OSBORN STEELE WEALTH MANAGEMENT, LLC","OSBORN STEELE WEALTH MANAGEMENT, LLC",,,,,,,484-924-8393,610-917-9705,,,,,,,Approved,6/4/2010,8/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"34,000,000.00","34,000,000.00",0,9,9,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,144594,801-68177,"O'SHAUGHNESSY ASSET MANAGEMENT, LLC","O'SHAUGHNESSY ASSET MANAGEMENT, LLC",6 SUBURBAN AVENUE,,STAMFORD,CT,USA,06901-2012,203-975-3333,203-975-3310,,,,,,,Approved,7/25/2007,8/16/2010,Y,HTTP://WWW.OSAM.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"5,000",Up to 10 percent,Up to 10 percent,11-25 percent,51-75 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,061,518,379.00",0,"5,061,518,379.00","3,263",0,"3,263",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,111842,801-67827,CEDRUS,"LIFETIME WEALTH PRIVATE CLIENT EXPERIENCE, INC.",350 INDIANA STREET,SUITE 200,GOLDEN,CO,UNITED STATES,80401,303-273-0100,303-273-0300,,,,,,,Approved,4/27/2007,8/16/2010,Y,WWW.CEDRUSFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"42,000,000.00","42,000,000.00",0,115,115,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,152242,801-70821,"CLEAR HARBOR ASSET MANAGEMENT, LLC","CLEAR HARBOR ASSET MANAGEMENT, LLC",420 LEXINGTON AVENUE,SUITE 2006,NEW YORK,NY,UNITED STATES,10170,212-867-7310,,,,,,,,Approved,11/20/2009,8/16/2010,Y,WWW.CLEARHARBORAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"32,456,676.00",0,"32,456,676.00",70,0,70,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109569,801-57003,"BRIGHTWORTH, LLC","BRIGHTWORTH, LLC","3280 PEACHTREE ROAD, NE",SUITE 2075,ATLANTA,GA,UNITED STATES,30305,404-760-9000,404-604-3754,,,,,,,Approved,11/19/1999,8/16/2010,Y,WWW.CHRISDARDAMAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"729,706,000.00",0,"729,706,000.00",986,0,986,Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,153596,801-71348,BRIDPORT INVESTMENTS LLC,BRIDPORT INVESTMENTS LLC,,,,,,,203 561 1148,203 637 7743,,,,,,,Approved,4/16/2010,8/16/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"650,000,000.00","650,000,000.00",0,1,1,N,N,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,127542,801-66733,"LAKE UNION CAPITAL MANAGEMENT, LLC","LAKE UNION CAPITAL MANAGEMENT, LLC",601 UNION STREET,SUITE 4616,SEATTLE,WA,UNITED STATES,98101,206-838-3277,206-859-5188,,,,,,,Approved,6/15/2006,8/16/2010,Y,WWW.LAKEUNIONCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"64,460,652.00",0,"64,460,652.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES (E.R. HEDGE FUNDS),0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,6363,801-28543,"AMERIPRISE FINANCIAL SERVICES, INC.","AMERIPRISE FINANCIAL SERVICES, INC.",707 2ND AVENUE SOUTH,,MINNEAPOLIS,MN,UNITED STATES,55402,612-671-3131,612-671-3767,5227 AMERIPRISE FINANCIAL CENTER,,MINNEAPOLIS,MN,UNITED STATES,55474,Approved,12/5/1986,8/16/2010,Y,HTTP://WWW.AMERIPRISE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,More than 1000,"12,000",More than 1000,"11,000",More than 1000,"12,000",5-Jan,0,More than 500,"1,010,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,FOUNDATIONS/ENDOWMENTS,Y,Y,N,Y,N,N,N,,Y,"12,843,660,734.00","68,408,616,853.00","81,252,277,587.00","107,927","670,566","778,493",Y,Y,N,Y,Y,Y,Y,N,N,Y,ASSET ALLOCATION SERVICES,More than 500,231500,Y,Y,Y,N,N,N,N,N,N,,N,,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,N,N,Y,N
MIRO,111036,801-52482,STONELEIGH INVESTMENT COUNSELING,LORING CATLIN,3055 CARDINAL DRIVE,SUITE 305,VERO BEACH,FL,UNITED STATES,32963,772-234-1413,772-234-3036,PO BOX 643524,,VERO BEACH,FL,UNITED STATES,32964-3524,Approved,7/22/1996,8/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"66,462,626.00",0,"66,462,626.00",21,0,21,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,137872,801-64882,"SMI ADVISORY SERVICES, LLC","SMI ADVISORY SERVICES, LLC",11135 W. BAKER HOLLOW RD.,,COLUMBUS,IN,UNITED STATES,47201,800-910-3651,888-212-6899,PO BOX 547,,COLUMBUS,IN,UNITED STATES,47201,Approved,11/15/2005,8/16/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"300,000,000.00",0,"300,000,000.00",2,0,2,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107008,801-40025,MIKE PETTIT,PETTIT MICHAEL WILLIAM,,,,,,,626-915-4820,626-966-0638,,,,,,,Approved,10/18/1991,8/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"56,628,600.00","56,628,600.00",0,364,364,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,42046,801-56126,"NFP SECURITIES, INC.","NFP SECURITIES, INC.",1250 CAPITAL OF TEXAS HIGHWAY S.,2-125,AUSTIN,TX,USA,78746,512-697-6000,512-697-5500,,,,,,,Approved,12/31/1998,8/16/2010,Y,WWW.NFPSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,501-1000,0,501-1000,0,501-1000,0,Nov-50,0,More than 500,"30,000",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"3,404,535,370.00","3,538,435,310.00","6,942,970,680.00","16,619","18,165","34,784",Y,Y,N,N,Y,Y,N,N,N,N,,More than 500,1200,Y,N,Y,N,N,N,N,N,N,,N,,Y,Y,N,Y,Y,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
FWRO,151790,801-70743,NFP INDESUITE,"NFP INDESUITE, INC.",1250 CAPITAL OF TEXAS HIGHWAY,,AUSTIN,TX,UNITED STATES,78746,512-697-6000,512-697-5000,1250 CAPITAL OF TEXAS HIGHWAY,,AUSTIN,TX,UNITED STATES,78746,Approved,10/23/2009,8/16/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,0,0,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,OTHER REGISTERED INVESTMENT ADVISERS AND THEIR CLIENTS,Y,N,N,Y,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,Y,Y,N,N,N,Y,INVESTMENT ADVICE TO OTHER REGISTERED INVESTMENT ADVISERS,0,,Y,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135270,801-64282,"SUMMIT PARTNERS SD III, L.P.","SUMMIT PARTNERS SD III, L.P.",222 BERKELEY STREET,,BOSTON,MA,UNITED STATES,2116,617-824-1000,617-824-1100,,,,,,,Approved,5/12/2005,4/1/2010,Y,WWW.SUMMITPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"320,124,701.00",0,"320,124,701.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,126582,801-66613,ALBOURNE AMERICA LLC,ALBOURNE AMERICA LLC,655 MONTGOMERY STREET,SUITE 1910,SAN FRANCISCO,CA,UNITED STATES,94111,415-489-7200,415-489-7222,,,,,,,Approved,4/24/2006,6/10/2010,Y,WWW.ALBOURNE.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,Up to 10 percent,11-25 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,11-25 percent,11-25 percent,UNIVERSITIES AND OTHER,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,Y,ADVICE REGARDING INVESTMENT IN HEDGE FUNDS AND PRIVATE EQUITY INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,109923,801-47856,INVESCO HONG KONG LIMITED,INVESCO HONG KONG LIMITED,"32/F, THREE PACIFIC PLACE",1 QUEEN'S ROAD EAST,HONG KONG,,THE PEOPLE'S REPUBLIC OF CHINA,,852 3128 6000,852 3128 6001,,,,,,,Approved,12/16/1994,6/10/2010,Y,WWW.INVESCO.COM.HK,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,51-250,0,Nov-50,0,0,0,10-Jun,0,26-100,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"6,358,197,480.00",0,"6,358,197,480.00",59,0,59,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,152680,801-71083,"MERION WEALTH PARTNERS, LLC","MERION WEALTH PARTNERS, LLC",10 WATERSIDE DRIVE,SUITE 301,FARMINGTON,CT,UNITED STATES,6032,860-967-3032,860-269-3047,,,,,,,Approved,2/5/2010,6/11/2010,Y,WWW.MEDALLIONWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"25,742,000.00",0,"25,742,000.00",88,0,88,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151480,801-70661,"SANDERS CAPITAL, LLC","SANDERS CAPITAL, LLC",390 PARK AVENUE,17TH  FLOOR,NEW YORK,NY,UNITED STATES,10022-4608,212-291-7900,212-291-7967,,,,,,,Approved,10/12/2009,6/11/2010,Y,SANDERSCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,099,884,292.00",0,"3,099,884,292.00",4,0,4,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138702,801-65117,"GALTERA N.A., INC.","GALTERA N.A., INC.",597 5TH AVE.,12TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-598-1837,212-598-0778,,,,,,,Approved,1/12/2006,6/11/2010,Y,WWW.GALTERE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,079,000,000.00",0,"1,079,000,000.00",11,0,11,N,N,N,Y,N,N,N,N,N,Y,UNREGISTERED POOLED INVESTMENT VEHICLES,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150556,801-70310,"NUWAVE INVESTMENT MANAGEMENT, LLC","NUWAVE INVESTMENT MANAGEMENT, LLC",35 WATERVIEW BOULEVARD,,PARSIPPANY,NJ,UNITED STATES,7054,973-888-6800,973-888-6810,,,,,,,Approved,6/22/2009,6/11/2010,Y,WWW.NUWAVECORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"297,297,507.00",0,"297,297,507.00",5,0,5,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110828,801-58224,WEALTHTRUST-DUNCKERSTREETT,"DUNCKER, STREETT & CO., LLC",8000 MARYLAND,SUITE 300,ST. LOUIS,MO,UNITED STATES,63105,314-726-2600,314-726-2636,,,,,,,Approved,12/14/2000,6/11/2010,Y,WWW.DUNCKERSTREETT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"220,886,711.00","26,249,120.00","247,135,831.00",340,24,364,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,133978,801-66945,"NAPLES ASSET MANAGEMENT CO., LLC","NAPLES ASSET MANAGEMENT CO., LLC",23150 FASHION DRIVE,SUITE 231,ESTERO,FL,UNITED STATES,33928,(239) 593-5525,(239) 593-9731,,,,,,,Approved,7/5/2006,6/11/2010,Y,WWW.NAPLESAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"22,000,000.00","16,500,000.00","38,500,000.00",40,28,68,Y,Y,N,Y,Y,Y,N,N,N,Y,MANAGEMENT FOR A PRIVATE REAL ESTATE INVESTMENT FUND AND CONSULTATION SERVICES,25-Nov,,N,Y,N,Y,N,Y,Y,N,N,,Y,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109528,801-58099,"MAINSTAY CAPITAL MANAGEMENT, LLC","MAINSTAY CAPITAL MANAGEMENT, LLC",10775 SOUTH SAGINAW,"BLDG C, SUITE F",GRAND BLANC,MI,UNITED STATES,48439,810-953-5512,810-953-5514,P.O. BOX 487,,GRAND BLANC,MI,UNITED STATES,48480,Approved,11/14/2000,6/11/2010,Y,WWW.MAINSTAYCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,"2,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"786,553,511.00",0,"786,553,511.00","3,176",0,"3,176",Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108779,801-57649,UPSTATE ADVISORS INC,UPSTATE ADVISORS INC,"40 HUMBOLDT ST, SUITE 100",,ROCHESTER,NY,UNITED STATES,14609,585-697-0061,585-697-0065,,,,,,,Approved,6/2/2000,6/11/2010,Y,UPSTATEADVISORSINC.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"16,517,689.00",0,"16,517,689.00",84,0,84,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106278,801-43216,"POLARIS CAPITAL MANAGEMENT, LLC","POLARIS CAPITAL MANAGEMENT, LLC",125 SUMMER STREET,SUITE 1470,BOSTON,MA,UNITED STATES,2110,617-951-1365,617-951-2637,,,,,,,Approved,2/3/1993,6/11/2010,Y,POLARISCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,Up to 10 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,LIMITED PARTNERSHIPS,Y,N,N,N,N,N,N,,Y,"2,867,912,331.00",0,"2,867,912,331.00",34,0,34,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,117769,801-69294,"TDC CAPITAL ADVISORS, INC.","TDC CAPITAL ADVISORS, INC.",4500 CARTER CREEK PARKWAY,SUITE 201,BRYAN,TX,USA,77802,979-260-9696,979-260-9683,,,,,,,Approved,7/2/2008,6/11/2010,Y,WWW.TDCADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"38,679,727.00","38,679,727.00",0,71,71,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123691,801-67994,"NORTHEAST ASSET MANAGEMENT GROUP,INC.","NORTHEAST ASSET MANAGEMENT GROUP,INC.",300 ST. ANDREWS ROAD,,SAGINAW,MI,UNITED STATES,48638-5977,989-790-3908,989-790-2666,,,,,,,Approved,6/13/2007,6/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"28,098,461.00",0,"28,098,461.00",72,0,72,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106308,801-43424,BETTS BROOK ADVISORS INC,BETTS BROOK ADVISORS INC,"37 NORTH AVE, STE 3",,NORWALK,CT,USA,06851-3827,203-847-4068,203-849-0624,,,,,,,Approved,3/9/1993,3/31/2006,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,141883,801-67238,MARKOWSKI INVESTMENTS,MARKOWSKI INVESTMENTS,,,,,,,813 831 5168,813 831 5146,,,,,,,Approved,2/13/2007,6/11/2010,Y,WWW.MINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"62,185,759.00",0,"62,185,759.00",483,0,483,Y,Y,N,N,Y,Y,N,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,137530,801-64793,"AK GLOBAL ASSET MANAGEMENT, LLC","AK GLOBAL ASSET MANAGEMENT, LLC",1300 CLAY STREET,SUITE 600,OAKLAND,CA,USA,94612,510-466-6338,510-466-6340,,,,,,,Approved,10/11/2005,6/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"80,297,615.00",0,"80,297,615.00",294,0,294,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135743,801-64377,"T2 ADVISERS, LLC","T2 ADVISERS, LLC",8 SOUND SHORE DRIVE,SUITE 255,GREENWICH,CT,UNITED STATES,6830,203-983-5275,203-983-5290,,,,,,,Approved,6/17/2005,6/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,"FOREIGN CLOSED-END FUND, INCLUDING ITS CLO SUBSIDIARY (T2 INCOME FUND CLO I LTD.)",Y,N,N,N,N,Y,N,,Y,"286,400,000.00",0,"286,400,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR A SINGLE FOREIGN CLOSED-END FUND,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,142109,801-71285,"J.P. CAPITAL MANAGEMENT, INC.","JP CAPITAL MANAGEMENT, INC.",2454 WILLAMETTE STREET,,EUGENE,OR,UNITED STATES,97405,541-343-2064,,,,,,,,Approved,5/10/2010,6/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"31,010,999.00",0,"31,010,999.00",97,0,97,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104671,801-24288,"COOPER FINANCIAL SERVICES, INC.","COOPER FINANCIAL SERVICES, INC.",3190 WHITNEY AVE BLDG 6,,HAMDEN,CT,USA,6518,203-248-1972,203-287-0944,,,,,,,Approved,5/15/1985,6/11/2010,Y,WWW.COOPERFINSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,251-500,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"67,986,000.00","37,730,617.00","105,716,617.00",433,232,665,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138549,801-66307,"ELM RIDGE CAPITAL MANAGEMENT, LLC","ELM RIDGE CAPITAL MANAGEMENT, LLC",3 WEST MAIN STREET,3RD FLOOR,IRVINGTON,NY,UNITED STATES,10533,914-250-1000,914-250-1005,,,,,,,Approved,3/23/2006,6/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,155,000,000.00",0,"2,155,000,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153544,801-71575,"DARA CAPITAL US, INC.","DARA CAPITAL US, INC.",100 WALL STREET,21ST FLOOR,NEW YORK,NY,UNITED STATES,10005,212-509-5050,212-509-9559,,,,,,,Approved,6/21/2010,6/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,0,"36,000,000.00","36,000,000.00",0,3,3,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115165,801-63114,"COUNSEL WEALTH MANAGEMENT, INC.","COUNSEL WEALTH MANAGEMENT, INC.",1900 SILVER LAKE ROAD,SUITE 314,NEW BRIGHTON,MN,UNITED STATES,55112,651-639-8707,651-639-8807,,,,,,,Approved,5/7/2004,6/11/2010,Y,WWW.COUNSELFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,REFERRAL/SOLICITOR FEES; SEMINAR FEES,Y,"159,469,792.00",0,"159,469,792.00","1,839",0,"1,839",Y,Y,N,N,N,Y,N,N,N,Y,SEMINARS; NEWSLETTERS,25-Nov,,Y,Y,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,3524,801-4175,STRALEM & CO INC,"STRALEM & COMPANY, INCORPORATED",645 MADISON AVENUE,,NEW YORK,NY,UNITED STATES,10022,212-888-8123,212-888-8152,,,,,,,Approved,3/18/1967,6/11/2010,Y,WWW.STRALEM.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,26-50 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"2,504,893,644.00","8,976,640.00","2,513,870,284.00",307,2,309,Y,Y,Y,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111112,801-16202,WEST & HOWARD INC,WEST & HOWARD INC,155 GLEASON LAKE ROAD,STE 205,WAYZATA,MN,UNITED STATES,55391,952-475-1844,952-475-0061,,,,,,,Approved,7/15/1981,6/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"53,707,006.00","11,216,272.00","64,923,278.00",25,18,43,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114671,801-66256,"PRECEPT MANAGEMENT, LLC","PRECEPT MANAGEMENT, LLC",200 CRESCENT COURT,SUITE 1450,DALLAS,TX,UNITED STATES,75201,214-880-7444,214-880-0082,,,,,,,Approved,2/23/2006,3/1/2010,Y,WWW.PRECEPTFUND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"126,880,000.00",0,"126,880,000.00",10,0,10,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT OF INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,148662,801-69719,"PARADIGM WEALTH MANAGEMENT, LLC","PARADIGM WEALTH MANAGEMENT, LLC",29065 CLEMENS ROAD,SUITE 300,WESTLAKE,OH,UNITED STATES,44145,440-892-5900,,,,,,,,Approved,11/18/2008,3/1/2010,Y,WWW.PARADIGMWEALTHMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"51,000,000.00","18,000,000.00","69,000,000.00",140,30,170,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,Y,FOREIGN CURRENCY STRATEGY,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,115130,801-61069,TEAM FINANCIAL MANAGERS,TEAM FINANCIAL MANAGERS,800 CORPORATE CIRCLE,SUITE 106,HARRISBURG,PA,UNITED STATES,17110,717-540-7807,717-540-7875,,,,,,,Approved,4/12/2002,3/1/2010,Y,WWW.TEAMFINANCIAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"129,909,837.00","1,135,708.00","131,045,545.00",562,4,566,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,116966,801-64619,R.O.I.,"RONALD OLSON, INC.",,,,,,,801-785-3254,801-785-3244,,,,,,,Approved,11/22/2005,3/1/2010,Y,WWW.ROIONWEB.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"41,000,000.00",0,"41,000,000.00",566,0,566,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,141475,801-69061,"CRAWFORD ASSET MANAGEMENT, LLC","CRAWFORD ASSET MANAGEMENT, LLC",,,,,,,414-964-5040,414-906-8838,,,,,,,Approved,4/8/2008,3/1/2010,Y,WWW.SUSTAINABLEWALLSTREET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"17,000,000.00","10,000,000.00","27,000,000.00",140,1,141,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,108616,801-58115,HOLLAND DUELL FINANCIAL STRATEGIES,"DUELL, HOLLAND BOSSON","50 E. LOUCKS ST., #210",,SHERIDAN,WY,UNITED STATES,82801,307-672-6364,307-672-6364,P.O. BOX 1085,,SHERIDAN,WY,UNITED STATES,82801,Approved,11/9/2000,3/1/2010,Y,DUELLFINANCIAL.COM,N,N,Y,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,NEGOTIATED RATES BASED ON SPECIFIC PROJECT,Y,"7,536,244.00",0,"7,536,244.00",46,0,46,Y,Y,N,Y,N,Y,Y,N,N,Y,CONSULTING SERVICES THROUGH WEBSITE PLATFORM,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,152728,801-71133,TRINITY STREET ASSET MANAGEMENT LTD.,BRUCE NELSON CAPITAL LLP,9 STRATFORD PLACE,,LONDON,,UNITED KINGDOM,W1C 1AZ,+44 207 4959 110,+44 207 4930 213,9 STRATFORD PLACE,,LONDON,,UNITED KINGDOM,W1C 1AZ,Approved,3/22/2010,3/1/2010,Y,WWW.TRINITYSTREETAM.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"300,000,000.00",0,"300,000,000.00",11,0,11,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,108719,801-55600,"AFC TAX AND FINANCIAL ADVISORS, INC.","AFC TAX AND ACCOUNTING SERVICES, INC.",900 SOUTH KIPLING PARKWAY,,LAKEWOOD,CO,USA,80226,303-989-5900,303-986-3973,,,,,,,Approved,5/28/1998,3/1/2010,Y,AFCGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"49,912,900.00",0,"49,912,900.00",161,0,161,Y,Y,N,N,N,Y,N,N,N,Y,EDUCATIONAL SEMINARS,25-Nov,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,Y,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107348,801-50364,"SKA FINANCIAL SERVICES,INC.","SKA FINANCIAL SERVICES,INC.",22725 FAIRVIEW CENTER DR #100,,FAIRVIEW PARK,OH,UNITED STATES,44126,440-734-3200,440-734-6740,,,,,,,Approved,9/25/1995,3/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"65,083,649.00","977,660.00","66,061,309.00",259,13,272,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,124209,801-61818,"DOPKINS WEALTH MANAGEMENT, LLC","DOPKINS WEALTH MANAGEMENT, LLC",200 INTERNATIONAL DRIVE,,WILLIAMSVILLE,NY,UNITED STATES,14221,716-634-8800,716-634-8987,,,,,,,Approved,3/14/2003,3/1/2010,Y,WWW.DOPKINS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"361,273,426.00","17,882,938.00","379,156,364.00",594,21,615,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106179,801-36915,"GREAT LAKES ADVISORS, INC.","GREAT LAKES ADVISORS, INC.",123 NORTH WACKER DRIVE,SUITE 2350,CHICAGO,IL,UNITED STATES,60606-1735,312-553-3700,312-553-3737,,,,,,,Approved,7/5/1990,3/1/2010,Y,WWW.GREATLAKESADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,101-250,0,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,11-25 percent,26-50 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,213,325,786.00","30,520,432.00","2,243,846,218.00",214,6,220,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106626,801-42167,MIDDLEGREEN ASSOCIATES,FLATHER CHARLES,50 CONGRESS STREET STE 700,,BOSTON,MA,USA,2109,617-723-2055,617-723-2006,,,,,,,Approved,8/26/1992,3/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"95,548,000.00",0,"95,548,000.00",34,0,34,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,105898,801-17344,CLAYTON FINANCIAL SERVICES INC,CLAYTON FINANCIAL SERVICES INC,716 SOUTH KANSAS AVENUE,,TOPEKA,KS,UNITED STATES,66603-3808,785-232-3266,785-232-9602,,,,,,,Approved,7/1/1982,3/1/2010,Y,WWW.CLAYTONFSI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"215,750,000.00",0,"215,750,000.00",385,0,385,Y,Y,N,Y,Y,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106112,801-46351,"FORTUNE FINANCIAL SERVICES, LLC","FORTUNE FINANCIAL SERVICES, LLC",12222 MERIT DRIVE,SUITE 1200,DALLAS,TX,UNITED STATES,75251,972-716-8002,972-716-8034,,,,,,,Approved,4/28/1994,3/1/2010,Y,WWW.FORTUNEFS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"154,164,146.00","19,634,117.00","173,798,263.00",303,80,383,Y,Y,N,Y,N,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,150748,801-70341,"TIMONIER FAMILY OFFICE, LTD.","TIMONIER FAMILY OFFICE, LTD.",121 REYNOLDA VILLAGE,SUITE B,WINSTON SALEM,NC,UNITED STATES,27106,336-725-5010,336-725-5002,,,,,,,Approved,6/29/2009,3/1/2010,Y,WWW.TIMONIER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"128,000,000.00",0,"128,000,000.00",110,0,110,Y,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,112464,801-62251,"CARNICK & COMPANY, INCORPORATED","CARNICK & COMPANY, INCORPORATED",675 SOUTHPOINTE COURT SUITE 102,,COLORADO SPRINGS,CO,USA,80906,719-579-8000,719-579-8010,POST OFFICE BOX 7,,COLORADO SPRINGS,CO,USA,80901-0007,Approved,8/7/2003,3/1/2010,Y,WWW.CARNICK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,FINANCIAL PLANNING FEES,Y,"162,000,000.00",0,"162,000,000.00",397,0,397,Y,Y,N,N,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107869,801-39191,PARAGON INVESTMENT MANAGEMENT INC,PARAGON INVESTMENT MANAGEMENT INC,1420 5TH STREET,SUITE 3020,SEATTLE,WA,UNITED STATES,98101,206-583-8300,206-583-8310,,,,,,,Approved,6/27/1991,3/1/2010,Y,WWW.PIM.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,SEE SCHEDULE D PAGE 5 FOR EXPLANATION,Y,"1,193,037,188.00",0,"1,193,037,188.00",627,0,627,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT MANAGEMENT FOR HEDGE FUND,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,123371,801-61538,MARSHALLA ASSET MANAGEMENT,"MARSHALLA ASSET MANAGEMENT, LLC",95 MAIN STREET,SUITE 9,LOS ALTOS,CA,UNITED STATES,94022,650-949-5692,650-949-5694,,,,,,,Approved,11/4/2002,3/1/2010,Y,WWW.MARSHALLA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"96,225,178.00",0,"96,225,178.00",160,0,160,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,11869,801-39177,PLANMEMBER SECURITIES CORPORATION,PLANMEMBER SECURITIES CORPORATION,6187 CARPINTERIA AVENUE,,CARPINTERIA,CA,UNITED STATES,93013,805-684-1199,805-684-3500,,,,,,,Approved,6/27/1991,3/1/2010,Y,HTTP://WWW.PLANMEMBER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,251-500,0,5-Jan,0,251-500,0,5-Jan,0,More than 500,"28,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"1,134,000,000.00","1,098,000.00","1,135,098,000.00","33,500",1,"33,501",Y,Y,N,Y,N,Y,N,N,N,Y,PROVIDES INVESTMENT SUPERVISORY SERVICES,51-100,,N,N,Y,N,N,N,Y,N,N,,N,N,Y,N,N,Y,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,105056,801-10933,STACEY BRAUN ASSOCIATES INC,STACEY BRAUN ASSOCIATES INC,377 BROADWAY,,NEW YORK,NY,UNITED STATES,10013-3934,212-226-7707,212-941-0759,,,,,,,Approved,8/11/1975,3/30/2010,Y,WWW.STACEYBRAUN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,251-500,0,11-25 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,"WELFARE,ESOP,ANNUITY,APPRENTICE & RETRAINING,ED,VAC,SEVERANCE,UNEMPLOYMENT,OPERATING,INS. CO RESERVE FDS, FOUNDATIONS, SCHOLAR",Y,Y,N,Y,N,N,N,,Y,"3,264,543,684.00","42,605,997.00","3,307,149,681.00",493,22,515,Y,Y,N,Y,N,N,N,N,N,N,,More than 500,1000,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,39262,801-68953,WESTERN INTERNATIONAL SECURITIES,"WESTERN INTERNATIONAL SECURITIES, INC.","70 S. LAKE AVE, SUITE 700",,PASADENA,CA,UNITED STATES,91101-9540,626-793-7717,626-793-1476,,,,,,,Approved,3/31/2008,4/20/2010,Y,WWW.WISDIRECT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,REFERRAL FEES,Y,"250,000,000.00",0,"250,000,000.00","2,300",0,"2,300",Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,Y,N,Y,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
FWRO,116869,801-64340,FINANCIAL PROFESSIONALS INCORPORATED,FINANCIAL PROFESSIONALS INCORPORATED,,,,,,,501-753-2349,501-753-0762,,,,,,,Approved,6/22/2005,4/20/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"36,181,031.00",0,"36,181,031.00",255,0,255,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,151744,801-70653,"TRECAP PARTNERS, LLC","TRECAP PARTNERS, LLC",1626 RINGLING BOULEVARD,SUITE 400,SARASOTA,FL,UNITED STATES,34236,941-373-3837,941-373-3836,,,,,,,Approved,10/16/2009,4/20/2010,Y,WWW.TRECAPPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,Y,"ACQUISITION, ORIGINATION AND/OR DISPOSITION FEES",Y,"880,000,000.00",0,"880,000,000.00",4,0,4,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT OF POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,113121,801-55720,"THIRD MILLENNIUM INVESTMENT ADVISORS, LLC","THIRD MILLENNIUM INVESTMENT ADVISORS, LLC",8730 STONY POINT PARKWAY,SUITE 205,RICHMOND,VA,UNITED STATES,23235,804-267-7400,804-330-5830,8730 STONY POINT PARKWAY,SUITE 205,RICHMOND,VA,UNITED STATES,23235,Approved,7/20/1998,4/20/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"61,042,163.00",0,"61,042,163.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,136500,801-65711,WESSEX ASSET MANAGEMENT LIMITED,WESSEX ASSET MANAGEMENT LIMITED,"LORNE PARK HOUSE, LORNE PARK ROAD",,"BOURNEMOUTH, DORSET",,UNITED KINGDOM,BH1 1JJ,44-1202-200930,44-1202-200931,,,,,,,Approved,1/27/2006,4/20/2010,Y,WWW.WESSEXAM.CO.UK,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,MAY CHARGE AN INITIAL SUBSCRIPTION FEE,Y,"51,000,000.00",0,"51,000,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131345,801-71185,"PRINCIPLED ADVISORS, INC.","PRINCIPLED ADVISORS, INC.",1110 SOUTH AVENUE,,STATEN ISLAND,NY,UNITED STATES,10314,877-860-0900,877-860-0906,,,,,,,Approved,3/8/2010,4/20/2010,Y,WWW.PRINCIPLED.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,142047,801-67286,"MSREF REAL ESTATE ADVISOR, INC.","MSREF REAL ESTATE ADVISOR, INC.","1585 BROADWAY, 37TH FLOOR",,NEW YORK,NY,UNITED STATES,10036,212-761-4700,212-507-3343,,,,,,,Approved,12/5/2006,4/20/2010,Y,HTTP://WWW.MORGANSTANLEY.COM/REALESTATE/,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,251-500,0,251-500,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ACQUISITION AND DIPOSITION FEES,Y,"16,742,242,711.00",0,"16,742,242,711.00",14,0,14,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,115365,801-60565,"MONTCHANIN ASSET MANAGEMENT, LLC","MONTCHANIN ASSET MANAGEMENT, LLC",10 WEST ROCKLAND ROAD,,MONTCHANIN,DE,USA,19710,302-652-3101,302-652-3191,P.O. BOX 150,,MONTCHANIN,DE,USA,19710,Approved,9/11/2001,4/20/2010,Y,WWW.MONTCHANINASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"56,273,098.00",0,"56,273,098.00",114,0,114,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,133353,801-64743,"ESTATE PLANNERS OF NEW ENGLAND, LLC","ESTATE PLANNERS OF NEW ENGLAND, LLC",,,,,,,603-425-6614,603-425-1868,,,,,,,Approved,9/30/2005,4/20/2010,Y,WWW.EPNE.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"52,000,000.00",0,"52,000,000.00",475,0,475,Y,Y,N,N,Y,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108963,801-55844,MUTUAL FUNDS LEADER INC,MUTUAL FUNDS LEADER INC,,,,,,,562-612-1331,562-684-4056,,,,,,,Approved,9/4/1998,4/20/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,0,"962,725.00","962,725.00",0,2,2,N,Y,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110496,801-51641,"BINGHAM, OSBORN & SCARBOROUGH LLC","BINGHAM, OSBORN & SCARBOROUGH LLC","345 CALIFORNIA STREET, SUITE 1100",,SAN FRANCISCO,CA,USA,94104,415-781-8535,415-291-9575,,,,,,,Approved,4/2/1996,4/20/2010,Y,WWW.BOSINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,400,000,000.00","600,000,000.00","2,000,000,000.00","2,112",946,"3,058",Y,Y,N,Y,N,Y,Y,N,N,N,,More than 500,1000,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,152201,801-70993,"FLIGHT CAPITAL MANAGEMENT, LLC","FLIGHT CAPITAL MANAGEMENT, LLC",,,,,,,503-747-7879,503-747-6327,13500 SW PACIFIC HWY.,PMB# 236,TIGARD,OR,UNITED STATES,97223,Approved,1/14/2010,4/20/2010,Y,WWW.FLIGHTCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,More than 75 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"37,753,881.00",0,"37,753,881.00",80,0,80,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,145963,801-68698,"THE COLOMA GROUP, L.LC.","THE COLOMA GROUP, L.LC.",110 MERRICK WAY,SUITE #2A,CORAL GABLES,FL,UNITED STATES,33134,305-441-6090,305-442-1345,,,,,,,Approved,1/17/2008,4/20/2010,Y,WWW.COLOMAGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,N/A,Y,N,N,N,Y,N,N,,Y,0,"25,000,000.00","25,000,000.00",0,3,3,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,122772,801-67758,FINANCIAL EDUCATIONAL ADVISORS.LLC,FINANCIAL EDUCATIONAL ADVISORS.LLC,"500 OLD COUNTRY RD.,",SUITE 312,GARDEN CITY,NY,UNITED STATES,11530,516-280-8400,516-620-6921,,,,,,,Approved,5/2/2007,4/20/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"21,988,000.00",0,"21,988,000.00",145,0,145,Y,Y,N,N,N,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,135143,801-66702,"GREEN STREET INVESTORS, LLC","GREEN STREET INVESTORS, LLC",660 NEWPORT CENTER DRIVE,SUITE 800,NEWPORT BEACH,CA,UNITED STATES,92660,949-640-8780,949-640-1773,,,,,,,Approved,6/2/2006,4/20/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"80,653,000.00",0,"80,653,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
ARO,126090,801-61989,"SSN ADVISORY, INC.","SSN ADVISORY, INC.",9729 COGDILL ROAD,SUITE 301,KNOXVILLE,TN,UNITED STATES,37932,800-264-5499,865-777-4689,,,,,,,Approved,4/28/2003,4/20/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,51-250,0,51-250,0,51-250,0,51-250,0,More than 500,"3,000",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"264,922,847.00","285,895,200.00","550,818,047.00","1,623","1,169","2,792",Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
ARO,144051,801-71280,"SAGE SOUTHEASTERN SECURITIES, INC.","SAGE SOUTHEASTERN SECURITIES, INC.","1100 ABERNATHY ROAD, 500 NORTHPARK",SUITE 400,ATLANTA,GA,UNITED STATES,30328,404-965-7286,404-965-7317,,,,,,,Approved,4/26/2010,4/20/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"32,800,329.00","12,177,553.00","44,977,882.00",192,61,253,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,N,Y,Y,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,131416,801-71365,"ANSON CAPITAL, INC.","ANSON CAPITAL, INC.",430 PRIME POINT,SUITE 105,PEACHTREE CITY,GA,UNITED STATES,30269,678-216-0794,877-750-9088,P.O. BOX 2447,,PEACHTREE CITY,GA,UNITED STATES,30269,Approved,4/20/2010,4/20/2010,Y,WWW.ANSONCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"35,253,000.00","18,040,000.00","53,293,000.00",165,64,229,Y,Y,N,Y,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,150944,801-70450,"DOZA INVESTMENTS, LLC","DOZA INVESTMENTS, LLC",1415 PANTHER LANE,SUITE 310,NAPLES,FL,UNITED STATES,34109-7874,239-593-6114,239-593-6139,,,,,,,120-Day Approval,7/29/2009,4/8/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,Y,THIRD PARTY REFERRAL FEES,Y,"8,000,000.00","3,000,000.00","11,000,000.00",12,10,22,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107619,801-46031,"PERFORMANCE TRUST INVESTMENT ADVISORS, LLC","PERFORMANCE TRUST INVESTMENT ADVISORS, LLC",500 W. MADISON,SUITE 350,CHICAGO,IL,UNITED STATES,60661,312-521-1000,312-628-0703,,,,,,,Approved,3/11/1994,4/8/2010,Y,WWW.PERFORMANCETRUSTINVESTMENTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,101-250,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"177,634,830.00","191,556,059.00","369,190,889.00",112,3,115,N,Y,N,Y,N,N,Y,Y,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
SFRO,108592,801-57237,BLUE OAK CAPITAL LLC,BLUE OAK CAPITAL LLC,"2600 EL CAMINO REAL, SUITE 415",,PALO ALTO,CA,USA,94306,650-251-9595,650-251-9596,,,,,,,Approved,2/25/2000,4/8/2010,Y,WWW.BLUEOAK.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"185,502,290.00",0,"185,502,290.00",273,0,273,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
SFRO,143629,801-67801,"SABIN INVESTMENT MANAGEMENT, INC.","SABIN INVESTMENT MANAGEMENT, INC.",,,,,,,206-999-2014,253-265-3305,,,,,,,Approved,4/24/2007,3/24/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,0,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"40,256,155.00","187,000.00","40,443,155.00",142,2,144,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,113908,801-60468,"SPIRE WEALTH MANAGEMENT, LLC","SPIRE WEALTH MANAGEMENT, LLC",12355 SUNRISE VALLEY DR.,SUITE 305,RESTON,VA,UNITED STATES,20191,703-657-6062,703-748-1372,,,,,,,Approved,8/17/2001,4/8/2010,Y,WWW.SPIREIP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"2,000",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PAYMENT OF 12B-1 FEES MAY CONSIDERED AS PART OF MANAGEMENT FEE.,Y,"388,700,000.00","166,541,806.00","555,241,806.00","2,370","1,015","3,385",Y,Y,N,Y,Y,Y,N,N,N,Y,"INSURANCE, RETIREMENT & ESTATE PLANNING, DIVORCE PLANNING",101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
CHRO,134008,801-64792,"CAPITAL CITY ASSET MANAGEMENT GROUP, LLC","CAPITAL CITY ASSET MANAGEMENT GROUP, LLC",1335 DUBLIN ROAD,SUITE 122 - D,COLUMBUS,OH,UNITED STATES,43215,614-485-0803,614-486-4774,,,,,,,Approved,1/3/2006,4/8/2010,Y,WWW.AMERICANWEALTH.BIZ,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SELLING SIGNALS,Y,"47,143,973.00","1,707,880.00","48,851,853.00",437,101,538,N,Y,N,Y,N,Y,N,N,Y,Y,SELLING SIGNALS,0,,N,N,Y,Y,N,N,Y,N,Y,INVESTMENT BANKING,N,N,Y,Y,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,N,N,N,N,N,N
SFRO,134456,801-67671,SEASONAL STRATEGY,"GAVRICH, ROBERT JAN",870 MARKET STREET,SUITE 919,SAN FRANCISCO,CA,USA,94102,(415) 956-1721,(415) 956-1722,,,,,,,Approved,4/17/2007,4/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"34,337,703.00","1,265,169.00","35,602,872.00",43,1,44,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,117909,801-63013,"STEVE ROBBINS, INC.","STEVE ROBBINS, INC.",325 RUE SAINT FRANCOIS,,FLORISSANT,MO,USA,63031,314-839-4600,314-839-5772,,,,,,,Approved,4/15/2004,4/9/2010,Y,WWW.STEVEROBBINSONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"35,147,509.00",0,"35,147,509.00",439,0,439,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151271,801-70521,LONGEVITY ASSET MANAGEMENT LLC,LONGEVITY ASSET MANAGEMENT LLC,210 E. 39TH STREET,,NEW YORK,NY,UNITED STATES,10016,212-202-0973 X114,908-277-2217,,,,,,,Approved,9/16/2009,4/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,0,"25,000,000.00","25,000,000.00",0,1,1,Y,Y,Y,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104594,801-8327,EVERGREEN INVESTMENT MANAGEMENT CO,"EVERGREEN INVESTMENT MANAGEMENT COMPANY, LLC",200 BERKELEY STREET,,BOSTON,MA,UNITED STATES,2116,(617) 210-3200,(617) 247-5086,,,,,,,Approved,1/15/1972,4/9/2010,Y,WWW.EVERGREENINVESTMENTS.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,501-1000,0,51-250,0,Nov-50,0,5-Jan,0,251-500,0,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,11-25 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"96,131,700,000.00","172,300,000.00","96,304,000,000.00",321,18,339,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,Y,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N
HQ,109192,801-42427,"FIRST INTERNATIONAL ADVISORS, LLC","FIRST INTERNATIONAL ADVISORS, LLC",ONE PLANATATION PLACE,30 FENCHURCH,"LONDON, ENGLAND",,UNITED KINGDOM,EC3M 3BD,44-207-929-7555,44-207-929-7977,,,,,,,Approved,11/5/1992,4/9/2010,Y,WWW.WELLSCAP.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,Up to 10 percent,26-50 percent,11-25 percent,0 percent,0 percent,26-50 percent,11-25 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"5,841,000,000.00",0,"5,841,000,000.00",32,0,32,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N
MIRO,123508,801-64203,"INGRAM ADVISORY SERVICES, LLC","INGRAM ADVISORY SERVICES, LLC",799 OVERLOOK DRIVE,,WINTER HAVEN,FL,USA,33884,863-326-9833,863-875-1855,,,,,,,Approved,4/19/2005,4/9/2010,Y,WWW.INGRAMFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,TPA SHARE,Y,"53,000,000.00","30,000,000.00","83,000,000.00",255,1,256,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,143244,801-67871,ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD),ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD),"8, EU TONG SEN STREET","#23-90, THE CENTRAL",SINGAPORE,,SINGAPORE,59818,011-65-65000763,011-65-6836-1511,,,,,,,Approved,5/31/2007,7/7/2010,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),PUBLIC COMPANY LIMITED BY SHARES,,SINGAPORE,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,"SICAV, FCP, SITF, KOREA CIS",Y,N,N,N,N,Y,N,,Y,"1,088,970,040.00","548,079.00","1,089,518,119.00",11,1,12,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,Y,DISTRIBUTION OF AFFILIATED INVESTMENT PRODUCTS.,N,,Y,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,122575,801-67699,"DUNN WARREN INVESTMENT ADVISORS, LLC","DUNN WARREN INVESTMENT ADVISORS, LLC",6143 SOUTH WILLOW DR.,STE. 102,GREENWOOD VILLAGE,CO,USA,80111,800-793-4866,800-793-4866,,,,,,,Approved,4/17/2007,7/8/2010,Y,WWW.DUNNWARREN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,51-250,0,More than 500,600,More than 75 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,OTHER INVESTMENT ADVISORY FIRMS THROUGH SUBADVISORY RELATIONSHIPS,Y,N,N,Y,N,Y,N,,Y,"116,195,351.00","2,600,000.00","118,795,351.00","1,376",28,"1,404",N,Y,Y,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,105782,801-29438,VAUGHAN NELSON TRUST COMPANY,VAUGHAN NELSON TRUST COMPANY,600 TRAVIS,STE 6300,HOUSTON,TX,USA,77002-3071,713-224-2545,713-547-4737,,,,,,,Approved,4/24/1987,7/8/2010,Y,WWW.VNSM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,0,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"272,050,966.00",0,"272,050,966.00",202,0,202,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,150976,801-71150,TCP GLOBAL INVESTMENT MANAGEMENT LLC,TCP GLOBAL INVESTMENT MANAGEMENT LLC,201 KING OF PRUSSIA ROAD,SUITE 350,RADNOR,PA,UNITED STATES,19087,610-995-1600,610-995-1601,,,,,,,Approved,3/12/2010,7/8/2010,Y,WWW.TCPGLOBAL-IM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"960,066,963.00",0,"960,066,963.00",29,0,29,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,118739,801-60978,"SHEAFF BROCK INVESTMENT ADVISORS, LLC","SHEAFF BROCK INVESTMENT ADVISORS, LLC",10401 N. MERIDIAN STREET,SUITE 100,INDIANAPOLIS,IN,UNITED STATES,46290,317-705-5700,317-705-5110,,,,,,,Approved,3/19/2002,7/8/2010,Y,WWW.SHEAFFBROCK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"201,000,000.00",0,"201,000,000.00","1,262",0,"1,262",Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,145716,801-69180,SAMOSET WEALTH MANAGEMENT COMPANY LLC,SAMOSET WEALTH MANAGEMENT COMPANY LLC,1540 BOSTON POST ROAD,,DARIEN,CT,UNITED STATES,06820-5900,203-656-9643,203-202-9637,,,,,,,Approved,5/21/2008,7/8/2010,Y,WWW.SAMOSETLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"7,672,087.00","107,210,420.00","114,882,507.00",37,245,282,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135810,801-65436,"JEFFERIES ASSET MANAGEMENT, LLC","JEFFERIES ASSET MANAGEMENT, LLC",THE METRO CENTER,"ONE STATION PLACE, THREE NORTH",STAMFORD,CT,UNITED STATES,6902,203-708-6500,203-724-4410,,,,,,,Approved,1/20/2006,7/8/2010,Y,WWW.JAMFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"190,842,421.00",0,"190,842,421.00",8,0,8,N,N,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT VEHICLES,,,N,N,N,N,Y,N,N,N,N,,N,N,N,Y,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,124873,801-61763,"BERKSHIRE MONEY MANAGEMENT, INC.","BERKSHIRE MONEY MANAGEMENT, INC.",392 MERRILL ROAD,,PITTSFIELD,MA,UNITED STATES,1201,888-232-6072,413-997-2005,PO BOX 3857,,PITTSFIELD,MA,UNITED STATES,1202,Approved,1/29/2003,7/8/2010,Y,WWW.BERKSHIREMM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"218,162,263.00",0,"218,162,263.00",825,0,825,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,153389,801-71309,"BAYHAWK ASSET MANAGEMENT, LLC","BAYHAWK ASSET MANAGEMENT, LLC",,,,,,,404-537-2940,404-865-3883,,,,,,,Approved,4/8/2010,7/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"71,500,000.00",0,"71,500,000.00",484,0,484,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,154311,801-71682,"MCNAMARA FINANCIAL SERVICES, INC.","MCNAMARA FINANCIAL SERVICES, INC.",1020 PLAIN STREET,SUITE 200,MARSHFIELD,MA,UNITED STATES,2050,781-834-2010,781-834-2056,,,,,,,120-Day Approval,7/29/2010,7/8/2010,Y,WWW.MCNAMARAFINANCIAL.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,0,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,144548,801-68159,LUSIGHT RESEARCH,LUSIGHT LIMITED,175 BLOOR STREET E,SUITE 606,TORONTO,,CANADA,M5R1M7,1 416 934-7200,416-413-0445,,,,,,,Approved,7/16/2007,7/8/2010,Y,WWW.LUSIGHT.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,51-250,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,26-50 percent,11-25 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,"EQUITY RESEARCH, FINANCIAL FORECASTING, SECURITIES VALUATION",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,141969,801-71651,"WARBURTON CAPITAL MANAGEMENT, LLC","WARBURTON CAPITAL MANAGEMENT, LLC",15 EAST FIFTH STREET,SUITE 3675,TULSA,OK,UNITED STATES,74103,918-794-3000,918-794-3130,,,,,,,Approved,7/22/2010,7/8/2010,Y,WWW.WARBURTONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"39,509,857.00",0,"39,509,857.00",260,0,260,Y,Y,N,Y,N,N,Y,N,N,Y,SEMINARS,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139303,801-66104,CANTILLON CAPITAL MANAGEMENT LLP,CANTILLON CAPITAL MANAGEMENT LLP,"EAGLE HOUSE, 108/110 JERMYN STREET",,LONDON,,UNITED KINGDOM,SW1Y 6RH,44 (0) 20 7811 4109,44 (0) 20 7811 4209,,,,,,,Approved,1/31/2006,7/8/2010,Y,WWW.CANTILLON.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,944,496,000.00",0,"1,944,496,000.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,152607,801-71142,"MONTAGE ASSET MANAGEMENT, LLC","MONTAGE ASSET MANAGEMENT, LLC",4200 W. 115TH STREET,SUITE 100,LEAWOOD,KS,UNITED STATES,66211,913-647-9700,913-647-9725,,,,,,,Approved,2/26/2010,7/8/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122134,801-68141,"ROBERT A. MECCA & ASSOCIATES, LLC","ROBERT A. MECCA & ASSOCIATES, LLC",,,,,,,847-359-2900,847-359-0484,,,,,,,Approved,8/17/2007,7/8/2010,Y,WWW.MECCAONMONEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,SMALL BUSINESS,Y,Y,N,Y,N,N,N,,Y,"40,893,000.00","40,693,000.00","81,586,000.00",343,435,778,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106960,801-50333,HARRIS ASSOCIATES LP,HARRIS ASSOCIATES LP,"TWO NORTH LASALLE STREET, STE 500",,CHICAGO,IL,UNITED STATES,60602-3790,312-621-0600,312-621-0636,,,,,,,Approved,9/29/1995,7/8/2010,Y,WWW.HARRISASSOC.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,51-250,0,51-250,0,Nov-50,0,More than 500,"1,500",Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"51,743,588,587.00","2,474,431.00","51,746,063,018.00","1,465",1,"1,466",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y
NYRO,147224,801-69331,CARLTON WEALTH MANAGEMENT LLC,CARLTON WEALTH MANAGEMENT LLC,120 WALL STREET SUITE 2401,,NEW YORK,NY,UNITED STATES,10005,212-845-9137,212-918-4861,,,,,,,Approved,6/19/2008,6/8/2009,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,26-50 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,104511,801-42549,"TOM JOHNSON INVESTMENT MANAGEMENT, LLC","TOM JOHNSON INVESTMENT MANAGEMENT, LLC","201 ROBERT S. KERR, SUITE 510",,OKLAHOMA CITY,OK,UNITED STATES,73102,405-236-2111,405-236-2008,,,,,,,Approved,10/21/1992,7/8/2010,Y,WWW.TJIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,More than 500,600,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,SEPARATELY MANAGED POOLED ACCOUNTS,Y,Y,N,Y,N,N,N,,Y,"430,322,000.00","69,402,000.00","499,724,000.00",582,34,616,Y,Y,N,Y,Y,Y,N,Y,N,N,,25-Nov,,N,Y,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,152922,801-71199,"EURO PACIFIC ASSET MANAGEMENT, LLC","EURO PACIFIC ASSET MANAGEMENT, LLC",1201 DOVE STREET,SUITE 370,NEWPORT BEACH,CA,UNITED STATES,92660,949-878-8057,949-863-7100,,,,,,,120-Day Approval,3/29/2010,7/8/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
CHRO,123047,801-64587,REHMANN FINANCIAL,"REHMANN CAPITAL ADVISORY GROUP, LLC",4086 LEGACY PARKWAY,,LANSING,MI,UNITED STATES,48911-4261,517-316-2400,517-316-2401,,,,,,,Approved,8/16/2005,7/8/2010,Y,WWW.REHMANNFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,Nov-50,0,More than 500,"2,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,RIA'S,Y,Y,N,Y,N,N,Y,SERVICING FEES FROM CUSTODIANS,Y,"620,180,175.00","104,208,697.00","724,388,872.00","2,912",731,"3,643",Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,148670,801-69716,C-PAS LLC,C-PAS LLC,4086 LEGACY PARKWAY,,LANSING,MI,UNITED STATES,48911-4261,1-517-316-2400,1-517-316-2401,,,,,,,Approved,10/31/2008,7/8/2010,Y,CPASUMA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,OTHER RIA FIRMS,Y,N,N,N,N,N,N,,Y,"72,720,386.00",0,"72,720,386.00",83,0,83,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119480,801-67430,PENSION BUILDERS & CONSULTANTS,"DARRIN FARROW & ASSOCIATES, INC.",29065 CLEMENS ROAD,BUILDING B,WESTLAKE,OH,UNITED STATES,44145,(440) 356-3379,(440) 617-0382,4086 LEGACY PARKWAY,,LANSING,MI,UNITED STATES,48911,Approved,1/3/2007,7/8/2010,Y,WWW.PENSIONBUILDERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,11-25 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,COLLECTIVE FUNDS,Y,Y,N,Y,N,N,N,,Y,"21,300,000.00","26,000,000.00","47,300,000.00",172,60,232,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,Y,N,N,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122084,801-67784,"MCAVOY KEMP WEALTH MANAGEMENT, LLC","MCAVOY KEMP WEALTH MANAGEMENT, LLC",2121  25TH STREET,SUITE A,COLUMBUS,IN,USA,47201-3214,812-376-6463,812-372-5672,,,,,,,Approved,4/17/2007,7/8/2010,Y,WWW.MCAVOYKEMP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"41,601,371.00","629,417.00","42,230,788.00",252,2,254,Y,Y,N,Y,N,Y,N,N,N,Y,"TAX PLANNING/RETURNS, EDUCATIONAL PROGRAMS, RISK MANAGEMENT AND FINANCIAL COACHING",101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122299,801-66979,"VEROS PARTNERS, INC.","VEROS PARTNERS, INC.",5955 SOUTH EMERSON AVE.,SUITE 500,INDIANAPOLIS,IN,USA,46237,317-781-9300,317-781-9301,,,,,,,Approved,7/10/2006,7/8/2010,Y,WWW.VEROSPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"73,385,789.00",0,"73,385,789.00","1,263",0,"1,263",Y,Y,N,Y,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,463,801-7258,JANNEY MONTGOMERY SCOTT LLC,JANNEY MONTGOMERY SCOTT LLC,1801 MARKET STREET,,PHILADELPHIA,PA,UNITED STATES,19103,215-665-6000,215-665-8615,,,,,,,Approved,3/8/1971,3/30/2010,Y,WWW.JANNEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,More than 1000,"2,000",501-1000,0,501-1000,0,Nov-50,0,More than 500,"20,400",Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,Y,Y,FEE PLUS COMMISSION,Y,"2,787,520,897.00","4,336,000,513.00","7,123,521,410.00","10,692","14,277","24,969",Y,Y,N,Y,Y,Y,N,N,N,N,,More than 500,3500,Y,Y,Y,N,N,N,N,N,N,,N,,Y,Y,N,Y,N,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
LARO,111249,801-64075,VAUGHN INVESTMENT ADVISORS INC,VAUGHN INVESTMENT ADVISORS INC,17621 IRVINE BLVD,SUITE 104,TUSTIN,CA,UNITED STATES,92780,714-565-0144,714-505-0133,,,,,,,Approved,3/25/2005,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"28,543,620.00",0,"28,543,620.00",92,0,92,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,Y,RIA,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,123764,801-68390,CAPSTONE CAPITAL GROUP,CAPSTONE CAPITAL FINANCIAL STRATEGIES,2600 PASEO VERDE PARKWAY,SUITE 150,HENDERSON,NV,UNITED STATES,89074,702-433-7588,702-433-8879,,,,,,,Approved,9/27/2007,3/30/2010,Y,WWW.CAPSTONECAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"50,867,942.00","3,833,320.00","54,701,262.00",368,19,387,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,109660,801-48112,"LAUER, FROMELT CAPITAL MANAGEMENT LTD.",LAUER CAPITAL MANAGEMENT LTD,1720 S. SPRING AVENUE,,SIOUX FALLS,SD,UNITED STATES,57105,605-357-8088,605-338-2105,PO BOX 89625,,SIOUX FALLS,SD,UNITED STATES,57109-9625,Approved,12/23/1994,3/30/2010,Y,WWW.LAUERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,SD,UNITED STATES,5-Jan,0,0,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"134,072,455.00",0,"134,072,455.00",75,0,75,N,Y,N,Y,N,N,N,N,N,Y,ENDOWMENT/FOUNDATION PORTFOLIO CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,141823,801-67160,"FIRST PACIFIC ADVISORS, LLC","FIRST PACIFIC ADVISORS, LLC",11400 WEST OLYMPIC BOULEVARD,SUITE 1200,LOS ANGELES,CA,USA,90064,800-982-4372,310-996-5450,,,,,,,Approved,9/29/2006,3/30/2010,Y,WWW.FPAFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,0 percent,51-75 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"12,704,688,491.00",0,"12,704,688,491.00",48,0,48,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106101,801-49354,"DARUMA ASSET MANAGEMENT, INC.","DARUMA ASSET MANAGEMENT, INC.",80 WEST 40TH STREET,9TH FLOOR,NEW YORK,NY,UNITED STATES,10018,212-869-4000,212-869-4882,,,,,,,Approved,6/9/1995,3/30/2010,Y,HTTP://WWW.DARUMANYC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,51-75 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,336,026,753.00","4,000,000.00","1,340,026,753.00",59,1,60,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106790,801-50721,MARKETSPACE FINANCIAL,MARKETSPACE FINANCIAL INC,6565 AMERICAS PARKWAY NE,SUITE 611,ALBUQUERQUE,NM,USA,87110,505-883-3131,505-888-8881,,,,,,,Approved,12/1/1995,3/30/2010,Y,MARKETSPACEFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NM,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"189,556,558.00","31,013,216.00","220,569,774.00",290,39,329,Y,Y,N,N,N,N,Y,N,N,N,,51-100,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106442,801-43479,"PRUDENTIAL PRIVATE PLACEMENT INVESTORS, L.P.","PRUDENTIAL PRIVATE PLACEMENT INVESTORS, L.P.",100 MULBERRY STREET,THREE GATEWAY CENTER,NEWARK,NJ,UNITED STATES,07102-4069,973-802-8608,973-367-3234,,,,,,,Approved,3/31/1993,3/30/2010,Y,WWW.PRUDENTIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"7,695,523,590.00",0,"7,695,523,590.00",17,0,17,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N
BRO,109215,801-56408,NORTHERN NECK INVESTORS LLC,NORTHERN NECK INVESTORS LLC,82 DEVONSHIRE STREET V10G,,BOSTON,MA,UNITED STATES,2109,617-563-0773,617-385-2297,,,,,,,Approved,2/8/2005,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,COST REIMBURSEMENT FORMULA,Y,"1,509,975,295.00",0,"1,509,975,295.00",14,0,14,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,139652,801-66595,"ARROW INVESTMENT ADVISORS, LLC","ARROW INVESTMENT ADVISORS, LLC",2943 OLNEY-SANDY SPRING RD.,SUITE A,OLNEY,MD,UNITED STATES,20832,301-260-2934,301-260-0164,,,,,,,Approved,4/24/2006,3/30/2010,Y,WWW.ARROWFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"464,552,872.00",0,"464,552,872.00",6,0,6,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107281,801-49271,GOLD ASSET MANAGEMENT INC,GOLD ASSET MANAGEMENT INC,1760 RESTON PARKWAY,SUITE  214,RESTON,VA,USA,20190,703-834-0654,703-834-0647,,,,,,,Approved,5/23/1995,3/30/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"11,718,493.00","1,178,212.00","12,896,705.00",106,3,109,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N
MIRO,126173,801-68632,"CAPITAL MANAGEMENT INVESTOR SERVICES, INC.","CAPITAL MANAGEMENT INVESTOR SERVICES, INC.",1221 BRICKELL AVE,9TH FLOOR,MIAMI,FL,UNITED STATES,33131,561-361-2833,561-361-2866,714 E. PALMETTO PARK RD.,,BOCA RATON,FL,UNITED STATES,33486,Approved,1/2/2008,3/30/2010,Y,WWW.CAPITALMANAGEMENTINVESTORSERVICES.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,RIA,Y,N,N,N,N,Y,N,,Y,"12,500,000.00",0,"12,500,000.00",75,0,75,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,Y,RIA,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138200,801-65201,"HOMEFIELD CAPITAL, L.P.","HOMEFIELD CAPITAL, L.P.",375 PARK AVENUE,SUITE 1905,NEW YORK,NY,UNITED STATES,10152,212-909-1650,212-909-1659,,,,,,,Approved,1/20/2006,3/30/2010,Y,WWW.HOMEFIELDCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"124,401,431.00",0,"124,401,431.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107980,801-55757,AUXIER ASSET MANAGEMENT,AUXIER ASSET MANAGEMENT LLC,5285 MEADOWS ROAD,SUITE 333,LAKE OSWEGO,OR,UNITED STATES,97035,503-885-8807,503-885-8607,,,,,,,Approved,7/1/1998,3/30/2010,Y,AUXIERASSET.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"282,376,165.00","86,621,047.00","368,997,212.00",282,38,320,N,Y,Y,Y,Y,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106584,801-1725,SAROFIM FAYEZ & CO,SAROFIM FAYEZ & CO,TWO HOUSTON CENTER,SUITE 2907,HOUSTON,TX,UNITED STATES,77010-1014,713-654-4484,713-654-8184,,,,,,,Approved,7/16/1958,3/30/2010,Y,WWW.SAROFIM.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,51-250,0,Nov-50,0,0,0,Nov-50,0,More than 500,"8,000",More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"15,975,487,506.00","1,127,568,263.00","17,103,055,769.00","7,782",43,"7,825",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,145762,801-68777,ALPHA EQUITY MANAGEMENT LLC,ALPHA EQUITY MANAGEMENT LLC,90 STATE HOUSE SQUARE,SUITE 1100,HARTFORD,CT,UNITED STATES,6103,860-218-1520,860-218-1521,,,,,,,Approved,12/21/2007,3/30/2010,Y,WWW.ALPHAEQUITYLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,INSTITUTIONAL MANAGED ACCOUNTS,Y,N,N,N,N,Y,N,,Y,"165,000,000.00",0,"165,000,000.00",10,0,10,N,N,Y,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE FUNDS AND INSTITUTIONAL MANAGED ACCOUNTS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106289,801-53805,"COMPASS ASSET MANAGEMENT, LLC",MATTHES WILLIAM LEE,10 WATER STREET,,GUILFORD,CT,UNITED STATES,6437,203-453-7000,203-453-7007,,,,,,,Approved,2/14/1997,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"100,000,000.00",0,"100,000,000.00",275,0,275,N,Y,N,Y,N,N,N,N,N,N,,,,Y,Y,N,Y,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,111588,801-54255,DREMAN VALUE MANAGEMENT LLC,"DREMAN VALUE MANAGEMENT, L.L.C.",777 SOUTH FLAGLER DRIVE,SUITE 800 - WEST TOWER,WEST PALM BEACH,FL,UNITED STATES,33401,1-800-952-6667,201-793-2060,C/O CONTRARIAN SERVICES CORP,"HARBORSIDE FNCL CTR, PLAZA 10, STE 800",JERSEY CITY,NJ,UNITED STATES,7311,Approved,4/24/1997,3/30/2010,Y,WWW.DREMAN.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",Up to 10 percent,Up to 10 percent,0 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,FOUNDATIONS AND ENDWOMENTS,Y,N,N,N,N,N,N,,Y,"4,595,396,302.00","146,238,150.00","4,741,634,452.00","1,044",6,"1,050",N,Y,Y,Y,N,N,N,N,N,Y,NON-DISCRETIONARY INVESTMENT ADVISORY SERVICES,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,115505,801-63218,TBP INVESTMENTS MANAGEMENT LLC,"TBP INVESTMENTS MANAGEMENT, LLC",8117 PRESTON ROAD,SUITE 260,DALLAS,TX,UNITED STATES,75225,214-265-4165,214-750-0216,,,,,,,Approved,6/17/2004,3/30/2010,Y,WWW.BPCAP.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,UNIVERSITY ENDOWMENT,Y,N,N,N,N,Y,N,,Y,"420,000,000.00",0,"420,000,000.00",9,0,9,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR INVESTMENT PARTNERSHIPS,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110596,801-8670,M.D. SASS ASSOCIATES INC.,M.D. SASS ASSOCIATES INC.,1185 AVENUE OF THE AMERICAS,18TH FLR,NEW YORK,NY,UNITED STATES,10036,212-730-2000,212-843-5949,,,,,,,Approved,6/7/1972,3/30/2010,Y,WWW.MDSASS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,114,593,783.00","7,090.00","2,114,600,873.00",126,1,127,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,118519,801-66583,"PHYSICIANS FINANCIAL SERVICES, INC.","PHYSICIANS FINANCIAL SERVICES, INC.",13-B GLENWOOD AVENUE,,RALEIGH,NC,UNITED STATES,27603,919-863-2355,919-865-1925,PO BOX 10973,,RALEIGH,NC,UNITED STATES,27605,Approved,6/8/2006,3/30/2010,Y,WWW.PHYSICIANSFS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"66,657,704.00",0,"66,657,704.00",253,0,253,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110562,801-37227,"NEPC, LLC","NEPC, LLC",ONE MAIN STREET,,CAMBRIDGE,MA,UNITED STATES,2142,617-374-1300,617-374-1313,,,,,,,Approved,8/23/1990,3/30/2010,Y,WWW.NEPC.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,251-500,0,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,26-50 percent,11-25 percent,11-25 percent,ENDOWMENTS/FOUNDATIONS,Y,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,143120,801-68778,"GLOBAL TRUST ASSET MANAGEMENT, LLC","GLOBAL TRUST ASSET MANAGEMENT, LLC",215 FIFTH STREET,SUITE 200,WEST PALM BEACH,FL,UNITED STATES,33401-0347,561-472-0191,561-835-0628,,,,,,,Approved,2/1/2008,3/30/2010,Y,WWW.GBLTRUST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"57,937,571.00",0,"57,937,571.00",46,0,46,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108720,801-63385,SENTINEL ADVISORY CORP,SENTINEL ADVISORY CORP,34 COURT STREET,,PLYMOUTH,MA,UNITED STATES,2360,508-732-6762,508-732-6764,,,,,,,Approved,6/7/2004,3/30/2010,Y,WWW.SENTINELPORTFOLIOS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"37,607,399.00",0,"37,607,399.00",206,0,206,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,139856,801-67836,"GALAPAGOS PARTNERS, L.P.","GALAPAGOS PARTNERS, L.P.","55 WAUGH DRIVE, SUITE 1130",,HOUSTON,TX,USA,77007-5834,713-803-4326,713-513-5204,,,,,,,Approved,5/4/2007,3/30/2010,Y,WWW.GPLP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"94,821,302.00","17,405,532.00","112,226,834.00",282,63,345,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,136383,801-64571,INVESTMENT PROGRAMS LLC,INVESTMENT PROGRAMS LLC,,,,,,,719-481-4502,719-481-4388,PO BOX 1189,,MONUMENT,CO,UNITED STATES,80132,Approved,9/30/2005,3/30/2010,Y,WWW.IP-RIA.US,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,700,000.00",0,"2,700,000.00",10,0,10,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,111208,801-42114,NEWTON CAPITAL MANAGEMENT LTD,NEWTON CAPITAL MANAGEMENT LTD,160 QUEEN VICTORIA STREET,,LONDON,,UNITED KINGDOM,EC4V 4LA,020-7163-9000,020-7163-5063,,,,,,,Approved,8/27/1992,3/30/2010,Y,WWW.NEWTON.CO.UK,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,11-25 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,WRAP FEE PROGRAM,Y,N,N,N,N,Y,N,,Y,"3,194,729,462.00",0,"3,194,729,462.00",28,0,28,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,125727,801-66356,"DARTMOUTH ADVISORY SERVICES,INC.","DARTMOUTH ADVISORY SERVICES,INC.",500 OLD COUNTRY ROAD-SUITE 312,,GARDEN CITY,NY,UNITED STATES,11530-1944,516-873-7526,516-873-1030,,,,,,,Approved,3/9/2006,3/16/2010,Y,WWW.DARTMOUTHADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"27,561,562.00","14,844,899.00","42,406,461.00",82,75,157,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,151489,801-70595,"613 CAPITAL, LLC","613 CAPITAL, LLC",123 WEST FIRST STREET,SUITE 675/21,CASPER,WY,UNITED STATES,82601,(307) 224-4144,(307) 333-0150,,,,,,,Approved,10/2/2009,3/16/2010,Y,WWW.613-CAPITAL.COM,N,N,Y,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"575,000.00",0,"575,000.00",3,0,3,N,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111272,801-57657,"LIBERTY FINANCIAL GROUP, INC.","LIBERTY FINANCIAL GROUP, INC.",700 PILGRIM PKWY,SUITE 300,ELM GROVE,WI,USA,53122-2063,262-785-1377,262-785-6655,,,,,,,Approved,6/20/2000,3/16/2010,Y,WWW.LIBERTYFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"52,177,072.00","1,128,327.00","53,305,399.00",142,7,149,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105561,801-32380,CROFT LEOMINSTER INC,CROFT LEOMINSTER INC,THE CANTON HOUSE,300 WATER STREET,BALTIMORE,MD,UNITED STATES,21202,410-576-0100,410-576-8232,,,,,,,Approved,8/11/1988,3/16/2010,Y,WWW.CROFTLEO.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,Y,WE ARE GENERAL PTR FOR 7 LPS W/PERFORMANCE & MAINTENANCE FEES.,Y,"663,096,835.00",0,"663,096,835.00",341,0,341,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,25388,801-17285,"HOBERT & SVOBODA, INC.","HOBERT & SVOBODA, INC.",350 BISHOPS WAY,,BROOKFIELD,WI,USA,53005,[262] 782-8900,[262] 782-4784,,,,,,,Approved,6/14/1982,3/16/2010,Y,WWW.HSPDM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,TRUST ACCOUNTS,Y,Y,N,N,N,N,N,,Y,"148,939,600.00","1,965,000.00","150,904,600.00",700,60,760,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,Y,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111721,801-56980,"BERSON & CORRADO INVESTMENT ADVISORS, LLC","BERSON & CORRADO INVESTMENT ADVISORS, LLC",25 WEST 43RD STREET,SUITE 920,NEW YORK,NY,UNITED STATES,10036-7406,212-730-5444,212-730-5450,,,,,,,Approved,11/15/1999,3/16/2010,Y,WWW.BERSONANDCORRADO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"233,741,606.00","15,236,057.00","248,977,663.00",864,119,983,Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109816,801-58120,"THE MOSAIC FINANCIAL GROUP, LLC","THE MOSAIC FINANCIAL GROUP, LLC",330 NORTH WABASH,SUITE 1650,CHICAGO,IL,USA,60611,312-255-5490,312-255-5495,,,,,,,Approved,11/17/2000,3/16/2010,Y,WWW.THEMOSAICGROUPLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"17,634,673.00","239,456,880.00","257,091,553.00",35,362,397,Y,Y,N,N,N,Y,N,N,N,Y,CONSULTING AND MONITORING,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105718,801-24187,FLIPPIN BRUCE & PORTER INC,FLIPPIN BRUCE & PORTER INC,"APPALACHIAN BUILDING, 2ND FL",800 MAIN STREET,LYNCHBURG,VA,UNITED STATES,24504-1508,434-845-4900,434-846-3846,P.O. BOX 6138,,LYNCBHURG,VA,UNITED STATES,24505-6138,Approved,4/26/1985,3/16/2010,Y,WWW.FBPINC.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,More than 500,"2,000",0 percent,51-75 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,N,N,N,Y,ASSETS UNDER A SPECIAL RESEARCH PROVIDER ARRANGEMENT,Y,"1,024,903,678.00",0,"1,024,903,678.00","2,124",0,"2,124",N,Y,Y,Y,N,N,N,N,N,Y,PROVIDE PORTFOLIO-MODELING RESEARCH,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139680,801-66469,DGAM,DIVERSIFIED GLOBAL ASSET MANAGEMENT CORPORATION,77 KING STREET WEST,SUITE 4310,TORONTO,,CANADA,M5K 1J5,416-644-7587,416-644-7586,,,,,,,Approved,4/6/2006,3/16/2010,Y,WWW.DGAM.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,350,000,000.00",0,"2,350,000,000.00",12,0,12,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105751,801-35862,HEAPHY TRUST GROUP,HEAPHY EDWARD THOMAS JR,32 HAMPDEN STREET,,SPRINGFIELD,MA,UNITED STATES,1103,413-736-8805,413-736-4474,P. O. BOX 1529,,SPRINGFIELD,MA,UNITED STATES,01101-1529,Approved,1/12/1990,3/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"36,471,739.00",0,"36,471,739.00",204,0,204,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,117196,801-61888,LUMBARD INVESTMENT COUNSELING LLC,LUMBARD INVESTMENT COUNSELING LLC,5 HUTCHINGS DRIVE,,HOLLIS,NH,UNITED STATES,3049,603-465-7700,603-465-7774,POST OFFICE BOX 749,,HOLLIS,NH,UNITED STATES,03049-0749,Approved,2/14/2003,3/16/2010,Y,WWW.LUMBARD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"76,988,762.00",0,"76,988,762.00",112,0,112,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,133826,801-63822,"LEPHEW FINANCIAL SERVICES, INC.","LEPHEW FINANCIAL SERVICES, INC.",452 LAKESHORE PARKWAY,SUITE 115,ROCK HILL,SC,UNITED STATES,29730,803-329-5125,803-980-0968,,,,,,,Approved,1/12/2005,3/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,SC,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"63,509,170.00",0,"63,509,170.00",123,0,123,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,125383,801-63588,FINANCIAL DISCOVERY,"THE FINANCIAL DISCOVERY GROUP,INC.",4403 NORTHSIDE PKWY STE 1104,,ATLANTA,GA,UNITED STATES,30327,404-816-0160,404-816-6765,,,,,,,Approved,10/22/2004,3/16/2010,Y,WWW.FINANCIALDISCOVERY.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"35,276,405.00",0,"35,276,405.00",162,0,162,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,141470,801-67173,"MILL CREEK CAPITAL ADVISORS, LLC","MILL CREEK CAPITAL ADVISORS, LLC",161 WASHINGTON STREET,SUITE 1500,CONSHOHOCKEN,PA,UNITED STATES,19428,610-941-7700,610-941-9792,,,,,,,Approved,9/19/2006,3/16/2010,Y,WWW.MILLCREEKCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,304,115,800.00","195,500,000.00","1,499,615,800.00","2,200",10,"2,210",N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,Y,N,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107499,801-49770,SIMPSON INVESTMENT COUNSEL,SIMPSON ALAN CARTER,9 GRAPEVINE AVE,STE 2,LEXINGTON,MA,UNITED STATES,2421,781-863-0250,781-863-0720,405 WALTHAM STREET  #PMB392,,LEXINGTON,MA,UNITED STATES,2421,Approved,7/31/1995,3/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"32,130,353.00","29,211,649.00","61,342,002.00",95,6,101,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,112107,801-60212,"DB FINANCIAL MANAGEMENT, INC.","DB FINANCIAL MANAGEMENT, INC.",,,,,,,775-586-9037,775-586-9047,P.O. BOX 10214,,ZEPHYR COVE,NV,USA,89448,Approved,4/26/2001,3/16/2010,Y,WWW.DBFM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,SELECTION/MONITORING OF MONEY MANAGERS FOR SOME CLIENTS,Y,"35,300,246.00",0,"35,300,246.00",135,0,135,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123849,801-61625,"COOPER MANAGEMENT SERVICE, INC.","COOPER MANAGEMENT SERVICE, INC.","106 WEST VINE STREET,SUITE 700",,LEXINGTON,KY,UNITED STATES,40507,859-259-0063,859-231-5311,,,,,,,Approved,12/3/2002,3/16/2010,Y,COOPERMS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,500,More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"80,801,744.00","7,097,265.00","87,899,009.00",613,62,675,Y,Y,N,N,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124489,801-64489,MILLER CAPITAL PARTNERS,"MILLER CAPITAL PARTNERS, INC.",33 BLOOMFIELD HILLS PARKWAY,"SUITE 240, GOVERNOR'S PLACE",BLOOMFIELD HILLS,MI,USA,48304-2945,248-901-1650,248-901-1655,,,,,,,Approved,7/15/2005,3/16/2010,Y,WWW.MILLERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"40,807,354.00","24,369,368.00","65,176,722.00",60,27,87,Y,Y,N,Y,N,Y,N,N,N,Y,PORTFOLIO CONSULTING/RESEARCH,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,140736,801-66881,"EXECUTIVE WEALTH MANAGEMENT, LLC","EXECUTIVE WEALTH MANAGEMENT, LLC",135 WEST NORTH STREET,SUITE 1,BRIGHTON,MI,UNITED STATES,48116,810-229-6446,810-229-6775,,,,,,,Approved,7/13/2006,3/16/2010,Y,WWW.EFP-INC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,More than 500,"1,000",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"97,114,479.00","96,886,140.00","194,000,619.00",904,"1,474","2,378",Y,Y,N,Y,N,N,N,N,N,Y,EDUCATIONAL WORKSHOPS & CONSULTING,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,114046,801-62326,HFH PLANNING INC.,HFH PLANNING INC.,"75 MAIDEN LANE, SUITE 605",,NEW YORK,NY,USA,10038,212-402-5444,212-402-5445,,,,,,,Approved,9/16/2003,3/16/2010,Y,WWW.HFHPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,N,N,N,N,,Y,0,"52,000,000.00","52,000,000.00",0,400,400,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,Y,FINANCIAL ADVISOR,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,118896,801-62981,"MELD FINANCIAL, INC.","MELD FINANCIAL, INC.",3008 PUMP HOUSE RD.,,BIRMINGHAM,AL,UNITED STATES,35243,205-967-4200,205-967-9724,P.O. BOX 43626,,BIRMINGHAM,AL,UNITED STATES,35243,Approved,4/7/2004,3/16/2010,Y,WWW.MELDFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,251-500,0,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"94,116,409.00","45,436,416.00","139,552,825.00",207,239,446,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,125111,801-62787,"QUANTEL ASSOCIATES, INC.","QUANTEL ASSOCIATES, INC.",,,,,,,727-467-0044,727-467-0077,,,,,,,Approved,2/12/2004,3/24/2009,Y,WWW.QUANTELASSOCIATES.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,141975,801-67201,"BURR & COMPANY, LLC","BURR & COMPANY, LLC",872 MAIN STREET,,OSTERVILLE,MA,USA,2655,508.428.1677,508.420.0681,P. O. BOX 19,,OSTERVILLE,MA,USA,02655-0019,Approved,9/25/2006,3/29/2010,Y,WWW.BURRANDCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"26,988,550.00","26,988,550.00",0,28,28,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104976,801-21695,WCMI,"WCM, INC.",100 NORTH SIXTH STREET,SUITE 620B,MINNEAPOLIS,MN,USA,55403,612-341-2218,612-341-0909,,,,,,,Approved,7/13/1984,4/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"75,237,383.00","2,762,406.00","77,999,789.00",76,3,79,N,Y,N,N,N,N,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,112696,801-55554,DEVER RICHARD WILLIAM,DEVER RICHARD WILLIAM,86 80 RIDEAU TERRACE,,"OTTAWA, ONT",,CANADA,K1M 2C6,613-741-7971,,,,,,,,Approved,7/13/1998,4/12/2010,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,,CANADA,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,NONE. WORKING TO SET UP PARTNERSHIP,N,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153485,801-71291,"ADDISON ASSET MANAGEMENT, LLC","ADDISON ASSET MANAGEMENT, LLC",,,,,,,773-348-4642,773-348-5194,,,,,,,120-Day Approval,4/5/2010,4/12/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,0,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110672,801-23649,NEUMEIER POMA INVESTMENT COUNSEL LLC,NEUMEIER POMA INVESTMENT COUNSEL LLC,26435 CARMEL RANCHO BLVD,SUITE 200,CARMEL,CA,UNITED STATES,93923,831-625-6355,831-625-6320,,,,,,,Approved,3/4/1985,4/12/2010,Y,WWW.NPSMALLVALUE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,11-25 percent,0 percent,0 percent,51-75 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"229,268,249.00",0,"229,268,249.00",34,0,34,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLE,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109242,801-57156,"AKRE CAPITAL MANAGEMENT, LLC","AKRE CAPITAL MANAGEMENT, LLC",2 WEST MARSHALL STREET,,MIDDLEBURG,VA,UNITED STATES,20117,540-687-3880,540-687-3899,PO BOX 998,,MIDDLEBURG,VA,UNITED STATES,20118-0998,Approved,1/12/2000,4/12/2010,Y,WWW.AKRECAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"496,059,832.00",0,"496,059,832.00",187,0,187,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,136680,801-68877,WIN TEAM ADVISORY SERVICES,"WIN TEAM INSURANCE SERVICES, INC.",23 ORCHARD,,LAKE FOREST,CA,UNITED STATES,92630,949-916-7500,949-916-7501,,,,,,,Approved,4/23/2008,4/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"105,241,956.00","105,241,956.00",0,156,156,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,Y,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,111447,801-53760,STONEBRIDGE CAPITAL ADVISORS LLC,STONEBRIDGE CAPITAL ADVISORS LLC,2550 UNIVERSITY AVENUE WEST,SUITE 180-S,ST. PAUL,MN,UNITED STATES,55114,651-251-1000,651-251-1010,,,,,,,Approved,1/30/1997,4/12/2010,Y,WWW.STONEBRIDGECAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,Nov-50,0,10-Jun,0,0,0,Nov-50,0,More than 500,500,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"687,714,653.00","63,961,290.00","751,675,943.00",767,21,788,N,Y,N,Y,N,N,Y,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,141849,801-67243,"STRATEGIC FINANCIAL CONCEPTS, LLC","STRATEGIC FINANCIAL CONCEPTS, LLC",6800 PARK TEN BLVD.,SUITE 130E,SAN ANTONIO,TX,UNITED STATES,78213,210-737-7800,210-737-7801,,,,,,,Approved,10/24/2006,4/12/2010,Y,WWW.TNFA.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD-PARTY REFERRAL FEES; PERCENTAGE OF ASSETS UNDER ADVISEMENT,Y,"35,000,000.00",0,"35,000,000.00",465,0,465,Y,Y,N,Y,Y,Y,N,N,N,Y,GENERAL CONSULTING AND BUSINESS PLANNING SERVICES,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,121886,801-71161,RK ASSET MANAGEMENT,"RK ASSET MANAGEMENT, LLC",,,,,,,313-343-9061,,,,,,,,Approved,3/16/2010,4/12/2010,Y,WWW.RAJAELACHKAR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"53,000,000.00",0,"53,000,000.00",177,0,177,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152301,801-70883,VENTURA WEALTH MANAGEMENT,NVWM LLC,200 PRINCETON SOUTH CORPORATE CENTER,SUITE 150,EWING,NJ,UNITED STATES,8628,(609) 671-9100,(609) 671-9199,,,,,,,Approved,1/4/2010,4/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"90,000,000.00","25,000,000.00","115,000,000.00",225,75,300,Y,Y,N,N,Y,N,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,149927,801-70215,"VIONI CAPITAL MANAGEMENT, LLC","VIONI CAPITAL MANAGEMENT, LLC",1605 MAIN STREET,SUITE 700,SARASOTA,FL,UNITED STATES,34236-5840,941-362-0870,941-383-6956,,,,,,,Approved,5/18/2009,4/12/2010,Y,HTTP://WWW.VIONICAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"26,928,887.00","3,473,549.00","30,402,436.00",30,10,40,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,14503,801-61672,VSR ADVISORY SERVICES,"VSR FINANCIAL SERVICES, INC.",8620 W. 110TH STREET,SUITE 200,OVERLAND PARK,KS,UNITED STATES,66210,913-498-2900,913-498-2901,,,,,,,Approved,1/23/2003,4/12/2010,Y,WWW.PLANNINGWORKS.BIZ,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,251-500,0,251-500,0,251-500,0,0,0,More than 500,"12,500",51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"580,896,367.00","942,707,621.00","1,523,603,988.00","8,373","5,389","13,762",Y,Y,N,Y,Y,Y,Y,N,Y,N,,251-500,,N,N,Y,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,Y,N,N,N,N
NYRO,119956,801-61057,"WECHTER FINANCIAL SERVICES, INC.","WECHTER FELDMAN WEALTH MANAGEMENT, INC.",1719 ROUTE 10 EAST,STE 224,PARSIPPANY,NJ,UNITED STATES,7054,973-605-1448,973-605-1449,,,,,,,Approved,4/4/2002,4/12/2010,Y,HTTP://WWW.WECHTERFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"139,784,616.00","16,746,575.00","156,531,191.00",572,78,650,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,150407,801-70270,"BEAUMONT ASSET MANAGEMENT, L.L.C.","BEAUMONT ASSET MANAGEMENT, L.L.C.",1505 CORNERSTONE COURT,,BEAUMONT,TX,UNITED STATES,77706,409-899-9569,,,,,,,,Approved,6/8/2009,4/12/2010,Y,WWW.BEAUMONTASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"38,689,350.00",0,"38,689,350.00",88,0,88,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107496,801-40263,EMERALD ADVISERS INC,EMERALD ADVISERS INC,1703 OREGON PIKE,STE 101,LANCASTER,PA,USA,17601,717-396-1116,717-396-0088,P. O. BOX 10666,,LANCASTER,PA,USA,17605-0666,Approved,11/25/1991,4/12/2010,Y,WWW.TEAMEMERALD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,253,419,528.00",0,"1,253,419,528.00",65,0,65,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,135130,801-64204,EMERALD MUTUAL FUND ADVISERS TRUST,EMERALD MUTUAL FUND ADVISERS TRUST,1703 OREGON PIKE,,LANCASTER,PA,USA,17601,717-396-1116,717-399-3140,P.O. BOX 10666,,LANCASTER,PA,USA,17605-0666,Approved,4/28/2005,4/12/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),TRUST,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"366,287,468.00",0,"366,287,468.00",4,0,4,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,139061,801-65994,"EMERALD FIXED INCOME ADVISERS, LLC","EMERALD FIXED INCOME ADVISERS, LLC",1703 OREGON PIKE,,LANCASTER,PA,UNITED STATES,17601,717-396-1116,717-399-3140,P.O. BOX 10666,,LANCASTER,PA,UNITED STATES,17605-0666,Approved,2/1/2006,4/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,51-75 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"267,711,739.00",0,"267,711,739.00",10,0,10,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,150202,801-70504,EMERALD SEPARATE ACCOUNT MANAGEMENT LLC,EMERALD SEPARATE ACCOUNT MANAGEMENT LLC,1703 OREGON PIKE,,LANCASTER,PA,UNITED STATES,17601,717-396-1116,717-399-3140,,,,,,,Approved,8/27/2009,4/12/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,335,837.00",0,"1,335,837.00",1,0,1,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,139237,801-66794,"WERBA & DAVIS ADVISORY SERVICES, LLC","WERBA & DAVIS ADVISORY SERVICES, LLC",3055 OLIN AVENUE,SUITE 2000,SAN JOSE,CA,USA,95128,408-260-3109,408-423-0209,,,,,,,Approved,6/2/2006,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"29,144,458.00","29,144,458.00",0,50,50,Y,Y,N,Y,N,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,137496,801-66807,NIGHTINGALE FINANCIAL ADVISORY,"NIGHTINGALE, JERRY","2600 EL CAMINO REAL, SUITE 220",,PALO ALTO,CA,USA,94306,650-843-0760,650-843-0761,,,,,,,Approved,6/8/2006,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"23,700,000.00","1,400,000.00","25,100,000.00",120,20,140,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,132337,801-63417,SEIDMAN PRIVATE ADVISORS LLC,"SEIDMAN PRIVATE ADVISORS, LLC",520 KIRKLAND WAY,SUITE #300,KIRKLAND,WA,UNITED STATES,98033,800-785-9340,425-602-9291,P.O. BOX 699,,KIRKLAND,WA,UNITED STATES,98083-0699,Approved,10/6/2004,3/29/2010,Y,WWW.SEIDMANPA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"83,000,000.00","83,000,000.00",0,125,125,Y,N,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,113044,801-60818,"COMMON SENSE INVESTMENT MANAGEMENT, LLC","COMMON SENSE INVESTMENT MANAGEMENT, LLC","15350 SW SEQUOIA PARKWAY, SUITE 250",,PORTLAND,OR,UNITED STATES,97224,503-639-6551,503-639-4243,,,,,,,Approved,1/11/2002,3/29/2010,Y,HTTP://WWW.CSIMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,225,569,109.00",0,"4,225,569,109.00",15,0,15,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,144837,801-68238,"ADVISORS FINANCIAL, INC.","ADVISORS FINANCIAL, INC.",510 N. WASHINGTON STREET,SUITE 300,FALLS CHURCH,VA,UNITED STATES,22046,703-883-0300,703-536-4742,,,,,,,Approved,8/3/2007,3/29/2010,Y,WWW.ADVISORSFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,SHARING IN WRAP FEE ARRANGEMENTS,Y,"49,750,500.00",0,"49,750,500.00",193,0,193,Y,Y,N,Y,N,N,N,N,N,Y,FURNISH ADVICE ON MATTERS NOT INVOLVING SECURITIES,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108932,801-55831,ASSET MANAGEMENT SERVICES LLP,ASSET MANAGEMENT SERVICES LLP,2205 CAHABA VALLEY DRIVE,SUITE 100,BIRMINGHAM,AL,UNITED STATES,35242,205-408-9596,205-980-9575,2205 CAHABA VALLEY DRIVE,,BIRMINGHAM,AL,UNITED STATES,35242,Approved,9/8/1998,3/29/2010,Y,WWW.ASSETMANAGEMENT-ONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,AL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"46,928,696.00",0,"46,928,696.00",380,0,380,Y,Y,N,Y,Y,N,N,N,N,Y,CONSULTING,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,145853,801-68616,"CLARK INVESTMENT STRATEGIES, INC.","CLARK INVESTMENT STRATEGIES, INC.",2100 ROSS AVENUE,SUITE 2200,DALLAS,TX,UNITED STATES,75201,214-871-8717,214-720-6050,,,,,,,Approved,1/2/2008,3/29/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,5-Jan,0,10-Jan,0,0 percent,0 percent,11-25 percent,0 percent,More than 75 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,114165,801-60892,"KRG CAPITAL PARTNERS, L.L.C.","KRG CAPITAL PARTNERS, LLC","1515 ARAPAHOE STREET, TOWER ONE",SUITE 1500,DENVER,CO,UNITED STATES,80202,303-390-5001,303-390-5015,,,,,,,Approved,2/19/2002,3/29/2010,Y,WWW.KRGCAPITAL.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE EQUITY FUNDS.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105927,801-48564,"RESNICK INVESTMENT ADVISORS, LLC","RESNICK INVESTMENT ADVISORS, LLC",518 RIVERSIDE AVE,,WESTPORT,CT,UNITED STATES,6880,203-226-8262,203-227-1320,,,,,,,Approved,1/17/1995,3/29/2010,Y,WWW.RESNICKINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"556,805,652.00",0,"556,805,652.00",847,0,847,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,143178,801-67831,LOVETT INVESTMENT CONSULTING LLC,LOVETT INVESTMENT CONSULTING LLC,,,,,,,202-595-1232,202-595-1233,,,,,,,Approved,4/27/2007,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"16,653,204.00","84,168,177.00","100,821,381.00",6,9,15,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,116408,801-61526,"ASTOR ASSET MANAGEMENT, LLC","ASTOR ASSET MANAGEMENT, L.L.C.",111 SOUTH WACKER DRIVE,SUITE 3910,CHICAGO,IL,UNITED STATES,60606,312-373-6280,312-373-6281,,,,,,,Approved,10/11/2002,3/29/2010,Y,WWW.ASTORLLC.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,Nov-50,0,More than 500,"2,000",26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,INVESTMENT ADVISORS AND/OR BROKER/DEALERS,Y,N,N,Y,N,N,Y,PLACEMENT FEE,Y,"450,000,000.00",0,"450,000,000.00","2,000",0,"2,000",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,112914,801-58228,ERESEARCH,INDEPENDENT EQUITY RESEARCH CORP.,130 ADELAIDE ST. WEST SUITE 2215,,"TORONTO, ON",,CANADA,M5H 3P5,416-643-7643,416-867-8010,,,,,,,Approved,1/11/2001,2/22/2005,Y,WWW.ERESEARCH.CA,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,"4,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,N,Y,Y,N,N,Y,IERC ACCEPTS FEES FOR RESEARCH COVERAGE FROM COMPANIES IT COVERS,N,0,0,0,0,0,0,N,N,N,N,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,111863,801-60361,KRG CAPITAL PARTNERS,"KRG CAPITAL MANAGEMENT, L.P.","1515 ARAPAHOE STREET TOWER 1, SUITE 1500",,DENVER,CO,UNITED STATES,80202,303-390-5001,303-390-5015,,,,,,,Approved,7/17/2001,3/29/2010,Y,WWW.KRGCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,606,385,027.00",0,"2,606,385,027.00",10,0,10,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108245,801-57864,"FINANCIAL ALTERNATIVES, INC.","FINANCIAL ALTERNATIVES, INC.","FINANCIAL ALTERNATIVES, INC.","7734 HERSCHEL AVENUE, SUITE L",LA JOLLA,CA,USA,92037,858-459-8289,858-459-8258,,,,,,,Approved,8/25/2000,3/29/2010,Y,WWW.FINANCIALALTERNATIVES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"73,368,112.00",0,"73,368,112.00",327,0,327,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111871,801-58200,BLACKSTONE REAL ESTATE ADVISORS INTERNATIONAL L.L.C,BLACKSTONE REAL ESTATE ADVISORS INTERNATIONAL L.L.C,345 PARK AVENUE,,NEW YORK,NY,USA,10154,212-583-5000,212-583-5258,,,,,,,Approved,1/8/2001,3/29/2010,Y,WWW.BLACKSTONE.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"226,899,000.00",0,"226,899,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105703,801-30656,CLBI INVESTMENTS INC,CLBI INVESTMENTS INC,100 PRINGLE AVE STE 760,,WALNUT CREEK,CA,USA,94596-7339,925-947-0261,925-947-0577,,,,,,,Approved,10/29/1987,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,868,931.00",0,"34,868,931.00",51,0,51,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,121299,801-61557,"CHRISTOFFERSON, ROBB & COMPANY","CHRISTOFFERSON, ROBB & COMPANY, LLC",720 FIFTH AVENUE,14TH FLOOR,NEW YORK,NY,USA,10019,212-489-4350,212-489-4355,,,,,,,Approved,10/29/2002,3/29/2010,Y,WWW.CHRISTOFFERSONROBB.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,FUND OF FUNDS,Y,N,N,N,N,Y,N,,Y,"1,431,680,449.00",0,"1,431,680,449.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135952,801-64538,BLACKSTONE REAL ESTATE ADVISORS EUROPE L.P.,BLACKSTONE REAL ESTATE ADVISORS EUROPE L.P.,345 PARK AVENUE,,NEW YORK,NY,USA,10154,212-583-5000,212-583-5687,,,,,,,Approved,7/27/2005,3/29/2010,Y,WWW.BLACKSTONE.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,51-250,0,10-Jun,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,422,026,000.00",0,"5,422,026,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,16360,801-62735,"NEEDHAM & COMPANY, LLC","NEEDHAM & COMPANY, LLC",445 PARK AVENUE,,NEW YORK,NY,U.S.A.,10022-2602,212-371-8300,212-705-0283,,,,,,,Approved,2/12/2004,3/29/2010,Y,WWW.NEEDHAMCO.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,Y,Y,N,N,N,Y,SECURITIES RESEARCH,,,Y,N,Y,N,N,N,N,N,N,,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,145441,801-68645,GLG INC.,GLG INC.,390 PARK AVENUE,20TH FLOOR,NEW YORK,NY,UNITED STATES,10022-4608,212-224-7200,212-224-7210,,,,,,,Approved,1/17/2008,3/29/2010,Y,WWW.GLGPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,INVESTMENT ADVISER,Y,N,N,N,N,Y,Y,FEES PAID BY GLG PARTNERS LP,Y,"2,686,452,464.00",0,"2,686,452,464.00",13,0,13,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT MANAGEMENT AND RELATED SERVICES TO GLG PARTNERS LP,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,N,Y,N,N,N,N,Y,N,N,N
CHRO,108249,801-60944,"CSSC INVESTMENT ADVISORY SERVICES, INC.","CSSC INVESTMENT ADVISORY SERVICES, INC.",755 WEST BIG BEAVER ROAD,SUITE 2000,TROY,MI,UNITED STATES,48084-4904,248-244-7980,248-244-0955,,,,,,,Approved,2/21/2002,3/29/2010,Y,WWW.CSSCIAS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"1,000",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,0,"443,728,964.00","443,728,964.00",0,"1,923","1,923",Y,Y,N,Y,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,131655,801-63191,"MERIDIAN INVESTMENT COUNSEL, INC.","MERIDIAN INVESTMENT COUNSEL, INC.",,,,,,,510-903-1330,510-903-1333,,,,,,,Approved,6/28/2004,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"139,223,139.00","2,580,217.00","141,803,356.00",228,2,230,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,140577,801-69428,"WAMA ACTUARIAL & CONSULTING, LLC","WAMA ACTUARIAL & CONSULTING, LLC",,,,,,,860-306-9205,860-430-9525,,,,,,,Approved,7/21/2008,3/29/2010,Y,WWW.WAMALLC.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,Y,Y,N,N,N,,N,0,0,0,0,0,0,Y,Y,N,N,Y,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138777,801-65529,NOVATERA CAPITAL PTE. LTD.,NOVATERA CAPITAL PTE. LTD.,11 STAMFORD ROAD #04-10,CAPITOL BUILDING,SINGAPORE,,SINGAPORE,178884,+65 6227 0860,+65 6227 3320,,,,,,,Approved,1/23/2005,3/29/2010,Y,HTTP://WWW.NOVATERA.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SINGAPORE,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,11-25 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"68,100,000.00",0,"68,100,000.00",2,0,2,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,150214,801-70201,SQUADRON CAPITAL ADVISORS LIMITED,SQUADRON CAPITAL ADVISORS LIMITED,4601 CHEUNG KONG CENTER,2 QUEEN'S ROAD CENTRAL,CENTRAL,,HONG KONG,,+852 28262000,+852 22970880,,,,,,,Approved,6/4/2009,3/29/2010,Y,HTTP://WWW.SQUADRONCAPITAL.COM/,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,LIMITED PARTNERSHIPS,N,N,N,N,N,N,Y,COST-PLUS AGREEMENT,Y,"1,186,773,000.00",0,"1,186,773,000.00",3,0,3,Y,N,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108068,801-56953,LAFFER INVESTMENTS INC,LAFFER INVESTMENTS INC,2909 POSTON AVENUE,2ND FLOOR,NASHVILLE,TN,UNITED STATES,37203,615-320-3989,615-320-3806,,,,,,,Approved,11/10/1999,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,"FOUNDATIONS,ENDOWMENTS",Y,N,N,Y,N,Y,N,,Y,"329,900,000.00",0,"329,900,000.00",411,0,411,N,Y,Y,Y,N,N,N,N,N,Y,MODELS,,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147253,801-69216,QUADRANT PARTNERS,QUADRANT CAPITAL GROUP LLC,4536 AIRPORT ROAD,,CINCINNATI,OH,UNITED STATES,45226,513-871-5500,513-871-0328,,,,,,,Approved,5/28/2008,3/29/2010,Y,WWW.QP-LLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"109,000,000.00",0,"109,000,000.00",3,0,3,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,136081,801-64441,DWM INVESTMENT GROUP,DWM INVESTMENT GROUP,58 BOSTON STREET,,GUILFORD,CT,UNITED STATES,6437,203-458-5220,203-453-5855,,,,,,,Approved,7/22/2005,3/29/2010,Y,WWW.DWINVEST.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Partnership,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,986,483.00",0,"2,986,483.00",3,0,3,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105814,801-26160,WALLER FINANCIAL PLANNING GROUP INC,WALLER FINANCIAL PLANNING GROUP INC,941 CHATHAM LANE,SUITE 212,COLUMBUS,OH,UNITED STATES,43221,614-457-7026,614-457-0911,,,,,,,Approved,12/31/1985,3/29/2010,Y,WWW.WALLER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"215,128,849.00",0,"215,128,849.00",359,0,359,Y,Y,N,Y,Y,Y,Y,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138838,801-65167,PARA ADVISORS LLC,PARA ADVISORS LLC,520 MADISON AVE,18TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-355-6688,212-888-5679,,,,,,,Approved,1/13/2006,3/29/2010,Y,WWW.PARAPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"338,676,156.00",0,"338,676,156.00",6,0,6,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,140867,801-69674,XAVIER CAPITAL MANAGEMENT,"XAVIER CAPITAL MANAGEMENT, LLC",9701 APOLLO DRIVE,SUITE 461,LARGO,MD,UNITED STATES,20774,301-322-8888,301-322-8199,,,,,,,Approved,10/23/2008,3/29/2010,Y,WWW.XAVIERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,11-25 percent,26-50 percent,11-25 percent,MANAGER OF MANAGERS,Y,N,N,N,N,N,N,,Y,"85,663,794.00",0,"85,663,794.00",7,0,7,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,126742,801-62022,"VERITY WEALTH ADVISORS, LLC","VERITY WEALTH ADVISORS, LLC",1505 BRIDGEWAY,SUITE 208,SAUSALITO,CA,UNITED STATES,94965,415-561-3340,415-887-9302,,,,,,,Approved,5/1/2003,7/30/2010,Y,WWW.VERITYWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"107,012,000.00",0,"107,012,000.00",36,0,36,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,106347,801-46248,WOOD ASSET MANAGEMENT INC,WOOD ASSET MANAGEMENT INC,TWO NORTH TAMIAMI TRAIL,STE 508,SARASOTA,FL,UNITED STATES,34236,941-361-2195,941-906-9494,,,,,,,Approved,4/13/1994,7/30/2010,Y,WWW.WOODASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,10-Jun,0,0,0,10-Jun,0,More than 500,500,51-75 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,WELFARE PLANS,Y,N,N,N,N,N,N,,Y,"684,102,864.00",0,"684,102,864.00",735,0,735,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107678,801-28591,WULF BATES & MURPHY INC,WULF BATES & MURPHY INC,13537 BARRETT PARKWAY DR,SUITE 345,ST. LOUIS,MO,UNITED STATES,63021,(314) 909-0600,(314) 909-0606,,,,,,,Approved,12/22/1986,7/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,11-25 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,Y,Y,N,,Y,"2,000,000.00","33,000,000.00","35,000,000.00",10,10,20,N,Y,N,Y,N,N,N,N,Y,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,154495,801-71712,"BLACK DIAMOND CAPITAL MANAGEMENT, L.L.C.","BLACK DIAMOND CAPITAL MANAGEMENT, L.L.C.","ONE SOUND SHORE DRIVE, SUITE 200",,GREENWICH,CT,UNITED STATES,6830,203-552-0888,203-552-1012,,,,,,,Approved,8/10/2010,7/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,COLLATERALIZED LOAN OBLIGATION VEHICLES,Y,N,N,N,N,Y,N,,Y,"5,488,000,000.00",0,"5,488,000,000.00",11,0,11,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,129838,801-64537,DAC ASSET MANAGEMENT LLC,DAC ASSET MANAGEMENT LLC,225 NORTHERN AVENUE UNIT 912,,BOSTON,MA,UNITED STATES,2210,857-350-4498,,,,,,,,Approved,7/29/2005,7/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"10,663.00","80,331,475.00","80,342,138.00",1,5,6,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,153594,801-71344,KRANE FINANCIAL SOLUTIONS,"KRANE FINANCIAL SOLUTIONS, LLC",5023 NORTH PARKWAY,,CALABASAS,CA,UNITED STATES,91302,310-989-0934,888-556-8537,11400 W. OLYMPIC BLVD.,STE. 200,LOS ANGELES,CA,UNITED STATES,90064,Approved,4/15/2010,7/30/2010,Y,WWW.KRANEFINANCIALSOLUTIONS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,Y,Y,N,N,N,,Y,"45,112,838.00","25,464,375.00","70,577,213.00",150,156,306,Y,Y,N,Y,Y,Y,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,127844,801-62264,"DAVIDSON FIXED INCOME MANAGEMENT, INC.","DAVIDSON FIXED INCOME MANAGEMENT, INC.","1600 BROADWAY, SUITE 1100",,DENVER,CO,UNITED STATES,80202,800-617-2501,303-893-5803,,,,,,,Approved,9/8/2003,7/30/2010,Y,WWW.DAVIDSONFIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,10-Jun,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,11-25 percent,More than 75 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"2,181,400,900.00","2,558,004,398.00","4,739,405,298.00",28,45,73,N,N,Y,Y,N,N,N,N,N,Y,ADMINISTRATOR AND ADVISOR TO TWO LGIPS; INVESTMENT CONSULTING SERVICES; AND STRUCTURED INVESTMENT PLACEMENT SERVICES.,,,N,N,N,Y,N,N,N,N,Y,MAY ACT AS AGENT IN PLACING STRUCTURED INVESTMENTS,N,,Y,Y,N,Y,N,Y,N,N,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,147740,801-69412,KINGSTOWN CAPITAL,KINGSTOWN CAPITAL MANAGEMENT L.P.,11 EAST 44TH STREET,7TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-319-1309,,,,,,,,Approved,8/5/2008,7/30/2010,Y,WWW.KINGSTOWNCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"290,000,000.00",0,"290,000,000.00",3,0,3,N,N,Y,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108497,801-57966,"MISSOURI VALLEY PARTNERS, INC.","MISSOURI VALLEY PARTNERS, INC.",135 NORTH MERAMEC,SUITE 500,ST. LOUIS,MO,UNITED STATES,63105-3900,314-889-1041,314-889-1070,,,,,,,Approved,9/28/2000,7/30/2010,Y,WWW.MISSOURIVALLEYPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"805,000,000.00",0,"805,000,000.00",277,0,277,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,Y,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,148718,801-70566,"ALPHAMETRIX ALTERNATIVE INVESTMENT ADVISORS, LLC","ALPHAMETRIX ALTERNATIVE INVESTMENT ADVISORS, LLC",181 WEST MADISON STREET,34TH FLOOR,CHICAGO,IL,UNITED STATES,60602,312-267-8400,312-267-8484,,,,,,,Approved,9/3/2009,7/30/2010,Y,WWW.ALPHAMETRIX.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"6,043,142.00",0,"6,043,142.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,151372,801-70533,"ALPHAMETRIX, LLC","ALPHAMETRIX, LLC",181 WEST MADISON STREET,34TH FLOOR,CHICAGO,IL,UNITED STATES,60602,312-267-8400,312-267-8484,,,,,,,Approved,8/24/2009,7/30/2010,Y,WWW.ALPHAMETRIX.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"371,928,353.00",0,"371,928,353.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,Y,N,N,N,N,,N,,Y,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,125009,801-61802,RL BROWN FINANCIAL,"BROWN, RICHARD LAMAR",801 E. CAMPBELL ROAD,SUITE 425,RICHARDSON,TX,UNITED STATES,75081,972-783-7523,972-783-7582,,,,,,,Approved,2/27/2003,7/30/2010,Y,WWW.RLBROWNFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"35,971,057.00",0,"35,971,057.00",149,0,149,N,Y,N,Y,N,N,N,N,N,N,,,,Y,Y,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,17079,801-64897,COMERICA SECURITIES,"COMERICA SECURITIES,INC.",201 W. FORT STREET,,DETROIT,MI,UNITED STATES,48226,313-222-7402,313-964-3427,,,,,,,Approved,12/6/2005,7/30/2010,Y,WWW.COMERICA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,251-500,0,51-250,0,51-250,0,5-Jan,0,More than 500,"1,000",51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"228,953,000.00","228,953,000.00",0,"1,006","1,006",Y,Y,N,Y,Y,N,N,N,N,N,,25-Nov,,Y,N,Y,N,N,N,Y,N,N,,Y,Y,Y,Y,N,Y,N,Y,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
DRO,114825,801-69390,"ADELMANN FINANCIAL, INC.","ASSET MANAGEMENT AND TIMING SERVICE, INC.",5540 N. ACADEMY BLVD.,SUITE 250,COLORADO SPRINGS,CO,UNITED STATES,80918,719-599-7374,719-599-7158,,,,,,,Approved,7/17/2008,7/30/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"20,395,156.00","4,276,551.00","24,671,707.00",90,16,106,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,137975,801-66321,"HONUA INVESTMENT MANAGEMENT, INC.","HONUA INVESTMENT MANAGEMENT, INC.",1601 KAPIOLANI BOULEVARD,SUITE 910,HONOLULU,HI,USA,96814,808-949-9988,808-949-9909,,,,,,,Approved,6/22/2006,6/15/2006,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,HI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,PRIVATE FUND,Y,N,N,N,N,N,N,,Y,"31,023,000.00",0,"31,023,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,"PORTFOLIO MANAGEMENT, PRIVATE FUND",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,154461,801-61716,"SNW ASSET MANAGEMENT, LLC","SEATTLE-NORTHWEST ASSET MANAGEMENT, LLC",1420 5TH AVENUE,SUITE 4300,SEATTLE,WA,UNITED STATES,98101,206-628-2882,206-628-2863,,,,,,,Approved,1/28/2003,7/30/2010,Y,WWW.SNWAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,NGO'S,Y,N,N,Y,N,N,N,,Y,"1,151,190,495.00",0,"1,151,190,495.00",438,0,438,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT ADVICE THROUGH CONSULTATIONS NOT INCLUDED ABOVE,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108696,801-56739,THOMAS WEISEL CAPITAL MANAGEMENT LLC,THOMAS WEISEL CAPITAL MANAGEMENT LLC,ONE MONTGOMERY STREET,SUITE 3700,SAN FRANCISCO,CA,UNITED STATES,94104,415-364-2500,415-364-2694,,,,,,,Approved,6/10/1999,7/30/2010,Y,HTTP://WWW.TWEISEL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,PRIVATELY PLACED INVESTMENT LIMITED PARTNERSHIPS,Y,N,N,N,N,Y,N,,Y,"523,420,000.00",0,"523,420,000.00",9,0,9,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR LIMITED PARTNERSHIPS,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110453,801-55012,CLARET ASSET MANAGEMENT CORP,CLARET ASSET MANAGEMENT CORP,1501 MCGILL COLLEGE AVE,STE 1530,MONTREAL QUEBEC,,CANADA,H3A 3M8,514-842-6110,514-842-6123,,,,,,,Approved,11/18/1997,7/30/2010,Y,WWW.CLARET.CA,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,"1,000",26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,CERTAIN INDIVIDUALS HOLD THEIR INVESTMENT PORTFOLIOS WITHIN HOLDING COMPANIES,Y,N,N,N,N,N,N,,Y,"581,866,705.00",0,"581,866,705.00","1,684",0,"1,684",N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,113466,801-60537,THOMAS WEISEL ASSET MANAGEMENT LLC,THOMAS WEISEL ASSET MANAGEMENT LLC,ONE MONTGOMERY STREET,SUITE 3700,SAN FRANCISCO,CA,UNITED STATES,94104,415-364-2500,415-364-2694,,,,,,,Approved,8/30/2001,7/30/2010,Y,HTTP://WWW.TWEISEL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,"72,739,279.00","72,739,279.00",0,1,1,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,PLACEMENT AGENT FOR A PRIVATE FUND,N,,N,Y,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,120446,801-61276,THOMAS WEISEL GLOBAL GROWTH PARTNERS LLC,THOMAS WEISEL GLOBAL GROWTH PARTNERS LLC,ONE MONTGOMERY STREET,SUITE 3700,SAN FRANCISCO,CA,USA,94104,415-364-2500,415-364-2694,,,,,,,Approved,6/21/2002,7/30/2010,Y,HTTP://WWW.TWEISEL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,PRIVATELY PLACED INVESTMENT LIMITED PARTNERSHIPS,Y,N,N,N,N,Y,N,,Y,"890,400,000.00",0,"890,400,000.00",10,0,10,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR LIMITED PARTNERSHIPS,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,143308,801-67620,TW ASSET MANAGEMENT LLC,TW ASSET MANAGEMENT LLC,ONE MONTGOMERY STREET,SUITE 3700,SAN FRANCISCO,CA,USA,94104,415-364-2500,415-364-2694,,,,,,,Approved,3/23/2007,7/30/2010,Y,WWW.TWEISEL.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,0 percent,51-75 percent,0 percent,11-25 percent,*  TAXABLE MULTI-FAMILY OFFICE,Y,N,N,N,N,N,N,,Y,"81,321,808.00",0,"81,321,808.00",9,0,9,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,145471,801-68513,"FIDUCIARY PARTNERS INVESTMENT CONSULTING, LLC","FIDUCIARY PARTNERS INVESTMENT CONSULTING, LLC",2729 S.R. 580,SUITE C,CLEARWATER,FL,UNITED STATES,33761,727-723-3676,727-723-3696,,,,,,,Approved,11/1/2007,7/30/2010,Y,WWW.FIDUCIARYPRG.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,Y,VALUE OF PLAN ASSETS,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
NYRO,154498,801-71742,PORTER ORLIN LLC,PORTER ORLIN LLC,666 FIFTH AVENUE 34TH FLOOR,,NEW YORK,NY,UNITED STATES,10103,+1.212.484.5000,+1.212.484.5020,,,,,,,120-Day Approval,8/9/2010,7/30/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,0,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"19,000,000.00",0,"19,000,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVICE TO POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111159,801-56446,"THE BERKOWITZ GROUP, LLC","THE BERKOWITZ GROUP, LLC",,,,,,,301-922-3334,800-517-5290,2737 SOUTH 13TH STREET,,PHILADELPHIA,PA,UNITED STATES,19148,Approved,4/26/1999,7/30/2010,Y,WWW.THEBERKOWITZGROUP.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,Y,STRATEGIC PLANNING SERVICES,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,120982,801-61342,SYMMETRY PARTNERS,"SYMMETRY PARTNERS, LLC.",628 HEBRON AVE,"BLDG 2, 5TH FLOOR",GLASTONBURY,CT,UNITED STATES,6033,860-734-2000,860-734-2030,,,,,,,Approved,7/26/2002,7/30/2010,Y,WWW.SYMMETRYPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,51-250,0,Nov-50,0,0,0,51-250,0,More than 500,"15,500",51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,Y,FEE PAID FOR SUB-ADVISOR SERVICES PROVIDED TO RIA,Y,"2,735,663,532.00",0,"2,735,663,532.00","18,335",0,"18,335",Y,Y,N,Y,Y,N,N,N,N,Y,SUB-ADVISOR,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104474,801-57937,"SANFORD C. BERNSTEIN & CO., LLC","SANFORD C. BERNSTEIN & CO., LLC",1345 AVENUE OF THE AMERICAS,,NEW YORK,NY,UNITED STATES,10105,212-969-1000,212-969-2293,,,,,,,Approved,9/28/2000,7/30/2010,Y,WWW.BERNSTEIN.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,101-250,0,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,Y,Y,Y,Y,N,,Y,"20,208,473,923.00",0,"20,208,473,923.00",138,0,138,Y,Y,Y,Y,N,N,Y,N,N,Y,"SEE SCHEDULE D, PAGE 5",101-250,,N,N,Y,N,Y,N,N,N,N,,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
DRO,153610,801-71396,FINANCIAL INSIGHT CENTER,"FIC-SALT LAKE, LLC","3115 EAST LION LANE, SUITE 100",,SALT LAKE CITY,UT,UNITED STATES,84121-3526,(801) 449-3239,(801) 944-7708,,,,,,,Approved,5/10/2010,7/30/2010,Y,FINANCIALINSIGHTCENTER.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING ON INV. AND NON SECURITIES MATTERS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,144093,801-68014,NETDAYTRADE KFT.,NETDAYTRADE INVESTMENT ADVISORS KFT.,19 MOLNAR UTCA SUITE 204,,BUDAPEST,,HUNGARY,1056,1-646-290-8166,1-646-290-6811,,,,,,,Approved,7/5/2007,4/3/2008,Y,HTTP://WWW.NETDAYTRADE.HU,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,,HUNGARY,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,N,Y,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,Y,Y,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,154474,801-71676,EDWARD VANCE INVESTMENT MANAGEMENT,"EVIM, LLC",3416 VINEVILLE AVENUE,,MACON,GA,UNITED STATES,31204,478-474-4700,,,,,,,,120-Day Approval,7/30/2010,7/30/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,121898,801-67744,21ST CENTURY WEALTH MANAGEMENT LLC,21ST CENTURY WEALTH MANAGEMENT LLC,1601 S QUEEN ST,,YORK,PA,UNITED STATES,17403,717-812-9952,717-854-0533,,,,,,,Approved,4/13/2007,8/19/2010,Y,WWW.21STCENTURYWEALTHMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,TRUSTS,Y,Y,N,Y,Y,N,N,,Y,"117,795,797.00",0,"117,795,797.00",109,0,109,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122742,801-67707,"PATRICK MAURO INVESTMENT ADVISOR, INC., INC.","PATRICK MAURO INVESTMENT ADVISOR, INC.",,,,,,,630-789-3374,,,,,,,,Approved,3/30/2007,8/19/2010,Y,WWW.MAUROINVESTOR.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"38,056,929.00",0,"38,056,929.00",110,0,110,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,105801,801-23187,AUGUSTINE ASSET MANAGEMENT INC,AUGUSTINE ASSET MANAGEMENT INC,1551 ATLANTIC BLVD,SUITE 103,JACKSONVILLE,FL,UNITED STATES,32207-3369,904-396-6944,904-396-7275,,,,,,,Approved,2/5/1985,8/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"274,479,000.00",0,"274,479,000.00",217,0,217,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109873,801-57345,"MATRIX WEALTH ADVISORS, INC.","MATRIX WEALTH ADVISORS, INC",831 EAST MOREHEAD STREET,SUITE 760,CHARLOTTE,NC,UNITED STATES,28202-2731,704-358-3322,704-358-3522,,,,,,,Approved,3/10/2000,8/19/2010,Y,WWW.MATRIXWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"155,917,299.00",0,"155,917,299.00",168,0,168,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,149725,801-69990,"RIVERFLOW WEALTH MANAGEMENT, LLC","RIVERFLOW WEALTH MANAGEMENT, LLC",,,,,,,818-224-2269,818-256-3001,,,,,,,Approved,3/17/2009,8/19/2010,Y,WWW.RIVERFLOWWEALTHMANGAGEMENT.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"20,000,000.00","6,000,000.00","26,000,000.00",86,82,168,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,144738,801-68288,NANKING ROAD CAPITAL MANAGEMENT LLC,NANKING ROAD CAPITAL MANAGEMENT LLC,,,,,,,860-278-7888,860-278-7889,,,,,,,Approved,8/20/2007,8/19/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"84,592,078.00",0,"84,592,078.00",1,0,1,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,120597,801-68849,"CAPITAL ASSET MANAGEMENT, INC.","CAPITAL ASSET MANAGEMENT, INC.","445 HUTCHINSON AVENUE, SUITE 270",,COLUMBUS,OH,UNITED STATES,43235-8615,614-515-5510,614-635-1398,,,,,,,Approved,2/12/2008,8/19/2010,Y,WWW.CAPITALASSETMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"44,499,463.00","5,520,537.00","50,020,000.00",159,3,162,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139835,801-66734,KEYLEVELS.COM; INVEST4PROFIT.COM,DCB NOMINEES PTY LTD,28 ORLANDO STREET,SUITE 5,"COFFS HARBOUR, NSW",,AUSTRALIA,2450,61266519577,61266514102,,,,,,,Approved,5/10/2006,9/12/2007,Y,WWW.INVEST4PROFIT.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,AUSTRALIA,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,"2,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,SUBSCRIPTION FEES FOR WEB SITE ACCESS,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,IMPERSONAL INVESTMENT ADVICE  VIA WEB SITE,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107825,801-30492,BALESTRA CAPITAL LTD,BALESTRA CAPITAL LTD,58 WEST 40 STREET,12TH FLOOR,NEW YORK,NY,UNITED STATES,10018,212-768-9000,212-768-1883,,,,,,,Approved,11/2/1987,8/19/2010,Y,WWW.BALESTRACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,AN AFFILIATE MAY RECEIVE PERFORMANCE-BASED ALLOCATIONS,Y,"1,201,025,504.00",0,"1,201,025,504.00",116,0,116,N,Y,N,Y,Y,Y,N,N,N,Y,PRIVATE INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152525,801-71024,GARGOYLE INVESTMENT ADVISOR L.L.C.,GARGOYLE INVESTMENT ADVISOR L.L.C.,285 GRAND AVENUE,BUILDING ONE,ENGLEWOOD,NJ,UNITED STATES,7631,201-227-2200,201-894-5884,,,,,,,Approved,2/11/2010,8/19/2010,Y,WWW.GARGOYLESTRATEGIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"167,341,881.00",0,"167,341,881.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATELY OFFERED COLLECTIVE INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,149944,801-70066,GARGOYLE OPTIONS OVERLAY SERVICES L.L.C.,GARGOYLE OPTIONS OVERLAY SERVICES L.L.C.,"285 GRAND AVENUE, BUILDING ONE",,ENGLEWOOD,NJ,UNITED STATES,7631,201-227-2200,201-894-5884,,,,,,,Approved,4/28/2009,8/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,FOUNDATIONS,Y,N,N,N,N,Y,N,,Y,"140,000,000.00",0,"140,000,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,Y,OPTION OVERLAY SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,128723,801-65160,"TORTOISE INVESTMENT MANAGEMENT, LLC","TORTOISE INVESTMENT MANAGEMENT, LLC",239 CENTRAL AVENUE,SUITE 201A,WHITE PLAINS,NY,UNITED STATES,10606,914-686-0024,914-227-9174,,,,,,,Approved,1/13/2006,8/19/2010,Y,WWW.TORTOISEINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"197,804,891.00","7,325,231.00","205,130,122.00",575,8,583,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,149849,801-71758,"7TWELVE ADVISORS, LLC","7TWELVE ADVISORS, LLC",1720 WEST END AVE #540,,NASHVILLE,TN,UNITED STATES,37203,615-341-0712,615-320-7721,,,,,,,Approved,8/20/2010,8/19/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,MODEL ONLY WITH ETF ADVISOR K AND UFC,Y,N,N,N,N,N,N,,Y,0,"1,000,000.00","1,000,000.00",0,1,1,N,N,Y,N,N,N,N,N,N,Y,MODEL ONLY CONTRACTS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,137355,801-71792,"ROARING BLUE LION CAPITAL MANAGEMENT, L.P.","ROARING BLUE LION CAPITAL MANAGEMENT, L.P.","5950 BERKSHIRE LANE, SUITE 510",,DALLAS,TX,UNITED STATES,75225-5848,214-855-2430,214-855-2431,,,,,,,Approved,8/26/2010,8/19/2010,Y,WWW.BLUELIONCAP.COM,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,26-50 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"44,650,000.00",0,"44,650,000.00",58,0,58,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153771,801-71406,LIVIAN & CO.,"LIVIAN & CO., LLC",,,,,,,917-669-7313,(212) 207-8731,,,,,,,120-Day Approval,5/4/2010,8/19/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,065,194.00","25,440,224.00","27,505,418.00",14,12,26,N,Y,N,Y,N,N,N,N,N,Y,CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111662,801-64436,COMPREHENSIVE FINANCIAL SERVICES,"KEN MARINACE & ASSOCIATES, INC",3811 WEST BURBANK BLVD.,,BURBANK,CA,UNITED STATES,91505,818-846-8092,818-845-2010,,,,,,,Approved,7/7/2005,8/19/2010,Y,WWW.CFSBURBANK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"73,000,000.00","77,000,000.00","150,000,000.00",253,487,740,Y,N,N,N,N,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,151838,801-70794,"CAPITAL DESIGN ASSOCIATES, INC.","CAPITAL DESIGN ASSOCIATES, INC.",619 HALTON ROAD,BLDG. 1A,GREENVILLE,SC,UNITED STATES,29607,864-235-1428,864-235-9975,,,,,,,Approved,11/12/2009,8/19/2010,Y,WWW.CAPITALDESIGN.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,SC,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"117,309,945.00","117,309,945.00",0,684,684,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,151568,801-70875,"VERUS CAPITAL PARTNERS, LLC","VERUS CAPITAL PARTNERS, LLC",8800 EAST RAINTREE DRIVE,SUITE 230,SCOTTSDALE,AZ,UNITED STATES,85260,480-990-3719,480-483-9742,,,,,,,Approved,12/21/2009,8/19/2010,Y,WWW.VERUSCAPITALPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"26,200,000.00",0,"26,200,000.00",96,0,96,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,153737,801-71443,TORTUGA WEALTH MANAGEMENT,"TORTUGA WEALTH MANAGEMENT, INC.",2275 TORRANCE BLVD.,SUITE 205,TORRANCE,CA,UNITED STATES,90501,310-906-0517,,,,,,,,Approved,5/21/2010,8/19/2010,Y,WWW.TORTUGAWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"7,800,000.00","17,500,000.00","25,300,000.00",70,230,300,Y,Y,N,Y,Y,Y,Y,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152904,801-71195,"FINANCIAL FOCUS, LLC","FINANCIAL FOCUS, LLC",70 SOUTH ORANGE AVENUE,SUITE 245,LIVINGSTON,NJ,UNITED STATES,7039,973-533-0666,,,,,,,,120-Day Approval,3/30/2010,8/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,0,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"133,109,072.00","133,109,072.00",0,200,200,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105793,801-31743,STERLING CAPITAL MANAGEMENT INC,STERLING CAPITAL MANAGEMENT INC,12300 OLD TESSON ROAD,SUITE 100C,ST.LOUIS,MO,UNITED STATES,63128-2228,314-843-9999,314-843-5085,,,,,,,Approved,4/1/1988,8/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"127,048,378.00","1,867,826.00","128,916,204.00",83,4,87,N,Y,N,N,N,N,N,N,N,Y,AD-HOC CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108214,801-15415,"NORTHEAST MANAGEMENT & RESEARCH CO., INC.","NORTHEAST MANAGEMENT & RESEARCH CO., INC.",100 HIGH STREET,SUITE 1000,BOSTON,MA,UNITED STATES,02110-2301,617-523-3588,617-523-5412,,,,,,,Approved,8/14/1980,8/19/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"92,406,178.00",0,"92,406,178.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,147346,801-69325,"ARCUS CAPITAL PARTNERS, LLC","ARCUS CAPITAL PARTNERS, LLC",3050 PEACHTREE ROAD,SUITE 340,ATLANTA,GA,UNITED STATES,30305,404-949-2111,404-920-3474,3050 PEACHTREE ROAD,SUITE 340,ATLANTA,GA,UNITED STATES,30305,Approved,6/19/2008,8/19/2010,Y,WWW.ARCUSCP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"554,950,000.00",0,"554,950,000.00",372,0,372,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109582,801-57294,NORTHCOAST ASSET MANAGEMENT LLC,NORTHCOAST ASSET MANAGEMENT LLC,6 GLENVILLE STREET,,GREENWICH,CT,UNITED STATES,6831,203-532-7000,203-532-7014,,,,,,,Approved,2/22/2000,8/19/2010,Y,HTTP://WWW.NORTHCOASTAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,More than 500,"1,500",0 percent,More than 75 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"540,000,000.00",0,"540,000,000.00","1,347",0,"1,347",N,Y,Y,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,109278,801-56752,"GENSPRING FAMILY OFFICES, LLC","GENSPRING FAMILY OFFICES, LLC",3801 PGA BLVD.,SUITE 555,PALM BEACH GARDENS,FL,UNITED STATES,33410,561-746-8444,561-746-0895,,,,,,,Approved,8/5/1999,8/19/2010,Y,WWW.GENSPRING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,251-500,0,51-250,0,0,0,5-Jan,0,More than 500,"5,000",Up to 10 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,Y,SERVICE FEE,Y,"10,973,892,172.00","5,833,856,532.00","16,807,748,704.00","3,892","2,057","5,949",Y,Y,Y,Y,Y,Y,N,N,N,Y,CONSOLIDATED FINANCIAL REPORTING,51-100,,N,N,N,N,Y,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,145652,801-69071,"BAIN CAPITAL VENTURE PARTNERS, LLC","BAIN CAPITAL VENTURE PARTNERS, LLC",111 HUNTINGTON AVENUE,,BOSTON,MA,UNITED STATES,2199,617-516-2318,617-516-2319,,,,,,,Approved,4/10/2008,8/19/2010,Y,WWW.BAINCAPITALVENTURES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,GENERAL PARTNER PROFITS ALLOCATION,Y,"1,353,000,000.00",0,"1,353,000,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,145653,801-69069,"BAIN CAPITAL PARTNERS, LLC","BAIN CAPITAL PARTNERS, LLC",111 HUNTINGTON AVENUE,,BOSTON,MA,UNITED STATES,2199,617-516-2318,617-516-2319,,,,,,,Approved,4/10/2008,8/19/2010,Y,HTTP://WWW.BAINCAPITALPRIVATEEQUITY.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,GENERAL PARTNER PROFITS ALLOCATION,Y,"30,992,000,000.00",0,"30,992,000,000.00",14,0,14,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107158,801-36855,GAMBLE JONES INVESTMENT COUNSEL,GAMBLE JONES INVESTMENT COUNSEL,301 E. COLORADO BOULEVARD,SUITE 802,PASADENA,CA,UNITED STATES,91101,626-795-7583,626-795-7689,,,,,,,Approved,8/16/1990,8/19/2010,Y,WWW.GAMBLEJONES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,More than 500,"1,000",11-25 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"653,581,778.00","345,082,491.00","998,664,269.00",801,423,"1,224",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,153753,801-71467,"HARBOR POINT CAPITAL MANAGEMENT, LLC","HARBOR POINT CAPITAL MANAGEMENT, LLC",300 TRADECENTER,SUITE 3400,WOBURN,MA,UNITED STATES,1801,(781) 281-0444,(781) 281-1238,,,,,,,120-Day Approval,6/15/2010,8/19/2010,Y,WWW.HARBORPCM.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,153888,801-71550,M-STAARS,"MASTER STRUCTURED ALTERNATIVE ASSET RELATED STRATEGIES, LLC",,,,,,,310-710-5577,,,,,,,,120-Day Approval,6/22/2010,8/19/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109196,801-57161,KNAPPENBERGER PARTNERS,KB GROWTH ADVISORS LLC,600 TWELVE OAKS CENTER DRIVE,SUITE 642C,WAYZATA,MN,USA,55391,952-674-2966,952-674-2961,,,,,,,Approved,1/18/2000,3/10/2005,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,26-50 percent,0 percent,51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"31,004,294.00",0,"31,004,294.00",8,0,8,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,139015,801-65833,VINYA CAPITAL LP,VINYA CAPITAL LP,1055 WASHINGTON BOULEVARD,4TH FLOOR,STAMFORD,CT,USA,6901,203-355-2800,203-355-2802,,,,,,,Approved,1/30/2006,5/20/2008,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"17,000,000.00",0,"17,000,000.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT TO HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,149722,801-70312,LIGHTHOUSE CAPITAL,"LIGHTHOUSE CAPITAL PARTNERS, LLC",1500 LAWRENCE AVENUE,,OCEAN,NJ,UNITED STATES,7712,732-643-5434,732-922-1205,,,,,,,120-Day Approval,6/30/2009,6/9/2009,Y,WWW.LIGHTHOUSE-CAP.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,147869,801-69660,"SJP CAPITAL MANAGEMENT, LLC","SJP CAPITAL MANAGEMENT, LLC",300 CRESCENT COURT,SUITE 270,DALLAS,TX,USA,75201,214-624-1004,214-624-1010,,,,,,,Approved,1/2/2009,12/9/2009,Y,WWW.SJPCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"26,000,000.00","15,000,000.00","41,000,000.00",35,13,48,N,Y,Y,Y,N,Y,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,36487,801-61692,"UNITED SECURITIES ALLIANCE, INC.","UNITED SECURITIES ALLIANCE, INC.",9800 MT. PYRAMID COURT,SUITE 400,ENGLEWOOD,CO,UNITED STATES,80112,720-384-9199,303-256-8034,,,,,,,Approved,1/31/2003,12/9/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"43,800,000.00",0,"43,800,000.00",490,0,490,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,Y,N,N,Y,N,Y,Y,N,N,,Y,N,Y,Y,N,Y,N,N,Y,N,Y,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,Y,N,N,N,N
PLRO,2907,801-57642,"NESTLERODE & LOY, INC.","NESTLERODE & CO., INC.",430 WEST IRVIN AVENUE,,STATE COLLEGE,PA,UNITED STATES,16801,814-238-6249,814-238-1399,P.O. BOX 343,,STATE COLLEGE,PA,UNITED STATES,16804-0343,Approved,4/6/2000,12/9/2009,Y,WWW.NESTLERODE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"44,953,261.00","345,868.00","45,299,129.00",268,1,269,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,Y,N,N,N,Y,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,108293,801-18789,HINSDALE ASSOCIATES,"HINSDALE ASSOCIATES, INC.",15 SPINNINGWHEEL ROAD,SUITE 226,HINSDALE,IL,USA,60521,630-325-7100,630-325-2977,,,,,,,Approved,5/4/1983,12/9/2009,Y,"WWW.HINSDALEASSOCIATES.COM,",N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"88,918,794.00",0,"88,918,794.00",284,0,284,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,140117,801-66501,"ETHAN BRADLEY ADVISORS, LLC","ETHAN BRADLEY ADVISORS, LLC",363 W. BIG BEAVER ROAD,SUITE 200,TROY,MI,USA,48084,248-689-0945,248-619-9774,,,,,,,Approved,5/15/2006,3/31/2007,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,Y,INVESTMENTS,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139565,801-67006,ACT CURRENCY PARTNER AG,ACT CURRENCY PARTNER AG,SEEFELDSTRASSE 94,ZURICH,ZURICH,,SWITZERLAND,8008,-3725,+41 43 499-0641,,,,,,,Approved,7/10/2006,7/6/2006,Y,WWW.ACT-CURRENCY.CH,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SWITZERLAND,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,26-50 percent,0 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"73,000,000.00",0,"73,000,000.00",8,0,8,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111545,801-49946,AFFILIATED PRIVATE INVESTORS LLC,AFFILIATED PRIVATE INVESTORS LLC,22 PEAPACK RD,,FAR HILLS,NJ,USA,7931,908-781-0900,908-781-0903,,,,,,,Approved,8/21/1995,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"750,000,000.00",0,"750,000,000.00",134,0,134,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110223,801-18808,INVESTMENTS TECHNOLOGY INC,INVESTMENTS TECHNOLOGY INC,,,,,,,440-356-1565,440-331-7040,,,,,,,Approved,3/29/1983,9/13/2005,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"9,828,010.00",0,"9,828,010.00",120,0,120,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,106463,801-40663,ADVANCED FINANCIAL STRATEGISTS INC,ADVANCED FINANCIAL STRATEGISTS INC,2055 NORTH BROWN ROAD,SUITE 130,LAWRENCEVILLE,GA,USA,30043,770-277-2770,770-277-0712,,,,,,,Approved,1/24/1992,3/24/2010,Y,WWW.ADVANCEDFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"93,820,956.00","3,282,812.00","97,103,768.00",564,9,573,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,147701,801-69377,"RETIREMENT ADVISORS, LLC","RETIREMENT ADVISORS, LLC",5001 SPRING VALLEY ROAD,SUITE 400E,DALLAS,TX,UNITED STATES,75244,972-383-1222,972-419-6377,,,,,,,Approved,7/31/2008,3/24/2010,Y,WWW.RETIREMENTADVISORSLLC.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"19,747,956.00","19,747,956.00",0,16,16,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109793,801-57793,"RON STENGER, L.L.C.","RON STENGER, L.L.C.",5051 S. NATIONAL AVE.,BUILDING 5-100,SPRINGFIELD,MO,USA,65810-2828,417-889-4300,417-889-0889,,,,,,,Approved,7/20/2000,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"57,985,000.00",0,"57,985,000.00",2,0,2,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,112379,801-13549,SOUND SHORE MANAGEMENT INC,SOUND SHORE MANAGEMENT INC,"8 SOUND SHORE DR., SUITE 180",,GREENWICH,CT,UNITED STATES,06830-7242,203-629-1980,203-629-3680,,,,,,,Approved,1/6/1978,3/24/2010,Y,WWW.SOUNDSHORE.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,GOLDMAN & NATIXIS WRAP PROGRAMS,Y,N,N,N,N,N,N,,Y,"6,901,047,269.00",0,"6,901,047,269.00","1,645",0,"1,645",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107740,801-17857,"40/86 ADVISORS, INC.","40/86 ADVISORS, INC.",535 N. COLLEGE DRIVE,,CARMEL,IN,UNITED STATES,46032,317-817-4086,317-817-5039,,,,,,,Approved,10/20/1982,3/24/2010,Y,HTTPS://INVEST.4086.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"21,842,604,163.00",0,"21,842,604,163.00",14,0,14,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,115945,801-69055,THIRD CREEK INVESTMENTS,"THIRD CREEK INVESTMENTS, INC.",,,,,,,775-832-9222,775 743-5418,,,,,,,Approved,4/17/2008,3/24/2010,Y,WWW.3RDCREEK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"36,400,000.00",0,"36,400,000.00",104,0,104,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106548,801-1939,BAXTER INVESTMENT MANAGEMENT,BAXTER BROTHERS INC.,1030 EAST PUTNAM AVENUE,,RIVERSIDE,CT,UNITED STATES,6878,203-637-4559,203-637-9652,P.O. BOX 2200,,GREENWICH,CT,UNITED STATES,6836,Approved,5/1/1959,3/3/2009,Y,WWW.BAXTERINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,Y,N,N,N,N,,Y,"193,231,543.00",0,"193,231,543.00",575,0,575,Y,Y,N,Y,N,N,Y,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,147642,801-69469,"JACKSON WEALTH MANAGEMENT, LLC","JACKSON WEALTH MANAGEMENT, LLC",1515 INTERNATIONAL PARKWAY,SUITE 1013,HEATHROW,FL,USA,32746,407-585-0235,407-585-0237,,,,,,,Approved,8/25/2008,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,THIRD PARTY REFERRAL FEES,Y,"193,919,760.00",0,"193,919,760.00","1,081",0,"1,081",Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,140485,801-66692,"OPPENHEIMER ALTERNATIVE INVESTMENT MANAGEMENT, LLC","OPPENHEIMER ALTERNATIVE INVESTMENT MANAGEMENT, LLC","200 PARK AVENUE, 24TH FLOOR",,NEW YORK,NY,UNITED STATES,10166,212-667-4000,212-667-4959,,,,,,,Approved,6/6/2006,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"259,275,185.00",0,"259,275,185.00",9,0,9,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,Y,Y,N,N,N,Y,N,N,N,N
ARO,147762,801-69434,YOURWEALTH ASSET MANAGEMENT,"YOURWEALTH MANAGEMENT, LLC",200 SANDY SPRINGS PLACE,SUITE 300,ATLANTA,GA,UNITED STATES,30328,404-531-0018,404-531-0010,,,,,,,Approved,7/21/2008,3/24/2010,Y,YOURWEALTH.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"5,880,800.00",0,"5,880,800.00",40,0,40,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145979,801-68734,"DBLAINE CAPITAL, LLC","DBLAINE CAPITAL, LLC",,,,,,,763-684-1555,612-605-0405,,,,,,,Approved,1/22/2008,3/24/2010,Y,WWW.DBLAINE.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,442,116.00",0,"1,442,116.00",5,0,5,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,140210,801-66710,"RF&L WEALTH MANAGEMENT, LLC","RF&L WEALTH MANAGEMENT, LLC",137 SOUTH STREET,SUITE 6,BOSTON,MA,USA,2111,617.426.4900,617.423.3018,,,,,,,Approved,5/17/2006,3/24/2010,Y,WWW.RFLWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"72,835,245.00","10,603,905.00","83,439,150.00",203,22,225,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,131825,801-69664,"GREENROCK RESEARCH, INC.","GREENROCK RESEARCH, INC.",223 W. JACKSON BLVD,SUITE 850,CHICAGO,IL,UNITED STATES,60606-5912,312.463.1301,866.523.7205,,,,,,,Approved,10/21/2008,3/24/2010,Y,WWW.GREENROCKRESEARCH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"155,149,519.00",0,"155,149,519.00",767,0,767,N,Y,N,Y,Y,Y,Y,N,N,Y,PROVISION OF INVESTMENT ADVICE AND RESEARCH THROUGH ADVISOR CONSULTATIONS,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,112497,801-24795,CHILTON CAPITAL MANAGEMENT ADVISORS INC.,CHILTON CAPITAL MANAGEMENT ADVISORS INC.,1177 WEST LOOP SOUTH,SUITE 1310,HOUSTON,TX,UNITED STATES,77027,(713) 650-1995,(713) 650-1739,,,,,,,Approved,7/29/1985,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"278,000,000.00","11,000,000.00","289,000,000.00",252,14,266,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107231,801-17274,CENTURY FUNDS MANAGEMENT INC,CENTURY FUNDS MANAGEMENT INC,,,,,,,801 294-9559,,,,,,,,Approved,6/10/1982,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"42,132,423.00","874,398.00","43,006,821.00",15,2,17,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123351,801-69709,VANTAGE FINANCIAL PARTNERS LIMITED,VANTAGE FINANCIAL PARTNERS LIMITED,NINE NORTH VAIL AVENUE,,ARLINGTON HEIGHTS,IL,UNITED STATES,60005-1430,847-590-9191,847-590-9009,,,,,,,Approved,11/18/2008,3/24/2010,Y,WWW.VANTAGEFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"157,462,000.00","3,982,000.00","161,444,000.00",547,128,675,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,139365,801-66143,"CLC MANAGEMENT, LLC","CLC MANAGEMENT, LLC",440 S. LASALLE STREET,SUITE 2101,CHICAGO,IL,USA,60605,312-362-3496,312-362-3410,,,,,,,Approved,2/1/2006,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"48,000,000.00",0,"48,000,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,INVESTMENT MANAGER TO POOLED INVESTMENT VEHICLES.,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,146965,801-70353,"WEALTH RESCUE STRATEGIES, INC.","WEALTH RESCUE STRATEGIES, INC.",7848 IVANHOE AVENUE,,LA JOLLA,CA,UNITED STATES,92037,858-456-4848,858-454-1255,PO BOX 9102,,LA JOLLA,CA,UNITED STATES,92038,Approved,7/31/2009,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"31,018,563.00","31,018,563.00",0,45,45,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,134526,801-67229,"CHAMPION CAPITAL RESEARCH, INC.","CHAMPION CAPITAL RESEARCH, INC.",6750 WEST LOOP SOUTH,SUITE 230,BELLAIRE,TX,UNITED STATES,77401,713-974-8883,713-974-8887,,,,,,,Approved,10/5/2006,3/24/2010,Y,WWW.CHAMPIONCR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,More than 500,"1,500",11-25 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"122,989,383.00","456,171,212.00","579,160,595.00",257,"1,071","1,328",N,Y,N,Y,Y,Y,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108533,801-57230,ERISA PLAN SERVICES INC,ERISA PLAN SERVICES INC,,,,,,,864-375-0473,864-375-0473,PO BOX 1285,,ANDERSON,SC,UNITED STATES,29622,Approved,2/1/2000,3/24/2010,Y,WWW.ERISAPLANSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"30,994,755.00","364,502.00","31,359,257.00",172,3,175,N,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,141056,801-70904,THE MUTUAL FUND STORE,"TMFS-PITTSBURGH I, LLC",20510 ROUTE 19,SUITE 106,CRANBERRY TOWNSHIP,PA,USA,16066,724-779-7795,724-779-2258,,,,,,,Approved,1/15/2010,3/24/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"37,221,237.00",0,"37,221,237.00",490,0,490,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,134406,801-64047,LKL INVESTMENT COUNSEL LLC,LKL INVESTMENT COUNSEL LLC,2415 EAST CAMELBACK ROAD,SUITE 510,PHOENIX,AZ,USA,85016,602-381-6985,602-381-6989,,,,,,,Approved,4/8/2005,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,PARTNERSHIPS/LLCS,Y,N,N,N,N,N,N,,Y,"109,285,000.00",0,"109,285,000.00",178,0,178,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
CHRO,113740,801-62938,"BARRINGTON ASSET MANAGEMENT, INC.","BARRINGTON ASSET MANAGEMENT, INC.","161 NORTH CLARK ST., SUITE 2950",,CHICAGO,IL,UNITED STATES,60601,312-634-6363,312-634-6350,,,,,,,Approved,3/30/2004,3/24/2010,Y,WWW.BARRINGTONASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"47,600,526.00",0,"47,600,526.00",93,0,93,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,125949,801-65971,ALBEMARLE ASSET MANAGEMENT LTD,ALBEMARLE ASSET MANAGEMENT LTD,,,,,,,434-296-0525,434-296-0675,,,,,,,Approved,2/1/2006,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"34,280,275.00","58,855,674.00","93,135,949.00",13,1,14,N,Y,N,N,N,N,N,N,N,Y,ESTATE PLANNING CONSULTATION,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,131111,801-63006,"VEF ADVISORS, LLC","VEF ADVISORS, LLC",TOWER PLACE 100 SUITE 1660,3340 PEACHTREE ROAD N.E.,ATLANTA,GA,USA,30326,678-538-1900,678-538-1901,,,,,,,Approved,4/9/2004,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,PERCENTAGE OF DEAL VALUE,Y,"1,758,996,089.00","73,000,000.00","1,831,996,089.00",4,1,5,N,N,N,N,N,N,N,N,N,Y,INVESTMENT SUPERVISORY SERVICES FOR A SERIES OF CLOSED-END FUNDS WHICH MAKE DIRECT INVESTMENTS IN REAL ESTATE,,,N,N,N,N,N,N,N,N,Y,REAL ESTATE INVESTMENT VEHICLES,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,129807,801-67582,"TEAM WEALTH PLANNING AND MANAGEMENT, INC.","TEAM WEALTH PLANNING AND MANAGEMENT, INC.",,,,,,,919-942-8145,1-866-617-1732,,,,,,,Approved,2/23/2007,3/24/2010,Y,WWW.TEAMWEALTHINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"40,000,000.00",0,"40,000,000.00",154,0,154,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,126826,801-62160,"SB CAPITAL MANAGEMENT, INC.","SB CAPITAL MANAGEMENT, INC.","6345 BALBOA BLVD.,BUILDING 4",SUITE 375,ENCINO,CA,UNITED STATES,91316,818-774-1000 X 181,818-774-1700,,,,,,,Approved,6/24/2003,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,Y,ADVISORY REFERRAL FEES,Y,"317,338,483.00","158,611.00","317,497,094.00",477,3,480,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104771,801-20351,ROMAN BUTLER FULLERTON & CO,ROMAN BUTLER FULLERTON & CO,11500 OLIVE BLVD.,SUITE 106,ST LOUIS,MO,UNITED STATES,63141,314-997-1652,314-997-0123,,,,,,,Approved,3/1/1984,4/21/2010,Y,WWW.RBFADVISORS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"81,854,957.00","16,419,275.00","98,274,232.00",186,33,219,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106276,801-46986,ASSET ONE LLC,ASSET ONE LLC,2851 S PARKER RD,STE 900,AURORA,CO,USA,80014-2730,303-751-8859,303-751-9515,,,,,,,Approved,8/2/1994,4/21/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,10-Jun,0,More than 500,500,51-75 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"302,181,204.00",0,"302,181,204.00","1,223",0,"1,223",Y,Y,N,Y,N,N,N,N,Y,N,,25-Nov,,N,Y,N,N,N,N,N,N,Y,FINANCIAL PLANNING,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109712,801-60040,COMMONWEALTH CAPITAL MANAGEMENT LLC,COMMONWEALTH CAPITAL MANAGEMENT LLC,8730 STONY POINT PARKWAY,"BUILDING III, SUITE 205",RICHMOND,VA,UNITED STATES,23235,804-267-7400,804-330-5830,,,,,,,Approved,3/6/2001,4/22/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"62,491,282.00",0,"62,491,282.00",3,0,3,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,133465,801-70855,"ADVOCATE WEALTH MANAGEMENT, LLC","ADVOCATE WEALTH MANAGEMENT, LLC",528 NORTH FIFTH AVENUE,,SEQUIM,WA,UNITED STATES,98382,360-683-7654,360-683-2772,,,,,,,Approved,11/27/2009,4/21/2010,Y,WWW.ADVOCATEWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,Y,SELECTION OF OTHER ADVISORS,Y,"30,500,000.00","1,500,000.00","32,000,000.00",240,1,241,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,116344,801-60666,"LEWIS FINANCIAL MANAGEMENT, LLC","LEWIS FINANCIAL MANAGEMENT, LLC",4904 PROFESSIONAL COURT,SUITE 101,RALEIGH,NC,UNITED STATES,27609,919-872-7000,919-872-7004,,,,,,,Approved,10/5/2001,4/21/2010,Y,WWW.LFMADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"129,079,316.00","129,079,316.00",0,90,90,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109550,801-55718,"HIGHMARK CAPITAL MANAGEMENT, INC.","HIGHMARK CAPITAL MANAGEMENT, INC.","350 CALIFORNIA STREET, SUITE 1600",,SAN FRANCISCO,CA,UNITED STATES,94104,415-705-7600,415-705-7694,,,,,,,Approved,8/7/1998,4/21/2010,Y,WWW.HIGHMARKCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,51-250,0,51-250,0,Nov-50,0,5-Jan,0,More than 500,"4,000",More than 75 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"14,788,338,905.00","2,028,056,588.00","16,816,395,493.00","3,124",583,"3,707",N,Y,Y,Y,N,Y,N,N,N,Y,"PORTFOLIO MANAGEMENT FOR TRUSTS, ESTATES, CHARITABLE ORGS, MUNICIPALITIES, PENSIONS & PROFIT SHARING PLANS. RESEARCH SERVICES.",,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,Y,N,N,N,N
SFRO,111768,801-55922,"BLUME CAPITAL MANAGEMENT, INC.","BLUME CAPITAL MANAGEMENT, INC.",1708 SHATTUCK AVE.,,BERKELEY,CA,UNITED STATES,94709,510-549-3534,510-644-3410,,,,,,,Approved,10/1/1998,4/21/2010,Y,WWW.BLUMECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"169,970,741.00","27,277,239.00","197,247,980.00",497,8,505,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,146153,801-71135,"ACTINVER WEALTH MANAGEMENT, INC.","ACTINVER WEALTH MANAGEMENT, INC.",5075 WESTHEIMER,SUITE 650,HOUSTON,TX,USA,77056,713-885-9843,713-885-9849,,,,,,,Approved,2/23/2010,4/21/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"45,216,769.00","45,216,769.00",0,23,23,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114361,801-65818,CERTIFIED FINANCIAL STRATEGIES CORPORATION,CERTIFIED FINANCIAL STRATEGIES CORPORATION,5485 BELTLINE ROAD,SUITE 100,DALLAS,TX,USA,75254,972-702-8121,469-726-3822,,,,,,,Approved,2/1/2006,4/21/2010,Y,WWW.CFSCORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"30,000,000.00","30,000,000.00",0,57,57,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104614,801-26390,INTERVEST LTD,INTERVEST LTD,2 WISCONSIN CIRCLE,SUITE 500,CHEVY CHASE,MD,UNITED STATES,20815-7040,301-951-4455,301-652-2516,,,,,,,Approved,2/10/1986,4/21/2010,Y,HTTP://WWW.INTERVESTLTD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"46,864,372.00","18,717,814.00","65,582,186.00",118,289,407,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111130,801-56750,"PAYPAL ASSET MANAGEMENT, INC.","PAYPAL ASSET MANAGEMENT, INC.",2211 N. FIRST STREET,,SAN JOSE,CA,USA,95131,408-967-7500,408-967-9911,,,,,,,Approved,8/5/1999,4/21/2010,Y,WWW.PAYPAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"514,513,182.00",0,"514,513,182.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,153700,801-71394,"HILLSBORO ADVISORS, LLC","HILLSBORO ADVISORS, LLC",40 BURTON HILLS PLACE,SUITE 350,NASHVILLE,TN,UNITED STATES,37215,615-252-6211,615-782-4111,,,,,,,Approved,5/12/2010,4/22/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,PROVIDES COMPUTER MODELING TO OTHER INVESTMENT ADVISORY FIRMS,N,N,N,N,N,N,Y,PERCENT OF ASSETS UNDER MANAGEMENT BY OTHER ADVISORY FIRMS,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,PROVIDE COMPUTER MODELING TO OTHER INVESTMENT ADVISORY FIRMS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,109368,801-56201,"COMMUNITY CAPITAL MANAGEMENT, INC.","COMMUNITY CAPITAL MANAGEMENT, INC.",2500 WESTON ROAD,SUITE 101,WESTON,FL,UNITED STATES,33331,877-272-1977,954-385-9299,,,,,,,Approved,2/3/1999,4/22/2010,Y,WWW.CCMFIXEDINCOME.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,Nov-50,0,25-Nov,0,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,51-75 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,120,405,225.00",0,"1,120,405,225.00",19,0,19,N,Y,Y,Y,N,N,N,N,N,Y,NON-INVESTMENT RELATED ADVICE AND EDUCATION REGARDING THE COMMUNITY REINVESTMENT ACT OF 1977.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,136558,801-64615,401K FIDUCIARY SERVICES,"401K FIDUCIARY SERVICES, INC.",21202 WHITEBARK,,MISSION VIEJO,CA,USA,92692,949-951-2886,949-770-2596,,,,,,,Approved,8/15/2005,8/12/2005,Y,WWW.401KFIDUCIARYSERVICES.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,142923,801-67574,INTERNATIONAL STOCK REPORT LTD.,INTERNATIONAL STOCK REPORT LTD.,"3705 BANK OF AMERICA TOWER, 12 HARCOURT RD CENTRAL",SUITE 725,HONG KONG,,HONG KONG,,852-8198-0062,852-2115-9818,,,,,,,Approved,2/16/2007,8/12/2008,Y,WWW.INTERNATIONALSTOCKREPORT.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),LTD,,HONG KONG,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,Y,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108786,801-64242,NORTHWEST ADVISORY INC,NORTHWEST ADVISORY INC,1173-E LYONS ROAD,,DAYTON,OH,UNITED STATES,45458,937-439-7220,937-439-7223,,,,,,,Approved,4/7/2005,4/28/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,229,267.00",0,"34,229,267.00",23,0,23,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,113527,801-61039,LESTER GEORGE JACKSON,LESTER GEORGE JACKSON,444 N. NORTHWEST HWY.,SUITE 195,PARK RIDGE,IL,USA,60068,847-825-7770,847-825-1248,,,,,,,Approved,3/29/2002,4/28/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"34,003,144.00","26,580,832.00","60,583,976.00",95,71,166,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,Y,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153252,801-71354,"WANZENBERG PARTNERS, LLC","WANZENBERG PARTNERS, LLC",550 WEST ADAMS STREET,SUITE 200,CHICAGO,IL,UNITED STATES,60661,312-669-1472,312-930-0118,,,,,,,120-Day Approval,5/5/2010,4/28/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,0,0,0,0,0,N,Y,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,17507,801-32117,"FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC.","FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC.",100 SALEM STREET,MAIL ZONE O2N,SMITHFIELD,RI,UNITED STATES,2917,617-563-7000,603-579-7120,,,,,,,Approved,5/20/1988,4/28/2010,Y,WWW.FIDELITY.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,MA,UNITED STATES,501-1000,0,0,0,501-1000,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,CURRENLLY PROVIDE SERVICES ACTING SOLELY IN CAPACITY AS A REGISTERED BROKER-DEALER,,,N,N,Y,N,N,N,N,N,N,,Y,N,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
NYRO,11039,801-39162,SUMMIT EQUITIES INC,"SUMMIT EQUITIES, INC.",4 CAMPUS DR,,PARSIPPANY,NJ,UNITED STATES,07054-0413,973-285-3670,973-285-3690,,,,,,,Approved,6/26/1991,4/28/2010,Y,WWW.SUMMITEQUITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,"5,000",Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,CONCESSIONS AND SERVICE FEES,Y,"974,920,927.00","652,403,206.00","1,627,324,133.00","2,824","2,184","5,008",Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,Y,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,Y,N,N,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135864,801-64838,STEWARDSHIP INVESTMENT ADVISORS LLC,STEWARDSHIP INVESTMENT ADVISORS LLC,500 WEST PUTNAM AVENUE,SUITE 400,GREENWICH,CT,UNITED STATES,6830,203-302-3390,203-302-3375,,,,,,,Approved,11/29/2005,4/28/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,2,0,2,1,0,1,N,N,N,N,N,N,N,N,N,Y,HEDGE FUND,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,144344,801-68048,"FRONTIER WEALTH MANAGEMENT, LLC","FRONTIER WEALTH MANAGEMENT, LLC",4435 MAIN STREET,STE 1100,KANSAS CITY,MO,UNITED STATES,64111,816-753-5100,816-753-5101,,,,,,,Approved,7/6/2007,4/28/2010,Y,WWW.FWMKC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"168,367,724.00","9,454,775.00","177,822,499.00","1,069",329,"1,398",Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108436,801-66713,"BOUVEL INVESTMENT PARTNERS, LLC","BOUVEL INVESTMENT PARTNERS, LLC",1220 VALLEY FORGE ROAD,SUITE 43,PHOENIXVILLE,PA,UNITED STATES,19460,610-933-3300,610-933-9190,,,,,,,Approved,4/26/2006,4/28/2010,Y,WWW.BOUVEL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"48,510,382.00","1,705,324.00","50,215,706.00",203,11,214,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,123543,801-61643,ANCHOR CAPITAL,"ANCHOR CAPITAL MANAGEMENT GROUP, INC.",16140 SAND CANYON AVE,SUITE 101,IRVINE,CA,UNITED STATES,92618,949-341-0000,949-341-0001,,,,,,,Approved,11/29/2002,4/28/2010,Y,HTTP://WWW.ANCHOR-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,Nov-50,0,101-250,0,11-25 percent,11-25 percent,0 percent,51-75 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"127,520,599.00","175,000,000.00","302,520,599.00",169,4,173,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,153233,801-71200,"WAYNESBORO ADVISORS, LLC","WAYNESBORO ADVISORS, LLC",,,,,,,610-648-0840,610-648-0840,,,,,,,Approved,3/19/2010,4/28/2010,Y,WWW.WAYNESBOROADVISORS.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104990,801-18223,SUMMIT FINANCIAL RESOURCES INC,SUMMIT FINANCIAL RESOURCES INC,4 CAMPUS DR,,PARSIPPANY,NJ,UNITED STATES,07054-0413,973-285-3600,973-285-3644,,,,,,,Approved,1/10/1983,4/28/2010,Y,SFR1.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,NJ,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107915,801-55766,"MORGILLO FINANCIAL MANAGEMENT, INC.",MORGILLO FINANCIAL MANAGEMENT INC,855 TURNPIKE STREET,,NORTH ANDOVER,MA,UNITED STATES,1845,978-975-3000,978-975-3323,,,,,,,Approved,8/7/1998,4/28/2010,Y,WWW.MORGILLOFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"73,657,124.00","1,909,899.00","75,567,023.00",657,20,677,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,128950,801-62591,"CT PREFERRED INVESTORS MANAGEMENT, LLC","CT PREFERRED INVESTORS MANAGEMENT, LLC",5237 HHR RANCH ROAD,SUITE A,WILSON,WY,UNITED STATES,83014,307-733-8229,307-733-8234,PO BOX 4741,,JACKSON,WY,UNITED STATES,83001,Approved,1/12/2004,4/28/2010,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"58,000,000.00",0,"58,000,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107755,801-39858,FINANCIAL DECISIONS INC,FINANCIAL DECISIONS INC,780 THIRD AVENUE,19TH FLOOR,NEW YORK,NY,USA,10017,212-920-3470,212-920-3488,,,,,,,Approved,10/2/1991,4/28/2010,Y,WWW.FINDEC.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"167,698,170.00","24,030.00","167,722,200.00",462,3,465,Y,Y,N,Y,Y,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108053,801-55879,SUMMIT FAMILY WEALTH COUNSELING INC,SUMMIT FAMILY WEALTH COUNSELING INC,4 CAMPUS DRIVE,,PARSIPPANY,NJ,UNITED STATES,7054,973-285-3600,973-285-3644,,,,,,,Approved,9/14/1998,4/28/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,NJ,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108055,801-56920,SUMMIT INVESTMENTS MANAGEMENT LLC,SUMMIT INVESTMENTS MANAGEMENT LLC,4 CAMPUS DRIVE,,PARSIPPANY,NJ,UNITED STATES,7054,973-285-3600,973-285-3644,,,,,,,Approved,10/20/1999,4/28/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,INVESTMENT SUPERVISORY SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110839,801-49023,MURPHY INVESTMENT ADVISORS INC,MURPHY INVESTMENT ADVISORS INC,140 S. LAKE AVE #227,,PASADENA,CA,UNITED STATES,91101,626-449-7714,626-449-8039,,,,,,,Approved,4/24/1995,4/28/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"51,878,000.00",0,"51,878,000.00",84,0,84,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111622,801-15669,JOEL R. MOGY INVESTMENT COUNSEL INC.,JOEL R. MOGY INVESTMENT COUNSEL INC.,"315 SOUTH BEVERLY DRIVE, SUITE 400",,BEVERLY HILLS,CA,USA,90212-4301,310.552.0529,310.552.0109,,,,,,,Approved,10/1/1980,4/28/2010,Y,WWW.MOGY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"602,240,892.00","80,335,075.00","682,575,967.00",115,8,123,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,112147,801-67252,"LYNN H. ORR CAPITAL MANAGEMENT GROUP, INC.","LYNN H. ORR CAPITAL MANAGEMENT GROUP, INC.",317 N. COLLIER BOULEVARD,SUITE 203,MARCO ISLAND,FL,USA,34145,239-642-5823,239-642-9411,,,,,,,Approved,10/23/2006,4/28/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"27,133,700.00",0,"27,133,700.00",94,0,94,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,146551,801-68985,SCHOONER INVESTMENT GROUP LLC,SCHOONER INVESTMENT GROUP LLC,RADNOR FINANCIAL CENTER,"150 RADNOR-CHESTER RD, STE F-200",RADNOR,PA,UNITED STATES,19087,610-977-2090,888-828-8920,,,,,,,Approved,3/24/2008,4/28/2010,Y,WWW.SCHOONERFUNDS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,PRIVATE INVESTEMENT VEHICLES,Y,N,N,N,N,N,N,,Y,"39,000,000.00",0,"39,000,000.00",3,0,3,N,N,Y,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR UNREGISTERED COLLECTIVE INVESTMENT PRODUCTS.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,115920,801-71101,"FIRST NATIONAL CAPITAL MARKETS, INC.","FIRST NATIONAL CAPITAL MARKETS, INC.",1620 DODGE STREET,STOP 1104,OMAHA,NE,UNITED STATES,68197,402-602-7480,402-938-5337,,,,,,,Approved,2/22/2010,8/9/2010,Y,WWW.FNIB.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,NE,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,0,0,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,41527,801-66730,"VERITY INVESTMENTS, INC.","VERITY INVESTMENTS, INC.",280 S. MANGUM STREET,SUITE 550,DURHAM,NC,UNITED STATES,27701,919-490-6717,919-489-8939,,,,,,,Approved,5/26/2006,8/9/2010,Y,WWW.VERITYINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"2,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"190,508,519.00","169,024.00","190,677,543.00","3,201",2,"3,203",Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,N,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,N,N,Y,N,Y,Y,Y,N,Y,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,148695,801-69702,BACERA ASSETS MANAGEMENT,BACERA ASSETS MANAGEMENT,618 W. MAIL ST.,STE C,ALHAMBRA,CA,UNITED STATES,91801,626-289-6117,626-289-6400,,,,,,,Approved,10/30/2008,8/9/2010,Y,WWW.BACERAASSETMANGEMENT.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,N,0,0,0,0,0,0,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,154756,801-71756,"SILICON VALLEY RETIREMENT SERVICES, LLC","SILICON VALLEY RETIREMENT SERVICES, LLC",560 S. WINCHESTER BLVD.,SUITE 500,SAN JOSE,CA,UNITED STATES,95128,408-572-5572,408-629-0358,,,,,,,120-Day Approval,8/12/2010,8/9/2010,Y,WWW.SVRETIREMENTSERVICES.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,11-25 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"20,000,000.00","20,000,000.00",0,4,4,N,Y,N,N,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,109490,801-57263,WEATHERSTONE CAPITAL MANAGEMENT,WEATHERSTONE CAPITAL MANAGEMENT,11152 HURON STREET,SUITE 105,NORTHGLENN,CO,UNITED STATES,80234,303-452-4374,303-452-4377,,,,,,,Approved,3/14/2000,8/9/2010,Y,WWW.WCMPRIVATECLIENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,Nov-50,0,5-Jan,0,0,0,10-Jun,0,More than 500,"3,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,Y,"WORKSHOP FEES, SUB-ADVISORY FEES",Y,"425,094,316.00","1,114,459.00","426,208,775.00","2,952",71,"3,023",Y,Y,N,Y,N,Y,N,N,N,Y,SUB-ADVISORY SERVICES,51-100,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,128515,801-68623,"AER ADVISORS, INC.","AER ADVISORS, INC.",155 LAFAYETTE ROAD,SUITE 5,NORTH HAMPTON,NH,UNITED STATES,3862,603-964-5865,603-964-4498,P.O. BOX 670,,NORTH HAMPTON,NH,UNITED STATES,3862,Approved,1/2/2008,8/9/2010,Y,WWW.AERADVISORS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,Y,N,N,Y,N,,Y,"8,053,000.00",0,"8,053,000.00",2,0,2,N,Y,Y,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108433,801-57299,EXETER ADVISORS INC,EXETER ADVISORS INC,290 WOODCLIFF DRIVE,,FAIRPORT,NY,UNITED STATES,14450,585-325-6880,585-325-2408,,,,,,,Approved,2/22/2000,8/9/2010,Y,WWW.MANNING-NAPIER.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"19,306,200.00",0,"19,306,200.00",50,0,50,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,2543,801-67275,"WUNDERLICH SECURITIES, INC.","WUNDERLICH SECURITIES, INC.",6000 POPLAR AVENUE,SUITE 150,MEMPHIS,TN,UNITED STATES,38119,901-251-1330,901-251-1352,,,,,,,Approved,2/5/2007,8/9/2010,Y,WWW.WUNDERLICHSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,251-500,0,51-250,0,251-500,0,5-Jan,0,More than 500,"2,500",51-75 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"285,788,728.00","183,541,624.00","469,330,352.00","1,136","1,140","2,276",Y,Y,N,N,N,Y,N,N,N,N,,26-50,,Y,N,Y,N,N,N,Y,N,N,,N,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,Y,N,Y,N,N,N,N,N,Y
FWRO,44971,801-55675,HERNDON PLANT OAKLEY LTD,HERNDON PLANT OAKLEY LTD,800 N. SHORELINE BLVD,SUITE 2200 SOUTH,CORPUS CHRISTI,TX,USA,78401,361-888-7611,361-888-9342,,,,,,,Approved,7/10/1998,8/9/2010,Y,WWW.HPO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,500,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"515,407,000.00",0,"515,407,000.00",529,0,529,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,Y,Y,Y,N,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,146036,801-70559,"MAIN STREET INVESTMENT ADVISORS, LLC","MAIN STREET INVESTMENT ADVISORS, LLC",707 SKOKIE BLVD,SUITE 600,NORTHBROOK,IL,UNITED STATES,60062,847-480-7055,847-480-7099,707 SKOKIE BLVD,SUITE 600,NORTHBROOK,IL,UNITED STATES,60062,Approved,9/3/2009,8/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"40,000,000.00",0,"40,000,000.00",25,0,25,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,147304,801-69217,VISIONARY ASSET MANAGEMENT,"VISIONARY ASSET MANAGEMENT, INC.",2500 WILCREST DRIVE,SUITE 640,HOUSTON,TX,UNITED STATES,77042,866-940-4932,713-333-2705,,,,,,,Approved,5/27/2008,8/9/2010,Y,WWW.VISIONARYASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,0,0,5-Jan,0,5-Jan,0,0,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"141,285,149.00",0,"141,285,149.00","1,054",0,"1,054",N,Y,N,N,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,7717,801-62667,"INDEPENDENT FINANCIAL GROUP, LLC","INDEPENDENT FINANCIAL GROUP, LLC",12636 HIGH BLUFF DR #100,,SAN DIEGO,CA,UNITED STATES,92130,858-436-3180,858-481-9033,,,,,,,Approved,1/30/2004,8/9/2010,Y,WWW.IFGSD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,251-500,0,251-500,0,251-500,0,0,0,More than 500,"1,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"66,892,577.00","976,799,797.00","1,043,692,374.00",668,"3,615","4,283",Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,Y,N,Y,Y,N,N,Y,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
CHRO,110642,801-63047,"HORIZON INVESTMENT SERVICES, LLC.","HORIZON INVESTMENT SERVICES, LLC.",7412 CALUMET AVE,,HAMMOND,IN,UNITED STATES,46324-2692,219-852-3215,219-852-3218,,,,,,,Approved,4/8/2004,8/9/2010,Y,WWW.HORIZONINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,SPONSORS OF INVESTMENT PRODUCTS AND INDICES,Y,N,N,Y,N,N,N,,Y,"146,625,226.00",0,"146,625,226.00",479,0,479,N,Y,N,Y,Y,N,N,N,N,Y,CREATE PRODUCTS FOR SPONSORS OF UIT PRODUCTS AND VARIOUS INDICES,,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,154279,801-71606,401K GENERATION,401K GENERATION,2100 LAKE EUSTIS DRIVE,,TAVARES,FL,UNITED STATES,32778,352-742-2400,352-742-2607,,,,,,,Approved,6/25/2010,8/9/2010,Y,WWW.401KGENERATION.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,144857,801-68258,"ALPHASOURCE INVESTMENT COUNSEL, INC","ALPHASOURCE INVESTMENT COUNSEL, INC",2500 WILCREST DRIVE,SUITE 640,HOUSTON,TX,UNITED STATES,77042,866-940-4932,713-333-2705,,,,,,,Approved,9/4/2007,8/9/2010,Y,WWW.ALPHASOURCEPORTFOLIO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,0,0,5-Jan,0,5-Jan,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"155,934,515.00",0,"155,934,515.00","1,311",0,"1,311",N,Y,N,N,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111912,801-60125,"FAF ADVISORS, INC.","FAF ADVISORS, INC.",800 NICOLLET MALL,MAIL STOP BC-MN-H04N,MINNEAPOLIS,MN,UNITED STATES,55402,612-303-4772,612-303-4767,,,,,,,Approved,4/13/2001,8/9/2010,Y,HTTP://WWW.FAFADVISORS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,251-500,0,51-250,0,51-250,0,5-Jan,0,251-500,0,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,26-50 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,Y,ADMINISTRATION FEES,Y,"96,298,394,825.00",0,"96,298,394,825.00",418,0,418,N,Y,Y,Y,N,Y,N,N,N,Y,MODEL PORTFOLIO ADVICE,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N
FWRO,150081,801-70175,TAILWIND ADVISORS,"TAILWIND ADVISORS, LLC",1000 FOCH ST,SUITE 150,FORT WORTH,TX,UNITED STATES,76107,817-708-3663,817-732-4424,,,,,,,Approved,5/12/2009,8/9/2010,Y,WWW.TAILWINDADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"330,306,564.00","330,306,564.00",0,158,158,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,146911,801-71262,"VW ADVISORS, LLC","VW ADVISORS, LLC",3408 WOODLAND AVE,SUITE 402,WEST DES MOINES,IA,UNITED STATES,50266,515 223-6068,515-223-6181,,,,,,,Approved,4/7/2010,8/9/2010,Y,VANDERWEIDEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"24,560,000.00","3,133,230.00","27,693,230.00",192,3,195,Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105135,801-15852,"DAWSON CAPITAL MANAGEMENT, INC.","DAWSON CAPITAL MANAGEMENT, INC.",354 PEQUOT AVENUE,,SOUTHPORT,CT,UNITED STATES,06890-1345,203-254-0091,203-255-2558,,,,,,,Approved,3/20/1981,8/9/2010,Y,WWW.DAWSONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"442,676,406.00",0,"442,676,406.00",32,0,32,N,Y,N,Y,N,N,N,N,N,Y,PRIVATE HEDGE FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,113608,801-60374,AXA INVESTMENT MANAGERS INC,AXA INVESTMENT MANAGERS INC,ONE FAWCETT PLACE,,GREENWICH,CT,UNITED STATES,6830,203-863-8900,203-861-8901,,,,,,,Approved,6/25/2001,3/12/2010,Y,WWW.AXA-IM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,51-75 percent,0 percent,11-25 percent,SUBFUNDS OF OFFSHORE MUTUAL FUNDS,Y,N,N,N,N,N,N,,Y,"36,231,459,930.00",0,"36,231,459,930.00",56,0,56,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLAES AND SUBFUNDS TO OFFSHORE MUTUAL FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,117212,801-67279,"HAYDEN & ROSS FINANCIAL ADVISORS, P.A.","HAYDEN & ROSS FINANCIAL ADVISORS, P.A.",315 S. ALMON,,MOSCOW,ID,UNITED STATES,83843,208-882-5547,208-882-3724,,,,,,,Approved,11/30/2006,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,ID,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"44,384,166.00",0,"44,384,166.00",285,0,285,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104570,801-28840,"CARDEROCK CAPITAL MANAGEMENT, INC.","CARDEROCK CAPITAL MANAGEMENT, INC.","2 WISCONSIN CIRCLE, SUITE 510",,CHEVY CHASE,MD,UNITED STATES,20815-7020,(301)951-5288,(301)951-0411,,,,,,,Approved,2/20/1987,3/12/2010,Y,WWW.CARDEROCKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"254,676,049.00","362,367.00","255,038,416.00",339,1,340,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,142056,801-67273,"INVESTMENT SECURITY GROUP, LLC","INVESTMENT SECURITY GROUP, LLC",575 LYNNHAVEN PARKWAY,SUITE 160,VIRGINIA BEACH,VA,UNITED STATES,23452,757-226-8175,757-226-9339,,,,,,,Approved,11/17/2006,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,CHURCH ENDOWMENT / BUILDING FUNDS,Y,Y,N,Y,Y,N,N,,Y,"40,000,000.00",0,"40,000,000.00",255,0,255,Y,Y,N,Y,Y,N,Y,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,122213,801-68137,"GREER CAPITAL ADVISORS, LLC","GREER CAPITAL ADVISORS, LLC",2200 WOODCREST PLACE,SUITE 309,BIRMINGHAM,AL,UNITED STATES,35209,205-445-0800,205-445-1013,,,,,,,Approved,7/16/2007,3/12/2010,Y,WWW.GREERCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,FEE-BASED CONSULTING,Y,"74,601,168.00",0,"74,601,168.00",4,0,4,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,38357,801-57242,LARSONALLEN FINANCIAL,"LARSONALLEN FINANCIAL, LLC","220 SOUTH 6TH STREET, STE 300",,MINNEAPOLIS,MN,UNITED STATES,55402-4505,612-376-4777,612-376-4690,,,,,,,Approved,2/23/2000,3/12/2010,Y,WWW.LARSONALLEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"1,000",Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"725,836,938.00","610,120,912.00","1,335,957,850.00","1,636",637,"2,273",Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,N,Y,Y,N,N,N,Y,N,Y,MERGER & ACQUISITION,Y,N,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
FWRO,114581,801-69491,STRANBERG CAPITAL LLC,STRANBERG CAPITAL LLC,6300 RIDGLEA PLACE SUITE 309,,FORT WORTH,TX,USA,76116,817-738-8555,817-738-6388,,,,,,,Approved,8/22/2008,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"30,700,000.00",0,"30,700,000.00",50,0,50,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,151486,801-70601,FIDUCIARYPLANREVIEW,"FIDUCIARYPLANREVIEW.COM, LLC","2300 M STREET N.W.,",SUITE 800,WASHINGTON,DC,UNITED STATES,20037,866-318-4015,866-319-4015,,,,,,,Approved,10/16/2009,3/12/2010,Y,WWW.FIDUCIARYPLANREVIEW.COM,N,N,N,N,N,N,Y,N,N,N,Y,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,PENSION PLAN FIDUCIARIES AND SERVICE PROVIDERS,N,N,Y,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,Y,WRITTEN REPORTS ON PENSION FIDUCIARY AND NON-FIDUCIARY MATTERS,,,N,N,N,N,N,N,N,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,116933,801-60717,SAGE FINANCIAL ADVISORS INC.,SAGE FINANCIAL ADVISORS INC.,14238 N. NORTHSIGHT BLVD.,,SCOTTSDALE,AZ,USA,85260,480-305-8060,480-305-8061,,,,,,,Approved,11/16/2001,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"88,982,317.00",0,"88,982,317.00",254,0,254,Y,Y,N,Y,N,N,N,N,N,Y,TAX PLANNING AND COMPLIANCE,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106116,801-42406,MONETA INVESTMENT CONSULTING INC,MONETA INVESTMENT CONSULTING INC,,,,,,,214-363-0025,,1900 PRESTON ROAD,SUITE 267-304,PLANO,TX,UNITED STATES,75093,Approved,9/29/1992,3/12/2010,Y,WWW.MONETA-INVESTMENTS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,131006,801-63716,"STEVEN WELCH, CPA",JAMES STEVEN WELCH,"313 NW ""A"" STREET",,GRANTS PASS,OR,USA,97527,541-474-6616,541-955-1681,,,,,,,Approved,4/6/2005,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"57,675,000.00","325,000.00","58,000,000.00",473,1,474,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,110876,801-48755,PW ADVISERS INC,PW ADVISERS INC,"15 RICHARD ARRINGTON JR., BLVD NORTH",,BIRMINGHAM,AL,USA,35203-4103,205-252-3681,205-252-8803,,,,,,,Approved,5/12/2005,3/12/2010,Y,HTTP:\\WWW.PWCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"131,602,140.00",0,"131,602,140.00",86,0,86,Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,Y,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,119232,801-60987,INTECH,INTECH INVESTMENT MANAGEMENT LLC,525 OKEECHOBEE BOULEVARD,SUITE 1800,WEST PALM BEACH,FL,UNITED STATES,33401,(561)775-1100,(561)775-6489,,,,,,,Approved,2/28/2002,3/12/2010,Y,WWW.INTECHJANUS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,5-Jan,0,251-500,0,0 percent,0 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"46,586,465,985.00","1,375,150,341.00","47,961,616,326.00",356,2,358,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
DRO,135117,801-67832,RED ROCKS CAPITAL LLC,RED ROCKS CAPITAL LLC,25188 GENESEE TRAIL ROAD,SUITE 250,GOLDEN,CO,UNITED STATES,80401,303-679-8252,303-679-8251,,,,,,,Approved,6/18/2007,3/12/2010,Y,WWW.REDROCKSCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"403,967,300.00",0,"403,967,300.00",3,0,3,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112536,801-57822,AZURE CAPITAL PARTNERS LP,AZURE CAPITAL PARTNERS LP,650 CALIFORNIA ST. 11TH FL.,,SAN FRANCISCO,CA,UNITED STATES,94108,415-276-5500,415-276-5590,,,,,,,Approved,7/31/2000,3/12/2010,Y,AZURECAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"315,864,026.00",0,"315,864,026.00",6,0,6,N,N,N,N,N,N,N,N,N,Y,VENTURE FUND SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114352,801-66816,CAPITAL IDEAS,"CAPITAL IDEAS, INC.",5950 BERKSHIRE LANE #1060,,DALLAS,TX,UNITED STATES,75225,214-750-4400,214-691-9822,8409 PICKWICK #242,,DALLAS,TX,UNITED STATES,75225,Approved,5/25/2006,3/12/2010,Y,CAPITALIDEASADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"82,000,000.00",0,"82,000,000.00",89,0,89,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,129927,801-62644,"ARCHAMBO FINANCIAL ADVISORS, INC.","ARCHAMBO FINANCIAL ADVISORS, INC.",310 SOUTH OSAGE,,BARTLESVILLE,OK,USA,74003,918-336-2222,918-336-2214,,,,,,,Approved,1/2/2004,3/12/2010,Y,WWW.ARCHAMBOFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"60,271,924.00","3,418,916.00","63,690,840.00",222,101,323,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106976,801-16412,SEGER ELVEKROG INC,SEGER ELVEKROG INC,39555 ORCHARD HILL PLACE,STE 139,NOVI,MI,UNITED STATES,48375,248-380-1700,248-380-1701,,,,,,,Approved,9/14/1981,3/12/2010,Y,SEGER-ELVEKROG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"155,190,517.00","37,648,900.00","192,839,417.00",216,3,219,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,121264,801-66327,CARLSON FINANCIAL ADVISORS,"CARLSON, WILLIAM NORMAN",1766 TERRACE DRIVE,SUITE B,BELMONT,CA,USA,94002-1575,650-508-2020,650-508-2022,,,,,,,Approved,3/9/2006,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"28,727,221.00",0,"28,727,221.00",265,0,265,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,Y,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,108939,801-54762,PENECO INVESTMENTS LLC,PENECO INVESTMENTS LLC,5231 S QUEBEC STREET,SUITE 150,GREENWOOD VILLAGE,CO,UNITED STATES,80111,303-793-3840,303-793-3845,,,,,,,Approved,8/1/1997,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"28,540,980.00",0,"28,540,980.00",40,0,40,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,120783,801-66261,"BRANZAN INVESTMENT ADVISORS, INC.","BRANZAN INVESTMENT ADVISORS, INC.",475 SEVENTEENTH STREET SUITE 570,,DENVER,CO,UNITED STATES,80202,303-292-9224,303-292-9226,,,,,,,Approved,4/21/2006,3/12/2010,Y,WWW.BRANZANADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"64,398,000.00","9,878,300.00","74,276,300.00",2,5,7,N,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR LIMITED LIABILITY LIMITED PARTNERSHIPS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,123270,801-61601,"D'ARCY, JEFFREY","D'ARCY, JEFFREY",30 CHAINEY AVENUE,,MIAMI,,AUSTRALIA,4220,6.17419E+11,+6175526 1658,P.O. BOX 180,,MIAMI,,AUSTRALIA,4220,Approved,11/29/2002,11/8/2002,N,,Y,N,N,Y,N,N,N,N,N,N,,N,N,Sole Proprietorship,,,AUSTRALIA,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,N,Y,N,N,,Y,"15,000,000.00","3,000,000.00","18,000,000.00",48,5,53,Y,N,N,N,N,N,N,N,N,N,,51-100,,N,N,Y,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122357,801-68449,"CAPSTONE WEALTH ADVISORS,INC.","CAPSTONE WEALTH ADVISORS,INC.",5875 CASTLE CREEK PARKWAY SUITE 185,,INDIANPOLIS,IN,USA,46250,317-577-8233,317-577-8234,,,,,,,Approved,10/16/2007,3/26/2010,Y,CAPSTONEWA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,FIXED FEES FOR FINANCIAL PLANNING SERVICES,Y,"30,000,000.00",0,"30,000,000.00",136,0,136,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,136678,801-64612,"BAIRD CAPITAL PARTNERS MANAGEMENT COMPANY IV, LLC","BAIRD CAPITAL PARTNERS MANAGEMENT COMPANY IV, LLC",777 E. WISCONSIN AVENUE,,MILWAUKEE,WI,UNITED STATES,53202,414-765-3500,414-298-7800,,,,,,,Approved,8/24/2005,3/26/2010,Y,WWW.RWBAIRD.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"210,701,984.00",0,"210,701,984.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,ADVICE TO LIMITED PARTNERSHIPS FORMED TO INVEST IN CHANGE OF CONTROL BUYOUTS AND LATE-STAGE GROWTH INVESTMENTS.,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,108351,801-26372,CFG WEALTH MANAGEMENT SERVICES INC,CFG WEALTH MANAGEMENT SERVICES INC,9795 CROSSPOINT BLVD.,SUITE 177,INDIANAPOLIS,IN,UNITED STATES,46256,317-841-7959,317-579-2440,,,,,,,Approved,1/31/1986,3/26/2010,Y,WWW.CFGWMS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"64,000,000.00","3,000,000.00","67,000,000.00",326,2,328,Y,Y,N,Y,Y,Y,Y,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,133116,801-63671,"BAIRD ASIA PARTNERS MANAGEMENT COMPANY I, L.L.C.","BAIRD ASIA PARTNERS MANAGEMENT COMPANY I, L.L.C.",777 E. WISCONSIN AVENUE,,MILWAUKEE,WI,USA,53202,414-765-3500,414-298-7800,,,,,,,Approved,1/3/2005,3/26/2010,Y,WWW.RWBAIRD.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"19,761,739.00",0,"19,761,739.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,ADVICE TO LIMITED PARTNERSHIPS FORMED TO INVEST IN PRIVATE COMPANIES IN GROWTH EQUITY AND CHANGE OF CONTROL TRANSACTIONS.,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,113441,801-68013,"SUSTAINABLE ASSET MANAGEMENT USA, INC.","SUSTAINABLE ASSET MANAGEMENT USA, INC.",909 THIRD AVENUE,32ND FLOOR,NEW YORK,NY,USA,10022,212-908-9500,212-908-0195,,,,,,,Approved,6/20/2007,3/26/2010,Y,HTTPS://WWW.ROBECO-USA.COM/US/ENG/IW/TOOLS/PS.JSP?PCAT=102  AND  HTTPS://WWW.ROBECO-USA.COM/US/ENG/IW/TOOLS/PS_ROBECOUSA.JSP?PC,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"112,553,828.00",0,"112,553,828.00",6,0,6,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,133507,801-63869,"NESTEGGS, INC.","NESTEGGS RETIREMENT PLAN SERVICES, INC.",4745 SUTTON PARK COURT,SUITE 202,JACKSONVILLE,FL,UNITED STATES,32224-0253,904-348-3131,904-348-3136,,,,,,,Approved,2/10/2005,3/26/2010,Y,WWW.NESTEGGS.CC,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,Y,"97,438,101.00",0,"97,438,101.00",135,0,135,N,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145166,801-68489,"BAIRD VENTURE PARTNERS MANAGEMENT COMPANY III, LLC","BAIRD VENTURE PARTNERS MANAGEMENT COMPANY III, LLC",777 EAST WISCONSIN AVENUE,,MILWAUKEE,WI,USA,53202-5391,414-765-3500,414-298-7800,,,,,,,Approved,11/7/2007,3/26/2010,Y,WWW.RWBAIRD.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"25,522,774.00",0,"25,522,774.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,OFFERS ADVICE TO LIMITED PARTNERSHIPS FORMED TO MAKE INVESTMENTS IN EQUITY SECURITIES ISSUED IN VENTURE CAPITAL OPPORTUNITIES.,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,127018,801-62363,"MP ADVISORY SERVICE, LLC","MP ADVISORY SERVICE, LLC",15 CORPORATE CIRCLE,,ALBANY,NY,UNITED STATES,12203,518-862-3234,518-862-3377,,,,,,,Approved,9/17/2003,3/26/2010,Y,WWW.MPADVISORY.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,INTERNET-BASED,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,INTERACTIVE INTERNET BASED MUTUAL FUND RATING SERVICE,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147255,801-69238,BAIRD CAPITAL PARTNERS ASIA MANAGEMENT I LIMITED PARTNERSHIP,BAIRD CAPITAL PARTNERS ASIA MANAGEMENT I LIMITED PARTNERSHIP,777 EAST WISCONSIN AVENUE,,MILWAUKEE,WI,USA,53202-5391,414-765-3500,414-298-7800,,,,,,,Approved,6/11/2008,3/26/2010,Y,WWW.RWBAIRD.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Partnership,,,CAYMAN ISLANDS,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"9,102,239.00",0,"9,102,239.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,OFFERS ADVICE TO LIMITED PARTNERSHIPS FORMED TO MAKE INVESTMENTS IN EQUITY SECURITIES ISSUED IN PRIVATE EQUITY OPPORTUNITIES.,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,127197,801-62141,"INTEGRITY ASSET MANAGEMENT, LLC","INTEGRITY ASSET MANAGEMENT, LLC",401 WEST MAIN STREET,SUITE 2100,LOUISVILLE,KY,USA,40202,502-379-6980,502-379-6994,,,,,,,Approved,6/19/2003,3/26/2010,Y,WWW.INTEGRITYASSET.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,ENDOWMENTS,Y,N,N,N,N,N,N,,Y,"2,756,294,234.00",0,"2,756,294,234.00",105,0,105,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,148519,801-69666,"BAIRD CAPITAL PARTNERS MANAGEMENT COMPANY V, LLC","BAIRD CAPITAL PARTNERS MANAGEMENT COMPANY V, LLC",777 EAST WISCONSIN AVENUE,,MILWAUKEE,WI,USA,53202,414-298-2655,414-298-7800,,,,,,,Approved,10/22/2008,3/26/2010,Y,WWW.RWBAIRD.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,10-Jun,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,10,0,10,3,0,3,N,N,N,N,N,N,N,N,N,Y,ADVICE TO LIMITED PARTNERSHIPS FORMED TO INVEST IN CHANGE OF CONTROL BUYOUTS AND LATE-STAGE GROWTH INVESTMENTS.,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,112973,801-60406,"ACCESS WEALTH PLANNING, LLC","ACCESS WEALTH PLANNING, LLC",4 BECKER FARM ROAD,1ST FLOOR,ROSELAND,NJ,UNITED STATES,7068,973-740-2400,973-461-4717,,,,,,,Approved,7/1/2001,3/26/2010,Y,WWW.AWPLAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"160,327,637.00",0,"160,327,637.00",697,0,697,Y,Y,N,N,N,Y,N,N,N,Y,ACCOUNT AGGREGATION SERVICES,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110116,801-55461,"ASSET MANAGEMENT GROUP, INC.","ASSET MANAGEMENT GROUP, INC.",60 LONG RIDGE ROAD,,STAMFORD,CT,UNITED STATES,6902,203-964-8300,203-487-7466,,,,,,,Approved,4/30/1998,3/26/2010,Y,WWW.AMGPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"146,130,307.00",0,"146,130,307.00","1,281",0,"1,281",Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,143884,801-67865,"REGISTER FINANCIAL ADVISORS, LLC","REGISTER FINANCIAL ADVISORS, LLC",3500 LENOX ROAD,SUITE 1700,ATLANTA,GA,UNITED STATES,30326,404-364-2180,404-364-2182,,,,,,,Approved,5/7/2007,3/26/2010,Y,HTTP://WWW.REGISTERFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"33,650,733.00","85,042,375.00","118,693,108.00",74,197,271,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,Y,Y,N,Y,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
ARO,106522,801-17538,"TRUSTCORE FINANCIAL SERVICES, INC.","TRUSTCORE FINANCIAL SERVICES, INC.",105 WESTWOOD PLACE,SUITE 400,BRENTWOOD,TN,UNITED STATES,37027,615-377-1177,615-371-1941,,,,,,,Approved,8/27/1982,3/26/2010,Y,WWW.TRUSTCORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,800,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,CONCESSIONS FROM AFFILIATED BROKER DEALER,Y,"1,200,000.00","850,000,000.00","851,200,000.00",4,"6,996","7,000",Y,Y,N,N,Y,N,N,N,N,N,,More than 500,800,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143422,801-67661,AKSIA LLC,AKSIA LLC,599 LEXINGTON AVE,FLOOR 46,NEW YORK,NY,UNITED STATES,10022,212-710-5710,212-710-5711,,,,,,,Approved,3/22/2007,3/26/2010,Y,WWW.AKSIA.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,Up to 10 percent,11-25 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,CLIENTS OTHER THAN 1-9 ABOVE,Y,N,N,Y,N,Y,N,,Y,"852,005,079.00","7,495,121,919.00","8,347,126,998.00",6,28,34,N,N,N,Y,Y,Y,N,N,N,Y,RESEARCH ON PRIVATE INVESTMENTS & PARTNERSHIPS (E.G. HEDGE FUNDS AND FUNDS OF HEDGE FUNDS),0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,149146,801-69890,"ALPHAONE INVESTMENT SERVICES, LLC","ALPHAONE INVESTMENT SERVICES, LLC",ONE TOWER BRIDGE,"100 FRONT STREET, SUITE 1250",WEST CONSHOHOCKEN,PA,UNITED STATES,19428,267- 597-3888,610-828-2049,,,,,,,Approved,1/26/2009,3/26/2010,Y,WWW.ALPHA1CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,11-25 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"349,942,351.00",0,"349,942,351.00",26,0,26,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,148963,801-69791,"EXECUTIVE MONETARY MANAGEMENT, LLC","EXECUTIVE MONETARY MANAGEMENT, LLC",220 EAST 42ND STREET,32ND FLOOR,NEW YORK,NY,UNITED STATES,10017,212-476-5555,212-476-5585,,,,,,,Approved,12/17/2008,3/26/2010,Y,WWW.EMMNY.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"1,887,482,321.00","1,887,482,321.00",0,91,91,Y,N,N,N,N,Y,N,N,N,Y,"CONSOLIDATED REPORTING, ASSET ALLOCATION AND RISK ANALYSIS",51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,25803,801-55518,"TRIAD ADVISORS, INC.","TRIAD ADVISORS, INC.",5185 PEACHTREE PARKWAY,SUITE 280,NORCROSS,GA,UNITED STATES,30092,800-720-4003,678-291-9706,,,,,,,Approved,6/2/1998,3/26/2010,Y,WWW.TRIAD-ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"425,835,316.00","425,835,316.00",0,"2,165","2,165",Y,Y,N,Y,Y,Y,Y,N,N,N,,10-Jan,,Y,Y,Y,N,Y,N,Y,N,N,,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,N
PLRO,112503,801-10281,MFI ASSOCIATES,"MFI ASSOCIATES, LTD",25 EAST ATHENS AVENUE,,ARDMORE,PA,UNITED STATES,19003-2229,610-642-3100,610-642-9709,,,,,,,Approved,8/11/1975,3/26/2010,Y,WWW.MFIASSOCIATES.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"8,946,714.00",0,"8,946,714.00",1,0,1,N,N,N,N,N,N,N,N,Y,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,6415,801-11280,WINDSOR SECURITIES INC,"WINDSOR SECURITIES, INC.",25 EAST ATHENS AVENUE,,ARDMORE,PA,USA,19003,610-642-3100,610-642-9709,,,,,,,Approved,1/16/1976,3/26/2010,N,,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"153,916,970.00",0,"153,916,970.00",94,0,94,N,N,N,N,N,N,N,N,Y,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,126342,801-61997,FOCUS INVESTMENT LTD.,FOCUS INVESTMENT LTD.,"FB PERRY BUILDING, 2ND FLOOR",40 CHURCH STREET,HAMILTON,,BERMUDA,HM12,441-296-5888,441-296-5889,P.O. BOX HM 2741,,HAMILTON,,BERMUDA,HM LX,Approved,4/28/2003,3/26/2010,Y,WWW.FOCUSINVESTMENTGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,BERMUDA,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"318,000,000.00",0,"318,000,000.00",6,0,6,N,Y,N,N,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108272,801-37258,WATERMARK GROUP,"TACHYON PARTNERS, L.L.C.",47 HULFISH STREET,SUITE 201,PRINCETON,NJ,UNITED STATES,8542,609-683-8200,609-683-9483,,,,,,,Approved,8/8/1990,3/26/2010,Y,WWW.WATERMARKGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"808,292,815.00",0,"808,292,815.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,110271,801-15563,CRAWFORD INVESTMENT COUNSEL INC,CRAWFORD INVESTMENT COUNSEL INC,"600 GALLERIA PARKWAY, NW",SUITE 1650,ATLANTA,GA,USA,30339,770-859-0045,770-859-0049,,,,,,,Approved,10/15/1980,3/26/2010,Y,WWW.CRAWFORDINVESTMENT.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,500",26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,630,648,094.00",0,"2,630,648,094.00","1,286",0,"1,286",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,126351,801-61998,FOCUS INVESTMENT MANAGEMENT LTD.,FOCUS INVESTMENT MANAGEMENT LTD.,"FB PERRY BULDING, 2ND FLOOR",40 CHURCH STREET,HAMILTON,,BERMUDA,HM12,441-296-5888,441-296-5889,P.O. BOX 2741,,HAMILTON,,BERMUDA,HM LX,Approved,4/28/2003,3/26/2010,Y,WWW.FOCUSINVESTMENTGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,BERMUDA,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"100,000,000.00",0,"100,000,000.00",3,0,3,N,N,N,N,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,148964,801-69790,"SAGE ADVISORS, LLC","SAGE ADVISORS, LLC",220 EAST 42ND STREET,32ND FLOOR,NEW YORK,NY,UNITED STATES,10017,212-476-5555,212-476-5585,,,,,,,Approved,12/17/2008,3/26/2010,N,,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"220,369,501.00",0,"220,369,501.00",3,0,3,N,N,N,N,N,Y,N,N,N,Y,INVESTMENT ADVISORY SERVICES TO THREE PRIVATE INVESTMENT PARTNERSHIPS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150658,801-70477,"CAPVISOR ASSOCIATES, LLC","CAPVISOR ASSOCIATES, LLC",,,,,,,973-219-7106,973-310-6517,P.O. BOX 693,,CHATHAM,NJ,UNITED STATES,7928,Approved,8/7/2009,3/26/2010,Y,WWW.CAPVISORASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,INSURANCE COMPANIES,Y,Y,N,Y,N,N,N,,Y,0,"26,000,000.00","26,000,000.00",0,1,1,N,N,N,N,N,Y,Y,N,N,Y,THIRD PARTY MARKETER; STRATEGIC ASSET ALLOCATION; BENCHMARK SELECTION; INVESTMENT PLAN DESIGN,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,111485,801-60190,MONEY MANAGEMENT CONCEPTS INC.,"MONEY MANAGEMENT CONCEPTS, INC.","6767 N. WICKHAM ROAD, SUITE 400",,MELBOURNE,FL,UNITED STATES,32940,321-258-1932,866-922-6624,PO BOX 411688,,MELBOURNE,FL,UNITED STATES,32940,Approved,5/18/2001,3/26/2010,Y,MONEYMANAGEMENTCONCEPTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"10,000,000.00","21,100,000.00","31,100,000.00",40,30,70,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,113713,801-60453,"HAYS ADVISORY, LLC","HAYS ADVISORY, LLC","301 SEVEN SPRINGS WAY, SUITE 150",,BRENTWOOD,TN,UNITED STATES,37027,615-467-6070,615-467-6078,,,,,,,Approved,8/3/2001,3/26/2010,Y,WWW.HAYSADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,More than 500,"5,000",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,PROVIDES TRADING STRATEGY FOR CERTAIN SECURITIES TO OTHER INVESTMENT ADVISORS AND BROKER/DEALERS,Y,N,Y,N,N,N,N,,Y,"1,012,200,000.00",0,"1,012,200,000.00","5,072",0,"5,072",N,Y,N,Y,N,N,Y,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108074,801-57432,RIVERBRIDGE PARTNERS,RIVERBRIDGE PARTNERS LLC,"801 NICOLLET MALL, MIDWEST PLAZA WEST",SUITE 600,MINNEAPOLIS,MN,UNITED STATES,55402,612-904-6200,612-904-6250,,,,,,,Approved,4/10/2000,3/26/2010,Y,WWW.RIVERBRIDGE.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,"2,000",Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"1,737,121,000.00",0,"1,737,121,000.00","1,872",0,"1,872",Y,Y,Y,Y,Y,Y,Y,N,N,N,,More than 500,580,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,143132,801-67540,THE MUTUAL FUND STORE,"THE MUTUAL FUND STORE-OMAHA, LLC",7301 COLLEGE BOULEVARD,SUITE 220,OVERLAND PARK,KS,USA,66210,913-319-8100,913-319-8181,,,,,,,Approved,2/2/2007,3/26/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,775,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"129,797,300.00",0,"129,797,300.00","1,675",0,"1,675",Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111907,801-60151,WESBANCO INVESTMENT DEPARTMENT,"WESBANCO BANK, INC.",ONE BANK PLAZA,FIFTH FLOOR,WHEELING,WV,UNITED STATES,26003-3565,304-234-9000,304-234-9476,,,,,,,Approved,3/30/2001,3/26/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),"SID OF WESBANCO BANK, INC.",WV,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"659,510,909.00",0,"659,510,909.00",5,0,5,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,Y,N,,N,,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112215,801-60185,BESSEMER INVESTMENT MANAGEMENT LLC,BESSEMER INVESTMENT MANAGEMENT LLC,630 FIFTH AVENUE,,NEW YORK,NY,UNITED STATES,10111,212-708-9100,212-265-5826,,,,,,,Approved,4/18/2001,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"11,804,746,194.00","14,484,193,000.00","26,288,939,194.00",1,1,2,N,N,Y,N,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES FOR BUSINESS OR INSTITUTIONAL CLIENTS (OTHER THAN INVESTMENT COMPANIES),,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,132694,801-63492,"TIMESSQUARE CAPITAL MANAGEMENT, LLC","TIMESSQUARE CAPITAL MANAGEMENT, LLC",1177 AVENUE OF THE AMERICAS,39TH FLOOR,NEW YORK,NY,UNITED STATES,10036,1-800-541-5156,1-917-342-7903,,,,,,,Approved,9/10/2004,3/26/2010,Y,TSQUARECM.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"11,794,921,646.00",0,"11,794,921,646.00",178,0,178,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,129342,801-66375,CHESME CAPITAL MANAGEMENT,CHESME INC,124 N BRIDGE ST,,DEWITT,MI,UNITED STATES,48820,517-669-1600,517-913-6021,PO BOX 547,,DEWITT,MI,UNITED STATES,48820,Approved,3/9/2006,3/26/2010,Y,WWW.CHESME.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"48,284,191.00","188,052,933.00","236,337,124.00",2,633,635,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107841,801-68113,"FORTNER FINANCIAL SERVICES, INC.","FORTNER FINANCIAL SERVICES, INC.","2405 GRAND, SUITE 530",,KANSAS CITY,MO,UNITED STATES,64108,816-474-4102,816-474-4327,,,,,,,Approved,7/12/2007,3/26/2010,Y,WWW.FORTNERFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"50,456,405.00",0,"50,456,405.00",81,0,81,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,108350,801-19322,FINANCIAL MANAGEMENT INC,FINANCIAL MANAGEMENT INC,3801 WOODLAND HEIGHTS RD,SUITE 125,LITTLE ROCK,AR,UNITED STATES,72212-2480,501-227-7400,501-227-9422,P. O. BOX 17590,,LITTLE ROCK,AR,UNITED STATES,72222-7590,Approved,7/28/1983,3/26/2010,Y,WWW.FINANCIALMANAGEMENTINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"45,587,897.00","11,940,105.00","57,528,002.00",463,31,494,Y,Y,N,Y,Y,N,N,N,N,Y,BUSINESS CONSULTING,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108991,801-68828,LINDBERGH CAPITAL MANAGEMENT INC,LINDBERGH CAPITAL MANAGEMENT INC,5520 TELEGRAPH ROAD,SUITE 204,ST. LOUIS,MO,USA,63129,314-416-0055,,,,,,,,Approved,2/15/2008,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"40,613,973.00",0,"40,613,973.00",60,0,60,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,110577,801-55926,"HARBERT FUND ADVISORS, INC.","HARBERT FUND ADVISORS, INC.","2100 THIRD AVENUE NORTH, STE 600",,BIRMINGHAM,AL,UNITED STATES,35203,205/987-5500,205/987-5505,,,,,,,Approved,10/27/1998,3/26/2010,Y,WWW.HARBERT.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,51-250,0,51-250,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,"1,966,168,000.00","1,966,168,000.00",0,25,25,N,Y,N,Y,N,N,N,N,N,Y,MANAGEMENT OF PRIVATE INVESTMENT FUNDS AND HEDGE FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,141810,801-67292,THE MUTUAL FUND STORE,"THE MUTUAL FUND STORE-DETROIT, LLC",7301 COLLEGE BOULEVARD,SUITE 220,OVERLAND PARK,KS,USA,66210,913-319-8100,913-319-8181,,,,,,,Approved,12/15/2006,3/26/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"64,727,161.00",0,"64,727,161.00",830,0,830,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138603,801-65342,ASTER-X CAPITAL MANAGEMENT,ASTER-X CAPITAL MANAGEMENT B.V.,HAAKSBERGWEG 75,,AMSTERDAM,,NETHERLANDS,1101BR,31-20-7517091,31-20-7517098,,,,,,,Approved,2/3/2006,3/26/2010,Y,WWW.ASTER-XCM.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),BESLOTEN VENNOOTSCHAP,,NETHERLANDS,5-Jan,0,5-Jan,0,0,0,Nov-50,0,101-250,0,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,Y,N,,Y,"123,126,000.00",0,"123,126,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,ACTING AS INVESTMENT MANAGER FOR THE ASTER-X EUROPE FUND AND ASTER-X PANORAMA FUND,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,122966,801-63574,SILVER CREEK CAPITAL MANAGEMENT LLC,SILVER CREEK CAPITAL MANAGEMENT LLC,"1301 5TH AVENUE, 40TH FLOOR",,SEATTLE,WA,UNITED STATES,98101,206-774-6000,206-774-6010,,,,,,,Approved,10/13/2004,4/1/2010,Y,WWW.SILVERCREEKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"7,245,976,064.00",0,"7,245,976,064.00",20,0,20,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124107,801-67654,"SECURITY FINANCIAL ADVISORS,LLC","SECURITY FINANCIAL ADVISORS,LLC","1945 PAULINE, SUITE 21A",,ANN ARBOR,MI,USA,48103,734-769-1950,734-769-3844,,,,,,,Approved,3/20/2007,3/26/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"23,566,880.00",0,"23,566,880.00",145,0,145,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135349,801-64269,"SUMMIT PARTNERS VC II, L.P.","SUMMIT PARTNERS VC II, L.P.",222 BERKELEY STREET,17TH FLOOR,BOSTON,MA,UNITED STATES,2116,617-824-1000,617-824-1100,,,,,,,Approved,5/12/2005,4/1/2010,Y,WWW.SUMMITPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"192,748,385.00",0,"192,748,385.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135371,801-64270,"SUMMIT PARTNERS VC II, LLC","SUMMIT PARTNERS VC II, LLC",222 BERKELEY STREET,,BOSTON,MA,UNITED STATES,2116,617-824-1000,617-824-1100,,,,,,,Approved,5/12/2005,4/1/2010,Y,WWW.SUMMITPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"192,748,385.00",0,"192,748,385.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,152050,801-70851,"HAYDEL, BIEL & ASSOCIATES","HBA ADVISORS, LLC",87 N. RAYMOND AVE.,STE 650,PASADENA,CA,UNITED STATES,91103,626-529-8347,626-529-8506,,,,,,,Approved,12/15/2009,4/1/2010,Y,WWW.HAYDELBIEL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"89,029,365.00","54,786.00","89,084,151.00",701,2,703,Y,Y,N,Y,Y,Y,Y,N,N,N,,101-250,,Y,Y,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,136717,801-65298,IRONBOUND CAPITAL MANAGEMENT LP,IRONBOUND CAPITAL MANAGEMENT LP,"902 CARNEGIE CENTER, SUITE 300",,PRINCETON,NJ,UNITED STATES,8540,609-951-5000,609-951-9494,,,,,,,Approved,1/13/2006,3/26/2010,Y,WWW.IRONBOUNDCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"456,000,000.00",0,"456,000,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,138520,801-65122,"TETON WEALTH MANAGEMENT, INC.","TETON WEALTH MANAGEMENT, INC.","125 EAST PEARL AVENUE, SUITE 208",,JACKSON,WY,UNITED STATES,83001,307-690-5273,307-733-0674,P.O. BOX 6464,,JACKSON,WY,UNITED STATES,83002,Approved,1/12/2006,3/26/2010,Y,WWW.TETONWEALTH.COM,N,N,Y,N,N,N,N,N,N,N,N,N,N,Corporation,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"14,500,000.00",0,"14,500,000.00",56,0,56,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135360,801-64271,"SUMMIT PARTNERS PE VII, L.P.","SUMMIT PARTNERS PE VII, L.P.",222 BERKELEY STREET,,BOSTON,MA,UNITED STATES,2116,617-824-1000,617-824-1100,,,,,,,Approved,5/12/2005,4/1/2010,Y,WWW.SUMMITPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,739,907,706.00",0,"1,739,907,706.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,140120,801-69268,"CAPITAL STRATEGIES GROUP, LLC","CAPITAL STRATEGIES GROUP, LLC",2151 E. BASELINE ROAD,SUITE 101,TEMPE,AZ,USA,85283,480-635-4050,480-635-4051,,,,,,,Approved,6/5/2008,3/26/2010,Y,WWW.CSGPLANNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"31,010,689.00","632,871.00","31,643,560.00",319,11,330,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,142941,801-67587,CAPTRUST FINANCIAL ADVISORS,"CAPTRUST ADVISORS, LLC",102 W. WHITING STREET,SUITE 400,TAMPA,FL,UNITED STATES,33602,813-218-5000,813-221-0294,,,,,,,Approved,3/12/2007,3/26/2010,Y,WWW.CAPTRUSTADV.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,26-50 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,Y,Y,N,N,N,Y,"PROVIDES INVESTMENT ADVISORY AND COUNSULTING SERVICES FOR BUSINESS, INSTITUTIONAL CLIENTS, FAMILIES AND SMALL BUSINESSES",10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135361,801-64272,"SUMMIT PARTNERS PE VII, LLC","SUMMIT PARTNERS PE VII, LLC",222 BERKELEY STREET,,BOSTON,MA,UNITED STATES,2116,614-824-1000,617-824-1100,,,,,,,Approved,5/12/2005,4/1/2010,Y,WWW.SUMMITPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,739,907,706.00",0,"1,739,907,706.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,146432,801-68980,"SUMMIT PARTNERS EUROPE, L.P.","SUMMIT PARTNERS EUROPE, L.P.",222 BERKELEY STREET,,BOSTON,MA,UNITED STATES,2116,617-824-1000,617-824-1100,,,,,,,Approved,3/31/2008,4/1/2010,Y,WWW.SUMMITPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),EXEMPTED LIMITED PARTNERSHIP,,CAYMAN ISLANDS,51-250,0,51-250,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,048,250,000.00",0,"1,048,250,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,146425,801-68981,"SUMMIT PARTNERS SD IV, L.P.","SUMMIT PARTNERS SD IV, L.P.",222 BERKELEY STREET,,BOSTON,MA,UNITED STATES,2116,617-824-1000,617-824-1100,,,,,,,Approved,3/31/2008,4/1/2010,Y,WWW.SUMMITPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"43,361,827.00",0,"43,361,827.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,118961,801-46920,EAMES FINANCIAL,"HIGLEY, JAMES, W.",,,,,,,973-539-2855,973-539-2855,,,,,,,Approved,7/12/1994,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"50,000,000.00","50,000,000.00",0,60,60,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,108795,801-57935,KBSH CAPITAL MANAGEMENT INC.,KBSH CAPITAL MANAGEMENT INC.,1 TORONTO STREET,SUITE 700,TORONTO,,CANADA,M5C 2V6,416-863-1433,416-868-1770,,,,,,,Approved,9/29/2000,3/24/2005,Y,WWW.KBSH.CA,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",51-250,0,Nov-50,0,0,0,10-Jun,0,251-500,0,0 percent,26-50 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,WRAP CLIENTS,N,N,N,N,N,Y,N,,Y,"4,900,000,000.00",0,"4,900,000,000.00",284,0,284,N,Y,N,Y,N,N,N,N,N,Y,HIGH NET WORTH INDIVIDUALS,251-500,,N,Y,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110356,801-9840,MADISON INVESTMENT ADVISORS,MADISON INVESTMENT ADVISORS INC,550 SCIENCE DRIVE,,MADISON,WI,UNITED STATES,53711,608-274-0300,608-274-7905,,,,,,,Approved,5/8/1974,4/1/2010,Y,WWW.MADISONADV.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,51-250,0,Nov-50,0,10-Jun,0,0,0,More than 500,"13,500",Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,WRAP ACCOUNTS (WE ACT AS SUBADVISER),Y,N,N,N,N,N,N,,Y,"6,288,825,567.00","117,800,000.00","6,406,625,567.00","13,510",2,"13,512",N,Y,Y,Y,N,N,N,N,N,Y,SUBADVISORY PORTFOLIO MANAGEMENT IN WRAP SPONSOR PROGRAMS,,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106418,801-47700,SENSIBLE INVESTMENTS INC,SENSIBLE INVESTMENTS INC,,,,,,,206-228-9753,208-622-2789,P.O. BOX 6028,,SUN VALLEY,ID,,83353,Approved,11/7/1994,9/16/2005,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"71,026,469.00",0,"71,026,469.00",78,0,78,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,113256,801-67752,"PALADIN CAPITAL MANAGEMENT, LLC","PALADIN CAPITAL MANAGEMENT, LLC","235 MONTGOMERY STREET,",SUITE 1146,SAN FRANCISCO,CA,UNITED STATES,94104,415-981-1725,800-491-1808,,,,,,,Approved,4/19/2007,4/1/2010,Y,WWW.PALADINCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"35,110,868.00","5,193,016.00","40,303,884.00",61,10,71,N,Y,N,Y,Y,Y,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,107751,801-25597,STEINE & GOOCH CO INC,STEINE & GOOCH CO INC,"1114 17TH AVENUE SOUTH, SUITE 103",,NASHVILLE,TN,UNITED STATES,37212,615-321-0222,615-329-0045,P. O. BOX 128227,,NASHVILLE,TN,UNITED STATES,37212-8227,Approved,10/28/1985,4/1/2010,Y,WWW.STEINEANDGOOCH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"44,779,766.00",0,"44,779,766.00",120,0,120,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,145252,801-70488,"MCILRATH & ECK, LLC","MCILRATH & ECK, LLC",16404 SMOKEY POINT BLVD.,SUITE 305,ARLINGTON,WA,UNITED STATES,98223,(360) 651-9308,(360) 657-1819,,,,,,,Approved,8/18/2009,4/1/2010,Y,WWW.MCILRATHECK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"45,000,000.00","10,000,000.00","55,000,000.00",450,5,455,Y,Y,N,Y,Y,N,N,N,N,Y,ESTATE PLANNING,251-500,,Y,Y,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,112204,801-55264,"GREAT POINT INVESTORS, LLC","GREAT POINT INVESTORS, LLC",TWO CENTER PLAZA,SUITE 410,BOSTON,MA,UNITED STATES,2108,617-526-8800,617-526-8810,,,,,,,Approved,2/20/1998,4/1/2010,Y,WWW.GPINVESTORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,ENDOWMENT FUNDS,Y,N,N,Y,N,Y,Y,TRANSACTION FEES (SEE SCHEDULE D - MISCELLANEOUS),Y,"577,548,000.00","72,250,000.00","649,798,000.00",2,1,3,N,N,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,122571,801-69944,BEARING ASSET MANAGEMENT,BEARING ASSET MANAGEMENT,,,,,,,713-899-9172,,,,,,,,Approved,2/24/2009,4/1/2010,Y,WWW.BEARINGASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"60,000,000.00",0,"60,000,000.00",2,0,2,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,140752,801-68248,"HAWTHORN CAPITAL MANAGEMENT, LLC","HAWTHORN CAPITAL MANAGEMENT, LLC",42 STATE CIRCLE,,ANNAPOLIS,MD,USA,21401,410-216-6633,410-214-6648,,,,,,,Approved,8/27/2007,4/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"100,000,000.00",0,"100,000,000.00",30,0,30,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,149334,801-69998,"SA FINANCIAL GROUP, LLC","SA FINANCIAL GROUP, LLC",585 N ROSSMORE AVENUE,#501,LOS ANGELES,CA,UNITED STATES,90004,917-209-7755,,,,,,,,120-Day Approval,8/10/2009,7/27/2009,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,142718,801-67403,"WASHINGTON CORNER CAPITAL MANAGEMENT, LP","WASHINGTON CORNER CAPITAL MANAGEMENT, LP",200 PARK AVENUE,SUITE 200,FLORHAM PARK,NJ,USA,7932,973-822-0123,973-822-3210,,,,,,,Approved,1/18/2007,7/27/2009,Y,WWW.WASHINGTONCORNER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"98,700,000.00",0,"98,700,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,148671,801-69969,"CREMAC ASSET MANAGEMENT, LLC","CREMAC ASSET MANAGEMENT, LLC",78 DELAVAN STREET,,BROOKLYN,NY,UNITED STATES,11231,718-222-4500,718-222-3344,,,,,,,Approved,2/26/2009,6/26/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,"799,256,400.00","799,256,400.00",0,1,1,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112610,801-24922,AMERINDO INVESTMENT ADVISORS INC,AMERINDO INVESTMENT ADVISORS INC,"ONE EMBARCADERO CTR, STE 2310",,SAN FRANCISCO,CA,USA,94111-3162,415-362-0292,415-362-0533,399 PARK AVENUE,22ND FLOOR,NEW YORK,NY,USA,10022,Approved,8/9/1985,7/15/2004,Y,WWW.AMERINDO.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,Up to 10 percent,TAXABLE,Y,N,N,N,N,Y,N,,Y,"1,131,770,832.00","87,325,053.00","1,219,095,885.00",24,1,25,N,N,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR COLLECTIVE INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,113641,801-61745,"LOUDON INVESTMENT MANAGEMENT, LLC","LOUDON INVESTMENT MANAGEMENT, LLC",24 AIRPORT ROAD,,WEST LEBANON,NH,UNITED STATES,3784,603-298-7370,603-298-7375,,,,,,,Approved,2/3/2003,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"82,560,000.00",0,"82,560,000.00",87,0,87,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110147,801-64389,PKS INVESTMENT ADVISORS LLC,PKS INVESTMENT ADVISORS LLC,1801 SWEETBAY DRIVE,,SALISBURY,MD,USA,21804,410-546-5600,410-548-9576,,,,,,,Approved,6/16/2005,3/22/2010,Y,WWW.PKSADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"65,357,637.00","4,905,202.00","70,262,839.00",363,17,380,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,115344,801-60690,"WERTZ YORK CAPITAL MANAGEMENT GROUP, LLC","WERTZ YORK CAPITAL MANAGEMENT GROUP, LLC",5502 NORTH NEBRASKA AVE,,TAMPA,FL,UNITED STATES,33604,813-238-4800,813-238-4810,P.O. BOX 9691,,TAMPA,FL,UNITED STATES,33674,Approved,11/23/2001,3/22/2010,Y,WWW.WERTZYORK.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"181,783,544.00","275,939,688.00","457,723,232.00",1,13,14,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,142968,801-67514,SBI FUNDS MANAGEMENT PRIVATE LIMITED,SBI FUNDS MANAGEMENT PRIVATE LIMITED,"SBIMF INVESTORS SERVICE CENTRE, IIACO","2ND FLOOR, P M ROAD FORT",MUMBAI,,INDIA,400 023,9122-2218-0221,9122-2218-0260,C/O THOMPSON HINE LLP,"335 MADISON AVENUE, 12TH FLOOR",NEW YORK,NY,USA,10022,Approved,4/9/2007,3/14/2007,Y,WWW.SBIMF.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,INDIA,251-500,0,Nov-50,0,0,0,More than 1000,"12,000",More than 500,"2,540,000",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,970,000,000.00",0,"2,970,000,000.00","2,539,893",0,"2,539,893",N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,139500,801-66283,"LEHMAN FINANCIAL RESOURCES, INC.","LEHMAN FINANCIAL RESOURCES, INC.",1215 WEST BALTIMORE PIKE,SUITE 8,MEDIA,PA,USA,19063,610-565-2343,610-565-2513,,,,,,,Approved,2/23/2006,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"294,208,221.00","15,423,918.00","309,632,139.00",578,24,602,Y,Y,N,Y,N,N,N,N,N,Y,COMPREHENSIVE WEALTH MANAGEMENT,251-500,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112048,801-60341,"ARBOR ASSET MANAGEMENT, LLC","ARBOR ASSET MANAGEMENT, LLC",2155 JACKSON AVE.,,ANN ARBOR,MI,UNITED STATES,48103,734-213-1390,734-231-1380,,,,,,,Approved,6/11/2001,3/22/2010,Y,WWW.ARBORASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"140,311,428.00",0,"140,311,428.00",471,0,471,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,131394,801-63066,"CORTINA ASSET MANAGEMENT, LLC","CORTINA ASSET MANAGEMENT, LLC",825 NORTH JEFFERSON,SUITE 400,MILWAUKEE,WI,UNITED STATES,53202,414-225-7399,414-225-7397,,,,,,,Approved,5/12/2004,3/22/2010,Y,WWW.CORTINAASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,26-50 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,259,000,000.00","107,000,000.00","1,366,000,000.00",84,1,85,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,149588,801-69982,"ALTURUS PARTNERS, LLC","ALTURUS PARTNERS, LLC",2400 CAMINO RAMON,SUITE 178,SAN RAMON,CA,UNITED STATES,94583,(925) 855-9899,(925) 790-0333,,,,,,,Approved,2/26/2009,3/22/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107732,801-40719,WHITEGATE INVESTMENT COUNSELORS INC,WHITEGATE INVESTMENT COUNSELORS INC,46 SOUTH MAIN STREET,,CONCORD,NH,UNITED STATES,3301,603-228-5471,603-228-5478,,,,,,,Approved,2/7/1992,3/22/2010,Y,WWW.WHITEGATEINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"216,248,410.00","2,277,710.00","218,526,120.00",300,61,361,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107010,801-36574,KOPP INVESTMENT ADVISORS,"KOPP INVESTMENT ADVISORS, LLC",7701 FRANCE AVENUE SOUTH,SUITE 500,EDINA,MN,UNITED STATES,55435,952-841-0400,952-841-0411,,,,,,,Approved,5/10/1990,3/22/2010,Y,WWW.KOPPINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"358,609,684.00","442,905.00","359,052,589.00",464,2,466,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,139521,801-69347,FINANCIAL RESOURCES GROUP,"KILNER FINANCIAL GROUP, LLC",438 N. FREDERICK AVENUE,SUITE 465,GAITHERSBURG,MD,UNITED STATES,20877,301.840.0501,301.840.6639,,,,,,,Approved,7/3/2008,3/22/2010,Y,WWW.FRGNET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"71,014,097.00",0,"71,014,097.00",653,0,653,N,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106503,801-48291,"SCHWARTZ & HOFFLICH CAPITAL MANAGEMENT, L.P.","SCHWARTZ & HOFFLICH CAPITAL MANAGEMENT, L.P.","37 NORTH AVENUE, STE 3",,NORWALK,CT,USA,06851-3827,203-847-4068,203-849-0624,,,,,,,Approved,1/24/1995,3/22/2010,Y,WWW.SHCPA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"28,732,461.00",0,"28,732,461.00",126,0,126,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,105646,801-34270,PYRFORD INTERNATIONAL LTD,PYRFORD INTERNATIONAL LTD,79 GROSVENOR ST,MAYFAIR,LONDON,,UNITED KINGDOM,W1K 3JU,00-44-207-495-4641,00-44-207-399-2205,,,,,,,Approved,5/12/1989,3/22/2010,Y,WWW.PYRFORD.CO.UK,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,BMO FUNDS,Y,N,N,N,N,Y,N,,Y,"2,527,031,392.00",0,"2,527,031,392.00",40,0,40,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110132,801-57315,BOND STREET CAPITAL LLC,BOND STREET CAPITAL LLC,700 PALISADE AVE.,,ENGLEWOOD CLIFFS,NJ,UNITED STATES,7632,201-567-5050,201-567-5055,,,,,,,Approved,3/3/2000,3/22/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"98,259,705.00",0,"98,259,705.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137354,801-64922,SIRE MANAGEMENT CORPORATION,SIRE MANAGEMENT CORPORATION,152 W. 57TH STREET,16TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-546-6240,212-546-6278,,,,,,,Approved,12/2/2005,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"570,758,036.00",0,"570,758,036.00",9,0,9,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR FUNDS OF HEDGE FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,136111,801-65468,"DOWNTOWN ASSOCIATES, L.L.C.","DOWNTOWN ASSOCIATES, L.L.C.",674 UNIONVILLE ROAD,SUITE 105,KENNETT SQUARE,PA,UNITED STATES,19348-1704,610-925-3480,610-925-3481,,,,,,,Approved,1/23/2006,3/22/2010,Y,WWW.DOWNTOWN-ASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,PERFORMANCE-BASED ALLOCATIONS,Y,"202,000,000.00",0,"202,000,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,143883,801-68002,SANTANDER ASSET MANAGEMENT SA SGIIC,SANTANDER ASSET MANAGEMENT SA SGIIC,CGS. AVENIDA DE CANTABRIA S/N EDIFICIO PINAR,,"BOADILLA DEL MONTE, MADRID",,SPAIN,28660,34 91 289 06 37,34 91 289 06 37,,,,,,,Approved,7/5/2007,3/22/2010,Y,WWW.SANTANDERGA.ES,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SPAIN,51-250,0,51-250,0,0,0,Nov-50,0,251-500,0,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"21,979,121,296.00","141,751,638.00","22,120,872,934.00",509,1,510,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT OF NON US MUTUAL FUNDS.,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151207,801-70518,"GIA PARTNERS, LLC.","GIA PARTNERS, LLC.",12 EAST 49TH STREET,36TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-893-7810,212-893-7830,,,,,,,Approved,9/9/2009,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,Up to 10 percent,0 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,0 percent,26-50 percent,"CDO,ENDOWMENTS, FOUNDATIONS",Y,N,N,N,N,Y,N,,Y,"1,237,300,000.00",0,"1,237,300,000.00",14,0,14,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,127526,801-62210,"ZIMMERMAN WEALTH MANAGEMENT, LLC","ZIMMERMAN WEALTH MANAGEMENT, LLC","1603 ORRINGTON, SUITE 1725",,EVANSTON,IL,UNITED STATES,60201,847-556-3200,847-328-5719,,,,,,,Approved,7/14/2003,3/22/2010,Y,WWW.ZIMMERMANWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"122,808,282.00","1,194,802.00","124,003,084.00",446,12,458,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,150636,801-70314,"GUARDIAN CAPITAL ADVISORS, LLC","GUARDIAN CAPITAL ADVISORS, LLC",4601 SIX FORKS RD.,STE. 503,RALEIGH,NC,UNITED STATES,27609,919-782-7619,919-882-1624,,,,,,,Approved,7/9/2009,3/22/2010,Y,WWW.GUARDIANCA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"41,050,000.00","15,400,000.00","56,450,000.00",95,65,160,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,Y,Y,N,Y,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105208,801-32051,"BLACKHILL CAPITAL, INC","BLACKHILL CAPITAL, INC",161 MADISON AVENUE,,MORRISTOWN,NJ,UNITED STATES,7960,973-984-7014,973-984-9617,,,,,,,Approved,5/13/1988,3/22/2010,Y,WWW.BLACKHILLCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"312,359,116.00",0,"312,359,116.00",69,0,69,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,114629,801-57739,MAIN STREET RESEARCH LLC,MAIN STREET RESEARCH LLC,670 BRIDGEWAY,,SAUSALITO,CA,USA,94965,415-289-1010,415-289-0105,,,,,,,Approved,11/14/2000,3/22/2010,Y,WWW.MS-RESEARCH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"334,433,276.00",0,"334,433,276.00",926,0,926,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,137043,801-64691,LYRIC ADVISORS INC.,LYRIC ADVISORS INC.,ONE SOUTH OCEAN BLVD.,SUITE 300,BOCA RATON,FL,USA,33432,561-447-7178,561-447-7973,,,,,,,Approved,9/16/2005,9/1/2005,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"220,000,000.00",0,"220,000,000.00",3,0,3,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,25534,801-70757,PHILADELPHIA BROKERAGE CORPORATION,PHILADELPHIA BROKERAGE CORPORATION,2 RADNOR CORPORATE CENTER,SUITE 111,RADNOR,PA,UNITED STATES,19087,610-975-9990,610-975-9993,,,,,,,Approved,11/5/2009,3/22/2010,Y,WWW.PHILADELPHIABROKERAGE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"36,710,820.00",0,"36,710,820.00",370,0,370,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
SFRO,133802,801-63808,"PRIVATE WEALTH PARTNERS, LLC","PRIVATE WEALTH PARTNERS, LLC",80 E. SIR FRANCIS DRAKE BLVD.,4TH FLOOR,LARKSPUR,CA,UNITED STATES,94939,415-461-3850,415-461-3637,,,,,,,Approved,1/31/2005,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,251-500,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"676,973,625.00",0,"676,973,625.00",267,0,267,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,133538,801-67418,PWJOHNSON WEALTH MANAGEMENT,"PETER WILLIAM JOHNSON, JR.",1153 BORDEAUX DR,#109,SUNNYVALE,CA,USA,94089,408-747-1222,408-747-1364,,,,,,,Approved,1/3/2007,3/22/2010,Y,PWJOHNSON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"40,000,000.00","40,000,000.00",0,170,170,Y,Y,N,N,N,N,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107033,801-43915,FULLER & THALER ASSET MANAGEMENT INC,FULLER & THALER ASSET MANAGEMENT INC,411 BOREL AVENUE,SUITE 300,SAN MATEO,CA,UNITED STATES,94402,650-931-1500,650-931-1501,,,,,,,Approved,5/13/1993,3/22/2010,Y,WWW.FULLERTHALER.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,UNION,Y,N,N,N,N,Y,N,,Y,"1,035,000,000.00",0,"1,035,000,000.00",35,0,35,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,117893,801-61209,"L.A. BURTON & ASSOCIATES, INC.","L.A. BURTON & ASSOCIATES, INC.",1224 CENTRE WEST DRIVE,SUITE 200D,SPRINGFIELD,IL,UNITED STATES,62704,217-726-8100,217-726-8163,,,,,,,Approved,6/6/2002,3/22/2010,Y,WWW.MARKETLABPRO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,Y,Y,N,N,N,,Y,"2,430,195.00","29,420,733.00","31,850,928.00",16,62,78,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,111273,801-56254,"THE WELCH GROUP, LLC","THE WELCH GROUP, LLC",3940 MONTCLAIR RD,FIFTH FLOOR,BIRMINGHAM,AL,USA,35213,205-879-5001,205-879-7979,,,,,,,Approved,2/2/1999,3/22/2010,Y,WWW.WELCHGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"354,216,552.00",0,"354,216,552.00",789,0,789,Y,Y,N,Y,N,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111858,801-57538,PARADIGM CONSULTING SERVICES LLC,PARADIGM CONSULTING SERVICES LLC,855 VALLEY RD 2ND FL,,CLIFTON,NJ,USA,7013,973-614-8393,973-614-8977,,,,,,,Approved,4/28/2000,3/22/2010,Y,WWW.PCSHEDGE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,FUND OF FUNDS,Y,Y,N,Y,N,N,N,,Y,0,"10,000,000,000.00","10,000,000,000.00",0,3,3,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,122326,801-62511,"ALTAVISTA WEALTH MANAGEMENT, INC.","ALTAVISTA WEALTH MANAGEMENT, INC.","TWO TOWN SQUARE BOULEVARD, SUITE 315",,ASHEVILLE,NC,UNITED STATES,28803,828-684-2600,828-684-2680,,,,,,,Approved,11/10/2003,3/22/2010,Y,WWW.ALTAVISTAWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"233,046,390.00","140,412.00","233,186,802.00",534,3,537,Y,Y,N,Y,Y,Y,Y,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138740,801-65936,"ARIS CAPITAL MANAGEMENT, LLC","ARIS CAPITAL MANAGEMENT, LLC",152 WEST 57TH STREET,19TH FLOOR,NEW YORK,NY,UNITED STATES,10019,646-747-0100,212-310-0141,,,,,,,Approved,1/24/2006,3/22/2010,Y,WWW.ARISCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"207,000,000.00",0,"207,000,000.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR OTHER POOLED INVESTMENT VEHICLES.,,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,121180,801-64499,"N.D. PITMAN & COMPANY, INC.","N.D. PITMAN & COMPANY, INC.",3800 AIRPORT BLVD,SUITE 306,MOBILE,AL,USA,36608,251.345.7748,251.345.7702,,,,,,,Approved,7/12/2005,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"7,139,312.00","97,310,701.00","104,450,013.00",64,172,236,Y,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,131129,801-69619,ABG CONSULTANTS,"ABG CONSULTANTS, LC",3200 SOUTH 700 EAST,SUITE 200,SALT LAKE CITY,UT,UNITED STATES,84106-1641,801-486-5069,801-486-5063,,,,,,,Approved,10/2/2008,3/22/2010,Y,WWW.CONSULTABG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"56,605,815.00","56,605,815.00",0,62,62,N,Y,N,Y,Y,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,120865,801-61270,"NORTHROAD CAPITAL MANAGEMENT, LLC","NORTHROAD CAPITAL MANAGEMENT, LLC",530 FIFTH AVENUE,3RD FLOOR,NEW YORK,NY,UNITED STATES,10036,212-302-9500,212-302-0098,,,,,,,Approved,6/20/2002,3/22/2010,Y,WWW.NRCM.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,More than 500,"2,000",11-25 percent,11-25 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"905,176,617.00",0,"905,176,617.00","1,833",0,"1,833",N,Y,N,Y,N,N,N,N,N,Y,PROVIDE MODEL PORTFOLIOS TO UMA/MBSMA PROGRAMS,,,N,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,132844,801-63560,"NFC INVESTMENTS, LLC","NFC INVESTMENTS, LLC",CLARK CENTRE,"5101 WHEELIS DR., STE #207",MEMPHIS,TN,UNITED STATES,38117,901-767-5576,901-767-1301,,,,,,,Approved,10/7/2004,3/22/2010,Y,WWW.NFCINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"290,000,000.00","9,000,000.00","299,000,000.00",70,23,93,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,136462,801-64559,"AON RETIREMENT PLAN ADVISORS, LLC","AON RETIREMENT PLAN ADVISORS, LLC",3565 PIEDMONT ROAD NE,"1 PIEDMONT CENTER, SUITE 600",ATLANTA,GA,UNITED STATES,30305,877.482.1815,404.240.6079,,,,,,,Approved,8/10/2005,3/22/2010,Y,HTTP://WWW.AONFIS.COM/,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,26-50 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,PERCENTAGE OF ASSETS ON WHICH WE CONSULT,N,0,0,0,0,0,0,Y,N,N,N,Y,Y,Y,N,N,Y,SUBADVISE TO SUPPORT INVESTMENT CONSULTING SERVICES FOR OTHER AON INVESTMENT ADVISOR(S),26-50,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N
CHRO,115071,801-63137,"WALRUS PARTNERS, LLC","WALRUS PARTNERS, LLC",5020 COLONIAL DRIVE,,GOLDEN VALLEY,MN,UNITED STATES,55416-1105,763-595-7074,763-595-7076,8014 OLSON MEMORIAL HWY,# 232,MINNEAPOLIS,MN,UNITED STATES,55427-4712,Approved,5/7/2004,3/22/2010,Y,WWW.WALRUSPARTNERS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"27,500,000.00",0,"27,500,000.00",41,0,41,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105770,801-35231,HYATT CAPITAL MANAGEMENT,HYATT GARY LEE,1515 WEST CHESTER PIKE B3,,WEST CHESTER,PA,UNITED STATES,19382,610-696-6900,610-430-6581,,,,,,,Approved,9/28/1989,3/22/2010,Y,WWW.HYATTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"32,879,605.00",0,"32,879,605.00",129,0,129,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104846,801-35421,BRINTON EATON,BRINTON EATON ASSOCIATES INC,"ONE GIRALDA FARMS, SUITE 130",,MADISON,NJ,UNITED STATES,7940,973-984-3352,973-292-0003,,,,,,,Approved,11/2/1989,3/22/2010,Y,WWW.BRINTONEATON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"560,725,737.00",0,"560,725,737.00",845,0,845,Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108264,801-46523,WINSTON ADVISORS INC,WINSTON ADVISORS INC,200 TECHNECENTER DR,SUITE 200,MILFORD,OH,USA,45150,513-831-9393,513-831-9422,,,,,,,Approved,5/17/1994,3/22/2010,Y,HTTP://WWW.WINADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"51,810,971.00","43,185,504.00","94,996,475.00",107,1,108,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,141408,801-67383,"SIEBELS ASSET MANAGEMENT, LTD","SIEBELS ASSET MANAGEMENT, LTD","LYFORD CAY CENTRE, LYFORD CAY",,NASSAU,,BAHAMAS,N-7776,242-362-6400 EXT:25,242-362-6402,,,,,,,Approved,2/27/2007,3/22/2010,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"BAHAMAS, THE",10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"133,642,000.00",0,"133,642,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MGT FOR HEDGE FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112611,801-15642,"SENTINEL MANAGEMENT GROUP, INC.","SENTINEL MANAGEMENT GROUP, INC.",EDENS CORPORATE CENTER,650 DUNDEE ROAD STE 460,NORTHBROOK,IL,USA,60062,847-412-4400,847-412-4409,,,,,,,Approved,12/5/1980,3/28/2007,Y,WWW.SENTGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,WIRE FEES; OVERDRAFT FEES AT PRIME PLUS 2%,Y,"1,585,013,799.00",0,"1,585,013,799.00",180,0,180,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109126,801-56348,JOHNSTON LEMON ASSET MANAGEMENT INC,JOHNSTON LEMON ASSET MANAGEMENT INC,"1101 VERMONT AVENUE, SUITE 800",,WASHINGTON,DC,UNITED STATES,20005,202-842-5506,202-842-7184,,,,,,,Approved,3/29/1999,3/22/2010,Y,WWW.JOHNSTONLEMON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"242,500,000.00",0,"242,500,000.00",220,0,220,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,129679,801-62586,DEAN FINANCIAL SERVICES,"DEAN FINANCIAL SERVICES, LLC",2200 KETTERING TOWER,,DAYTON,OH,UNITED STATES,45423,937-222-9531,937-227-9315,,,,,,,Approved,1/2/2004,3/22/2010,Y,WWW.CHDEAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"247,572,807.00","247,572,807.00",0,367,367,Y,Y,N,N,Y,Y,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,473,801-68783,"JOHNSTON, LEMON & CO. INC.","JOHNSTON, LEMON & CO. INC.","1101 VERMONT AVENUE, NW",SUITE 800,WASHINGTON,DC,UNITED STATES,20005,202-842-5618,202-842-7184,,,,,,,Approved,2/7/2008,3/22/2010,Y,WWW.JOHNSTONLEMON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"41,127,902.00","41,127,902.00",0,137,137,N,Y,N,N,N,N,N,N,N,N,,,,N,N,Y,N,N,N,Y,N,Y,JOHNSTON LEMON ASSET MANAGEMENT (RIA),N,N,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
HQ,118597,801-60857,CONCORDIA ADVISORS (BERMUDA) LTD.,CONCORDIA ADVISORS (BERMUDA) LTD.,"C/O CODAN, CLARENDON HOUSE",2 CHURCH STREET,HAMILTON,,BERMUDA,HM11,441-295-5950,,,,,,,,Approved,1/25/2002,3/22/2010,Y,WWW.CONCORDIAFUNDS.COM,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,BERMUDA,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"608,027,535.00",0,"608,027,535.00",6,0,6,N,N,N,N,N,Y,N,N,N,Y,PORTFOLIO MANAGER OF HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
LARO,135696,801-69543,"RG CAPITAL INVESTMENT ADVISORY SERVICES, LLC","RG CAPITAL INVESTMENT ADVISORY SERVICES, LLC",4800 NORTH SCOTTSDALE ROAD,SUITE 2400,SCOTTSDALE,AZ,USA,85251,480-612-6400,480-612-6401,,,,,,,Approved,9/8/2008,3/22/2010,Y,WWW.RGCAPITAL-IAS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,THIRD-PARTY ADVISORY FEES,Y,0,"213,000,000.00","213,000,000.00",0,"1,175","1,175",Y,Y,N,N,Y,Y,N,N,N,Y,BUSINESS CONSULTING,51-100,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,146622,801-69079,PARITER WEALTH MANAGEMENT GROUP LLC,PARITER WEALTH MANAGEMENT GROUP LLC,243 CARRETERA #2,,GUAYNABO,PR,UNITED STATES,00966-1915,787-781-2555,787-781-2612,P.O. BOX 11852,,SAN JUAN,PR,UNITED STATES,00922-1852,Approved,4/30/2008,9/29/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PR,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"37,000,000.00",0,"37,000,000.00",15,0,15,Y,Y,N,N,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110657,801-31713,"COMMONFUND CAPITAL, INC.","COMMONFUND CAPITAL, INC.",15 OLD DANBURY ROAD,,WILTON,CT,USA,06897-0812,203-563-5000,203-563-5581,15 OLD DANBURY ROAD,P.O. BOX 812,WILTON,CT,USA,06897-0812,Approved,4/15/1988,9/29/2009,Y,WWW.COMMONFUND.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"4,229,759,475.00",0,"4,229,759,475.00",36,0,36,N,N,N,N,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT OF POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,112935,801-56236,TRACS FINANCIAL,"FLYNN, JEFFERY, BENJAMIN",,,,,,,435-649-8277,435-655-0265,,,,,,,Approved,1/27/1999,9/29/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,,Y,N,Y,N,N,N,Y,CONSULTING,Y,0,"51,616,512.00","51,616,512.00",0,9,9,N,N,N,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110926,801-13834,COPLEY FINANCIAL SERVICES CORP,COPLEY FINANCIAL SERVICES CORP,381 PLEASANT STREET,2ND FLOOR,FALL RIVER,MA,UNITED STATES,2721,508-674-8459,508672-9348,,,,,,,Approved,6/2/1978,9/29/2009,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"58,530,242.00",0,"58,530,242.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123340,801-61558,"ICG ADVISORS, LLC","ICG ADVISORS, LLC",42 HASKELL DRIVE,,BRATENAHL,OH,USA,44108,216-470-6327,,,,,,,,Approved,10/25/2002,5/19/2003,N,,N,Y,N,N,N,N,N,N,N,N,,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"36,658,583.00","36,658,583.00",0,31,31,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,112538,801-62722,"FALCO FINANCIAL SERVICES, INC.","FALCO FINANCIAL SERVICES, INC.",1110 CIRCLE DRIVE,SUITE 100,SCOTTSBLUFF,NE,UNITED STATES,69361,308-632-4146,308-632-6140,,,,,,,Approved,1/30/2004,4/8/2010,Y,WWW.FALCO-FINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"39,304,552.00",0,"39,304,552.00",406,0,406,Y,Y,N,Y,Y,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,153825,801-71553,VII PEAKS CAPITAL LLC,VII PEAKS CAPITAL LLC,150 CALIFORNIA ST,21ST FLOOR,SAN FRANCISCO,CA,UNITED STATES,94111,415.216.2104,415.956.4192,,,,,,,120-Day Approval,6/29/2010,6/18/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,107727,801-45185,KELMAN LAZAROV INC,KELMAN LAZAROV INC,"5100 POPLAR AVE, STE 3105",,MEMPHIS,TN,USA,38137,901-685-8284,901-685-8013,,,,,,,Approved,12/7/1993,6/18/2010,Y,WWW.KELMAN-LAZAROV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"148,104,193.00","12,326,567.00","160,430,760.00",490,119,609,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,142502,801-67762,CONSTELLATION WEALTH ADVISORS LLC,CONSTELLATION WEALTH ADVISORS LLC,505 FIFTH AVE,19TH FLOOR,NEW YORK,NY,UNITED STATES,10017-3808,212-697-2500,212-661-4716,,,,,,,Approved,4/9/2007,6/18/2010,Y,WWW.CONSTELLATIONWA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,5-Jan,0,251-500,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"1,947,527,157.00",0,"1,947,527,157.00","1,190",0,"1,190",Y,Y,N,Y,N,Y,N,N,N,Y,ASSET ADVISORY SERVICES,101-250,,Y,Y,Y,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,11085,801-22856,"ATALANTA SOSNOFF MANAGEMENT, LLC","ATALANTA SOSNOFF MANAGEMENT, LLC",101 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10178,[212] 867-5000,[212] 922-1820,,,,,,,Approved,11/28/1984,6/18/2010,Y,WWW.ATALANTASOSNOFF.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,300",26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,UMA,Y,N,N,N,N,N,N,,Y,"5,685,000,000.00","470,000,000.00","6,155,000,000.00","1,307",7,"1,314",N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150988,801-70524,ELLIS CAPITAL MANAGEMENT,"ELLIS CAPITAL MANAGEMENT, INC.",221 W. WEBSTER AVE.,SUITE 400,MUSKEGON,MI,UNITED STATES,49440,231-728-2406,231-728-0177,,,,,,,Approved,9/10/2009,6/18/2010,Y,WWW.ELLISMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"37,125,307.00",0,"37,125,307.00",100,0,100,Y,Y,N,N,N,Y,N,N,N,Y,TRUST MGMT AND ESTATE ADMINISTRATION,0,,N,N,N,N,N,N,N,N,Y,INDEPENDENT TRUSTEE,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,145917,801-68708,LAMBERT ADVISORS,"LAMBERT ADVISORS, LLC",290 KING OF PRUSSIA ROAD,"RADNOR STATION BUILDING #1, SUITE 310",RADNOR,PA,UNITED STATES,19087,610-688-1107,610-688-4711,,,,,,,Approved,1/8/2008,6/18/2010,Y,WWW.LAMBERTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"56,117,438.00",0,"56,117,438.00",92,0,92,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,147598,801-69639,RUFFER LLP,RUFFER LLP,80 VICTORIA STREET,,LONDON,,UNITED KINGDOM,SW1E 5JL,00 4420 7963 8100,00 4420 7963 8175,,,,,,,Approved,10/27/2008,6/18/2010,Y,WWW.RUFFER.CO.UK,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,51-250,0,Nov-50,0,0,0,0,0,25-Nov,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,DEALING CHARGES,Y,"43,000,000.00",0,"43,000,000.00",14,0,14,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N
BRO,143873,801-68051,MICHAEL A. SCHREIBER & ASSOCIATES,"SCHREIBER, MICHAEL ALAN",10 LAUREL AVE.,SUITE 350,WELLESLEY HILLS,MA,UNITED STATES,2481,781-239-1180,781-431-1958,,,,,,,Approved,6/21/2007,6/18/2010,Y,WWW.SCHREIBERANDASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SHARE IN THIRD PARTY MANAGER FEES,Y,"120,000,000.00","10,000,000.00","130,000,000.00",135,50,185,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110788,801-25126,VALLEY NATIONAL ADVISERS INC,VALLEY NATIONAL ADVISERS INC,1605 VALLEY CENTER PARKWAY,SUITE 160,BETHLEHEM,PA,UNITED STATES,18017,610-868-9000,610-868-9900,,,,,,,Approved,8/30/1985,6/18/2010,Y,VALLEYNATIONALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"157,922,630.00","77,563,980.00","235,486,610.00",850,93,943,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,Y,Y,N,N,Y,Y,N,,N,N,N,Y,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110296,801-21051,BAILLIE GIFFORD OVERSEAS LTD,BAILLIE GIFFORD OVERSEAS LTD,CALTON SQUARE,1 GREENSIDE ROW,"EDINBURGH, SCOTLAND",,UNITED KINGDOM,EH1 3AN,011 44 131 275 2000,011 44 131 275 3999,,,,,,,Approved,4/27/1984,6/18/2010,Y,WWW.BAILLIEGIFFORD.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,501-1000,0,51-250,0,0,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,11-25 percent,51-75 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,FAMILY OFFICE,Y,N,N,N,N,Y,N,,Y,"50,024,520,000.00",0,"50,024,520,000.00",126,0,126,N,N,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR FAMILY OFFICE CLIENTS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111039,801-32681,LVM CAPITAL MANAGEMENT LTD,LVM CAPITAL MANAGEMENT LTD,7840 MOORSBRIDGE ROAD,,PORTAGE,MI,UNITED STATES,49024,269-321-8120,269-321-8126,,,,,,,Approved,8/15/1988,6/18/2010,Y,WWW.LVMCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,101-250,0,0 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"310,247,379.00","14,849,035.00","325,096,414.00",626,16,642,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107771,801-55370,BRICK & KYLE ASSOCIATES INC,BRICK & KYLE ASSOCIATES INC,905 MT EYRE RD,,NEWTOWN,PA,UNITED STATES,18940,215-493-4933,215-493-8002,,,,,,,Approved,4/14/1998,6/18/2010,Y,WWW.CANIAFFORDTORETIRE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"120,637,000.00",0,"120,637,000.00",244,0,244,Y,Y,N,N,N,N,Y,N,N,N,,101-250,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110754,801-36109,MESIROW ADVANCED STRATEGIES INC,MESIROW ADVANCED STRATEGIES INC,353 N. CLARK STREET,,CHICAGO,IL,UNITED STATES,60654,312-595-7300,312-595-7307,,,,,,,Approved,3/2/1990,6/18/2010,Y,WWW.MESIROWFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,Nov-50,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,MANAGED ACCOUNTS,Y,N,N,N,N,Y,N,,Y,"12,164,000,000.00","369,000,000.00","12,533,000,000.00",53,2,55,N,Y,N,Y,N,N,N,N,N,Y,HEDGE FUND OF FUNDS MANAGER,,,N,N,N,N,Y,N,N,N,N,,N,N,N,Y,N,Y,Y,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,152672,801-71028,ADONDO CAPITAL,ADONDO CORPORATION,353 WEST LANCASTER AVE.,SUITE 120,WAYNE,PA,UNITED STATES,19087,610-964-3400,610-964-2585,,,,,,,Approved,1/19/2010,6/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,HEDGE FUND,Y,N,N,N,N,Y,N,,Y,"41,117,000.00",0,"41,117,000.00",2,0,2,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,132242,801-63386,ODLUM BROWN USA INVESTMENT MANAGEMENT LIMITED,ODLUM BROWN USA INVESTMENT MANAGEMENT LIMITED,1100-250 HOWE STREET,,"VANCOUVER, BRITISH COLUMBIA",,CANADA,V6C 3S9,1-866-636-8222,604-844-5342,,,,,,,Approved,8/20/2004,6/18/2010,Y,WWW.ODLUMBROWNUSA.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"BRITISH COLUMBIA, CANADA",Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"45,476,396.00",0,"45,476,396.00",142,0,142,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,141469,801-69637,DAAT ASSET MANAGEMENT,DAAT ASSET MANAGEMENT,2660 TOWNSGATE ROAD,SUITE 740A,WESTLAKE VILLAGE,CA,UNITED STATES,91361,818-483-0700,818-483-0714,,,,,,,Approved,10/2/2008,6/18/2010,Y,WWW.DAAT.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,Y,REFERRAL FEES,Y,"23,438,000.00","1,825,000.00","25,263,000.00",146,8,154,N,Y,N,Y,N,Y,N,N,Y,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
NYRO,43771,801-63087,TOBIAS BROS. INC.,TOBIAS BROS. INC.,"623 FIFTH AVE., 25TH FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-251-3200,212-251-3225,,,,,,,Approved,5/7/2004,6/18/2010,Y,WWW.SESPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,TWO SEPARATELY MANAGED ACCOUNTS,Y,N,N,N,N,Y,N,,Y,"79,000,000.00",0,"79,000,000.00",8,0,8,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT TO TWO SEPARATELY MANAGED ACCOUNTS AND SIX PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,127773,801-62259,IRON CAPITAL ADVISORS INC.,IRON CAPITAL ADVISORS INC.,3355 LENOX RD,SUITE 925,ATLANTA,GA,USA,30326,678-805-0518,678-805-0534,,,,,,,Approved,8/25/2003,6/18/2010,Y,WWW.IRONCAPITALADVISORS.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"23,885,949.00","2,223,176,534.00","2,247,062,483.00",90,12,102,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138859,801-70024,"WESLEY CAPITAL MANAGEMENT, LLC","WESLEY CAPITAL MANAGEMENT, LLC","717 FIFTH AVENUE, 14TH FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-421-7002,212-421-7012,,,,,,,Approved,3/30/2009,6/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"680,990,000.00",0,"680,990,000.00",8,0,8,N,N,N,Y,N,N,N,N,N,Y,PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,148503,801-69820,CRISTATA WEALTH SOLUTIONS,"CRISTATA WEALTH SOLUTIONS, LLC",,,,,,,410-480-1900,410-480-1902,PO BOX 329,,WOODSTOCK,MD,UNITED STATES,21163-0329,Approved,1/5/2009,7/19/2010,Y,WWW.CRISTATAWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"24,123,801.00","22,852,774.00","46,976,575.00",178,9,187,N,Y,N,Y,N,Y,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,118070,801-69763,"HOWARD CAPITAL MANAGEMENT, INC.","HOWARD CAPITAL MANAGEMENT, INC.",555 SUNVALLEY DRIVE #B4,,ROSWELL,GA,UNITED STATES,30076,770-642-4902,770-642-4906,,,,,,,Approved,12/15/2008,7/19/2010,Y,WWW.HOWARDCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,10-Jun,0,More than 500,500,51-75 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,Y,N,N,Y,N,,Y,"165,850,000.00",0,"165,850,000.00",570,0,570,N,Y,N,Y,Y,N,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111505,801-60097,"FIRST COMMONWEALTH FINANCIAL ADVISORS, INC.","FIRST COMMONWEALTH FINANCIAL ADVISORS, INC.",1001 VILLAGE RUN ROAD,,WEXFORD,PA,UNITED STATES,15090,724-933-4515,724-933-4531,,,,,,,Approved,3/16/2001,5/27/2010,N,,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"126,542,750.00","126,542,750.00",0,146,146,Y,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111116,801-56383,"ABG PORTFOLIO STRATEGIES, INC.","ABG PORTFOLIO STRATEGIES, INC.",30100 TELEGRAPH RD,STE 100,BINGHAM FARMS,MI,USA,48025,248-540-5300,248-540-5318,,,,,,,Approved,4/9/1999,7/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"365,189,477.00","365,189,477.00",0,150,150,N,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147662,801-69500,CHICAGO PARTNERS INVESTMENT GROUP LLC,CHICAGO PARTNERS INVESTMENT GROUP LLC,227 WEST MONROE STREET,SUITE 3910,CHICAGO,IL,UNITED STATES,60606,312 284 6363,312 275 7885,,,,,,,Approved,8/14/2008,7/19/2010,Y,WWW.CHICAGOPARTNERSLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,NON FOR PROFIT,Y,N,N,Y,N,N,N,,Y,"620,019.00","484,074,275.00","484,694,294.00",2,74,76,Y,Y,N,Y,N,Y,N,N,N,Y,401K PLAN OPTION REVIEW & MONITORING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,115079,801-70632,HBK CAPITAL MANAGEMENT,HBK INVESTMENTS L.P.,2101 CEDAR SPRINGS ROAD,SUITE 700,DALLAS,TX,UNITED STATES,75201-7849,214-758-6107,214-758-1207,,,,,,,Approved,10/19/2009,7/19/2010,Y,WWW.HBK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,51-250,0,51-250,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,959,248,000.00",0,"4,959,248,000.00",6,0,6,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,148152,801-71056,"SKYBRIDGE CAPITAL II, LLC","SKYBRIDGE CAPITAL II, LLC",527 MADISON AVENUE,16TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-485-3100,212-485-3137,,,,,,,Approved,2/8/2010,7/19/2010,Y,HTTP://WWW.SKYBRIDGECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,Nov-50,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"2,567,000,000.00","5,000,000,000.00","7,567,000,000.00",16,2,18,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,149247,801-70163,BANQUO CREDIT MANAGEMENT LLP,BANQUO CREDIT MANAGEMENT LLP,70 GRACECHURCH STREET,5TH FLOOR,LONDON,,UNITED KINGDOM,EC3V 0XL,+44 207 743 8080,+44 207 743 8008,,,,,,,Approved,5/1/2009,7/19/2010,Y,WWW.BANQUOCREDIT.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,26-50 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,090,000,000.00",0,"1,090,000,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,110676,801-24716,NEWSOUTH CAPITAL MANAGEMENT INC,NEWSOUTH CAPITAL MANAGEMENT INC,1100 RIDGEWAY LOOP RD,SUITE 444,MEMPHIS,TN,UNITED STATES,38120-4058,901-761-5561,901-761-5699,,,,,,,Approved,6/21/1985,7/19/2010,Y,WWW.NEWSOUTHCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,186,672,766.00",0,"1,186,672,766.00",196,0,196,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,127751,801-62455,"POLARIS EQUITY MANAGEMENT, INC.","POLARIS EQUITY MANAGEMENT, INC.",601 MONTGOMERY STREET,SUITE 700,SAN FRANCISCO,CA,USA,94111,415-263-5600,415-263-8909,,,,,,,Approved,10/24/2003,7/19/2010,Y,WWW.POLARISEQUITY.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,10-Jun,0,0,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"180,107,161.00",0,"180,107,161.00",806,0,806,Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,134834,801-64350,WELLSPRING WEALTH MANAGEMENT LLC,WELLSPRING WEALTH MANAGEMENT LLC,2200  CENTURY PARKWAY,SUITE 750,ATLANTA,GA,UNITED STATES,30345,404-634-1998,404-634-9793,,,,,,,Approved,6/20/2005,7/19/2010,Y,WWW.WELLSPRINGGROUPLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SHARE IN FEE CHARGED BY SUB-ADVISER.,Y,"112,396,000.00",0,"112,396,000.00",319,0,319,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,153082,801-71155,"YOST CAPITAL MANAGEMENT, L.L.C.","YOST CAPITAL MANAGEMENT, L.L.C.",100 THROCKMORTON ST.,SUITE 510,FORT WORTH,TX,UNITED STATES,76102,817.350.6330,817.348.8088,,,,,,,Approved,3/12/2010,7/19/2010,Y,WWW.YOSTFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"46,849,547.00",0,"46,849,547.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLE,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108275,801-60164,PETTIGREW FINANCIAL CORPORATION,PETTIGREW FINANCIAL CORPORATION,,,,,,,916-596-9915,916-583-7566,P.O. BOX 4697,,VENTURA,CA,UNITED STATES,93007,Approved,4/5/2001,7/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"18,211,331.00","7,012,755.00","25,224,086.00",80,13,93,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,35844,801-53819,"CASCADE INVESTMENT GROUP, INC.","CASCADE INVESTMENT GROUP, INC.","90 S. CASCADE AVENUE, SUITE 1250",,COLORADO SPRINGS,CO,UNITED STATES,80903,719-632-0818,719-632-0887,,,,,,,Approved,2/10/1997,7/19/2010,Y,WWW.CIGINC.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,More than 500,500,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"119,900,596.00","3,782,173.00","123,682,769.00",727,19,746,Y,Y,N,Y,N,Y,N,N,N,Y,MERGERS & ACQUISITIONS,251-500,,N,Y,Y,Y,N,N,Y,N,Y,MERGERS & ACQUISTIONS,N,,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105714,801-29339,"SUMMIT WEALTH MANAGEMENT, INC",SUMMIT WEALTH MANAGEMENT,115 PERIMETER CENTER PLACE NE,SUITE 150,ATLANTA,GA,UNITED STATES,30346,770-391-5831,770-804-9171,,,,,,,Approved,5/4/1987,7/19/2010,Y,WWW.SWMRIA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,More than 500,600,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,FINANCIAL PLANNING,Y,"441,319,613.00","182,979,388.00","624,299,001.00","2,493",759,"3,252",Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,124540,801-64048,"RR ADVISORY GROUP, LLC","RR ADVISORY GROUP, LLC",1065 AVENUE OF THE AMERICAS,23RD FLOOR,NEW YORK,NY,USA,10018,212.869.5900,212.869.5911,,,,,,,Approved,3/21/2005,7/19/2010,Y,WWW.RRGRP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"200,595,271.00","60,450,805.00","261,046,076.00",599,145,744,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTING AND TAX PREPARATION,101-250,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105820,801-15834,SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC,SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC,"875 THIRD AVENUE, 22ND FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-641-3800,212-641-3804,,,,,,,Approved,12/31/1980,7/19/2010,Y,WWW.SCHRODERS/US.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,51-250,0,0,0,251-500,0,Up to 10 percent,26-50 percent,0 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,FOREIGN ENTITY,Y,N,N,N,N,Y,N,,Y,"18,182,838,139.00",0,"18,182,838,139.00",296,0,296,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,106585,801-37163,SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD,SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD,31 GRESHAM STREET,,LONDON,,UNITED KINGDOM,EC2V 7QA,+44 (0)20 7658 6000,+44 (0)20 7658 6965,,,,,,,Approved,9/14/1990,7/19/2010,Y,WWW.SCHRODERS.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,251-500,0,51-250,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,26-50 percent,11-25 percent,26-50 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"17,025,798,414.00",0,"17,025,798,414.00",53,0,53,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,152404,801-70969,SAMMONS ADVISOR SERVICES,"SAMMONS SECURITIES, INC.",525 W VAN BUREN 12TH FLOOR,,CHICAGO,IL,UNITED STATES,60607,312-648-7708,312-648-7778,,,,,,,Approved,1/6/2010,7/19/2010,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,More than 500,"1,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,INDIRECTLY PAID BY AFFILIATED ISSUER OF VARIABLE INSURANCE PRODU,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,ASSET ALLOCATION ADVICE TO OWNERS OF VARIABLE INSURANCE PRODUCTS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N
LARO,121876,801-61379,"NWQ INVESTMENT MANAGEMENT COMPANY, LLC","NWQ INVESTMENT MANAGEMENT COMPANY, LLC",2049 CENTURY PARK EAST,19TH FLOOR,LOS ANGELES,CA,UNITED STATES,90067,310-712-4000,310-712-4100,,,,,,,Approved,8/1/2002,7/19/2010,Y,WWW.NWQ.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,More than 500,"34,500",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,EDUCATIONAL INSTITUTIONS,Y,N,N,N,N,Y,N,,Y,"19,624,100,000.00",0,"19,624,100,000.00","34,715",0,"34,715",N,Y,Y,Y,N,N,N,N,N,Y,PRIVATE FUNDS,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105033,801-36476,GARDNER LEWIS ASSET MANAGEMENT LP,GARDNER LEWIS ASSET MANAGEMENT LP,285 WILMINGTON WEST CHESTER PIKE,,CHADDS FORD,PA,USA,19317-9039,610-558-2800,610-558-4839,,,,,,,Approved,4/2/1990,7/19/2010,Y,WWW.GARDNERLEWIS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,PA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,0 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,027,955,536.00",0,"4,027,955,536.00",211,0,211,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109972,801-57782,WIPFLI HEWINS INVESTMENT ADVISORS LLC,WIPFLI HEWINS INVESTMENT ADVISORS LLC,400 SOUTH EL CAMINO REAL,STE 800,SAN MATEO,CA,UNITED STATES,94402,650-620-3040,650-372-0813,,,,,,,Approved,7/20/2000,7/19/2010,Y,WWW.WIPFLIHEWINS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"211,217,000.00","422,619,000.00","633,836,000.00",957,243,"1,200",Y,Y,N,Y,N,Y,N,N,N,Y,MATTERS NOT INVOLVING SECURITIES,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,152499,801-71204,AMERICAN ELITE RETIREMENT,"AMERICAN ELITE RETIREMENT, LLC",5700 UNIVERSITY AVE.,SUITE 250,WEST DES MOINES,IA,UNITED STATES,50266,515-274-9190,515-224-6849,,,,,,,120-Day Approval,3/11/2010,7/19/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,IA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111614,801-62125,"ADVICEONE ADVISORY SERVICES, LLC","ADVICEONE ADVISORY SERVICES, LLC",95 GLASTONBURY BLVD.,,GLASTONBURY,CT,USA,6033,860-659-4900,860-659-4909,,,,,,,Approved,6/10/2003,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,More than 500,786,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"262,410,509.00",0,"262,410,509.00","1,951",0,"1,951",Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,121469,801-69360,MONTGOMERY FINANCIAL ADVISORS LLC,MONTGOMERY FINANCIAL ADVISORS LLC,,,,,,,908-359-7414,908-359-7889,,,,,,,Approved,7/31/2008,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"28,270,250.00",0,"28,270,250.00",158,0,158,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105399,801-27724,MARVIN & PALMER ASSOCIATES,MARVIN & PALMER ASSOCIATES,"1201 N MARKET STREET, STE 2300",,WILMINGTON,DE,UNITED STATES,19801-1165,302-573-3570,302-573-8921,,,,,,,Approved,8/29/1986,3/23/2010,Y,MARVINANDPALMER.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,10-Jun,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,51-75 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,MODEL PORTFOLIO,Y,"5,862,916,790.00",0,"5,862,916,790.00",63,0,63,N,Y,Y,Y,N,N,N,N,N,Y,MGT FOR FUNDS/MODEL PORTFOLIOS,,,N,N,N,Y,N,N,N,N,N,,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,141087,801-66946,"HARCH CAPITAL MANAGEMENT, LLC","HARCH CAPITAL MANAGEMENT, LLC",751 PARK OF COMMERCE DRIVE,SUITE 118,BOCA RATON,FL,UNITED STATES,33487,561-226-6199,561-995-4946,,,,,,,Approved,7/12/2006,3/23/2010,Y,WWW.HARCHCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,"CLO'S, BROKER-DEALER",Y,N,Y,N,N,Y,N,,Y,"986,237,235.00",0,"986,237,235.00",13,0,13,N,N,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108756,801-57495,"STRUCTURED PORTFOLIO MANAGEMENT, L.L.C","STRUCTURED PORTFOLIO MANAGEMENT, L.L.C",CLEARWATER HOUSE,2187 ATLANTIC ST 4TH FL,STAMFORD,CT,USA,6902,203-351-2870,203-351-2879,,,,,,,Approved,4/18/2000,3/23/2010,Y,WWW.SPMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"974,112,813.00",0,"974,112,813.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,1075,801-8074,AMERICAN UNITED LIFE INSURANCE COMPANY,AMERICAN UNITED LIFE INSURANCE COMPANY,ONE AMERICAN SQUARE,,INDIANAPOLIS,IN,UNITED STATES,46282,317-285-1588,317-285-1470,P.O. BOX 368,,INDIANAPOLIS,IN,UNITED STATES,46282,Approved,12/9/1971,3/23/2010,Y,WWW.AUL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,More than 1000,"1,000",Nov-50,0,5-Jan,0,501-1000,0,More than 500,"8,000",51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"2,792,555,222.00",0,"2,792,555,222.00","9,821",0,"9,821",N,N,Y,N,Y,N,N,N,N,Y,THIRD PARTY INVESTMENT ADVISER SERVICES AND PRIVATE PLACEMENT CO-PARTICIPATION,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
NYRO,150798,801-70410,RIVERPARK CAPITAL MANAGEMENT LLC,RIVERPARK CAPITAL MANAGEMENT LLC,"156 WEST 56TH STREET, 17TH FLOOR",,NEW YORK,NY,UNITED STATES,10019,212-484-2100,212-484-2151,,,,,,,Approved,7/30/2009,3/23/2010,Y,WWW.RIVERPARKLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"28,604,202.00",0,"28,604,202.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS AND OTHER MANAGED ACCOUNTS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,130549,801-62806,"SPM III, L.L.C.","SPM III, L.L.C.",CLEARWATER HOUSE,"2187 ATLANTIC STREET, 4TH FLOOR",STAMFORD,CT,USA,6902,203-351-2870,203-351-2879,,,,,,,Approved,2/26/2004,3/23/2010,Y,WWW.SPMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"603,888,427.00",0,"603,888,427.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,141581,801-67144,"SPM PRODUCTS, L.L.C.","SPM PRODUCTS, L.L.C.","CLEARWATER HOUSE, 2187 ATLANTIC STREET",4TH FLOOR,STAMFORD,CT,USA,6902,203-351-2870,203-351-2879,,,,,,,Approved,9/20/2006,3/23/2010,Y,WWW.SPMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"699,401,946.00",0,"699,401,946.00",7,0,7,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,125853,801-61935,"SPM JR., L.L.C.","SPM JR., L.L.C.","CLEARWATER HOUSE, 2187 ATLANTIC STREET",4TH FLOOR,STAMFORD,CT,USA,6902,203-351-2870,203-351-2879,,,,,,,Approved,4/3/2003,3/23/2010,Y,WWW.SPMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"177,435,175.00",0,"177,435,175.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,123105,801-66429,"JOHNSON WEALTH MANAGEMENT, LLC","JOHNSON WEALTH MANAGEMENT, LLC",322 DEMERS AVENUE,SUITE 200,GRAND FORKS,ND,UNITED STATES,58201,701-746-8310,701-746-6101,,,,,,,Approved,9/26/2006,3/23/2010,Y,WWW.JOHNSONWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,ND,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"36,773,630.00","6,238,130.00","43,011,760.00",211,6,217,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,134249,801-63939,RMB CAPITAL MANAGEMENT,"RMB CAPITAL MANAGEMENT, LLC","115 S. LASALLE, 34TH FLOOR",,CHICAGO,IL,USA,60603,312-993-5800,312-993-5801,,,,,,,Approved,2/15/2005,3/23/2010,Y,WWW.RMBCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,LIMITED PARTNERSHIPS,Y,N,N,Y,N,Y,N,,Y,"1,453,109,998.00","160,825,236.00","1,613,935,234.00","6,084",909,"6,993",Y,Y,N,Y,N,Y,Y,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,131898,801-63231,"TYGH CAPITAL MANAGEMENT, INC.","TYGH CAPITAL MANAGEMENT, INC.",1211 SW FIFTH AVENUE,SUITE 2100,PORTLAND,OR,USA,97204,503-972-0150,503-972-0130,,,,,,,Approved,6/9/2004,3/23/2010,Y,WWW.TYGHCAP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,859,188,961.00",0,"2,859,188,961.00",89,0,89,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105083,801-23441,YORKTOWN MANAGEMENT AND RESEARCH CO INC,YORKTOWN MANAGEMENT AND RESEARCH CO INC,2303 YORKTOWN AVE,,LYNCHBURG,VA,UNITED STATES,24501-2146,434-846-1361,434-846-1837,,,,,,,Approved,2/11/1985,3/23/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"177,840,229.00",0,"177,840,229.00",6,0,6,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108442,801-56321,STRAUS CAPITAL MANAGEMENT LLC,STRAUS CAPITAL MANAGEMENT LLC,"767 THIRD AVENUE, 21ST FLOOR",,NEW YORK,NY,UNITED STATES,10017,212-676-5640,212-676-5649,,,,,,,Approved,3/4/1999,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"122,000,000.00",0,"122,000,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109361,801-55878,BUFFINGTON MOHR MCNEAL,TBFM LLP,"802 WEST BANNOCK STREET, STE 100",,BOISE,ID,UNITED STATES,83702,208-338-5551,208-338-5552,,,,,,,Approved,9/14/1998,3/23/2010,Y,WWW.BMMRIA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,ID,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"244,431,231.00",0,"244,431,231.00",795,0,795,Y,Y,N,Y,N,Y,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112169,801-57849,"MILLER CAPITAL ADVISORY, INC.","MILLER CAPITAL ADVISORY, INC.",5750 OLD ORCHARD ROAD,SUITE 400,SKOKIE,IL,USA,60077,847-966-9600,847-966-9628,,,,,,,Approved,8/15/2000,3/23/2010,Y,MILLER-CAPITAL.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,"LIMITED LIABILITY COMPANIES, THE MEMBERS OF WHICH ARE INDIVIDUALS AND A PENSION PLAN",Y,N,N,N,N,N,Y,"NEGOTIATED % OF PURCHASE OR SALE PRICE, DEVELOPMENT FEES",Y,"3,022,610,651.00","13,652,164.00","3,036,262,815.00",1,1,2,N,N,N,N,Y,N,N,N,N,Y,"PORTFOLIO MANAGEMENT FOR LIMITED LIABILITY COMPANIES, THE MEMBERS OF WHICH ARE A PENSION FUND AND INDIVIDUALS",,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111861,801-55934,LWI FINANCIAL INC.,LWI FINANCIAL INC.,3055 OLIN AVE.,SUITE 2000,SAN JOSE,CA,UNITED STATES,95128-2067,408-260-3100,408-247-1108,,,,,,,Approved,9/25/1998,3/23/2010,Y,WWW.LORINGWARD.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,501-1000,0,More than 500,"15,500",26-50 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"4,962,363,333.00","4,962,363,333.00",0,"27,061","27,061",Y,Y,Y,Y,N,Y,Y,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,117449,801-66259,"PROSPERA INVESTMENT ADVISORS, LLC","PROSPERA INVESTMENT ADVISORS, LLC",601 W RIVERSIDE AVE,SUITE 700,SPOKANE,WA,UNITED STATES,99201,509-242-2319,509-363-8187,,,,,,,Approved,3/6/2006,3/23/2010,Y,WWW.PROSPERAWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,FEDERALLY RECOGNIZED INDIAN TRIBE,Y,Y,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"5,172,395.00","173,080,883.00","178,253,278.00",141,283,424,Y,Y,N,Y,Y,Y,N,N,N,Y,SEMINARS AND EDUCATIONAL WORKSHOPS,10-Jan,,N,Y,N,N,N,N,N,N,N,,Y,Y,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,138782,801-69109,"ARC STONE CAPITAL, LLC","ARC STONE CAPITAL, LLC",4 NORTH PARK DRIVE,SUITE 106,HUNT VALLEY,MD,UNITED STATES,21030,410-329-1516,410-329-1518,,,,,,,Approved,4/23/2008,3/23/2010,Y,WWW.ARCSTONECAPITAL.COM,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"3,780,000.00",0,"3,780,000.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLE,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,109439,801-55379,COUGAR GLOBAL INVESTMENTS,COUGAR GLOBAL INVESTMENTS LTD PTNSHP,357 BAY STREET,SUITE #1001,TORONTO,,CANADA,M5H 2T7,416-368-5255,416-368-7738,,,,,,,Approved,4/9/1998,3/23/2010,Y,WWW.COUGARGLOBAL.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Partnership,,,CANADA,Nov-50,0,5-Jan,0,0,0,Nov-50,0,More than 500,500,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,TRUSTS,Y,N,N,N,N,N,N,,Y,"226,203,090.00",0,"226,203,090.00",555,0,555,Y,Y,N,Y,N,N,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105866,801-35765,YOUNG RICHARD C & CO LTD,YOUNG RICHARD C & CO LTD,98 WILLIAM STREET,,NEWPORT,RI,UNITED STATES,2840,401-849-2137,401-849-0002,,,,,,,Approved,1/3/1990,3/23/2010,Y,WWW.YOUNGINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,RI,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"663,720,818.00",0,"663,720,818.00","1,057",0,"1,057",N,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115308,801-60796,"HERITAGE CAPITAL ADVISORS, LLC","HERITAGE CAPITAL ADVISORS, LLC",225 SOUTH SIXTH STREET,SUITE 4390,MINNEAPOLIS,MN,UNITED STATES,55402,612-372-0090,612-372-0091,,,,,,,Approved,12/21/2001,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"112,941,553.00",0,"112,941,553.00",97,0,97,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104998,801-31877,HUNTLEIGH BYRNE INVESTMENT ADVISORS INC,HUNTLEIGH BYRNE INVESTMENT ADVISORS INC,7800 FORSYTH BLVD.,,ST LOUIS,MO,UNITED STATES,63105,314-236-2400,314-236-2477,,,,,,,Approved,4/21/1988,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"47,838,000.00",0,"47,838,000.00",46,0,46,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107856,801-38764,"TANDEM CAPITAL MANAGEMENT, INC.",TANDEM CAPITAL MANAGEMENT CORP,50 TICE BOULEVARD,,WOODCLIFF LAKE,NJ,USA,7677,201-822-0028,201-391-7866,,,,,,,Approved,4/24/1991,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"66,490,490.00","430,550.00","66,921,040.00",178,6,184,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,110110,801-34341,"SCHAEFER FINANCIAL MANAGEMENT, INC.","SCHAEFER FINANCIAL MANAGEMENT, INC.",7700 EAST ARAPAHOE ROAD,SUITE 265,CENTENNIAL,CO,UNITED STATES,80112-6108,303-770-6700,303-770-1041,,,,,,,Approved,4/12/1989,3/23/2010,Y,WWW.SCHAEFER-FINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"314,374,568.00","314,374,568.00",0,291,291,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,151765,801-70985,CARBAHAL OLSEN FINANCIAL SERVICES GROUP LLC,CARBAHAL OLSEN FINANCIAL SERVICES GROUP LLC,1107 KENNEDY PLACE,SUITE 4,DAVIS,CA,UNITED STATES,95616,530-758-4921,530-758-1425,,,,,,,120-Day Approval,1/12/2010,3/23/2010,Y,WWW.CARBAHALOLSEN.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"33,650,413.00",0,"33,650,413.00",224,0,224,Y,Y,N,Y,N,Y,Y,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,127888,801-62278,"TECHNOLOGY INVESTMENT MANAGEMENT, LLC","TICC MANAGEMENT, LLC","8 SOUND SHORE DRIVE, SUITE 255",,GREENWICH,CT,UNITED STATES,6830,203-983-5275,203-983-5290,,,,,,,Approved,8/13/2003,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"225,340,000.00",0,"225,340,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,128780,801-69135,CREATIVE ASSET MANAGEMENT,FINANCIAL PLUS INC.T/A CREATIVE ASSET MANAGEMENT,,,,,,,609-259-7227,609-259-1573,PO BOX 667,,CLARKSBURG,NJ,UNITED STATES,8510,Approved,5/7/2008,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,0,"39,000,000.00","39,000,000.00",0,200,200,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,104584,801-56997,"BISCAYNE ADVISORS, INC.","BISCAYNE ADVISORS, INC.",2911 TURTLE CREEK BLVD.,SUITE 800,DALLAS,TX,USA,75219,214-219-1416,214-219-1917,,,,,,,Approved,11/24/1999,3/9/2009,Y,WWW.BISCAYNE-ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"140,749,994.00","839,143.00","141,589,137.00",34,2,36,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109074,801-54769,WEALTH MANAGEMENT LLC,WEALTH MANAGEMENT LLC,W6272 COMMUNICATION COURT,,APPLETON,WI,UNITED STATES,54914,920-731-3525,920-731-5698,,,,,,,Approved,8/1/1997,10/28/2009,Y,WWW.WEALTHMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"131,501,494.00",0,"131,501,494.00",447,0,447,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
HQ,119534,801-60977,ROSS SMITH ENERGY GROUP LTD.,ROSS SMITH ENERGY GROUP LTD.,"407 8TH AVENUE, S.W.",SUITE 400,CALGARY,,"ALBERTA, CANADA",T2P IE5,403-294-9111,403-294-9112,,,,,,,Approved,3/4/2002,10/28/2009,Y,WWW.RSEG.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,0 percent,0 percent,0 percent,51-75 percent,Up to 10 percent,11-25 percent,0 percent,11-25 percent,0 percent,0 percent,,N,N,Y,Y,N,N,Y,SEE SCHEDULE D-MISCELLANEOUS,N,0,0,0,0,0,0,N,N,N,Y,N,N,Y,Y,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137976,801-65692,FOUNDATION CAPITAL STRATEGIES LTD.,FOUNDATION CAPITAL STRATEGIES LTD.,32 PARLIAMENT STREET,,HAMILTON,,BERMUDA,HM11,441-295-5600,441-296-3209,SUITE 157 -  48 PAR LA VILLE ROAD,,HAMILTON,,BERMUDA,HM 11,Approved,1/27/2006,12/15/2005,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CAYMAN ISLANDS,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"174,000,000.00",0,"174,000,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,HEDGE FUND MANAGER,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,146937,801-69042,CHATHAM ADVISORS,"CHATHAM ADVISORS, LLC",280 SOUTH MANGUM STREET,SUITE 550,DURHAM,NC,UNITED STATES,27701,919-489-8181,919-489-8939,,,,,,,Approved,4/10/2008,3/26/2010,Y,WWW.CHATHAMADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,934,341.00",0,"34,934,341.00",135,0,135,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,151377,801-70871,ECP MENA MANAGEMENT LP,ECP MENA MANAGEMENT LP,1602 L STREET NW,6TH FLOOR,WASHINGTON,DC,UNITED STATES,20036,202-280-6200,202-331-8255,,,,,,,Approved,5/7/2010,4/5/2010,Y,WWW.ECPINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP (LP),DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"145,000,000.00",0,"145,000,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES TO PRIVATE POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,144572,801-68168,"DAVIS & WEHRLE, LLC","DAVIS & WEHRLE, LLC",7800 NORTH MOPAC,SUITE 130,AUSTIN,TX,UNITED STATES,78759,512-346-1131,512-346-8862,,,,,,,Approved,8/1/2007,4/5/2010,Y,WWW.DAVISWEHRLE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"32,976,677.00","30,370,780.00","63,347,457.00",184,11,195,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,115526,801-60630,HAMMOND INVESTMENT PLANNING CORPORATION,HAMMOND INVESTMENT PLANNING CORPORATION,4045 ORCHARD ROAD,SUITE 120,SMYRNA,GA,UNITED STATES,30080,770-226-5343,770-874-0929,,,,,,,Approved,10/12/2001,4/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"108,000,000.00",0,"108,000,000.00",100,0,100,Y,Y,N,N,Y,Y,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,148857,801-69762,THE MUTUAL FUND STORE,"THE MUTUAL FUND STORE-ROCHESTER, LLC",7301 COLLEGE BOULEVARD,SUITE 220,OVERLAND PARK,KS,UNITED STATES,66210,913-319-8100,913-319-8181,,,,,,,Approved,12/4/2008,4/5/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"43,107,292.00",0,"43,107,292.00",627,0,627,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,151892,801-70723,"NIKE INVESTMENT PARTNERS, LLC","NIKE INVESTMENT PARTNERS, LLC",114 68TH STREET,,VIRGINIA BEACH,VA,UNITED STATES,23451,757-336-8024,,,,,,,,Approved,10/26/2009,4/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"45,000,000.00",0,"45,000,000.00",134,0,134,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110570,801-55786,"PIM GESTION FRANCE, SA","PIM GESTION FRANCE, SA",14 RUE CAMBACERES,,PARIS,,FRANCE,75008,331.4028.1650,331.4028.0055,,,,,,,Approved,8/19/1998,4/5/2010,Y,WWW.PHILIPPE-GROUP.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,FRANCE,Nov-50,0,5-Jan,0,0,0,Nov-50,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"524,215,020.00",0,"524,215,020.00",7,0,7,N,N,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,109479,801-56787,TILLMAN HARTLEY LLC,TILLMAN HARTLEY LLC,HAILE VILLAGE CENTER,5346 SW 91ST TERRACE,GAINESVILLE,FL,USA,32608-7124,352-335-9015,352-376-0026,,,,,,,Approved,8/20/1999,4/5/2010,Y,WWW.TILLMANHARTLEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"382,037,634.00",0,"382,037,634.00",156,0,156,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110705,801-53391,"HUBER, CARDONO, MORING & RICHTER, L.P.","HUBER, CARDONO, MORING & RICHTER, L.P.",3700 BUFFALO SPEEDWAY,SUITE 420,HOUSTON,TX,UNITED STATES,77098,713-626-5800,713-599-0070,,,,,,,Approved,12/12/1996,4/5/2010,Y,WWW.HCMR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,TX,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"27,807,786.00","27,807,786.00",0,70,70,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,149282,801-70401,MIDWEST MORTGAGE ANALYTICS,NORTH COUNTRY CAPITAL MANAGEMENT LLC,3140 NEIL ARMSTRONG BLVD.,SUITE 326,EAGAN,MN,UNITED STATES,55123-4200,651-454-5022,866-446-6178,,,,,,,Approved,8/13/2009,4/5/2010,Y,WWW.MIDWESTMORTGAGEANALYTICS.COM,N,N,N,N,N,N,N,N,N,Y,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,PRIVATE HELD ORGANIZATIONS,Y,N,Y,Y,N,Y,N,,Y,0,"5,000,000.00","5,000,000.00",0,1,1,N,N,N,Y,N,N,Y,Y,N,Y,RISK MANAGEMENT AND HEDGING,10-Jan,,N,N,N,N,N,N,N,N,Y,RISK MANAGMENT ADIVSORY SERVICE,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,149769,801-70130,ASCENT FINANCIAL PLANNING LLC,ASCENT FINANCIAL PLANNING LLC,,,,,,,307-214-6214,970-282-0146,,,,,,,Approved,4/21/2009,4/5/2010,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,Y,ANNUAL RETAINER AND NEGOTIATED FEES.,N,0,0,0,0,0,0,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,115994,801-62925,"R.H. INVESTMENT GROUP, LLC","R.H. INVESTMENT GROUP, LLC",2158 NORTH GILBERT ROAD,SUITE 111,MESA,AZ,USA,85203,480-733-8200,480-733-0550,,,,,,,Approved,3/26/2004,4/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"77,000,000.00",0,"77,000,000.00",71,0,71,Y,Y,N,Y,N,N,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,0,,N,N,N,N,N,Y,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,119840,801-61511,NUVERSE ADVISORS LLC,NUVERSE ADVISORS LLC,"645 FIFTH AVENUE, SUITE 1200",,NEW YORK,NY,UNITED STATES,10022-5910,212-507-9125,212-507-9140,,,,,,,Approved,10/8/2002,4/5/2010,Y,WWW.NUVERSE.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"817,670,673.00","5,145,926.00","822,816,599.00",15,2,17,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,139625,801-66246,NUVERSE OFFSHORE ADVISORS LLC,NUVERSE OFFSHORE ADVISORS LLC,645 FIFTH AVENUE,,NEW YORK,NY,USA,10022-5910,212-507-9125,212-507-9140,,,,,,,Approved,2/17/2006,4/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"147,835,556.00",0,"147,835,556.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,117327,801-61013,"FINANCIAL FOCUS, INC.","FINANCIAL FOCUS, INC.",40 MILL STREET,,WOLFEBORO,NH,UNITED STATES,3894,603-569-1994,603-569-2093,PO BOX 2250,,WOLFEBORO,NH,UNITED STATES,03894-2250,Approved,3/19/2002,4/5/2010,Y,YOURFINANCIALFOCUS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,TRUSTS AND ESTATES,Y,Y,N,Y,N,N,Y,RETAINER NOT CALCULATED BY AUM OR HOURLY.,Y,"125,656,494.00","17,405,177.00","143,061,671.00",580,58,638,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,131342,801-67772,"SMART PORTFOLIOS, LLC","SMART PORTFOLIOS, LLC",17865 BALLINGER WAY NE,,LAKE FOREST PARK,WA,UNITED STATES,98155,206-686-3636,206-686-3637,,,,,,,Approved,5/11/2007,4/5/2010,Y,WWW.SMARTPORTFOLIOS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,SOVEREIGN NATION,Y,Y,N,N,N,N,N,,Y,"163,355,402.00",0,"163,355,402.00",237,0,237,N,Y,Y,Y,N,N,N,N,N,Y,RISK MANAGEMENT AND MODEL BUILDING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106536,801-32884,"BUDROS, RUHLIN & ROE, INC.","BUDROS, RUHLIN & ROE, INC.","1801 WATERMARK DRIVE, SUITE 300",,COLUMBUS,OH,UNITED STATES,43215-7088,614-481-6900,614-481-6919,,,,,,,Approved,8/26/1988,4/5/2010,Y,WWW.B-R-R.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,500,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,PERCENTAGE OF INVESTMENT ASSETS NOT NECESSARILY UNDER MANAGEMENT,Y,"1,215,902,885.00","38,651,246.00","1,254,554,131.00","4,819",168,"4,987",Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,143983,801-67892,"ROOKWOOD WEALTH MANAGEMENT, LLC","ROOKWOOD WEALTH MANAGEMENT, LLC",,,,,,,513-871-7813,513-871-7815,,,,,,,Approved,5/4/2007,4/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"13,625,129.00","13,243,097.00","26,868,226.00",20,11,31,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,142094,801-67296,LIBERTY ASSET MANAGEMENT,"LIBERTY ASSET MANAGEMENT, LLC",3570 HAMILTON BLVD.,,ALLENTOWN,PA,UNITED STATES,18103,610 398-7333,610 398-7408,,,,,,,Approved,11/17/2006,3/1/2010,Y,LWMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,"36,755,166.00",0,"36,755,166.00",332,0,332,Y,Y,N,Y,N,Y,N,N,Y,N,,26-50,,Y,Y,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N
PLRO,152995,801-71152,"ZENO CONSULTING GROUP, LLC","ZENO CONSULTING GROUP, LLC",3 BETHESDA METRO CENTER,SUITE 700,BETHESDA,MD,UNITED STATES,20814,301-961-1954,301-664-8479,,,,,,,Approved,1/31/2010,3/1/2010,Y,WWW.ZENOCG.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,Up to 10 percent,11-25 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,N,N,N,Y,N,N,Y,PERCENTAGE BASED ON CLIENT'S ASSETS UNDERGOING TRANSITION,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,Y,TRANSITION MANAGEMENT CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153273,801-71186,ELEVATED CAPITAL MANAGEMENT LLC,ELEVATED CAPITAL MANAGEMENT LLC,420 LEXINGTON AVE.,SUITE 300,NEW YORK,NY,UNITED STATES,10017,212-365-0214,,,,,,,,120-Day Approval,3/17/2010,3/1/2010,Y,WWW.ELEVATEDCM.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111889,801-30978,CAMBRIDGE ADVISORS,"CAMBRIDGE FINANCIAL SERVICES, LTD",804 MOOREFIELD PARK DRIVE,SUITE 102,RICHMOND,VA,UNITED STATES,23236,804-330-5600,804-330-8786,,,,,,,Approved,11/27/1987,3/1/2010,Y,WWW.CAMBRADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"51,485,064.00","2,306,100.00","53,791,164.00",205,9,214,Y,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,118957,801-66553,"ANDREWS ADVISORY ASSOCIATES, LLC","ANDREWS ADVISORY ASSOCIATES, LLC",1188 BISHOP STREET,#1808,HONOLULU,HI,UNITED STATES,96813,808-521-4015,808-536-3504,,,,,,,Approved,4/20/2006,3/1/2010,Y,WWW.ANDREWSLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,HI,UNITED STATES,5-Jan,0,0,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"446,240.00","61,181,023.00","61,627,263.00",1,449,450,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,107608,801-49948,"SAGE CAPITAL MANAGEMENT, LLC","SAGE CAPITAL MANAGEMENT, LLC",665 SOUTH ORANGE AVENUE,SUITE 3,SARASOTA,FL,UNITED STATES,34236,941-952-1032,941-952-9033,,,,,,,Approved,8/18/1995,3/1/2010,Y,MIKE@SAGECAP.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,Up to 10 percent,11-25 percent,0 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"123,419,719.00",0,"123,419,719.00",5,0,5,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,2993,801-3901,H.M. PAYSON & CO.,H. M. PAYSON & CO.,ONE PORTLAND SQUARE,,PORTLAND,ME,UNITED STATES,4101,207-772-3761,207-871-7508,PO BOX 31,,PORTLAND,ME,UNITED STATES,4112,Approved,1/15/1966,3/1/2010,Y,WWW.HMPAYSON.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,ME,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,More than 500,"1,500",51-75 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,366,577,000.00","110,000,000.00","1,476,577,000.00","1,841",80,"1,921",Y,Y,Y,Y,N,N,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106273,801-38734,STRATEGIC FIXED INCOME LLC,STRATEGIC FIXED INCOME LLC,1001 19TH STREET NORTH,SUITE 1400,ARLINGTON,VA,UNITED STATES,22209,703-812-8300,703-812-8080,,,,,,,Approved,4/18/1991,3/1/2010,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,11-25 percent,0 percent,26-50 percent,26-50 percent,0 percent,11-25 percent,0 percent,11-25 percent,OFFSHORE,Y,N,N,N,N,Y,N,,Y,"1,487,000,000.00",0,"1,487,000,000.00",19,0,19,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,127448,801-68313,"ATLAS ONE FINANCIAL ADVISORS, LLC","ATLAS ONE CAPITAL MANAGEMENT, LLC",200 SOUTH BISCAYNE BOULEVARD,SUITE 4400,MIAMI,FL,UNITED STATES,33131,305-960-9991,305-960-4895,,,,,,,Approved,9/13/2007,3/1/2010,Y,WWW.ATLASONECAPITAL.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"12,500,000.00",0,"12,500,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,MANAGER TO INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,113989,801-60581,"KOHLHEPP INVESTMENT ADVISORS, LTD.","KOHLHEPP INVESTMENT ADVISORS, LTD.",150 EAST STATE STREET,,DOYLESTOWN,PA,UNITED STATES,18901-4313,215-340-5777,215-340-5788,,,,,,,Approved,9/24/2001,3/1/2010,Y,WWW.KOHLHEPPADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"105,972,686.00","7,945,140.00","113,917,826.00","1,001",373,"1,374",Y,Y,N,N,Y,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,111000,801-55812,KAISER WEALTH MANAGEMENT,KAISER WEALTH MANAGEMENT,6101 YELLOWSTONE RD. STE 100,,CHEYENNE,WY,UNITED STATES,82009,307-432-4146,307-634-1546,,,,,,,Approved,9/11/1998,3/1/2010,Y,WWW.KAISERINVEST.COM,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Corporation,,WY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"25,000,000.00",0,"25,000,000.00",129,0,129,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110326,801-18701,FLOOD GAMBLE ASSOCIATES INC,FLOOD GAMBLE ASSOCIATES INC,610 5TH AVE,,NEW YORK,NY,UNITED STATES,10020,212-333-2020,212-333-5199,,,,,,,Approved,4/5/1983,3/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"208,436,874.00","6,808,087.00","215,244,961.00",180,5,185,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,106125,801-52893,TD CAPITAL MANAGEMENT LLC,TD CAPITAL MANAGEMENT LLC,5100 POPLAR AVENUE,THIRTIETH FLOOR,MEMPHIS,TN,UNITED STATES,38137-1400,901-681-0021,901-842-2824,,,,,,,Approved,9/16/1996,3/1/2010,Y,WWW.TDCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,10-Jun,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"371,823,839.00",0,"371,823,839.00",332,0,332,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107865,801-56632,CASTLE FINANCIAL & RETIREMENT PLANNING ASSOCIATES INC,CASTLE FINANCIAL & RETIREMENT PLANNING ASSOCIATES INC,2899 STATE HIGHWAY 35,,HAZLET,NJ,UNITED STATES,07730-1549,732-888-4994,732-888-8312,,,,,,,Approved,6/25/1999,3/1/2010,Y,WWW.CASTLEFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"74,770,972.00",0,"74,770,972.00",357,0,357,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110599,801-67513,BEACH FINANCIAL ADVISORY SERVICE,RONALD STEVEN PEARSON,,,,,,,757-428-6634,757-819-0528,,,,,,,Approved,2/20/2007,3/1/2010,Y,WWW.BEACHFAS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"44,526,457.00",0,"44,526,457.00",44,0,44,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105736,801-17502,WHEELER FROST ASSOCIATES INC,WHEELER FROST ASSOCIATES INC,2665 FOURTH AVENUE,,SAN DIEGO,CA,UNITED STATES,92103-6514,619-491-0225,619-491-0229,,,,,,,Approved,8/18/1982,3/1/2010,Y,WWW.WHEELERFROST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"138,003,022.00",0,"138,003,022.00",123,0,123,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106655,801-43111,DIAMOND CAPITAL MANAGEMENT INC,DIAMOND CAPITAL MANAGEMENT INC,1320 WALDO AVENUE,SUITE 100,MIDLAND,MI,UNITED STATES,48642,989-636-7876,989-638-9579,,,,,,,Approved,1/21/1993,3/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,ACTUAL EXPENSES (PENSION CLIENTS),Y,"3,753,484,659.00","218,733,959.00","3,972,218,618.00",34,14,48,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,118867,801-62884,"JORDAHL & SLITER WEALTH MANAGEMENT GROUP, LLC","JORDAHL & SLITER WEALTH MANAGEMENT GROUP, LLC",2 SUNSET PLAZA,,KALISPELL,MT,USA,59901-1600,406-752-1040,406-752-2578,PO BOX 8600,,KALISPELL,MT,USA,59904-1600,Approved,3/26/2004,3/1/2010,Y,WWW.JS-CPA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"38,615,844.00",0,"38,615,844.00",167,0,167,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105463,801-13986,"SILVERCREST FINANCIAL SERVICES, INC.","SILVERCREST FINANCIAL SERVICES, INC.",1330 AVENUE OF THE AMERICAS,38TH FLOOR,NEW YORK,NY,UNITED STATES,10019-5400,212-649-0600,212-649-0606,,,,,,,Approved,7/31/1978,3/1/2010,Y,WWW.SILVERCRESTGROUP.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,Y,"TAX PLANNING, TAX RETURN PREPARATION, FAMILY OFFICE SERVICES, BILL PAYING, RECORD KEEPING",10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,146212,801-68806,QUISH & CO.,QUISH & CO. LLC,,,,,,,303-589-8475,720-889-9706,,,,,,,Approved,2/7/2008,3/1/2010,Y,WWW.QUISHCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"40,000,000.00",0,"40,000,000.00",10,0,10,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,136478,801-69026,"PALO CAPITAL, INC.","PALO CAPITAL, INC.",,,,,,,949-715-2126,949-715-6816,,,,,,,Approved,4/28/2008,8/6/2010,Y,WWW.PALOCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"60,000,000.00",0,"60,000,000.00",180,0,180,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153591,801-71675,"ALLSQUARE WEALTH MANAGEMENT, LLC","ALLSQUARE WEALTH MANAGEMENT, LLC",200 GREAT OAKS BLVD,SUITE 219,ALBANY,NY,UNITED STATES,12203,(518) 456-8900,(518) 456-3922,,,,,,,120-Day Approval,7/9/2010,8/6/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105278,801-28292,PROFFITT & GOODSON INC.,PROFFITT & GOODSON INC.,"4800 OLD KINGSTON PIKE, STE 200",,KNOXVILLE,TN,UNITED STATES,37919-6424,865-584-1850,865-584-1852,P.O. BOX 11629,,KNOXVILLE,TN,UNITED STATES,37939-1629,Approved,11/7/1986,8/6/2010,Y,WWW.PROFFITTGOODSON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"171,152,149.00",0,"171,152,149.00",136,0,136,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,147978,801-69510,"SYNTRINSIC INVESTMENT COUNSEL, LLC.","SYNTRINSIC INVESTMENT COUNSEL, LLC.",1860 BLAKE STREET,SUITE 130,DENVER,CO,UNITED STATES,80202,303-296-7100,303-296-7109,,,,,,,Approved,8/20/2008,8/6/2010,Y,WWW.SYNTRINSIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"480,000,000.00","480,000,000.00",0,29,29,Y,Y,N,Y,Y,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,128545,801-64239,CARY STREET PARTNERS INVESTMENT ADVISORY LLC,CARY STREET PARTNERS INVESTMENT ADVISORY LLC,1210 E. CARY STREET,SUITE 200,RICHMOND,VA,UNITED STATES,23219,(804) 521-3333,(804) 521-3332,,,,,,,Approved,8/12/2005,8/6/2010,Y,WWW.CARYSTREETPARTNERS.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"1,000",51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"108,425,097.00","792,064,470.00","900,489,567.00",163,856,"1,019",Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
MIRO,140486,801-66872,"WATER OAK ADVISORS, LLC","WATER OAK ADVISORS, LLC",450 SOUTH ORANGE AVE. 4TH FLOOR - CNL CENTER,,ORLANDO,FL,UNITED STATES,32801,407-992-4287,407-992-4283,P.O. BOX 4932,,ORLANDO,FL,UNITED STATES,32802-4932,Approved,8/3/2006,8/6/2010,Y,WWW.WATEROAK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"626,000,000.00","8,000,000.00","634,000,000.00","1,042",11,"1,053",Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,149808,801-71757,"BEYOND CAPITAL FINANCIAL MANAGEMENT GROUP, INC.","BEYOND CAPITAL FINANCIAL MANAGEMENT GROUP, INC.",2211 5TH STREET,SUITE 107,MERIDIAN,MS,UNITED STATES,39301,601-693-3007,601-483-9737,,,,,,,Approved,8/12/2010,8/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"32,476,301.00","32,476,301.00",0,90,90,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,125147,801-63813,"SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C.","SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C.",105 WIND HAVEN DRIVE,,NICHOLASVILLE,KY,UNITED STATES,40356,859-223-6333,859-223-6242,,,,,,,Approved,1/27/2005,8/6/2010,Y,WWW.SPECTRUMALLIANCE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"65,000,000.00",0,"65,000,000.00",511,0,511,Y,Y,N,N,N,N,N,N,N,Y,INVESTMENT AND INSURANCE CONSULTING,51-100,,Y,Y,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110037,801-55222,"INTERACTIVE DATA PRICING AND REFERENCE DATA, INC.","INTERACTIVE DATA PRICING AND REFERENCE DATA, INC.",32 CROSBY DRIVE,,BEDFORD,MA,UNITED STATES,01730-1448,781-687-8500,781-687-8005,,,,,,,Approved,3/6/1998,8/6/2010,Y,WWW.INTERACTIVEDATA-PRD.COM,N,N,N,N,N,N,N,N,N,N,N,Y,N,Corporation,,DE,UNITED STATES,501-1000,0,51-250,0,0,0,0,0,More than 500,"4,000",Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,51-75 percent,"UNIVERSITIES, NON-PROFIT ORG'S, GOV'T AGENCIES, INV. CO'S (INCL. MUTUAL FUNDS) OTHER THAN PURSUANT TO INV. ADVISORY CONTRACTS",N,N,N,Y,N,N,Y,"USAGE-BASED FEES, FIXED MIN. FEE WITH ADD. USAGE FEE",N,0,0,0,0,0,0,N,N,N,N,N,N,N,Y,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,8096,801-57928,"POPULAR SECURITIES, INC.","POPULAR SECURITIES, INC.","POPULAR CENTER, 209 PONCE DE LEON",SUITE 1200,HATO REY,PR,UNITED STATES,918,787-758-7400,787-763-5995,,,,,,,Approved,9/29/2000,8/6/2010,Y,WWW.POPULARSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PR,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,IGLESIA METODISTA,Y,N,N,N,N,N,N,,Y,"134,083,426.00","75,453,753.00","209,537,179.00",594,271,865,N,Y,N,N,N,Y,N,N,N,N,,0,,Y,Y,Y,N,N,N,N,N,N,,N,,Y,N,Y,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,1137,801-54949,PRINCOR FINANCIAL SERVICES CORPORATION,PRINCOR FINANCIAL SERVICES CORPORATION,711 HIGH STREET,,DES MOINES,IA,USA,50392-0200,888-774-6267,515-235-9235,,,,,,,Approved,10/10/1997,8/6/2010,Y,WWW.PRINCIPAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,More than 1000,"2,000",More than 1000,"2,000",More than 1000,"2,000",0,0,More than 500,"13,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SEMINAR FEES AND SOLICITORS FEES,Y,"628,340,541.00",0,"628,340,541.00","6,448",0,"6,448",Y,Y,N,N,N,Y,N,N,N,Y,FEE-BASED SEMINARS,101-250,,Y,N,Y,N,N,N,N,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
SFRO,104601,801-29775,"FDX ADVISORS, INC.","FDX ADVISORS, INC.","2399 GATEWAY OAKS DRIVE, SUITE 200",,SACRAMENTO,CA,UNITED STATES,95833,916-288-6400,916-288-6500,,,,,,,Approved,7/2/1987,8/6/2010,Y,WWW.FDXADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"51,000,000.00","8,626,070,732.00","8,677,070,732.00","1,723","36,103","37,826",N,N,N,Y,N,Y,N,N,N,Y,"ASSET ALLOCATION MODELING, INVESTMENT MANAGER RESEARCH PROFILES, INTERNET/SOFTWARE PORTAL",0,,N,Y,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107341,801-36445,WETHERBY ASSET MANAGEMENT,WETHERBY ASSET MANAGEMENT,417 MONTGOMERY ST,3RD FLOOR,SAN FRANCISCO,CA,UNITED STATES,94104,415-399-9159,415-399-9330,,,,,,,Approved,4/27/1990,8/9/2010,Y,WWW.WETHERBY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"2,347,408,989.00","110,095,842.00","2,457,504,831.00","2,836",65,"2,901",Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,139220,801-66338,"WORTHSCAPE, LLC","WORTHSCAPE, LLC","75 5TH STREET, NW",SUITE 323,ATLANTA,GA,UNITED STATES,30308,404-419-7111,404-419-7101,3330 CUMBERLAND BOULEVARD,SUITE 400,ATLANTA,GA,UNITED STATES,30339,Approved,3/14/2006,8/9/2010,Y,WWW.WORTHSCAPE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,Y,Y,N,Y,N,,Y,"58,387,000.00",0,"58,387,000.00",31,0,31,N,Y,N,Y,N,Y,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,17073,801-62967,"UMB FINANCIAL SERVICES, INC.","UMB FINANCIAL SERVICES, INC.","1010 GRAND BLVD., 2ND FL.",,KANSAS CITY,MO,UNITED STATES,64106,816-860-8777,816-860-3180,928 GRAND,,KANSAS CITY,MO,UNITED STATES,64106,Approved,4/9/2004,8/9/2010,Y,WWW.UMBSCOUTBROKERAGE.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,MO,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,Y,Y,N,Y,N,N,N,N,N,N,,251-500,,Y,N,Y,N,N,N,N,N,N,,N,,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,105609,801-6618,"JAY A. FISHMAN, LTD",FISHMAN JAY A LTD,101 WEST BIG BEAVER ROAD,SUITE 1125,TROY,MI,UNITED STATES,48084-4108,248-740-9400,248-740-9401,,,,,,,Approved,5/31/1970,8/9/2010,Y,WWW.JAF-LTD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"317,352,047.00",0,"317,352,047.00",281,0,281,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110083,801-21350,CENTURION COUNSEL INC,"CENTURION COUNSEL,INC.",1282 PACIFIC OAKS PLACE,,ESCONDIDO,CA,UNITED STATES,92029,760-471-8536,760-471-0399,,,,,,,Approved,6/8/1984,8/9/2010,Y,WWW.CENTURIONCOUNSEL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,Nov-50,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"52,500,000.00",0,"52,500,000.00",254,0,254,N,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,Y,N,N,N,N,N,N,,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110214,801-60057,FPP ASSET MANAGEMENT LLP,FPP ASSET MANAGEMENT LLP,34 BROOK STREET,,LONDON,,UNITED KINGDOM,W1K 5DN,01144-207-647-9100,01144-207-647-9101,,,,,,,Approved,3/2/2001,8/13/2009,Y,WWW.FPICTET.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"197,038,289.00",0,"197,038,289.00",7,0,7,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,151664,801-71691,BAYSTATE WEALTH MANAGEMENT,BAYSTATE WEALTH MANAGEMENT LLC,200 CLARENDON STREET,19TH FLOOR,BOSTON,MA,UNITED STATES,2116,617-585-4500,617-830-0633,,,,,,,Approved,7/28/2010,8/9/2010,Y,WWW.BAYSTATEWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"25,500,000.00","600,000.00","26,100,000.00",93,1,94,N,Y,N,Y,N,Y,N,N,N,N,,0,,Y,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,132634,801-67352,PINNACLE INVESTMENT ADVISORY,PINNACLE ADVISORY SERVICES INC.,150 THIRD AVENUE SOUTH,STE 900,NASHVILLE,TN,UNITED STATES,37201,615-744-3715,615-744-3815,,,,,,,Approved,12/11/2006,8/9/2010,Y,WWW.PNFP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"200,000,000.00",0,"200,000,000.00",100,0,100,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106357,801-17853,THORNBURG INVESTMENT MANAGEMENT INC,THORNBURG INVESTMENT MANAGEMENT INC,2300 NORTH RIDGETOP ROAD,,SANTA FE,NM,UNITED STATES,87506,505-467-7200,505-467-7116,,,,,,,Approved,10/15/1982,8/9/2010,Y,WWW.THORNBURG.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,"10,671",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"52,471,022,234.00",0,"52,471,022,234.00","10,671",0,"10,671",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,151483,801-70611,"BROYHILL ASSET MANAGEMENT PENNSYLVANIA, LLC","BROYHILL ASSET MANAGEMENT PENNSYLVANIA, LLC",451 SOUTH BETHLEHEM PIKE,SUITE 300,FORT WASHINGTON,PA,UNITED STATES,19034,215-641-2370,215-641-2380,,,,,,,Approved,9/17/2009,8/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"126,000,000.00",0,"126,000,000.00",253,0,253,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126118,801-68422,"PAOLINO, WILLIAM","PAOLINO, WILLIAM JOHN",NYACK BUSINESS CENTER,"99 MAIN ST., #108",NYACK,NY,UNITED STATES,10960,845-348-7663,845-348-0133,,,,,,,Approved,10/15/2007,3/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"41,343,213.00",0,"41,343,213.00",456,0,456,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,135065,801-70764,"FULLEN FINANCIAL GROUP, INC.","FULLEN FINANCIAL GROUP, INC.",,,,,,,614-946-6052,614-263-6205,,,,,,,Approved,11/19/2009,3/11/2010,Y,WWW.FULLENFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"31,077,250.00",0,"31,077,250.00",217,0,217,Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112809,801-47193,GREAT NORTHERN ASSET MANAGMENT INC,GREAT NORTHERN ASSET MANAGMENT INC,332 MINNESOTA ST.,SUITE W 2900,ST. PAUL,MN,USA,55101,651-222-6130,651-222-6230,,,,,,,Approved,8/11/1994,3/11/2010,Y,WWW.GNCI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,11-25 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"137,950,000.00",0,"137,950,000.00",21,0,21,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,146564,801-68934,WOLVERINE WEALTH ADVISORY SERVICES INC.,WOLVERINE WEALTH ADVISORY SERVICES INC.,21 EAST LONG LAKE RD.,SUITE 220,BLOOMFIELD HILLS,MI,UNITED STATES,48304,248-220-2202,248-220-2204,,,,,,,Approved,3/13/2008,3/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"36,091,000.00","4,190,370.00","40,281,370.00",137,63,200,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,138240,801-65005,"MITCHELL, MCLEOD, PUGH & WILLIAMS, INC.","MITCHELL,  MCLEOD,  PUGH & WILLIAMS,  INC.",,,,,,,251-471-2027,251-471-2302,P. O. BOX 7338,,MOBILE,AL,UNITED STATES,36670-0038,Approved,1/13/2006,3/11/2010,Y,WWW.MMPWADVISER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"310,029,402.00","2,651,930.00","312,681,332.00",645,8,653,Y,Y,N,Y,Y,N,Y,N,N,Y,FIDUCIARY ADVICE & INVESTMENT ADVICE TO 401(K) PARTICIPANTS,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,120532,801-61426,SOUNDVIEW CAPITAL MANAGEMENT CORPORATION,SOUNDVIEW CAPITAL MANAGEMENT CORPORATION,31 WHITNEY AVENUE,,NEW HAVEN,CT,USA,06510-1219,203-773-1036,203-773-3458,,,,,,,Approved,8/27/2002,3/11/2010,Y,WWW.SOUNDVIEWCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"55,091,877.00",0,"55,091,877.00",135,0,135,N,Y,N,N,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,148216,801-69611,"PEDDOCK CAPITAL ADVISORS, LLC","PEDDOCK CAPITAL ADVISORS, LLC",50 BRAINTREE HILL OFFICE PARK,SUITE 207,BRAINTREE,MA,UNITED STATES,2184,(781) 848-0288,(781) 848-0509,,,,,,,Approved,10/8/2008,3/11/2010,Y,WWW.PEDDOCKADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"89,122,061.00","60,884,381.00","150,006,442.00",86,1,87,N,Y,N,N,N,Y,N,N,N,Y,FAMILY OFFICE SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106021,801-52702,MC TAYLOR ASSOCIATES,TAYLOR MARY CATHERINE,"ONE KAISER PLAZA, STE 1465",,OAKLAND,CA,UNITED STATES,94612,510-987-8282,510-451-3912,,,,,,,Approved,8/19/1996,3/11/2010,Y,WWW.MCTAYLORASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"49,027,281.00","1,414,022.00","50,441,303.00",113,11,124,Y,Y,N,N,N,N,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,104732,801-24465,TERRY MCDANIEL & COMPANY,TERRY MCDANIEL & COMPANY,2630 EXPOSITION BLVD STE 300,,AUSTIN,TX,UNITED STATES,78703,512-495-9500,512-495-9415,,,,,,,Approved,6/27/1985,3/11/2010,Y,WWW.TMCDANCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"440,993,428.00","116,959,038.00","557,952,466.00",220,19,239,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135380,801-66572,"GATEMORE CAPITAL MANAGEMENT, LLC","GATEMORE CAPITAL MANAGEMENT, LLC",355 LEXINGTON AVENUE,14TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-772-9900,212-772-9902,,,,,,,Approved,6/7/2006,3/11/2010,Y,WWW.GATEMORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"327,386,242.00",0,"327,386,242.00",28,0,28,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137486,801-65284,"MAGNITUDE CAPITAL, LLC","MAGNITUDE CAPITAL, LLC",601 LEXINGTON AVENUE,59TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-915-3900,212-915-3901,,,,,,,Approved,1/13/2006,3/11/2010,Y,WWW.MAGNITUDECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,040,150,000.00",0,"2,040,150,000.00",6,0,6,N,N,N,N,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES (E.G. HEDGE FUNDS),,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,132553,801-63477,"A.Q. JOHNSON & CO., INC.","A.Q. JOHNSON & CO., INC.",7855 IVANHOE AVENUE SUITE 210,,LA JOLLA,CA,UNITED STATES,92037,858-454-4837,858-454-4774,,,,,,,Approved,8/30/2004,3/11/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"53,526,000.00",0,"53,526,000.00",61,0,61,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,120420,801-61381,"INDEPENDENT PORTFOLIO CONSULTANTS, INC.","INDEPENDENT PORTFOLIO CONSULTANTS, INC.",5002 T-REX AVENUE,SUITE 225,BOCA RATON,FL,USA,33431,561-912-1040,561-994-3203,,,,,,,Approved,8/9/2002,3/11/2010,Y,WWW.IPCANSWERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,Nov-50,0,More than 500,"1,000",11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"160,256,088.00","1,516,284,728.00","1,676,540,816.00",186,"1,099","1,285",N,Y,N,Y,N,Y,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109114,801-56304,"SK WEALTH MANAGEMENT, LLC","SK WEALTH MANAGEMENT, LLC",55 DORRANCE ST,,PROVIDENCE,RI,UNITED STATES,02903-2220,401-331-1575,401-331-9040,,,,,,,Approved,3/15/1999,3/11/2010,Y,WWW.SKWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,RI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"93,667,902.00",0,"93,667,902.00",577,0,577,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,113643,801-60403,HERMES ECONOMETRICS,MAIA LAURA MCGEHEE,1101 FIFTH AVENUE,SUITE 270,SAN RAFAEL,CA,UNITED STATES,94901,415-454-4184,415-454-4195,,,,,,,Approved,7/10/2001,3/11/2010,Y,HTTP://WWW.ECON101.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,Nov-50,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"29,500,000.00",0,"29,500,000.00",350,0,350,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,Y,Y,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,139865,801-70542,THE MUTUAL FUND STORE,"TMFS-BATON ROUGE, LLC",4979 BLUEBONNET BLVD.,SUITE B,BATON ROUGE,LA,UNITED STATES,70809,225-291-7878,225-291-7957,,,,,,,Approved,9/3/2009,3/11/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"32,500,288.00",0,"32,500,288.00",386,0,386,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,148749,801-69771,SUNTRUST INSTITUTIONAL INVESTMENT ADVISORS LLC,SUNTRUST INSTITUTIONAL INVESTMENT ADVISORS LLC,"303 PEACHTREE ST, NE",32ND FLOOR,ATLANTA,GA,UNITED STATES,30308,(404) 230-5236,(404) 813-5260,,,,,,,Approved,12/11/2008,3/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,"446,759,591.00","446,759,591.00",0,218,218,N,N,N,N,N,Y,N,N,N,Y,ASSET ALLOCATION AND PORTFOLIO STRATEGIES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,129943,801-62910,"ARTHUR J. STITES, P.A.","ARTHUR J. STITES, P.A.",4741 ATLANTIC BOULEVARD,SUITE B-1,JACKSONVILLE,FL,UNITED STATES,32207-2168,904-399-8011,904-399-8033,,,,,,,Approved,3/15/2004,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,501-1000,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,PRIVATE TRUSTS,Y,Y,N,N,N,N,N,,Y,"43,008,345.00","8,194,295.00","51,202,640.00",155,7,162,N,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE TRUSTS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111113,801-18054,MASON INVESTMENT ADVISORY SERVICES INC,MASON INVESTMENT ADVISORY SERVICES INC,11130 SUNRISE VALLEY DR,STE 200,RESTON,VA,USA,20191-5321,703-716-6000,703-716-6020,,,,,,,Approved,12/20/1982,3/30/2010,Y,WWW.MASONCOMPANIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,500,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,670,569,871.00","64,356,493.00","1,734,926,364.00",681,45,726,Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106274,801-15724,FRONTIER CAPITAL MANAGEMENT CO LLC,FRONTIER CAPITAL MANAGEMENT CO LLC,99 SUMMER STREET,,BOSTON,MA,UNITED STATES,2110,(617) 261-0777,(617) 261-0684,,,,,,,Approved,1/14/1981,3/30/2010,Y,HTTP://WWW.FRONTIERCAP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,SUB-ADVISORY AND OTHER RELATIONSHIPS,Y,N,N,N,N,Y,N,,Y,"6,776,401,653.00",0,"6,776,401,653.00",137,0,137,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,142433,801-71297,"CAPROCK CAPITAL, LLC","CAPROCK CAPITAL, LLC",16250 KNOLL TRAIL,110,DALLAS,TX,UNITED STATES,75248,972-850-2700,972-250-2505,,,,,,,Approved,4/5/2010,3/30/2010,Y,WWW.CAPROCKCAPITALLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"43,000,000.00","43,000,000.00",0,10,10,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107574,801-39372,"ASSET CONSULTING GROUP, LLC","ASSET CONSULTING GROUP, LLC",231 SOUTH BEMISTON AVENUE,14TH FLOOR,ST. LOUIS,MO,UNITED STATES,63105,314-862-4848,314-862-5967,,,,,,,Approved,6/20/1991,3/30/2010,Y,WWW.ACGNET.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,26-100,0,0 percent,26-50 percent,Up to 10 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,26-50 percent,Up to 10 percent,INVESTMENT ADVISORS AND EDUCATIONAL INSTITUTIONS,Y,N,N,Y,N,Y,N,,Y,"152,000,000.00","52,000,000,000.00","52,152,000,000.00",2,81,83,N,Y,N,Y,Y,Y,N,N,N,Y,ASSET CONSULTING GROUP (ACG) PROVIDES COMPREHENSIVE INVESTMENT CONSULTING SERVICES TO TAXABLE AND TAX-EXEMPT ENTITIES.,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109025,801-55276,"SYNTHESIS ADVISORS, INC.","SYNTHESIS ADVISORS, INC.",424 CHURCH ST,SUITE 2101,NASHVILLE,TN,UNITED STATES,37219-2305,615-256-2556,615-256-2557,,,,,,,Approved,3/16/1998,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,Y,N,,Y,0,"85,193,033.00","85,193,033.00",0,71,71,N,Y,N,N,N,N,N,N,N,Y,FURNISH ADVICE TO CLIENTS ON MATTERS NOT INVOLVING SECURITIES,,,N,N,N,Y,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126685,801-62457,"ACCOUNTANTS PROPRIETARY FINANCIAL SERVICENET, INC.","ACCOUNTANTS PROPRIETARY FINANCIAL SERVICENET, INC.",211 BROADWAY,,LYNBROOK,NY,USA,11563,516-887-4433,516-887-1470,,,,,,,Approved,10/23/2003,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,Nov-50,0,251-500,0,26-50 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"140,500,000.00",0,"140,500,000.00",550,0,550,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,146910,801-69077,"HAYMAN MUNICIPAL STRATEGIES, LLC","HAYMAN MUNICIPAL STRATEGIES, LLC",2101 CEDAR SPRINGS ROAD,SUITE 1400,DALLAS,TX,UNITED STATES,75201,214-296-4980,214-347-8051,,,,,,,Approved,4/11/2008,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,"124,988,794.00",0,"124,988,794.00",2,0,2,N,Y,N,N,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110374,801-55585,BERTHEL SCHUTTER LLC,BERTHEL SCHUTTER LLC,FIRST NATIONAL BANK BUILDING,"332 MINNESOTA STREET, SUITE WEST 1380",ST PAUL,MN,UNITED STATES,55101,651-228-0750,651-228-0779,,,,,,,Approved,5/27/1998,3/30/2010,Y,WWW.BERTHELSCHUTTER.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,TRIBAL GOVERNMENT,Y,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,Y,FURNISHES INVESTMENT ADVICE THROUGH CONSULTATIONS NOT INCLUDED IN THE SERVICES DESCRIBED ABOVE,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105740,801-35783,BOSTON CAPITAL ADVISORS INC,BOSTON CAPITAL ADVISORS INC,10 LIBERTY SQUARE,,BOSTON,MA,UNITED STATES,2109,617-426-4425,617-426-3206,,,,,,,Approved,12/29/1989,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"31,659,262.00",0,"31,659,262.00",86,0,86,N,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,130021,801-62646,HUDSON PORTFOLIO MANAGEMENT LLC,HUDSON PORTFOLIO MANAGEMENT LLC,27 GARRISON'S LANDING,,GARRISON,NY,USA,10524-0344,845-424-4567,845-424-8327,P.O. BOX 344,,GARRISON,NY,USA,10524-0344,Approved,1/9/2004,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,MINIMUM FEE PER CLIENT,Y,"76,000,000.00",0,"76,000,000.00",196,0,196,N,Y,N,N,N,N,N,N,N,Y,HOURLY OR FIXED FEE NON-MANAGEMENT ADVISORY SERVICES. PORTFOLIO MANAGEMENT FOR CHARITABLE AND NON-PROFIT ENTITIES.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,131821,801-63235,"PEACHTREE WEALTH MANAGEMENT, LLC","PEACHTREE WEALTH MANAGEMENT, LLC",3715 NORTHSIDE PARKWAY,"NORTHCREEK 200, SUITE 600",ATLANTA,GA,UNITED STATES,30327,678-904-0594,678-904-0595,,,,,,,Approved,7/9/2004,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"47,721,903.00","111,382,351.00","159,104,254.00",2,21,23,Y,Y,N,N,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106651,801-51363,"ESSENTIAL PLANNING, LLC","ESSENTIAL PLANNING, LLC","500 MARKET STREET, UNIT 1D",,PORTSMOUTH,NH,UNITED STATES,3801,603-427-5164,603-427-5170,,,,,,,Approved,3/15/1996,3/30/2010,Y,WWW.ANDREWLORD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,Y,ADMINISTRATIVE FEES,Y,0,"88,088,599.00","88,088,599.00",0,912,912,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107763,801-46380,"ARISTA INVESTMENT ADVISORS, LTD.","ARISTA INVESTMENT ADVISORS, LTD.",255 WASHINGTON AVENUE EXTENSION,,ALBANY,NY,UNITED STATES,12205,518.452.3805,518.452.4230,,,,,,,Approved,4/28/1994,3/30/2010,Y,WWW.ARISTAADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"146,796,120.00","798,299.00","147,594,419.00",927,10,937,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108468,801-55001,DDJ CAPITAL MANAGEMENT LLC,DDJ CAPITAL MANAGEMENT LLC,130 TURNER STREET,"BUILDING 3, SUITE 600",WALTHAM,MA,UNITED STATES,2453,781-283-8500,781-283-8555,,,,,,,Approved,11/3/1997,3/30/2010,Y,WWW.DDJCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,Up to 10 percent,INVESTMENT ADVISER/ASSET MANAGER,Y,N,N,N,N,Y,Y,PERFORMANCE BASED ALLOCATIONS TO AFFILIATED GPS,Y,"3,414,694,325.00",0,"3,414,694,325.00",22,0,22,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110601,801-14519,MEKETA INVESTMENT GROUP INC,MEKETA INVESTMENT GROUP INC,100 LOWDER BROOK DRIVE,SUITE 1100,WESTWOOD,MA,UNITED STATES,02090-1150,781.471.3500,781.471.3411,,,,,,,Approved,4/19/1979,3/30/2010,Y,WWW.MEKETAGROUP.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,"HEALTH AND WELFARE FUNDS, OTHER MISCELLANEOUS FUNDS",Y,N,N,Y,N,N,N,,Y,"2,036,000,000.00",0,"2,036,000,000.00",8,0,8,N,N,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105273,801-2501,THE WINTHROP CORPORATION,THE WINTHROP CORPORATION,440 WHEELERS FARMS RD,,MILFORD,CT,UNITED STATES,06461-1847,203-783-4400,203-783-4401,,,,,,,Approved,2/24/1961,3/30/2010,Y,WWW.CORPORATEINFORMATION.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,CT,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,N,N,Y,N,N,N,Y,REIMBURSEMENT FOR RESEARCH EXPENSES,N,0,0,0,0,0,0,N,N,N,N,N,N,Y,N,N,Y,INVESTMENT RESEARCH,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106302,801-51257,WRIGHT INVESTORS SERVICE INC,WRIGHT INVESTORS SERVICE INC,440 WHEELERS FARMS RD,,MILFORD,CT,UNITED STATES,06461-1847,203-783-4400,203-783-4401,,,,,,,Approved,2/23/1996,3/30/2010,Y,WWW.WRIGHTINVESTORS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,10-Jun,0,101-250,0,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,OTHER INVESTMENT ADVISERS,Y,N,Y,Y,N,N,N,,Y,"800,205,913.00","823,540,990.00","1,623,746,903.00",195,"1,504","1,699",N,Y,Y,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,128240,801-66521,TEMPLETON FINANCIAL SERVICES INC.,TEMPLETON FINANCIAL SERVICES INC.,"3125 S PRICE ROAD, STE 120",,CHANDLER,AZ,UNITED STATES,85248,480.883.1073,480.883.9948,,,,,,,Approved,5/2/2006,3/30/2010,Y,WWW.TFSFORMUNIS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"161,000,000.00",0,"161,000,000.00",117,0,117,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,139570,801-66231,WRIGHT PRIVATE ASSET MANAGEMENT LLC,WRIGHT PRIVATE ASSET MANAGEMENT LLC,440 WHEELERS FARMS ROAD,,MILFORD,CT,UNITED STATES,06461-1847,203-783-4400,203-783-4401,,,,,,,Approved,2/15/2006,3/30/2010,Y,WWW.WRIGHTPAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"99,379,291.00",0,"99,379,291.00",344,0,344,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,150645,801-70301,"ASSET MANAGEMENT STRATEGIES, LLC","ASSET MANAGEMENT STRATEGIES, LLC","115 FARLEY CIRCLE, SUITE 102",,LEWISBURG,PA,UNITED STATES,17837,570-522-1000,570-524-0150,,,,,,,Approved,6/16/2009,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"25,021,315.00",0,"25,021,315.00",88,0,88,Y,N,N,N,N,Y,N,N,N,Y,FAMILY OFFICE SERVICES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,131454,801-64826,"DORCHESTER CAPITAL ADVISORS, LLC","DORCHESTER CAPITAL ADVISORS, LLC",11111 SANTA MONICA BOULEVARD,SUITE 1250,LOS ANGELES,CA,USA,90025,310-402-5090,310-402-5091,,,,,,,Approved,11/1/2005,3/30/2010,Y,WWW.DORCHESTERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,10-Jun,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"890,000,000.00",0,"890,000,000.00",6,0,6,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,118484,801-65108,"ROBERTSON OPPORTUNITY CAPITAL, LLC","ROBERTSON OPPORTUNITY CAPITAL, LLC",8117 PRESTON ROAD,SUITE 675,DALLAS,TX,UNITED STATES,75225,972-713-5001,972-713-5022,,,,,,,Approved,1/13/2006,3/30/2010,Y,WWW.ROCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"101,900,000.00",0,"101,900,000.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,FIRM OFFERS INVESTMENT ADVISORY SERVICES TO POOLED INVESTMENT VEHICLES AND MANAGED ACCOUNTS.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108726,801-55118,WEXFORD CAPITAL LP,WEXFORD CAPITAL LP,411 W PUTNAM AVE,SUITE 125,GREENWICH,CT,UNITED STATES,6830,203-862-7000,203-862-7493,,,,,,,Approved,12/19/1997,3/30/2010,Y,HTTP://WWW.WEXFORD.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,645,341,230.00",0,"5,645,341,230.00",29,0,29,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,120145,801-61121,"AMEGY INVESTMENTS, INC.","AMEGY INVESTMENTS, INC.",4400 POST OAK PARKWAY,,HOUSTON,TX,UNITED STATES,77027-3421,713-232-2222,713-571-5396,,,,,,,Approved,5/3/2002,3/30/2010,Y,WWW.AMEGYBANK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"360,164,384.00","360,164,384.00",0,124,124,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,Y,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,140381,801-66666,"OLD MISSION INVESTMENT COMPANY, LLC","OLD MISSION INVESTMENT COMPANY, LLC",880 MUNSON AVENUE,SUITE B,TRAVERSE CITY,MI,UNITED STATES,49686,231-929-4100,231-929-4190,,,,,,,Approved,5/17/2006,3/30/2010,Y,WWW.OMICO.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"158,915,133.00","99,770,505.00","258,685,638.00",885,187,"1,072",Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTATION SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,113358,801-57341,"WATER ISLAND CAPITAL, LLC",JOHN SABBOTT ORRICO,41 MADISON AVENUE,SUITE 2802,NEW YORK,NY,USA,10010,212-584-2366,212-584-2376,,,,,,,Approved,3/17/2000,3/30/2010,Y,WWW.THEARBFUND.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"681,193,145.00",0,"681,193,145.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,151088,801-70467,KILEY JUERGENS WEALTH MANAGEMENT,KJWM LLC,"2413 PACIFIC AVENUE, S.E. STE C",,OLYMPIA,WA,UNITED STATES,98501,360-350-4747,360-350-4744,,,,,,,Approved,8/27/2009,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"101,408,254.00",0,"101,408,254.00",710,0,710,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137727,801-65426,NEW PROVIDENCE ASSET MANAGEMENT L.P.,NEW PROVIDENCE ASSET MANAGEMENT L.P.,570 LEXINGTON AVE.,19TH FLOOR,NEW YORK,NY,UNITED STATES,10022,646-292-1200,646-292-1299,,,,,,,Approved,1/31/2006,3/30/2010,Y,WWW.NEWPROV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,11-25 percent,ENDOWMENTS,Y,N,N,N,N,Y,N,,Y,"1,256,556,301.00","374,908,036.00","1,631,464,337.00",15,2,17,N,Y,N,Y,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR UNREGISTERED FUND OF FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108477,801-56720,ALLIANCEBERNSTEIN L.P.,ALLIANCEBERNSTEIN L.P.,1345 AVE OF THE AMERICAS,,NEW YORK,NY,UNITED STATES,10105,212-969-1000,212-969-2293,,,,,,,Approved,8/13/1999,3/30/2010,Y,WWW.ALLIANCEBERNSTEIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,More than 1000,"4,000",501-1000,0,More than 1000,"1,000",Nov-50,0,More than 500,"33,500",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,Y,Y,Y,Y,N,,Y,"486,096,492,878.00","9,405,119,236.00","495,501,612,114.00","73,463",75,"73,538",Y,Y,Y,Y,N,N,Y,N,N,Y,ASSET ALLOCATION,More than 500,30000,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
DRO,148453,801-69786,PEOPLE'S FINANCIAL ADVISOR,"FINANCIALADVICE4ME, LLC","134 F. STREET, SUITE 206",,SALIDA,CO,UNITED STATES,81201,719-539-1040,719-539-5307,,,,,,,Approved,1/5/2009,3/30/2010,Y,WWW.FIPOM.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147309,801-69651,RDA FINANCIAL NETWORK,"RDA FINANCIAL NETWORK, INC.",1295 JORDAN ST. SUITE 7,,NORTH LIBERTY,IA,UNITED STATES,52317,319-626-3464,319-626-3540,1295 JORDAN ST STE 7,PO BOX 680,NORTH LIBERTY,IA,UNITED STATES,52317,Approved,10/16/2008,1/11/2010,Y,WWW.RDAFN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"63,000,000.00","5,000,000.00","68,000,000.00",582,7,589,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,Y,Y,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105717,801-29500,"MERRIMAN, INC.","MERRIMAN, INC.","800 FIFTH AVENUE, SUITE 2900",,SEATTLE,WA,UNITED STATES,98104,206-285-8877,206-286-2079,,,,,,,Approved,5/1/1987,1/11/2010,Y,WWW.SEATTLECPA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"2,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,289,540,657.00",0,"1,289,540,657.00","5,450",0,"5,450",N,Y,N,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,146478,801-69588,"SML FINANCIAL SERVICES, LLC","SML FINANCIAL SERVICES, LLC",ONE KAISER PLAZA,SUITE 1101,OAKLAND,CA,UNITED STATES,94612-3601,510-452-0458,510-466-6647,,,,,,,Approved,10/10/2008,1/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"106,792,751.00","106,792,751.00",0,5,5,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,134217,801-66354,R.P. BOGGS & CO.,R.P. BOGGS & CO.,1414 VILLAGE HARBOR DR,,LAKE WYLIE,SC,UNITED STATES,29710,803-831-0911,803-831-8586,PO BOX 5057,,LAKE WYLIE,SC,UNITED STATES,29710,Approved,3/9/2006,1/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,SC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"39,010,632.00","6,141,467.00","45,152,099.00",219,44,263,N,Y,N,N,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,151440,801-70548,"S.A. MASON, LLC","S.A. MASON, LLC","170 COLLEGE AVE., SUITE 230",,HOLLAND,MI,UNITED STATES,49423,616-355-3500,616-328-6783,,,,,,,Approved,9/16/2009,1/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"28,005,815.00","68,829,970.00","96,835,785.00",48,5,53,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,145316,801-68472,STONEWORKS ASSET MANAGEMENT LLP,STONEWORKS ASSET MANAGEMENT LLP,25 SOUTHAMPTON BUILDINGS,,LONDON,,UNITED KINGDOM,WC2A 1AL,44 203 043 8887,44 203 043 8886,,,,,,,Approved,11/16/2007,1/12/2010,Y,WWW.STONEWORKSLLP.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"540,000,000.00",0,"540,000,000.00",4,0,4,N,N,Y,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111494,801-60114,"BROADVIEW ADVISORS, LLC","BROADVIEW ADVISORS, LLC","100 EAST WISCONSIN AVENUE, SUITE 2250",,MILWAUKEE,WI,UNITED STATES,53202,(414) 918-3900,(414) 289-9344,,,,,,,Approved,4/3/2001,4/27/2010,Y,WWW.BROADVIEWADVISORS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,11-25 percent,0 percent,11-25 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"473,573,965.00",0,"473,573,965.00",5,0,5,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108301,801-13704,HALSEY ASSOCIATES INC,HALSEY ASSOCIATES INC,234 CHURCH STREET,,NEW HAVEN,CT,UNITED STATES,6510,203-772-0740,203-772-1433,,,,,,,Approved,3/24/1978,4/27/2010,Y,WWW.HALSEYASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"590,218,705.00","57,883,270.00","648,101,975.00",569,43,612,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,144287,801-68171,"STRATEGIC FINANCIAL GROUP, LLC","STRATEGIC FINANCIAL GROUP, LLC",101 EAST 90TH DRIVE,,MERRILLVILLE,IN,UNITED STATES,46410,219-736-8902,219-736-8903,,,,,,,Approved,8/10/2007,4/27/2010,Y,WWW.SFGWEB.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,000",51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,ACCOUNT MAINTENANCE AND AGREEMENT TERMINATION FEES,Y,"115,023,053.00","10,682,139.00","125,705,192.00",728,66,794,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,139804,801-66438,BLACKGOLD CAPITAL MANAGEMENT LP,BLACKGOLD CAPITAL MANAGEMENT LP,ONE RIVERWAY,SUITE 1700,HOUSTON,TX,UNITED STATES,77056,713.400.6800,713.400.6810,,,,,,,Approved,4/13/2006,4/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,51-75 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"40,000,000.00",0,"40,000,000.00",8,0,8,N,N,N,N,N,N,N,N,N,Y,FIRM OFFERS INVESTMENT ADVISORY SERVICES TO POOLED INVESTMENT VEHICLES AND MANAGED ACCOUNTS.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,138937,801-67117,WAVE WEALTH MANAGEMENT LLC,WAVE WEALTH MANAGEMENT LLC,"479 OCEAN AVE., SUITE D",,LAGUNA BEACH,CA,USA,92651,949-497-9100,949-497-7481,,,,,,,Approved,9/5/2006,8/21/2006,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"27,699,193.00","6,910,485.00","34,609,678.00",43,73,116,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105458,801-22418,APPROPRIATE BALANCE FINANCIAL SERVICES INC,APPROPRIATE BALANCE FINANCIAL SERVICES INC,"500 - 108TH AVENUE NE, SUITE 910",,BELLEVUE,WA,UNITED STATES,98004,425-451-0499,425-451-1316,,,,,,,Approved,10/12/1984,4/27/2010,Y,WWW.APPROPRIATEBALANCE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,More than 500,500,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"315,524,119.00","61,859,755.00","377,383,874.00","1,382",372,"1,754",Y,Y,N,Y,N,Y,Y,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143158,801-67593,"APOLLO MANAGEMENT, L.P.","APOLLO MANAGEMENT, L.P.",9 WEST 57TH STREET,SUITE 4100,NEW YORK,NY,UNITED STATES,10019,212.515.3200,212.515.3251,,,,,,,Approved,3/6/2007,4/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,251-500,0,251-500,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"16,454,342,473.00",0,"16,454,342,473.00",60,0,60,N,N,N,Y,N,N,N,N,N,Y,ADVISE POOLED INVESTMENT VEHICLES AND SEPARATELY MANAGED ACCOUNTS.,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,Y,Y,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111188,801-60078,BELLWETHER CONSULTING LLC,BELLWETHER CONSULTING LLC,4 TAYLOR STREET,P.O. BOX 31,MILLBURN,NJ,UNITED STATES,7041,646-205-9346,646-205-9346,,,,,,,Approved,3/9/2001,4/27/2010,Y,WWW.BELLWETHERCONSULTING.NET,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,Y,N,N,Y,PERFORMANCE REPORTING & MARKET COMMENTARY,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111728,801-60390,MADISON WEALTH MANAGEMENT,"MADISON FINANCIAL ADVISORS, LTD",7755 MONTGOMERY ROAD,SUITE 350,CINCINNATI,OH,UNITED STATES,45236,513-871-4555,513-533-6464,,,,,,,Approved,7/27/2001,4/27/2010,Y,WWW.MADISONADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"212,345,000.00","7,115,000.00","219,460,000.00",750,42,792,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152347,801-70890,"GATEWAY ADVISORY, LLC","GATEWAY ADVISORY, LLC",900 SOUTH AVENUE WEST,,WESTFIELD,NJ,UNITED STATES,7090,877-303-9580,908-233-0499,,,,,,,Approved,1/4/2010,4/27/2010,Y,WWW.GATEWAYADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,0,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"81,727,367.00",0,"81,727,367.00",120,0,120,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143161,801-67592,"APOLLO CAPITAL MANAGEMENT, L.P.","APOLLO CAPITAL MANAGEMENT, L.P.",9 WEST 57TH STREET,SUITE 4100,NEW YORK,NY,UNITED STATES,10019,212.515.3200,212.515.3251,,,,,,,Approved,3/13/2007,4/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,251-500,0,251-500,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"8,605,421,028.00","335,916,012.00","8,941,337,040.00",36,2,38,N,N,N,Y,N,N,N,N,N,Y,ADVISE POOLED INVESTMENT VEHICLES AND SEPARATELY MANAGED ACCOUNTS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151243,801-70669,"APOLLO GLOBAL REAL ESTATE MANAGEMENT, L.P.","APOLLO GLOBAL REAL ESTATE MANAGEMENT, L.P.",9 WEST 57TH STREET,SUITE 4100,NEW YORK,NY,UNITED STATES,10019,212-515-3200,212-515-3251,,,,,,,Approved,10/13/2009,4/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,251-500,0,251-500,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,26-50 percent,REAL ESTATE INVESTMENT TRUST.,Y,N,N,N,N,Y,Y,AN ANNUAL PERCENTAGE OF SHAREHOLDERS EQUITY.,Y,"301,316,975.00",0,"301,316,975.00",3,0,3,N,N,N,Y,N,N,N,N,N,Y,"ADVISE REAL ESTATE INVESTMENT TRUST, POOLED INVESTMENT VEHICLES AND MANAGED ACCOUNTS.",,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153285,801-71224,JUBAK ADVISORS,"JUBAK ASSET MANAGEMENT, LLC",9 W. 57TH STREET,26TH FLOOR,NEW YORK,NY,UNITED STATES,10019,646-257-4933,646-225-7326,,,,,,,Approved,3/24/2010,4/27/2010,Y,HTTP://WWW.JUBAKASSETMANAGEMENT.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110883,801-22695,LM ADVISORS INC,LM ADVISORS INC,401 B STREET,SUITE 920,SAN DIEGO,CA,UNITED STATES,92101,619-814-1400,619-814-0555,,,,,,,Approved,11/16/1984,4/27/2010,Y,WWW.LMADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,251-500,0,Up to 10 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,REFERRAL FEE,Y,"858,788,773.00","10,789,792.00","869,578,565.00",432,5,437,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,105966,801-46613,"DELTA ADVISORY GROUP, INC.","DELTA ADVISORY GROUP, INC.",2200 LUCIEN WAY,SUITE 420,MAITLAND,FL,UNITED STATES,32751,407-331-9213,407-331-0307,,,,,,,Approved,5/26/1994,4/28/2010,Y,WWW.DELTAADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,751,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"35,261,878.00",0,"35,261,878.00",759,0,759,Y,Y,N,Y,N,N,N,N,Y,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,N,Y,Y,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109193,801-55746,"FORWARD MANAGEMENT, LLC","FORWARD MANAGEMENT, LLC",101 CALIFORNIA ST,SUITE 1600,SAN FRANCISCO,CA,UNITED STATES,94111,415-869-6300,415-982-2566,,,,,,,Approved,8/14/1998,8/3/2010,Y,WWW.FORWARDMGMT.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,More than 500,500,More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,324,907,929.00",0,"5,324,907,929.00",944,0,944,N,Y,Y,Y,N,Y,N,N,N,N,,,,N,Y,N,N,N,N,N,N,Y,SOLICITATION SERVICES FOR OTHER FINANCIAL ADVISORS,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,13572,801-47342,FINANCIAL NETWORK INVESTMENT CORPORATION,FINANCIAL NETWORK INVESTMENT CORPORATION,200 N. SEPULVEDA BLVD.,SUITE 1300,EL SEGUNDO,CA,UNITED STATES,90245-5672,310-326-3100,310-784-1164,,,,,,,Approved,8/29/1994,8/3/2010,Y,WWW.FINANCIALNETWORK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,More than 1000,"1,000",More than 1000,"1,000",More than 1000,"1,000",Nov-50,0,More than 500,"18,000",More than 75 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,CREDIT UNIONS,Y,Y,N,Y,Y,N,N,,Y,"2,886,426,890.00","6,744,005,022.00","9,630,431,912.00","9,112","27,792","36,904",Y,Y,N,Y,Y,Y,N,N,Y,N,,More than 500,2000,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,Y,Y,Y,N,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,Y,N
FWRO,114686,801-60739,"PRESIDIO ADVISORS, INC.","PRESIDIO ADVISORS, INC.",755 E. MULBERRY,SUITE 400,SAN ANTONIO,TX,UNITED STATES,78212,210-352-2414,210-472-2661,,,,,,,Approved,11/28/2001,8/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,LIMITED PARTNERSHIPS (2),Y,N,N,N,N,N,N,,Y,0,"73,000,000.00","73,000,000.00",0,3,3,N,N,N,Y,N,N,N,N,N,Y,NON-SUPERVISORY FIXED INCOME INVESTMENT MANAGEMENT SERVICES,,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109561,801-57077,PROFESSIONAL PLANNING,NACHMAN MELVYN HENRY,"100 EAST THOUSAND OAKS BLVD,",#150,THOUSAND OAKS,CA,UNITED STATES,91360,805-446-4601,805-446-1199,,,,,,,Approved,2/4/2000,8/3/2010,Y,WWW.PROFESSIONALPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"122,942,280.00",0,"122,942,280.00",706,0,706,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,Y,N,Y,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,154127,801-71582,"MCGOWAN GROUP ASSET MANAGEMENT, INC.","MCGOWAN GROUP ASSET MANAGEMENT, INC.",200 CRESCENT COURT.,#657,DALLAS,TX,UNITED STATES,75201,214-720-4400,214-720-4420,,,,,,,120-Day Approval,7/14/2010,8/3/2010,Y,WWW.NETWORTHRADIO.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,Y,N,N,N,N,,0,,Y,Y,N,Y,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111647,801-61501,WOLF GROUP CAPITAL ADVISORS,"RDL FINANCIAL, INC.",4401 FAIR LAKES COURT,STE 310,FAIRFAX,VA,UNITED STATES,22033,703-502-9500,703-502-3970,,,,,,,Approved,10/1/2002,8/4/2010,Y,WWW.THEWOLFGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"106,651,728.00","14,621,330.00","121,273,058.00",390,80,470,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,151354,801-70584,GALWAY INVESTMENT STRATEGY,GALWAY INVESTMENT STRATEGY,,,,,,,305-546-9500,305-675-4626,,,,,,,Approved,9/18/2009,8/4/2010,Y,WWW.GALWAYINVESTMENTSTRATEGY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"25,000,000.00",0,"25,000,000.00",9,0,9,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,117048,801-60689,"OSBORN ROHS WILLIAMS & DONOHOE, LLC","OSBORN ROHS WILLIAMS & DONOHOE, LLC",300 MAIN STREET,,CINCINNATI,OH,UNITED STATES,45202,513-621-2875,513-421-3602,,,,,,,Approved,11/9/2001,8/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,"2,000",26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"605,235,478.00","38,272,915.00","643,508,393.00",923,79,"1,002",N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
ARO,151439,801-70577,"COMMERCE ADVISORS, LLC","COMMERCE ADVISORS, LLC",6075 POPLAR AVENUE,SUITE 723,MEMPHIS,TN,UNITED STATES,38119,901-969-1390,901-969-1391,,,,,,,Approved,9/17/2009,8/4/2010,N,,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,Y,A PERCENTAGE OF ASSETS UNDER CONSULTATION,Y,"26,004,026.00","173,839,437.00","199,843,463.00",74,17,91,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108863,801-56839,"NEW CENTURY ASSET MANAGEMENT, INC.",NEW CENTURY ASSET MANAGEMENT INC,1195 HAMBURG TURNPIKE,,WAYNE,NJ,USA,7470,973-305-5505,973-305-1105,,,,,,,Approved,7/31/1999,8/4/2010,Y,WWW.NEWCENTURYLIVE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"194,314,646.00","44,713,706.00","239,028,352.00",761,66,827,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110339,801-17877,"MCCABE CAPITAL MANAGERS, LTD.","MCCABE CAPITAL MANAGERS, LTD.",2011 RENAISSANCE BLVD,STE 210,KING OF PRUSSIA,PA,UNITED STATES,19406,610-277-8890,610-277-6903,,,,,,,Approved,10/21/1982,8/4/2010,Y,WWW.MCCABECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"219,108,884.00","1,091,248,833.00","1,310,357,717.00",63,65,128,Y,Y,N,Y,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,132377,801-63516,EUROPEAN CREDIT MANAGEMENT LIMITED,EUROPEAN CREDIT MANAGEMENT LIMITED,34 GROSVENOR STREET,,LONDON,,UNITED KINGDOM,W1K 4QU,44 20 7529 7400,44 20 7529 7411,,,,,,,Approved,9/28/2004,8/4/2010,Y,WWW.EUROPEANCREDIT.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,51-250,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"17,035,260,000.00",0,"17,035,260,000.00",64,0,64,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N
MIRO,106401,801-39749,COMMONWEALTH ADVISORS INC,COMMONWEALTH ADVISORS INC,315 THIRD STREET,,BATON ROUGE,LA,UNITED STATES,70801,225-343-9342,225-343-1645,P. O. BOX 3395,,BATON ROUGE,LA,UNITED STATES,70821-3395,Approved,10/1/1991,8/4/2010,Y,WWW.COMMON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,LA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,"LIMITED PARTNERSHIPS, LIMITED LIABILITY, PRIVATE FUNDS",Y,Y,N,Y,N,Y,N,,Y,"356,983,000.00","17,000.00","357,000,000.00",618,3,621,Y,Y,N,Y,N,N,N,N,N,Y,VALUATION & LITIGATION SUPPORT,0,,N,N,N,N,N,N,N,N,Y,CREATING AND PACKAGING LIMITED PARTNERSHIPS,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145182,801-68520,FAIRPORT ASSET MANAGEMENT,"WEALTHTRUST FAIRPORT, LLC",3636 EUCLID AVENUE,,CLEVELAND,OH,UNITED STATES,44115,216-431-3000,216-431-4057,,,,,,,Approved,11/15/2007,8/4/2010,Y,WWW.FAIRPORTASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,500,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"812,808,676.00",0,"812,808,676.00","1,125",0,"1,125",Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119850,801-68466,OJM GROUP,"THE O'DELL GROUP, LLC",8044 MONTGOMERY ROAD,SUITE 440,CINCINNATI,OH,UNITED STATES,45236,513-791-7525,513-791-8351,,,,,,,Approved,10/24/2007,8/4/2010,Y,WWW.OJMGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,706,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"86,890,804.00",0,"86,890,804.00",706,0,706,Y,Y,N,Y,N,N,Y,N,N,Y,"CONSULTATION SERVICES; RELATED PERSONS AUTHOR BOOKS, PERIODICALS, & ARTICLES; SPEAKING ENGAGEMENTS",26-50,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,154619,801-71724,"ASPIRIANT INVESTMENT ADVISORS, LLC","ASPIRIANT INVESTMENT ADVISORS, LLC",250 EAST FIFTH STREET,SUITE 1900,CINCINNATI,OH,UNITED STATES,45202,513-784-7100,513-929-3301,101 SECOND STREET,SUITE 1400,SAN FRANCISCO,CA,UNITED STATES,94105,120-Day Approval,8/6/2010,8/4/2010,Y,WWW.ASPIRIANT.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,Y,A PERCENTAGE OF THE CLIENT'S PORTFOLIO,Y,0,0,0,0,0,0,Y,N,N,N,Y,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,22449,801-62329,"CUTTER & COMPANY, INC.","CUTTER AND COMPANY BROKERAGE, INC.",15415 CLAYTON ROAD,,BALLWIN,MO,UNITED STATES,63011,636-537-8770,636-537-8779,,,,,,,Approved,9/8/2003,8/4/2010,Y,WWW.CUTTER-CO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,500",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"249,600,144.00","32,427,106.00","282,027,250.00","1,282",227,"1,509",Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,Y,Y,Y,Y,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108879,801-25461,HALLMARK CAPITAL MANAGEMENT INC,HALLMARK CAPITAL MANAGEMENT INC,1195 HAMBURG TURNPIKE,,WAYNE,NJ,UNITED STATES,07470-5055,973-808-4144,973-808-3272,,,,,,,Approved,10/11/1985,8/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,NON-PROFIT CORPORATIONS,Y,Y,N,N,N,N,N,,Y,"553,506,448.00","1,098,727.00","554,605,175.00",602,1,603,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,153966,801-71747,CRESCENT CAPITAL GROUP LP,CRESCENT CAPITAL GROUP LP,11100 SANTA MONICA BLVD.,SUITE 2000,LOS ANGELES,CA,UNITED STATES,90025,310-235-5900,310-235-5969,,,,,,,120-Day Approval,8/10/2010,8/4/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,150814,801-70407,"ALEXANDRA DEST CAPITAL MANAGEMENT, LLC","ALEXANDRA DEST CAPITAL MANAGEMENT, LLC",55 CHURCH STREET,,PITTSFIELD,MA,UNITED STATES,1201,413-236-2980,413-236-2988,,,,,,,Approved,7/16/2009,8/4/2010,Y,WWW.ADESTCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"63,197,393.00","3,676,579.00","66,873,972.00",142,4,146,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,133395,801-63782,HUGH JOHNSON ADVISORS LLC,HUGH JOHNSON ADVISORS LLC,80 STATE STREET,4TH FLOOR,ALBANY,NY,UNITED STATES,12207,518-641-6860,518-641-6856,,,,,,,Approved,1/3/2005,8/4/2010,Y,WWW.HJADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"866,664,920.00",0,"866,664,920.00",314,0,314,N,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING SERVICES,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,154362,801-71740,"SABA CAPITAL MANAGEMENT, L.P.","SABA CAPITAL MANAGEMENT, L.P.","405 LEXINGTON AVE, 58TH FLOOR",,NEW YORK,NY,UNITED STATES,10174,212-542-3610,646-873-3409,,,,,,,Approved,8/6/2010,8/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,000,000,000.00",0,"1,000,000,000.00",7,0,7,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,117129,801-60956,"COMPASS WEALTH ADVISORS, LLC","COMPASS WEALTH ADVISORS, LLC",100 S. MAIN ST.,,ELKHART,IN,UNITED STATES,46516-3122,574-522-3738,574-522-1555,,,,,,,Approved,2/25/2002,8/4/2010,Y,WWW.COMPASSWA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"137,622,913.00",0,"137,622,913.00",520,0,520,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,120325,801-61090,"HATTERAS ALTERNATIVE MUTUAL FUNDS, LLC","HATTERAS ALTERNATIVE MUTUAL FUNDS, LLC","8540 COLONNADE CENTER DRIVE, SUITE 401",,RALEIGH,NC,UNITED STATES,27615,919-846-2324,919-846-3433,,,,,,,Approved,4/19/2002,8/4/2010,Y,WWW.HATTERASMUTUALFUNDS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"264,177,502.00",0,"264,177,502.00",2,0,2,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107271,801-43144,"SAVANT CAPITAL MANAGEMENT, INC.",SAVANT CAPITAL MANAGEMENT INC,190 BUCKLEY DRIVE,,ROCKFORD,IL,UNITED STATES,61107,815-227-0300,815-226-2195,,,,,,,Approved,1/22/1993,8/4/2010,Y,WWW.SAVANTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,More than 500,"2,000",26-50 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,562,127,898.00","20,374,662.00","1,582,502,560.00","1,934",1,"1,935",Y,Y,N,Y,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
PLRO,105608,801-24354,LAU ASSOCIATES LLC,LAU ASSOCIATES LLC,300 BELLEVUE PKWY,SUITE 200,WILMINGTON,DE,UNITED STATES,19809,302-792-5955,302-792-1833,,,,,,,Approved,6/11/1985,3/30/2010,Y,WWW.LAUASSOCIATES.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"440,750,000.00",0,"440,750,000.00",128,0,128,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,111213,801-52978,LLOYDS TSB OFFSHORE PRIVATE CLIENTS LIMITED,LLOYDS TSB OFFSHORE PRIVATE CLIENTS LIMITED,"25 NEW STREET,",ST HELIER,"JERSEY, CHANNEL ISLANDS",,UNITED KINGDOM,JE4 8RG,44 1534 845845,44 1534 845577,11/12 ESPLANADE,ST HELIER,JERSEY,,JERSEY,JE4 8RS,Approved,11/7/1996,4/27/2010,Y,WWW.LLOYDSTSB-OFFSHORE.COM/PRIVATE,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,JERSEY,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"43,636,797.00",0,"43,636,797.00",82,0,82,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,Y,N,,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150413,801-70249,"ALPHABET MANAGEMENT, LLC","ALPHABET MANAGEMENT, LLC",2 RECTOR STREET,3RD FLOOR,NEW YORK,NY,UNITED STATES,10006,212-659-3874,212-659-3909,,,,,,,Approved,6/1/2009,4/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,"138,000,000.00",0,"138,000,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT OF PRIVATELY OFFERED COLLECTIVE INVESTMENT VEHICLE,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,150673,801-70327,STOREY & ASSOCIATES,"HARLAN G STOREY, INC",1360 SOUTH MAIN STREET,,NORTH CANTON,OH,UNITED STATES,44720,330-526-8944,330-526-8948,,,,,,,Approved,7/15/2009,4/27/2010,Y,HTTP://WWW.STOREYCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"126,958,117.00","183,056.00","127,141,173.00",316,7,323,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,134057,801-67748,"NEXT GENERATION WEALTH MANAGEMENT, INC.","NEXT GENERATION WEALTH MANAGEMENT, INC.",10700 RESEARCH DRIVE,SUITE 150,MILWAUKEE,WI,UNITED STATES,53226,414-257-4248,414-751-5180,,,,,,,Approved,4/22/2008,4/27/2010,Y,WWW.NGWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"67,112,220.00","1,922,385.00","69,034,605.00",192,31,223,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
ARO,110267,801-17960,BRANDON FINANCIAL PLANNING INC.,BRANDON FINANCIAL PLANNING INC.,5101 WHEELIS ROAD,SUITE 112,MEMPHIS,TN,USA,38117,901-324-6600,901-324-5743,P O BOX 770870,,MEMPHIS,TN,USA,38177,Approved,12/3/1982,4/27/2010,Y,WWW.BRANDONPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"40,000,000.00","130,000,000.00","170,000,000.00",12,230,242,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,135846,801-64430,BEERS FINANCIAL LLC,BEERS FINANCIAL LLC,609 SIMS AVENUE,SUITE 203,COLUMBIA,SC,UNITED STATES,29205,803-748-9550,803-748-0331,,,,,,,Approved,6/21/2005,4/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,5-Jan,0,0,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,ANNUAL RETAINER,Y,"40,213,105.00",0,"40,213,105.00",93,0,93,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110794,801-20798,"TRIPP FINANCIAL CONSULTANTS, INC.","TRIPP FINANCIAL CONSULTANTS, INC.",2400 RESEARCH BLVD,SUITE 300,ROCKVILLE,MD,UNITED STATES,20850-6215,301-721-1800,301-721-1886,,,,,,,Approved,3/5/1984,4/27/2010,Y,WWW.TRIPPINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISER/MANAGER FEES,Y,0,"44,821,246.00","44,821,246.00",0,377,377,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,104591,801-20824,CAPITAL INVESTMENT COUNSEL INC,CAPITAL INVESTMENT COUNSEL INC,17 GLENWOOD AVENUE,,RALEIGH,NC,USA,27603,919-831-2370,919-832-7928,P.O. BOX 32249,,RALEIGH,NC,,27622,Approved,3/20/1984,4/27/2010,Y,WWW.CAPITAL-INVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,Nov-50,0,More than 500,500,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,TRUSTS/ESTATES,Y,N,N,N,Y,N,N,,Y,"191,596,195.00",0,"191,596,195.00",625,0,625,N,Y,N,N,N,N,N,N,N,N,,0,,Y,Y,N,Y,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,140498,801-71274,WEALTHMD CORPORATION,WEALTHMD CORPORATION,119 SOUTH SHERRIN AVENUE,SUITE 140,LOUISVILLE,KY,UNITED STATES,40207,502-413-6893,502-413-6670,,,,,,,Approved,4/7/2010,4/27/2010,Y,WWW.WEALTHMDCORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"35,000,000.00",0,"35,000,000.00",300,0,300,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,133293,801-63783,"COULTER & JUSTUS FINANCIAL SERVICES, LLC","COULTER & JUSTUS FINANCIAL SERVICES, LLC",687 EMORY VALLEY ROAD,SUITE A,OAK RIDGE,TN,USA,37830,865-481-0385,865-483-7930,,,,,,,Approved,1/3/2005,4/27/2010,Y,WWW.CJ-FS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"98,698,018.00",0,"98,698,018.00",436,0,436,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,127616,801-66560,ELGETHUN CAPITAL MANAGEMENT,ELGETHUN CAPITAL MANAGEMENT,,,,,,,605-367-3336,605-367-1118,,,,,,,Approved,5/19/2006,4/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,SD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,FOUNDATIONS,Y,N,N,N,N,N,N,,Y,"91,781,252.00",0,"91,781,252.00",267,0,267,Y,Y,N,Y,N,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,108589,801-54219,AMERITRUST INVESTMENT ADVISORS INC,AMERITRUST INVESTMENT ADVISORS INC,4111 S DARLINGTON STE 450,,TULSA,OK,UNITED STATES,74135,(918)610-8080,(918)610-1229,,,,,,,Approved,4/10/1997,4/27/2010,Y,WWW.AMERITRUSTTULSA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,FINANCIAL PLANNING FEES ARE CALCULATED ON A % OF NET WORTH.,Y,"62,792,047.00",0,"62,792,047.00",417,0,417,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,22998,801-39604,MUZINICH & CO INC,MUZINICH & CO INC,450 PARK AVE,,NEW YORK,NY,USA,10022,212-888-3413,212-888-4368,,,,,,,Approved,8/16/1991,4/27/2010,Y,WWW.MUZINICH.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,26-50 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"6,320,971,804.00",0,"6,320,971,804.00",48,0,48,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
SFRO,123659,801-61578,FINANCIAL VISION LLC,FINANCIAL VISION LLC,,,,,,,650-747-9275,650-899-1507,,,,,,,Approved,11/25/2002,4/27/2010,Y,WWW.FV-LLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,Y,"36,873,700.00","11,770,000.00","48,643,700.00",157,12,169,Y,Y,N,N,N,Y,N,N,N,Y,"COUNSELING,COACHING,FAMILY OFFICE SERVICES",26-50,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138869,801-65704,DURHAM ASSET MANAGEMENT L.L.C.,DURHAM ASSET MANAGEMENT L.L.C.,680 FIFTH AVENUE,22ND FLOOR,NEW YORK,NY,UNITED STATES,10019,212-204-8600,212-204-8585,,,,,,,Approved,1/27/2006,3/31/2009,Y,WWW.DURHAMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"462,160,000.00",0,"462,160,000.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,104685,801-18475,PORTFOLIO STRATEGIES INC,PORTFOLIO STRATEGIES INC,1724 WEST UNION #200,,TACOMA,WA,UNITED STATES,98405,253-383-1676,253-383-1033,,,,,,,Approved,3/15/1983,4/26/2010,Y,WWW.PORTSTRAT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,501-1000,0,More than 500,"6,700",More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"252,406,535.00",0,"252,406,535.00","6,700",0,"6,700",N,Y,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124687,801-61757,NEUBERGER BERMAN FIXED INCOME LLC,NEUBERGER BERMAN FIXED INCOME LLC,190 SOUTH LASALLE STREET,SUITE 2400,CHICAGO,IL,UNITED STATES,60603,312-325-7700,312-873-4341,,,,,,,Approved,1/23/2003,4/26/2010,Y,WWW.NB.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,"8,000",51-75 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,CDO AND CLO VEHICLES,Y,N,N,Y,N,Y,Y,LICENSING FEE,Y,"55,937,268,439.00","12,213,824,385.00","68,151,092,824.00","7,949",3,"7,952",N,Y,Y,Y,N,N,N,N,N,Y,DEVELOPMENT AND LICENSING OF PROPRIETARY ANALYTIC INVESTMENT MODELS,,,N,Y,N,N,Y,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,117040,801-65870,"FREEGULLIVER, LLC","FREEGULLIVER, LLC",509 OCTAVIA STREET,,NEW ORLEANS,LA,USA,70115,504-899-0300,504-899-0123,,,,,,,Approved,1/30/2006,4/26/2010,Y,WWW.FREEGULLIVER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"74,794,661.00","8,627,622.00","83,422,283.00",63,21,84,Y,Y,N,Y,N,Y,N,N,N,Y,CONCIERGE SERVICE; BILL-PAYING SERVICES,0,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105952,801-31896,"BNP PARIBAS ASSET MANAGEMENT, INC.","BNP PARIBAS ASSET MANAGEMENT, INC.",200 PARK AVENUE,45TH  FLOOR,NEW YORK,NY,UNITED STATES,10166,(212) 681-3184,(212) 681-3188,,,,,,,Approved,1/28/1988,4/26/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,26-100,0,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"680,840,000.00","6,385,040,000.00","7,065,880,000.00",35,4,39,N,N,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106098,801-50655,BROWN ADVISORY INCORPORATED,BROWN INVESTMENT ADVISORY INCORPORATED,"901 SOUTH BOND STREET, SUITE 400",,BALTIMORE,MD,UNITED STATES,21231-3340,410-537-5400,410.537.6371,,,,,,,Approved,11/28/1995,4/26/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,848,129,725.00",0,"2,848,129,725.00",296,0,296,N,Y,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,150209,801-70149,NSB ADVISORS LLC,NSB ADVISORS LLC,901 S. BOND STREET,SUITE 400,BALTIMORE,MD,UNITED STATES,21231-3340,410-537-5400,410-537-6371,,,,,,,Approved,5/14/2009,4/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"655,442,462.00",0,"655,442,462.00",568,0,568,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,114077,801-60461,CROW FINANCIAL ADVISORS,CROW FINANCIAL ADVISORS LTD. CO,8210 LOUISIANA BLVD NE,SUITE B,ALBUQUERQUE,NM,UNITED STATES,87113,505-243-2281,505-243-0473,,,,,,,Approved,8/6/2001,4/26/2010,Y,WWW.CROWFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NM,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,SET UP FEES MAY BE CHARGED,Y,"33,986,370.00",0,"33,986,370.00",194,0,194,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,104621,801-17500,JOHNSON FINANCIAL ADVISORS,"PHILIP O. JOHNSON & COMPANY, LTD.",2001 W. CAMELBACK RD.,SUITE 420,PHOENIX,AZ,UNITED STATES,85015-3484,602-242-4000,602-636-2500,,,,,,,Approved,8/19/1982,4/26/2010,Y,WWW.JFAPLAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,Y,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"48,682,096.00",0,"48,682,096.00",136,0,136,Y,Y,N,N,N,Y,Y,N,N,N,,101-250,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112328,801-57817,"INFANGER INVESTMENT TECHNOLOGY, LLC","INFANGER INVESTMENT TECHNOLOGY, LLC","2685 MARINE WAY, SUITE 1315",,MOUNTAIN VIEW,CA,USA,94043,650-961-5176,650-961-5177,,,,,,,Approved,7/31/2000,4/26/2010,Y,WWW.INFANGER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,0,"183,647,000.00","183,647,000.00",0,6,6,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,136051,801-68815,"WEALTH MANAGEMENT ADVISORS, LLC","WEALTH MANAGEMENT ADVISORS, LLC",,,,,,,707-462-9053,N/A,,,,,,,Approved,2/15/2008,4/26/2010,Y,WWW.FEEONLYINVESTMENTADVICE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"32,000,000.00",0,"32,000,000.00",35,0,35,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123729,801-64258,"SIGNATURE FINANCIAL SERVICES, LTD","SIGNATURE FINANCIAL SERVICES, LTD","855 EAST GOLF ROAD, SUITE 2128",,ARLINGTON HEIGHTS,IL,USA,60005,(847) 545-8070,(847) 545-8077,,,,,,,Approved,5/27/2005,4/26/2010,Y,WWW.SIGNATUREADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"80,000,000.00",0,"80,000,000.00",240,0,240,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,127364,801-62202,"AHC ADVISORS, INC.","AHC ADVISORS, INC.",303 N. SECOND ST.,SUITE 24,ST. CHARLES,IL,USA,60174,630-762-8185,630-762-8390,,,,,,,Approved,7/7/2003,4/26/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,RETAINER BASED FEE,Y,"2,100,000.00",0,"2,100,000.00",11,0,11,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,121505,801-62885,"SIGNIA CAPITAL MANAGEMENT, LLC",SIGNIA CAPITAL MANAGEMENT LLC,108 N. WASHINGTON ST.,SUITE 305,SPOKANE,WA,USA,99201,509-789-8970,509-789-8976,,,,,,,Approved,3/12/2004,3/15/2010,Y,WWW.SIGNIACAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,TRUSTS,Y,N,N,N,N,Y,N,,Y,"520,403,725.00",0,"520,403,725.00",125,0,125,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,117378,801-60693,"PRUNEYARD FINANCIAL GROUP, INC.","PRUNEYARD FINANCIAL GROUP, INC.",1999 SOUTH BASCOM AVENUE,SUITE 990,CAMPBELL,CA,UNITED STATES,95008,408.377.4444,408.377.9944,,,,,,,Approved,11/14/2001,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"179,046,363.00","2,538,200.00","181,584,563.00",683,33,716,Y,Y,N,Y,Y,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112326,801-55383,"SOUTH STREET ADVISORS, LLC","SOUTH STREET ADVISORS, LLC",369 LEXINGTON AVE.,23RD. FLOOR,NEW YORK,NY,UNITED STATES,10017,212-292-7803,212-949-1270,,,,,,,Approved,4/2/1998,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"210,421,980.00",0,"210,421,980.00",63,0,63,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,135522,801-68346,DOUBLE EAGLE CAPITAL MANAGEMENT LP,DOUBLE EAGLE CAPITAL MANAGEMENT LP,909 LAKE CAROLYN PARKWAY,SUITE 1825,IRVING,TX,UNITED STATES,75039,972.869.6880,972.869.6883,,,,,,,Approved,9/28/2007,3/19/2010,Y,WWW.DOUBLEEAGLECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"144,673,000.00",0,"144,673,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,113784,801-61028,"CAMARDA FINANCIAL ADVISORS, LLC","CAMARDA FINANCIAL ADVISORS, LLC",4371 US HIGHWAY 17 SOUTH,SUITE 201,ORANGE PARK,FL,UNITED STATES,32003,904-278-1177,904-278-1070,,,,,,,Approved,4/2/2002,3/19/2010,Y,WWW.CAMARDAFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,Nov-50,0,10-Jun,0,0,0,10-Jun,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"141,334,523.00",0,"141,334,523.00","1,226",0,"1,226",Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108810,801-40063,THE SAVANT GROUP,THE SAVANT GROUP,461 2ND STREET,SUITE 151,SAN FRANCISCO,CA,UNITED STATES,94107,415-543-9963,415-543-6026,,,,,,,Approved,11/26/1991,3/19/2010,Y,WWW.THESAVANTGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"790,513,725.00",0,"790,513,725.00","1,310",0,"1,310",Y,Y,N,Y,N,N,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,147189,801-69865,"TIEDEMANN WEALTH MANAGEMENT, LLC","TIEDEMANN WEALTH MANAGEMENT, LLC",535 MADISON AVENUE,,NEW YORK,NY,UNITED STATES,10022,212-396-5900,212-396-8772,,,,,,,Approved,2/10/2009,3/19/2010,Y,WWW.TIEDEMANNWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,INTER-COMPANY SERVICE FEES,Y,"1,686,356,237.00","116,503,281.00","1,802,859,518.00",581,241,822,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111600,801-60612,PAULAHOGAN,"HOGAN FINANCIAL MANAGEMENT, LLC",250 W. COVENTRY CT. SUITE 202,,MILWAUKEE,WI,UNITED STATES,53217,414-352-9111,414-352-9166,,,,,,,Approved,10/19/2001,3/19/2010,Y,PAULAHOGAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"146,768,806.00","146,768,806.00",0,492,492,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106516,801-37238,"SNOW CAPITAL MANAGEMENT, L.P.","SNOW CAPITAL MANAGEMENT, L.P.",2100 GEORGETOWNE DRIVE,SUITE 400,SEWICKLEY,PA,UNITED STATES,15143,724-934-5800,724-934-5855,,,,,,,Approved,8/24/1990,3/19/2010,Y,WWW.SNOWCM.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,PA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,"4,000",26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,931,000,000.00",0,"2,931,000,000.00","4,000",0,"4,000",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108099,801-55140,SIGMA FINANCIAL SERVICES INC,SIGMA FINANCIAL SERVICES INC,2766 ELECTRIC ROAD,SUITE B,ROANOKE,VA,UNITED STATES,24018,540-989-2020,540-989-1212,,,,,,,Approved,1/9/1998,3/19/2010,Y,WWW.SIGMA-FSI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"19,877,726.00","65,000,381.00","84,878,107.00",66,36,102,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,132362,801-63440,"CHELSEA ADVISORS, LLC","CHELSEA ADVISORS, LLC",223 W. JACKSON BLVD,SUITE 850,CHICAGO,IL,UNITED STATES,60606-5912,(312)463-1306,(866)359-9809,,,,,,,Approved,8/20/2004,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"64,946,948.00",0,"64,946,948.00",106,0,106,Y,Y,N,N,N,Y,N,N,N,Y,TAX RETURN PREPARATION,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,130800,801-62950,"""GTF ONE""","GTF I COMPANY, INC.",,,,,,,281-689-2774,413-294-6780,P.O. BOX 2414,,NEW CANEY,TX,USA,77357-2414,Approved,4/13/2004,12/2/2005,Y,HTTP://WWW.QUICKDROP.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,NATIVE INDIAN ORGANIZATIONS - USA,Y,Y,N,Y,Y,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,Y,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,FINANCIAL CONSULTANT,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,127612,801-62228,"ADAIR CAPITAL, LLC.","ADAIR CAPITAL, LLC.",405 PARK AVENUE,8TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-750-1577,212-980-7885,,,,,,,Approved,7/18/2003,3/19/2010,Y,WWW.ADAIRCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"113,183,653.00","34,408,511.00","147,592,164.00",3,2,5,N,N,N,Y,N,N,N,N,N,Y,FUNDS OF HEDGE FUND MANAGEMENT SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,121220,801-66378,THE RIDGEWOOD GROUP,RIDGEWOOD INVESTMENTS LLC,150 JFK PARKWAY,SUITE 100,SHORT HILLS,NJ,UNITED STATES,7078,973-544-6970,973-544-4026,,,,,,,Approved,3/23/2006,3/19/2010,Y,WWW.RIDGEWOODGRP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"47,465,254.00","25,489,362.00","72,954,616.00",235,12,247,Y,Y,N,Y,N,Y,N,N,N,Y,WEALTH MANAGEMENT SERVICES,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,127132,801-66402,"VALEO FINANCIAL ADVISORS, LLC","VALEO FINANCIAL ADVISORS, LLC","9450 N MERIDIAN ST, STE 300",,INDIANAPOLIS,IN,UNITED STATES,46260,317.218.6000,317.218.6010,,,,,,,Approved,3/17/2006,3/19/2010,Y,WWW.VALEOFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,PERCENTAGE OF CLIENT NET WORTH,Y,"12,651,914.00","549,045,106.00","561,697,020.00",27,"1,175","1,202",Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,134714,801-64071,SOUTHERN WEALTH INVESTMENT ADVISORS LLC,SOUTHERN WEALTH INVESTMENT ADVISORS LLC,5005 LBJ FREEWAY,SUITE 920,DALLAS,TX,UNITED STATES,75244,972-661-4600,972-934-8310,,,,,,,Approved,4/14/2005,3/19/2010,Y,WWW.SOUTHERNWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"1,015,521,260.00","1,015,521,260.00",0,548,548,Y,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111331,801-60100,"1ST SOURCE CORPORATION INVESTMENT ADVISORS, INC.","1ST SOURCE CORPORATION INVESTMENT ADVISORS, INC.",100 NORTH MICHIGAN STREET,,SOUTH BEND,IN,UNITED STATES,46601,574-235-2756,574-235-2077,P.O BOX 1602,,SOUTH BEND,IN,UNITED STATES,46634,Approved,3/22/2001,3/19/2010,Y,1STSOURCE.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"2,123,174,748.00",0,"2,123,174,748.00",3,0,3,N,N,Y,Y,N,N,N,N,N,Y,SEMINARS - NO FEE,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110971,801-60064,"GRANDFIELD & DODD, LLC","GRANDFIELD & DODD, LLC",17 BATTERY PLACE,SUITE 1326,NEW YORK,NY,USA,10004,212-477-9626,212-777-7764,,,,,,,Approved,3/1/2001,3/19/2010,Y,WWW.GRANDFIELD-DODD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"595,292,428.00","110,404,448.00","705,696,876.00",643,108,751,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145488,801-69827,"ARETE WEALTH ADVISORS, LLC","ARETE WEALTH ADVISORS, LLC",9 CRYSTAL LAKE RD. SUITE 100,,LAKE IN THE HILLS,IL,USA,60156,847-658-8366,847-277-7239,,,,,,,Approved,1/5/2009,3/19/2010,Y,WWW.ARETEWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"150,000,000.00",0,"150,000,000.00",400,0,400,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,143430,801-70233,"WORK OPTIONAL, INC.","WORK OPTIONAL, INC.",3360 B ANNAPOLIS LANE NORTH,,PLYMOUTH,MN,UNITED STATES,55447,952-475-7000,952-475-7001,,,,,,,Approved,6/10/2009,3/19/2010,Y,WWW.FINANCIALFREEDOMINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"57,128,287.00","5,597,395.00","62,725,682.00",682,50,732,Y,Y,N,Y,N,N,N,N,N,Y,SEMINARS,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151202,801-70528,BAFFIN ADVISORS LLC,BAFFIN ADVISORS LLC,500 MAMARONECK AVE.,SUITE 320,HARRISON,NY,UNITED STATES,10528,914-371-2992,914-371-6742,,,,,,,Approved,8/20/2009,3/19/2010,Y,HTTP://MARTIN-ANIDJAR.BLOGSPOT.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"39,480,000.00","2,000,000.00","41,480,000.00",7,1,8,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,142617,801-67498,TAYLOR FRIGON CAPITAL MANAGEMENT LLC,TAYLOR FRIGON CAPITAL MANAGEMENT LLC,,,,,,,805-226-0280,650-242-4220,,,,,,,Approved,2/5/2007,3/19/2010,Y,WWW.TAYLORFRIGON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"66,676,761.00",0,"66,676,761.00",320,0,320,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,150325,801-70188,"RMH III INVESTMENT MANAGEMENT, LLC","RMH III INVESTMENT MANAGEMENT, LLC",1800 2ND STREET,SUITE  959,SARASOTA,FL,UNITED STATES,34236,941-954-5888,941-954-5444,,,,,,,Approved,5/20/2009,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"54,000,000.00",0,"54,000,000.00",96,0,96,Y,Y,N,N,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,136430,801-64530,"INTEGRITY FINANCIAL ADVISORS, LLC","INTEGRITY FINANCIAL ADVISORS, LLC",,,,,,,307-751-6682,,,,,,,,Approved,7/29/2005,3/19/2010,Y,WWW.INTEGRITYADVISORS.NET,N,N,Y,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"2,658,236.00",0,"2,658,236.00",20,0,20,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,141632,801-67112,SWALLOW FARMS CAPITAL MANAGEMENT,WILLIAM FRANCIS LINDSEY,,,,,,,413-230-3405,413-254-2500,,,,,,,Approved,9/5/2006,3/19/2010,Y,WWW.SWALLOWFARMS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"34,085,000.00","34,085,000.00",0,51,51,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107510,801-45480,"HARRIS FINANCIAL ADVISORS, INC.",HARRIS FINANCIAL ADVISORS INC,25500 HAWTHORNE BLVD.,SUITE 1030,TORRANCE,CA,USA,90505,310-791-3226,310-791-3229,,,,,,,Approved,2/3/1994,3/19/2010,Y,WWW.HARRISFINANCIAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"170,968,447.00","15,354,954.00","186,323,401.00",675,47,722,Y,Y,N,N,N,N,Y,N,N,Y,PORTFOLIO MANAGEMENT FOR ENDOWMENTS & CHARITABLE TRUSTS,26-50,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105359,801-14344,THE PORTOLA GROUP INC,THE PORTOLA GROUP INC,3000 SAND HILL RD,BUILDING 2-145,MENLO PARK,CA,UNITED STATES,94025-7103,650-854-7550,650-854-8363,,,,,,,Approved,1/25/1979,3/19/2010,Y,WWW.PORTOLAGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,A FLAT ANNUAL RETAINER FEE (PAID QUARTERLY),Y,"374,241,511.00","12,622,410.00","386,863,921.00",600,18,618,Y,Y,N,Y,N,Y,Y,N,N,N,,101-250,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,154287,801-71628,WESTON CAPITAL ADVISOR,"WESTON CAPITAL ADVISORS, LLC",396 WASHINGTON STREET,SUITE 385,WELLESLEY,MA,UNITED STATES,2481,781-239-4446,781-239-4178,,,,,,,120-Day Approval,7/9/2010,7/13/2010,Y,WWW.ERSHARES.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,WITHIN 120 DAYS WE WILL BE A REGISTERED INVESETMENT ADVISOR TO AN INVESTMENT COMPANY,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,WITHIN 120 DAYS WE WILL A REGISTERED INVESTMENT  ADVISOR TO AN INVESTMENT COMPANY,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,153615,801-71638,ENTREPRENEURSHARES LLC,ENTREPRENEURSHARES LLC,396 WASHINGTON STREET,SUITE 385,WELLESLEY,MA,UNITED STATES,2481,781-239-4446,781-239-4178,,,,,,,120-Day Approval,7/14/2010,7/13/2010,Y,WWW.ERSHARES.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,WITHIN 120 DAYS WE WILL BE A REGISTERED INVESTMENT ADVISOR TO AN INVESTMENT COMPANY,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,WITHIN 120 DAYS WE WILL A REGISTERED INVESTMENT ADVISOR TO AN INVESTMENT COMPANY,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,108288,801-37592,"M. D. FALK & COMPANY, INC.","M. D. FALK & COMPANY, INC.",,,,,,,561-477-7144,561-477-7144,,,,,,,Approved,11/23/1990,7/13/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"6,733,689.00",0,"6,733,689.00",14,0,14,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,112319,801-60303,GUIDESTONE CAPITAL MANAGEMENT,GUIDESTONE CAPITAL MANAGEMENT,2401 CEDAR SPRINGS RD.,,DALLAS,TX,UNITED STATES,75201-1498,214-720-1171,214-720-4741,,,,,,,Approved,5/29/2001,7/13/2010,Y,WWW.GUIDESTONECAPITALMANAGEMENT.ORG,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"8,901,431,052.00",0,"8,901,431,052.00",44,0,44,N,N,Y,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,16204,801-68438,LIFEMARK SECURITIES CORP.,LIFEMARK SECURITIES CORP.,400 WEST METRO FINANCIAL CENTER,,ROCHESTER,NY,USA,14623,585-424-5672,585-272-7170,,,,,,,Approved,10/17/2007,7/13/2010,Y,HTTP://WWW.LIFEMARK.COM/,N,N,N,N,N,N,N,N,N,Y,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"3,568,250.00","3,568,250.00",0,20,20,N,N,N,N,N,Y,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143598,801-67735,PERELLA WEINBERG PARTNERS CAPITAL MANAGEMENT LP,PERELLA WEINBERG PARTNERS CAPITAL MANAGEMENT LP,767 FIFTH AVENUE,,NEW YORK,NY,UNITED STATES,10153,212-287-3200,212-287-3201,,,,,,,Approved,4/18/2007,7/13/2010,Y,WWW.PWPARTNERS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,147,930,334.00",0,"4,147,930,334.00",61,0,61,N,N,N,Y,N,Y,N,N,N,Y,INVESTMENT ADVISER TO PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,17140,801-66509,"COMMERCE BROKERAGE SERVICES, INC","COMMERCE BROKERAGE SERVICES, INC.",8000 FORSYTH,SUITE 1200,CLAYTON,MO,UNITED STATES,63105,314-746-8777,314-746-8981,,,,,,,Approved,4/18/2006,7/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"66,600,281.00","66,600,281.00",0,458,458,N,Y,N,Y,N,Y,N,N,N,N,,0,,Y,N,Y,N,N,N,Y,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
NYRO,105067,801-35676,MERRILL LYNCH ALTERNATIVE INVESTMENTS LLC,MERRILL LYNCH ALTERNATIVE INVESTMENTS LLC,4 WORLD FINANCIAL CENTER,"250 VESEY STREET, 6TH FLOOR",NEW YORK,NY,UNITED STATES,10080,212-449-3539,646-736-5289,KATINA M. NELSON (NC1-002-19-44),101 S TRYON ST,CHARLOTTE,NC,UNITED STATES,28255,Approved,2/1/1990,7/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,51-250,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,254,379,967.00",0,"2,254,379,967.00",32,0,32,N,Y,N,Y,N,Y,N,N,N,Y,SEE SCHEDULE D,,,N,N,N,N,Y,N,N,N,N,,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y
NYRO,120680,801-61171,"ROSZEL ADVISORS, LLC","ROSZEL ADVISORS, LLC",1700 MERRILL LYNCH DRIVE,,PENNINGTON,NJ,UNITED STATES,8534,609-274-5346,609-681-5872,KATINA M. NELSON (NC1-002-19-44),101 S TRYON ST,CHARLOTTE,NC,UNITED STATES,28255,Approved,5/16/2002,7/13/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,"10,000",More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"152,407.00",0,"152,407.00",22,0,22,N,N,Y,N,N,Y,N,N,N,Y,CREATES AND MAINTAINS ASSET ALLOCATION PROGRAMS AVAILABLE WITH VARIABLE CONTRACTS ISSUED BY INSURANCE COMPANIES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y
NYRO,131526,801-63151,IQ INVESTMENT ADVISORS LLC,IQ INVESTMENT ADVISORS LLC,4 WORLD FINANCIAL CENTER,6TH FLOOR,NEW YORK,NY,UNITED STATES,10080,212-449-3539,646-736-5289,KATINA M. NELSON (NC1-002-19-44),101 S TRYON ST,CHARLOTTE,NC,UNITED STATES,28255,Approved,6/15/2004,7/13/2010,Y,IQIAFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,5-Jan,0,51-250,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,549,941,071.00",0,"1,549,941,071.00",10,0,10,N,N,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y
SFRO,153710,801-71696,"LAPIS ADVISERS, LP","LAPIS ADVISERS, LP",1640 SCHOOL STREET,,MORAGA,CA,UNITED STATES,94556,415-376-6280,415-376-6281,,,,,,,Approved,7/29/2010,7/13/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Partnership,,CA,UNITED STATES,5-Jan,0,0,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,000,000.00",0,"3,000,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,142558,801-67569,MANAGED ACCOUNT ADVISORS LLC,MANAGED ACCOUNT ADVISORS LLC,101 HUDSON STREET,9TH FLOOR,JERSEY CITY,NJ,UNITED STATES,7302,201-557-0553,201-557-0559,KATINA M. NELSON (NC1-002-19-44),101 S TRYON ST,CHARLOTTE,NC,UNITED STATES,28255,Approved,2/27/2007,7/13/2010,Y,HTTP://ASKMERRILL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,501-1000,0,More than 500,"50,000",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,232,981,122.00","680,878,229.00","25,913,859,351.00","77,303","1,089","78,392",N,Y,N,Y,N,Y,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y
ARO,111111,801-16393,WILLIAMSON & SNEED INCORPORATED,WILLIAMSON & SNEED INCORPORATED,1301 HIGHTOWER TRAIL,SUITE 350,ATLANTA,GA,USA,30350,678-935-0000,678-935-0001,,,,,,,Approved,7/31/1981,7/13/2010,Y,WILLIAMSON-SNEED.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"150,381,312.00",0,"150,381,312.00",265,0,265,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,140432,801-66785,"LEGG MASON PARTNERS FUND ADVISOR, LLC","LEGG MASON PARTNERS FUND ADVISOR, LLC",620 EIGHTH AVENUE - 49TH FLOOR,,NEW YORK,NY,UNITED STATES,10018,212-805-6016,877-859-4112,,,,,,,Approved,5/23/2006,7/13/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,101-250,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,MAY RECEIVE ASSET-BASED FEES AS A SUB-ADMINISTRATOR,Y,"194,000,000,000.00",0,"194,000,000,000.00",161,0,161,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,19585,801-64563,HSBC SECURITIES (USA) INC.,HSBC SECURITIES (USA) INC.,452 FIFTH AVENUE,7TH FLOOR,NEW YORK,NY,UNITED STATES,10018,212-525-2879,212-525-2781,,,,,,,Approved,8/30/2005,7/13/2010,Y,HTTP://WWW.US.HSBC.COM/1/2/3/PERSONAL/OTHER-SERVICES/INVESTING,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,More than 1000,"2,000",251-500,0,251-500,0,0,0,More than 500,"5,000",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,MISC,Y,N,N,N,N,N,N,,Y,0,"955,797,225.00","955,797,225.00",0,"5,462","5,462",N,N,N,N,N,Y,N,N,N,Y,PROVIDE ASSET ALLOC RECOMMENDATIONS & BASED UPON SUCH RECOMMENDATIONS 3RD PARTY ADV TO MANAGE ASSETS PURSUANT TO CLIENT APPROVAL,0,,Y,N,Y,N,Y,N,Y,N,N,,N,,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N
ARO,135579,801-67728,CFS WEALTH MANAGEMENT,"CFS WEALTH MANAGEMENT, LLC",3727 VINEVILLE AVENUE,,MACON,GA,UNITED STATES,31204-1854,478 471-1875,478-405-6675,,,,,,,Approved,5/9/2007,7/13/2010,Y,WWW.CFSWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"53,000,000.00",0,"53,000,000.00",530,0,530,Y,Y,N,N,N,N,N,N,N,Y,ADVICE ON CLIENT'S EMPLOYER RETIREMENT BENEFITS,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,141951,801-67208,"THIRD STAGE INVESTMENT GROUP, LLC","THIRD STAGE INVESTMENT GROUP, LLC",11820 NORTHUP WAY,SUITE E210,BELLEVUE,WA,UNITED STATES,98005-1926,425-284-7200,425-284-7201,,,,,,,Approved,10/17/2006,7/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"219,000,000.00",0,"219,000,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138400,801-66276,"PELION INVESTMENT ADVISORS, INC.","PELION INVESTMENT ADVISORS, INC.",650 5TH AVENUE,17TH FLOOR,NEW YORK,NY,UNITED STATES,10019,917-639-5450,646-224-8240,,,,,,,Approved,3/31/2006,7/13/2010,Y,WWW.PELIONGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"1,200,000.00","30,000,000.00","31,200,000.00",7,1,8,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,146385,801-69849,"BBE COMMUNITY INVESTMENT PARTNERS, LLC","BBE COMMUNITY INVESTMENT PARTNERS, LLC",375 BISHOPS WAY,SUITE 225,BROOKFIELD,WI,UNITED STATES,53005,262-796-6164,262-785-1810,,,,,,,Approved,1/12/2009,7/13/2010,Y,WWW.CIP-LLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"100,000,000.00","100,000,000.00",0,30,30,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES TO LOCAL GOVERNMENTS,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,136104,801-64555,"SAVESIMPLY ADVISORS, INC.","SAVESIMPLY ADVISORS, INC.",115 EVERGREEN HEIGHTS DRIVE,,PITTSBURGH,PA,USA,15229,412-415-5200,412-415-5225,,,,,,,Approved,8/10/2005,1/29/2007,Y,WWW.SAVESIMPLYADVISORS.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"28,140.00",0,"28,140.00",23,0,23,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107408,801-36872,MATRIX ASSET ADVISORS INC,MATRIX ASSET ADVISORS INC,"747 THIRD AVENUE, 31ST FL",,NEW YORK,NY,UNITED STATES,10017,212-486-2004,212-486-1822,,,,,,,Approved,6/15/1990,4/22/2010,Y,WWW.MATRIXASSETADVISORS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,10-Jun,0,More than 500,500,11-25 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,206,000,000.00",0,"1,206,000,000.00","1,281",0,"1,281",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106468,801-51633,CORNERSTONE REAL ESTATE ADVISERS LLC,CORNERSTONE REAL ESTATE ADVISERS LLC,"ONE FINANCIAL PLAZA,STE 1700",,HARTFORD,CT,USA,06103-2604,860-509-2200,860-509-2224,,,,,,,Approved,4/1/1996,4/22/2010,Y,WWW.CORNERSTONEADVISERS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,10-Jun,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,INSURANCE COMPANY,Y,N,N,N,N,Y,N,,Y,"666,915,776.00",0,"666,915,776.00",12,0,12,N,N,Y,Y,N,N,N,N,N,Y,REAL ESTATE (DEBT AND EQUITY) ADVISORY SERVICES FOR INSTITUTIONAL CLIENTS,,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
DRO,148472,801-69707,"MARINER QUANTITATIVE SOLUTIONS, LLC","MARINER QUANTITATIVE SOLUTIONS, LLC",4200 WEST 115TH STREET,SUITE 100,LEAWOOD,KS,UNITED STATES,66211,913-647-9700,913-647-9725,,,,,,,Approved,10/28/2008,4/22/2010,Y,WWW.MARINER-QS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"69,445,477.00",0,"69,445,477.00",110,0,110,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,Y,Y,N,N,Y,Y,Y,N,Y,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111488,801-47973,"RETIREMENT ALLIANCE, INC.","RETIREMENT ALLIANCE, INC.",77 PEARL STREET,,MANCHESTER,NH,USA,3101,603-647-5600,603-647-6040,,,,,,,Approved,12/5/1994,4/22/2010,Y,WWW.RETIREMENTALLIANCE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"21,091,120.00","7,030,445.00","28,121,565.00",106,6,112,N,N,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,6210,801-36233,WILSHIRE ASSOCIATES INCORPORATED,WILSHIRE ASSOCIATES INCORPORATED,1299 OCEAN AVENUE SUITE 700,,SANTA MONICA,CA,UNITED STATES,90401-1085,310-451-3051,310-458-0520,,,,,,,Approved,3/16/1990,4/22/2010,Y,HTTP://WWW.WILSHIRE.COM,N,Y,N,N,Y,N,Y,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,251-500,0,51-250,0,5-Jan,0,5-Jan,0,More than 500,500,0 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,U.S. OR FOREIGN GOVERNMENT ENTITIES,Y,Y,Y,Y,N,Y,N,,Y,"8,216,752,722.00","47,835,028,708.00","56,051,781,430.00",98,127,225,N,Y,Y,Y,Y,Y,N,N,N,Y,INVESTMENT TECHNOLOGY (COMPUTERIZED RESEARCH) SERVICES,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
PLRO,149782,801-70457,ADVISORSHARES,"ADVISORSHARES INVESTMENTS, LLC",3 BETHESDA METRO CENTER,SUITE 700,BETHESDA,MD,UNITED STATES,20814,202-684-6383,484-993-9936,,,,,,,Approved,8/4/2009,4/22/2010,Y,WWW.ADVISORSHARES.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,000,000.00",0,"25,000,000.00",1,0,1,N,N,Y,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,Y,N,N,Y,N,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,112537,801-67318,GREGORY ADVISORS INC.,GREGORY ADVISORS INCORPORATED,"7755 CENTER AVENUE, SUITE 1100",,HUNTINGTON BEACH,CA,UNITED STATES,92647,714-372-2299,714-372-4935,,,,,,,Approved,12/4/2006,4/22/2010,Y,HTTP//WWW.GREGORYADVISORSINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"26,000,000.00",0,"26,000,000.00",45,0,45,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,121767,801-61698,"JEFFERIES INVESTMENT ADVISERS, LLC","JEFFERIES INVESTMENT ADVISERS, LLC","520 MADISON AVENUE, 12TH FLOOR",,NEW YORK,NY,UNITED STATES,10022-4213,212-284-1781,(212) 284-3445,,,,,,,Approved,1/21/2003,4/22/2010,Y,WWW.JEFFERIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,Y,N,,Y,"9,243,719.00","232,196,868.00","241,440,587.00",2,262,264,N,Y,N,Y,N,Y,N,N,N,N,,0,,Y,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,Y,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,122480,801-61439,"MATSON FINANCIAL ADVISORS, INC.","MATSON FINANCIAL ADVISORS, INC.",103 NEWTOWN ROAD,SUITE 1A,DANBURY,CT,UNITED STATES,6810,203-743-0131,203-743-4086,,,,,,,Approved,9/12/2002,4/22/2010,Y,WWW.MATSONFINANCIALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"58,168,000.00","58,168,000.00",0,87,87,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109002,801-55959,PRINCIPAL GLOBAL INVESTORS,"PRINCIPAL GLOBAL INVESTORS, LLC",801 GRAND AVE,,DES MOINES,IA,UNITED STATES,50392,1-800-533-1390,866-850-4024,,,,,,,Approved,10/26/1998,4/22/2010,Y,WWW.PRINCIPALGLOBAL.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,251-500,0,51-250,0,51-250,0,5-Jan,0,More than 500,500,26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,Y,CHARGE IN ARREARS ON A COST ALLOCATION BASIS TO PRINCIPAL LIFE,Y,"67,649,444,551.00","42,341,775,623.00","109,991,220,174.00",749,29,778,N,Y,Y,Y,N,Y,N,N,N,Y,SPREAD LENDING MANAGEMENT AND ADVICE; ASSET ALLOCATION SERVICES; PROVIDING MODEL PORTFOLIOS,,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
MIRO,132720,801-66671,THE MUTUAL FUND STORE,"TMFS - NEW ORLEANS, LLC",3900 N. CAUSEWAY BOULEVARD SUITE 100,,METAIRIE,LA,USA,70002,504-830-7676,504-836-7055,,,,,,,Approved,5/23/2006,3/9/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"126,000,000.00","400,000.00","126,400,000.00","1,675",14,"1,689",Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,117527,801-62920,"SHANKERVALLEAU WEALTH ADVISORS, INC.","SHANKERVALLEAU WEALTH ADVISORS, INC.",1421 SHERMAN AVENUE,SUITE 101,EVANSTON,IL,UNITED STATES,60201,847-475-2900,847-475-2970,,,,,,,Approved,3/26/2004,3/9/2010,Y,SHANKERVALLEAU.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"84,274,269.00","1,272,930.00","85,547,199.00",343,1,344,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,143279,801-67607,"QUANTITATIVE ASSET MANAGEMENT, LLC","QUANTITATIVE ASSET MANAGEMENT, LLC",641 E. LAKE STREET,SUITE 216,WAYZATA,MN,USA,55391,952-476-7855,952-476-7856,,,,,,,Approved,3/15/2007,3/9/2010,Y,WWW.QUANTITATIVEASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"74,815,192.00",0,"74,815,192.00",203,0,203,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146869,801-69037,"HARVEST VOLATILITY MANAGEMENT, LLC","HARVEST VOLATILITY MANAGEMENT, LLC",420 LEXINGTON AVENUE,SUITE 2656,NEW YORK,NY,UNITED STATES,10170,646-843-4802,646-843-4800,,,,,,,Approved,4/17/2008,3/9/2010,Y,HARVESTVOLATILITYMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"528,000,000.00",0,"528,000,000.00",49,0,49,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,110845,801-39481,COLORADO FINANCIAL MANAGEMENT INC,COLORADO FINANCIAL MANAGEMENT INC,2725 ROCKY MOUNTAIN AVENUE,SUITE #320,LOVELAND,CO,UNITED STATES,80538,970-613-1392,970-667-6406,,,,,,,Approved,7/15/1991,3/9/2010,Y,WWW.COLOFIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,NON-PROFIT,Y,Y,N,N,N,N,N,,Y,"156,000,000.00",0,"156,000,000.00",542,0,542,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106153,801-44977,GDM ADVISORY GROUP LTD,GDM ADVISORY GROUP LTD,123 OLD YORK ROAD,SUITE 200,JENKINTOWN,PA,UNITED STATES,19046,215-886-5800,215-886-6575,,,,,,,Approved,10/15/1993,3/9/2010,Y,WWW.GDMPLAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"287,000,000.00",0,"287,000,000.00",850,0,850,Y,Y,N,N,N,N,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106000,801-32571,"MOODY, LYNN & CO.","MOODY, LYNN & CO.",ONE BOSTON PLACE,,BOSTON,MA,USA,2108,617-973-0590,617-371-2610,,,,,,,Approved,8/1/1988,3/9/2010,Y,WWW.MOODYLYNN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,More than 500,600,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"855,250,000.00",0,"855,250,000.00",637,0,637,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108036,801-57095,INTEGRATED FINANCIAL PLANNING,ISSA AHMAD D,,,,,,,269-375-9727,269-375-9727,P.O. BOX 175,,OSHTEMO,MI,USA,49077-0175,Approved,12/27/1999,3/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,Y,"61,289,028.00","731,890.00","62,020,918.00",183,3,186,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,105159,801-702,"ST. DENIS J. VILLERE & CO., LLC","ST. DENIS J. VILLERE & CO., LLC","601 POYDRAS STREET, SUITE 1808",,NEW ORLEANS,LA,UNITED STATES,70130-6308,504-525-0808,504-522-2747,,,,,,,Approved,11/1/1940,3/9/2010,Y,WWW.VILLERE.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,500,26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"898,783,358.00","197,801,953.00","1,096,585,311.00",467,34,501,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,139294,801-66185,"JMH WEALTH MANAGEMENT, LLC","JMH WEALTH MANAGEMENT, LLC",45 LYME ROAD,SUITE 307,HANOVER,NH,USA,3755,603.643.8899,603.643.8895,,,,,,,Approved,1/27/2006,3/9/2010,Y,WWW.JMHWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NH,UNITED STATES,5-Jan,0,0,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,ENDOWMENTS,Y,N,N,N,N,N,N,,Y,"37,824,155.00",0,"37,824,155.00",102,0,102,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107084,801-52094,QWEST ASSET MANAGEMENT COMPANY,QWEST ASSET MANAGEMENT COMPANY,"1801 CALIFORNIA STREET, SUITE 3800",,DENVER,CO,UNITED STATES,80202-2028,303-382-0608,303-382-0635,,,,,,,Approved,6/7/1996,3/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,EMPLOYEE WELFARE BENEFIT PLAN,N,N,N,N,N,N,Y,EXPENSES ALLOCATED TO TRUSTS AND PARENT CO.,Y,"11,160,889,095.00",0,"11,160,889,095.00",4,0,4,N,N,N,Y,N,Y,N,N,N,Y,INVESTMENT SUPERVISORY SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105865,801-31703,CAPITAL PLANNING ADVISORY GROUP INC,CAPITAL PLANNING ADVISORY GROUP INC,708 FLORAL VALE BLVD,,YARDLEY,PA,USA,19067,215-579-5760,215-579-5769,,,,,,,Approved,4/15/1988,3/9/2010,Y,WWW.CPAGINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"135,237,853.00",0,"135,237,853.00",641,0,641,Y,Y,N,N,Y,N,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112813,801-67237,"CAPITAL STRATEGIES & INVESTMENTS, INC.","CAPITAL STRATEGIES & INVESTMENTS, INC.",490 JEFFERSON STREET,,SAN FRANCISCO,CA,USA,94109-1315,415-567-9428,415-928-1959,,,,,,,Approved,10/16/2006,3/9/2010,Y,CSIADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"42,471,602.00","42,471,602.00",0,101,101,Y,Y,N,Y,Y,Y,N,N,N,Y,ISSUES SPECIAL REPORTS ABOUT SECURITIES,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,120818,801-66641,"FINANCIAL MANAGEMENT STRATEGIES, INC.","FINANCIAL MANAGEMENT STRATEGIES, INC.",9050 SWEET VALLEY DRIVE,,VALLEY VIEW,OH,UNITED STATES,44125-4220,216-642-1099,216-642-1186,,,,,,,Approved,5/17/2006,3/9/2010,Y,FMSTRATEGIES.BIZ,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,10-Jun,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"28,500,895.00","66,908,311.00","95,409,206.00",208,17,225,Y,Y,N,Y,N,N,N,N,N,Y,ADVISORY SERVICES TO QUALIFIED RETIREMENT PLANS,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106290,801-41621,JOHNSON CUSTOM STRATEGIES INC,JOHNSON CUSTOM STRATEGIES INC,640 W PUTNAM AVENUE,,GREENWICH,CT,UNITED STATES,6830,203-661-1310,203-661-2027,,,,,,,Approved,6/3/1992,3/9/2010,Y,CUSTOMSTRATEGIES.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"28,558,175.00","28,558,175.00",0,16,16,N,Y,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,146790,801-69011,"COVERED BRIDGE TACTICAL, LLC","COVERED BRIDGE TACTICAL, LLC",708 FLORAL VALE BOULEVARD,,YARDLEY,PA,USA,19067,215-579-5760,215-579-5769,,,,,,,Approved,4/3/2008,3/9/2010,Y,WWW.COVEREDBRIDGETACTICAL.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,REGISTERED INVESTMENT ADVISORS OR BROKER DEALERS,N,N,N,Y,N,N,N,,Y,"12,156,221.00",0,"12,156,221.00",49,0,49,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,123116,801-61586,AMERICAN ASSET MANAGEMENT INC.,AMERICAN ASSET MANAGEMENT INC.,5355 TOWN CENTER ROAD,STE 1001,BOCA RATON,FL,USA,33486,561-955-8500,561-955-8787,,,,,,,Approved,11/7/2002,3/9/2010,Y,WWW.AMERICANASSET.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"172,000,000.00",0,"172,000,000.00",906,0,906,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,Y,RIA,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111295,801-58002,"SAND HILL GLOBAL ADVISORS, LLC","SAND HILL GLOBAL ADVISORS, LLC",245 LYTTON AVENUE,SUITE 300,PALO ALTO,CA,UNITED STATES,94301,650-854-9150,650-854-2941,,,,,,,Approved,8/31/2000,3/9/2010,Y,WWW.SHADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"994,766,475.00","18,577,472.00","1,013,343,947.00",130,18,148,Y,Y,Y,Y,N,N,N,N,N,Y,WE PROVIDE ASSISTANCE TO FAMILY LAWYERS ON AN HOURLY FEE BASIS.,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,123349,801-67805,KAPUSTA FINANCIAL GROUP,"KAPUSTA FINANCIAL GROUP, INC.","110 FORT COUCH ROAD,SUITE 108",,PITTSBURGH,PA,USA,15241,412-851-1400,412-851-1403,,,,,,,Approved,4/17/2007,3/9/2010,Y,WWW.KAPUSTAFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"53,261,007.00","53,261,007.00",0,148,148,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104666,801-31356,"YOLLES-SAMRAH WEALTH MANAGEMENT, LLC","YOLLES-SAMRAH WEALTH MANAGEMENT, LLC",33 BLOOMFIELD HILLS PARKWAY,SUITE 200,BLOOMFIELD HILLS,MI,USA,48304,248-502-1212,248-502-1140,,,,,,,Approved,1/28/1988,3/9/2010,Y,WWW.YSWM.BIZ,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"165,836,135.00",0,"165,836,135.00",461,0,461,N,Y,N,N,N,N,N,N,N,Y,WEALTH MANAGEMENT SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,144765,801-68262,"GOLDEN YEARS RETIREMENT SPECIALISTS, INC.","GOLDEN YEARS RETIREMENT SPECIALISTS, INC.","820 MILILANI STREET, SUITE 401",,HONOLULU,HI,UNITED STATES,96813,808-791-1444,(808) 538-3949,,,,,,,Approved,8/28/2007,3/18/2010,Y,WWW.STERLINGANDTUCKER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,HI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"41,625,439.00","41,625,439.00",0,217,217,Y,Y,N,N,N,Y,N,N,N,Y,INVESTMENT CONSULTING SERVICES,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,108667,801-54652,BELL ASSET MANAGEMENT HOLDINGS LIMITED,BELL ASSET MANAGEMENT HOLDINGS LIMITED,"LEVEL 33, 225 GEORGE STREET",,SYDNEY,,AUSTRALIA,2000,011-6129-255-7200,011-6129-241-4274,"LEVEL 29, 101 COLLINS STREET",,MELBOURNE,,AUSTRALIA,3000,Approved,6/23/1997,3/18/2010,Y,WWW.BELLASSET.COM.AU,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,AUSTRALIA,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"163,961,362.00",0,"163,961,362.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137931,801-65983,OVERLOOK INVESTMENTS L.P.,OVERLOOK INVESTMENTS L.P.,"CAMPBELL CORPORATE SERVICES LIMITED, THE BANK OF","NOVA SCOTIA BANK CENTER, CARDINAL AVE",GEORGE TOWN,,CAYMAN ISLANDS,,345-949-2648,345-949-8613,"1702, DINA HOUSE",11 DUDDELL STREET,HONG KONG,,HONG KONG,,Approved,2/10/2006,3/18/2010,Y,WWW.OVERLOOKINV.COM,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),EXEMPTED LIMITED PARTNERSHIP,,CAYMAN ISLANDS,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,071,463,886.00",0,"1,071,463,886.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138941,801-65396,"ONEX CREDIT PARTNERS, LLC","ONEX CREDIT PARTNERS, LLC",910 SYLVAN AVENUE,SUITE 100,ENGLEWOOD CLIFFS,NJ,UNITED STATES,7632,(201) 541-2121,(201) 541-2611,,,,,,,Approved,1/30/2006,3/18/2010,Y,HTTP://WWW.ONEX.COM/ONEX_CREDIT_PARTNERS_INVESTING.ASPX,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"876,000,000.00",0,"876,000,000.00",14,0,14,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT OTHER POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,113465,801-60416,"SCB ASSET MANAGEMENT CO., LTD.","SCB ASSET MANAGEMENT CO., LTD.","SINDHORN BLDG. TOWER 3, 23RD,24TH FL.","130-132 WIRELESS RD., PHRATUMWAN",BANGKOK,,THAILAND,10330,011-662-626-2222,011-662-263-4001,,,,,,,Approved,7/30/2001,3/18/2010,Y,WWW.SCBAM.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,THAILAND,51-250,0,Nov-50,0,0,0,0,0,More than 500,"375,138",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"14,851,877,924.00",0,"14,851,877,924.00","418,668",0,"418,668",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,Y,N,Y,N,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112777,801-60304,"BLUE OCEAN STRATEGIC CAPITAL, LLC","BLUE OCEAN STRATEGIC CAPITAL, LLC",443 NORTH FRANKLIN STREET,SUITE 220,SYRACUSE,NY,UNITED STATES,13204-1441,315-471-2672,315-471-7327,,,,,,,Approved,6/1/2001,3/19/2010,Y,WWW.BOSCLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"111,200,000.00","4,400,000.00","115,600,000.00",416,89,505,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,147248,801-69249,"CONSTITUTION CAPITAL PARTNERS, LLC","CONSTITUTION CAPITAL PARTNERS, LLC",300 BRICKSTONE SQUARE,,ANDOVER,MA,UNITED STATES,1810,978-749-9600,978-749-9669,,,,,,,Approved,6/3/2008,3/19/2010,Y,WWW.CONCP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,Y,A PERCENTAGE OF CAPITAL COMMITMENTS OR CAPITAL CONTRIBUTIONS,Y,"750,000,000.00",0,"750,000,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,18502,801-34865,AVANTI SECURITIES CORPORATION,AVANTI SECURITIES CORPORATION,22 ST CLAIR AVE EAST SUITE 1700,,TORONTO ONTARIO,,CANADA,M4T 2S3,416-323-1393,416-323-1397,,,,,,,Approved,8/21/1989,3/19/2010,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,NONE IN THE CURRENT YEAR,N,N,N,N,Y,N,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,INVESTING IN REAL ESTATE,,,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111303,801-60504,ALPINE CAPITAL STRATEGIES LLC,ALPINE CAPITAL STRATEGIES LLC,580 SYLVAN AVENUE,SUITE 2E,ENGLEWOOD CLIFFS,NJ,UNITED STATES,7632,201-568-3528,NA,,,,,,,Approved,8/21/2001,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"175,005,261.00",0,"175,005,261.00",6,0,6,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,106791,801-41177,"AVANTI INVESTMENT ADVISORS, INC.","AVANTI INVESTMENT ADVISORS, INC.",923 N. PENNSYLVANIA AVENUE,,WINTER PARK,FL,UNITED STATES,32789,407-628-8488,407-644-3115,,,,,,,Approved,4/2/1992,3/19/2010,Y,WWW.AVANTIPROP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,51-75 percent,ENDOWMENTS & FOUNDATIONS,N,N,N,N,N,N,Y,% OF COMMITTED INVESTMENT CAPITAL,Y,"1,053,600,000.00",0,"1,053,600,000.00",9,0,9,N,N,N,N,N,N,N,N,N,Y,INVEST IN REAL ESTATE LIMITED PARTNERSHIPS & IN REAL ESTATE,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,107716,801-13578,ROWLAND & CO INVESTMENT COUNSEL,ROWLAND & CO INVESTMENT COUNSEL,3353 PEACHTREE ROAD,555 NORTH TOWER,ATLANTA,GA,UNITED STATES,30326,404-816-5350,404-816-8355,,,,,,,Approved,3/2/1978,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"166,801,221.00",0,"166,801,221.00",420,0,420,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,137523,801-65638,"FEINGOLD O'KEEFFE CAPITAL, LLC","FEINGOLD O'KEEFFE CAPITAL, LLC",ONE EXETER PLAZA,"699 BOYLSTON STREET, 3RD FLR",BOSTON,MA,UNITED STATES,2116,857-403-1250,857-362-1270,,,,,,,Approved,1/27/2006,3/19/2010,Y,WWW.FOCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,289,600,000.00",0,"1,289,600,000.00",11,0,11,N,N,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106992,801-37622,CHAPMAN CAPITAL MANAGEMENT GROUP INC,CHAPMAN CAPITAL MANAGEMENT GROUP INC,,,,,,,440-572-5733,440-846-3646,P.O. BOX 360166,,STRONGSVILLE,OH,UNITED STATES,44136,Approved,10/26/1990,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"50,891,257.00","110,230,363.00","161,121,620.00",128,12,140,N,Y,N,N,N,N,N,N,N,Y,INVESTMENT CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151660,801-70657,ZYNIN CAPITAL MANAGEMENT LLC,ZYNIN CAPITAL MANAGEMENT LLC,313 COMMONS WAY,,PRINCETON,NJ,UNITED STATES,8540,888-778-5764,888-442-4407,,,,,,,Approved,10/23/2009,3/19/2010,Y,WWW.ZYNIN.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"5,000,000.00","23,500,000.00","28,500,000.00",5,8,13,Y,Y,N,Y,N,Y,Y,N,N,Y,CONSULTING AND TAX PREPARATION,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104548,801-7495,"GRIFFIN ASSET MANAGEMENT, INC.","GRIFFIN ASSET MANAGEMENT, INC.",330 MADISON AVENUE,31ST FLOOR,NEW YORK,NY,UNITED STATES,10017-5071,212-661-3636,212-697-8123,,,,,,,Approved,6/9/1971,3/19/2010,Y,WWW.GRIFFINASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"429,574,473.00","2,551,836.00","432,126,309.00",361,2,363,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150183,801-70368,"WHITE EAGLE PARTNERS, LLC","WHITE EAGLE PARTNERS, LLC",150 EAST 52ND STREEET,21TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-388-9393,212-388-1221,,,,,,,Approved,7/22/2009,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"78,986,674.00",0,"78,986,674.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,139721,801-66652,"ALPHA INVESTMENT CONSULTING GROUP, LLC","ALPHA INVESTMENT CONSULTING GROUP, LLC",111 EAST KILBOURN AVENUE,SUITE 1600,MILWAUKEE,WI,USA,53202,414-319-4100,414-319-4110,,,,,,,Approved,6/9/2006,3/19/2010,Y,WWW.ALPHA-INVESTMENT.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,Y,INVESTMENT CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,125085,801-68639,"BEACON FINANCIAL ADVISERS, INC.","BEACON FINANCIAL ADVISERS, INC.",1429 BUSINESS CENTER DRIVE,,CONYERS,GA,USA,30094,678-750-1700,770-922-5795,,,,,,,Approved,1/2/2008,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"38,447,372.00","256,735.00","38,704,107.00",245,4,249,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,7340,801-12733,"MELHADO, FLYNN & ASSOCIATES, INC","MELHADO, FLYNN & ASSOCIATES, INC.",530 FIFTH AVE,,NEW YORK,NY,USA,10036,[212]764-3600,[212]869-5064,,,,,,,Approved,2/18/1977,3/31/2008,Y,WWW.MELHADOFLYNN.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,N,N,Y,Y,Y,Y,A PORTION OF THE $6.50 TICKET CHARGE.,Y,"74,659,362.00","48,656,791.00","123,316,153.00",168,11,179,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,N,Y,N,N,N,N
BRO,114021,801-60462,ALGONQUIN ADVISORS LLC,ALGONQUIN ADVISORS LLC,"2 GREENWICH OFFICE PARK, 2ND FL.",,GREENWICH,CT,UNITED STATES,6831,203-629-2114,203-629-7074,,,,,,,Approved,8/6/2001,3/19/2010,Y,WWW.ALGONQUINADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,25-Nov,0,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"140,885,361.00","362,476,715.00","503,362,076.00",7,12,19,N,Y,N,Y,N,Y,N,N,N,Y,"INSTITUTIONAL RESEARCH ON INVESTMENT MANAGERS, CONSULTING TO CULTURAL INSTITUTIONS",0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105150,801-16821,FRIEDLANDER & CO INC,FRIEDLANDER & CO INC,322 E. MICHIGAN STREET STE. 250,,MILWAUKEE,WI,USA,53202,414-273-0308,414-273-3329,,,,,,,Approved,2/12/1982,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"84,616,876.00","99,555,122.00","184,171,998.00",27,28,55,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105528,801-32441,SCHUCHARD CAPITAL MANAGEMENT INC,SCHUCHARD CAPITAL MANAGEMENT INC,,,,,,,586-323-9565,586-739-8715,,,,,,,Approved,7/15/1988,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"120,176,213.00",0,"120,176,213.00",91,0,91,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,129257,801-65011,"MERITAGE CAPITAL, L.P.","MERITAGE CAPITAL, L.P.",114 WEST SEVENTH STREET,SUITE 1300,AUSTIN,TX,USA,78701-3017,512.637.9700,512.320.0594,,,,,,,Approved,12/12/2005,3/19/2010,Y,WWW.MERITAGECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"228,496,740.00",0,"228,496,740.00",6,0,6,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR INVESTMENT PARTNERSHIPS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,129489,801-69084,CROSSPLAN MONEY MANAGEMENT,"PALM INVESTMENT STRATEGIES, LLC",7995 113TH STREET NORTH,SECOND FLOOR,SEMINOLE,FL,USA,33772,727-398-7900,727-398-2825,,,,,,,Approved,4/30/2008,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"19,912,070.00","17,377,418.00","37,289,488.00",271,408,679,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,144927,801-68362,"AWJ CAPITAL PARTNERS, LLC","AWJ CAPITAL PARTNERS, LLC",222 SOUTH 9TH STREET,SUITE 3035,MINNEAPOLIS,MN,UNITED STATES,55402,612-338-3804,612-338-3805,,,,,,,Approved,11/21/2007,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"145,000,000.00",0,"145,000,000.00",7,0,7,N,N,N,N,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
ARO,118363,801-66188,VISION CAPITAL,VISION CAPITAL & MANAGEMENT,108 SOUTH MAIN,SUITE E,DAVIDSON,NC,UNITED STATES,28036,704-894-9639,704-894-9629,PO BOX 1750,,DAVIDSON,NC,UNITED STATES,28036,Approved,5/15/2006,3/19/2010,Y,WWW.VISIONCAPITALMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"91,906,701.00","17,609,905.00","109,516,606.00",118,13,131,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,129419,801-62645,"BNR PARTNERS, LLC","BNR PARTNERS, LLC",20 NORTH WACKER DRIVE,STE 1300,CHICAGO,IL,UNITED STATES,60606,312-338-7788,312-338-7789,,,,,,,Approved,1/2/2004,3/31/2010,Y,WWW.BNRPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,MINIMUM FEES,Y,"131,981,859.00",0,"131,981,859.00",37,0,37,Y,N,N,N,N,Y,N,N,N,Y,INVESTMENT ADVISORY,26-50,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109986,801-56955,GEIER ASSET MANAGEMENT INC,GEIER ASSET MANAGEMENT INC,2205 WARWICK WAY,STE 200,MARRIOTTSVILLE,MD,USA,21104,410-997-8000,410-997-8282,,,,,,,Approved,11/12/1999,3/31/2010,Y,GEIERASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"139,669,000.00","11,654,000.00","151,323,000.00",882,263,"1,145",Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153323,801-71260,"DENALI WEALTH MANAGEMENT, INC.","DENALI WEALTH MANAGEMENT, INC.",500 WEST SILVER SPRING DRIVE,SUITE K-200,GLENDALE,WI,UNITED STATES,53217,414-947-6477,414-395-3014,,,,,,,Approved,3/29/2010,5/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"21,337,000.00","4,118,000.00","25,455,000.00",176,2,178,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,116140,801-71117,FOCUS FINANCIAL,"FOCUS FINANCIAL NETWORK, INC.",2665 LONG LAKE RD,SUITE 270,ROSEVILLE,MN,UNITED STATES,55113,651-631-8166,651-631-1139,,,,,,,Approved,3/2/2010,5/17/2010,Y,WWW.FOCUSFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,More than 1000,"4,650",51-250,0,51-250,0,0,0,More than 500,"3,964",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE OF ASSETS UNDER MANAGEMENT WITH THIRD PARTY MANAGER,Y,"311,064,000.00","580,442,000.00","891,506,000.00","3,015","6,550","9,565",Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143431,801-67806,NATIXIS ALTERNATIVE INVESTMENTS (US) INC.,NATIXIS ALTERNATIVE INVESTMENTS (US) INC.,142 W. 57TH STREET 4TH FLOOR,,NEW YORK,NY,UNITED STATES,10019,646-233-4863,646-308-9250,,,,,,,Approved,5/8/2007,5/17/2010,Y,WWW.NATIXIS-AI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"208,075,000.00",0,"208,075,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N
SFRO,106676,801-52709,WESTCLIFF CAPITAL MANAGEMENT LLC,WESTCLIFF CAPITAL MANAGEMENT LLC,200 7TH AVE,SUITE 105,SANTA CRUZ,CA,USA,95062,831-479-0422,831-479-3642,,,,,,,Approved,8/22/1996,5/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"102,033,629.00",0,"102,033,629.00",12,0,12,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138865,801-65517,FGS CAPITAL LLP,FGS CAPITAL LLP,20 ST. JAMES'S STREET,,LONDON,,UNITED KINGDOM,SW1A 1ES,44-207-451-2108,44-207-451-2101,,,,,,,Approved,2/12/2006,5/17/2010,Y,WWW.FGSCAPITAL.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"300,000,000.00",0,"300,000,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111240,801-63811,FINANCIAL PERSPECTIVES,FINANCIAL PERSPECTIVES,39899 BALENTINE DR,SUITE 315,NEWARK,CA,UNITED STATES,94560,510-651-7054,510-651-2009,,,,,,,Approved,1/24/2005,5/17/2010,Y,HTTP:\\WWW.FINANCIALPERSPECTIVES.BIZ,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),S-CORP,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,TRUSTS,Y,Y,N,Y,N,N,N,,Y,"55,043,050.00",0,"55,043,050.00",313,0,313,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108958,801-58098,"T. ROWE PRICE ADVISORY SERVICES, INC.","T. ROWE PRICE ADVISORY SERVICES, INC.",100 EAST PRATT ST,,BALTIMORE,MD,UNITED STATES,21202,410-345-2000,410-345-6575,,,,,,,Approved,11/17/2000,5/17/2010,Y,WWW.TROWEPRICE.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,MD,UNITED STATES,251-500,0,251-500,0,251-500,0,5-Jan,0,More than 500,"5,000",More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,"ASSET ALLOCATION ADVISORY SERVICES; GOAL PLANNING FOR RETIREMENT SAVINGS, TRANSITIONING TO RETIREMENT; RETIREMENT INCOME",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,N,Y,N,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105496,801-856,"T. ROWE PRICE ASSOCIATES, INC.","T. ROWE PRICE ASSOCIATES, INC.",100 EAST PRATT STREET,,BALTIMORE,MD,UNITED STATES,21202,410 345-2000,410-345-6575,,,,,,,Approved,3/29/1947,5/17/2010,Y,WWW.TROWEPRICE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,More than 1000,"5,000",51-250,0,51-250,0,5-Jan,0,251-500,0,0 percent,26-50 percent,Up to 10 percent,11-25 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,DISTRIBUTION MANAGEMENT SERVICES CLIENTS,Y,N,N,N,N,N,N,,Y,"319,909,924,035.00","4,278,368,959.00","324,188,292,994.00","1,045",44,"1,089",N,Y,Y,Y,N,N,N,N,N,Y,DISTRIBUTION MANAGEMENT SERVICES AND NON-U.S. COLLECTIVE INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,145364,801-71471,GRUNION CAPITAL MANAGEMENT LLC,GRUNION CAPITAL MANAGEMENT LLC,888 PROSPECT STREET,SUITE 201,LA JOLLA,CA,UNITED STATES,92037,1-858-454-6690,1-858-454-6695,,,,,,,Approved,6/8/2010,5/17/2010,Y,WWW.GRUNIONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,INSTITUTION,Y,N,N,N,N,Y,N,,Y,"37,500,000.00",0,"37,500,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,116760,801-70529,"D.L. BLAIN & CO., LLC","D.L. BLAIN & CO., LLC",2131 S GLENBURNIE ROAD,SUITE 8,NEW BERN,NC,UNITED STATES,28562,252-633-0107,252-633-3917,PO BOX 13845,,NEW BERN,NC,UNITED STATES,28561,Approved,9/10/2009,5/17/2010,Y,WWW.DLBLAIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"43,612,750.00",0,"43,612,750.00",230,0,230,Y,Y,N,Y,N,N,N,N,N,Y,WEALTH PLANNING,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109478,801-54335,"FSI GROUP, LLC","FSI GROUP, LLC",441 VINE STREET,SUITE 1300,CINCINNATI,OH,UNITED STATES,45202,513-746-2200,513-746-2201,,,,,,,Approved,4/22/1997,5/17/2010,Y,WWW.FSIG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,"COLLATERALIZED DEBT OBLIGATIONS (""CDO'S"") AND INSTITUTIONAL SEPARATE ACCOUNTS",Y,N,N,N,N,Y,N,,Y,"4,209,782,220.00",0,"4,209,782,220.00",20,0,20,N,N,N,N,N,N,N,N,N,Y,"PORTFOLIO MANAGEMENT FOR FUNDS, INSTITUTIONAL SEPARATE ACCOUNTS AND CDO'S",,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153142,801-71198,ELBROOK HOLDINGS,"ELBROOK HOLDINGS, LLC",441 VINE STREET,SUITE 1300,CINCINNATI,OH,UNITED STATES,45202,513.746.2200,513.746.2201,,,,,,,Approved,3/17/2010,5/17/2010,Y,WWW.FSIG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,SEPARATELY MANAGED ACCOUNTS,Y,N,N,N,N,Y,N,,Y,"195,463,751.00",0,"195,463,751.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE EQUITY FUNDS AND SEPARATELY MANAGED ACCOUNTS,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109194,801-54793,DAL INVESTMENT CO LLC,DAL INVESTMENT CO LLC,"235 MONTGOMERY STREET, STE 1049",,SAN FRANCISCO,CA,USA,94104,415-986-7979,415-986-1595,,,,,,,Approved,10/1/1997,3/16/2010,Y,WWW.DAL-INVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,More than 500,500,26-50 percent,26-50 percent,0 percent,51-75 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,Y,N,N,N,N,,Y,"1,292,812,106.00","38,360,746.00","1,331,172,852.00",637,235,872,N,Y,Y,Y,N,N,Y,N,N,Y,SUB-ADVISOR TO OTHER RIAS,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,148194,801-69523,"SEQUENT ASSET MANAGEMENT, LLC","SEQUENT ASSET MANAGEMENT, LLC","952 ECHO LANE, SUITE 115",,HOUSTON,TX,UNITED STATES,77024,713-467-0008,713-467-0081,,,,,,,Approved,8/29/2008,3/16/2010,Y,WWW.SEQUENTASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"209,557,714.00","117,957,414.00","327,515,128.00",163,38,201,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111024,801-60173,"SMS INVESTMENT COMPANY, LLC","SMS INVESTMENT COMPANY, LLC",3025 HARBORVIEW DRIVE,,GIG HARBOR,WA,UNITED STATES,98335,253-851-4300,253-851-0464,PO BOX 2358,,GIG HARBOR,WA,UNITED STATES,98335,Approved,4/4/2001,3/16/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,NON-CONTINUOUS AND REGULAR INVESTMENT ADVICE,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108804,801-28216,"GATEWAY ASSET MANAGEMENT CO., INC.","GATEWAY ASSET MANAGEMENT CO., INC.",140 ELM STREET,,NEW CANAAN,CT,USA,6840,203-972-8290,203-972-8291,,,,,,,Approved,11/10/1994,1/26/2008,Y,HTTP://WWW.GATEWAYASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"35,793,107.00",0,"35,793,107.00",47,0,47,N,N,N,N,N,N,N,N,N,Y,INVESTMENT RESEARCH & ANALYSIS,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119142,801-61976,DANIEL G PAPPANO,DANIEL GEORGE PAPPANO,,,,,,,847-340-1614,847-251-4558,P. O. BOX 248,,WILMETTE,IL,UNITED STATES,60091,Approved,4/17/2003,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"140,000,000.00",0,"140,000,000.00",16,0,16,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,143339,801-67760,SMITH PIERCE,"SMITH PIERCE, LLC",,,,,,,1-800-554-7704 EXT. 771,(484) 377-6400,,,,,,,Approved,4/27/2007,3/17/2010,Y,WWW.SMITH-PIERCE.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"110,000.00",0,"110,000.00",5,0,5,Y,Y,N,Y,Y,Y,Y,Y,Y,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,105335,801-22496,PAUL COMSTOCK PARTNERS,FIRST ENDOWMENT DEVELOPMENT CORP,TWO RIVERWAY,SUITE 1000,HOUSTON,TX,UNITED STATES,77056-1949,713-977-2694,713-877-1363,,,,,,,Approved,11/5/1984,3/17/2010,Y,WWW.PAULCOMSTOCKPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"131,315,522.00","131,315,522.00",0,123,123,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,134927,801-67716,HERMENING ADVISORY SERVICES LLC,HERMENING ADVISORY SERVICES LLC,200 WASHINGTON STREET,SUITE 280,WAUSAU,WI,USA,54403,715-842-1916,715-842-2907,,,,,,,Approved,4/24/2007,3/17/2010,Y,WWW.HERMENINGFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,THIRD-PARTY REFERRAL FEES,Y,"48,157,274.00",0,"48,157,274.00",730,0,730,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,Y
NYRO,105255,801-19283,"BOYAR ASSET MANAGEMENT, INC.",BOYAR ASSET MANAGEMENT INC,35 EAST 21ST STREET,8TH FLOOR,NEW YORK,NY,UNITED STATES,10010-6212,212-995-8300,212-995-5636,,,,,,,Approved,7/18/1983,3/17/2010,Y,WWW.BOYARVALUE.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),"SUB-CHAPTER ""S"" CORPORATION",NY,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,26-100,0,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,Y,N,,Y,"110,921,710.00",0,"110,921,710.00",86,0,86,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,116364,801-66601,HAFER AND COMPANY,"HAFER, DAVID GENE",3601 PERKIOMEN AVENUE,,READING,PA,UNITED STATES,19606,610-370-2601,610-370-2603,,,,,,,Approved,6/30/2006,3/17/2010,Y,WWW.HAFERANDCOMPANY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,Y,12B-1 FEES,Y,"40,000,000.00","30,000,000.00","70,000,000.00",85,20,105,Y,Y,N,N,Y,Y,N,N,N,Y,CONSULTATION SERVICES,0,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,143960,801-68351,"WELSHIRE CAPITAL, LLC","WELSHIRE CAPITAL, LLC",9538 EAST 16 FRONTAGE ROAD,,ONALASKA,WI,UNITED STATES,54650,608-783-0003,608-782-0002,,,,,,,Approved,9/17/2007,3/17/2010,Y,WWW.WELSHIRECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,251-500,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,FIN.ED SEMINARS/WORKSHOPS AND RADIO PROGRAM,Y,"60,901,563.00","5,291,417.00","66,192,980.00",702,110,812,Y,Y,N,N,N,N,N,N,N,N,,251-500,,Y,Y,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,124182,801-61641,"PETERSEN & RAMISTELLA, INC.","PETERSEN & RAMISTELLA, INC.",2340 GARDEN RD.,SUITE 202,MONTEREY,CA,UNITED STATES,93940,831-372-3426,831-372-2964,,,,,,,Approved,11/29/2002,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"134,810,000.00","134,810,000.00",0,191,191,Y,Y,N,N,N,N,Y,N,N,N,,101-250,,N,N,Y,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122273,801-68240,"HURST FINANCIAL MANAGEMENT, INC.","HURST FINANCIAL MANAGEMENT, INC.",330 EAST MAIN STREET,,MUNCIE,IN,UNITED STATES,47305,765-289-8888,765-289-8890,,,,,,,Approved,8/8/2007,3/17/2010,Y,WWW.HURSTFIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"31,964,430.00",0,"31,964,430.00",195,0,195,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,Y,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,141203,801-67023,"ANCHOR CAPITAL MANAGEMENT, INC.","ANCHOR CAPITAL MANAGEMENT, INC.",8692 EAGLE CREEK CIRCLE,,MINNEAPOLIS,MN,UNITED STATES,55378,952-746-2003,952-726-2006,,,,,,,Approved,7/17/2006,3/17/2010,Y,WWW.ANCHORFINANCIALSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,Nov-50,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,OTHER INVESTMENT ADVISERS,Y,Y,N,Y,N,N,N,,Y,"60,000,000.00",0,"60,000,000.00",460,0,460,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105800,801-28170,MILLER HOWARD INVESTMENTS INC,MILLER HOWARD INVESTMENTS INC,324 UPPER BYRDCLIFFE ROAD,,WOODSTOCK,NY,UNITED STATES,12498,845-679-9166,845-679-5862,P.O. BOX 549,324 UPPER BYRDCLIFFE RD,WOODSTOCK,NY,UNITED STATES,12498,Approved,12/5/1986,3/17/2010,Y,WWW.MHINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,10-Jun,0,More than 500,"2,000",51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,166,688,254.00",0,"1,166,688,254.00","2,000",0,"2,000",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,115698,801-60602,"OVERLOOK ADVISORS, LLC","OVERLOOK ADVISORS, LLC",324 UPPER BYRDCLIFFE ROAD,,WOODSTOCK,NY,UNITED STATES,12498,845-679-9166,845-679-5862,PO BOX 549,,WOODSTOCK,NY,UNITED STATES,12498,Approved,9/27/2001,3/17/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150884,801-70512,"GLASFUNDS, LLC","GLASFUNDS, LLC","700 W. ST. CLAIR, SUITE 320",,CLEVELAND,OH,UNITED STATES,44113,216-298-4003,216-359-0053,,,,,,,Approved,9/9/2009,3/17/2010,Y,WWW.GLASFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"25,300,000.00",0,"25,300,000.00",23,0,23,N,Y,Y,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,140099,801-70678,ACTIUM LLC,ACTIUM LLC,5088-140 CORPORATE EXCHANGE BLVD.,,GRAND RAPIDS,MI,UNITED STATES,49512,616.871.0751,616.825.6149,,,,,,,Approved,10/8/2009,3/17/2010,Y,WWW.MYACTIUM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,More than 500,"1,000",More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,CAPPED FEE BASED ON ASSETS,Y,"133,186,020.00","4,010,060.00","137,196,080.00","1,096",33,"1,129",N,Y,N,N,Y,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR INDIVIDUAL DEFINED CONTRIBUTION ACCOUNTS ONLY,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,153470,801-71269,"GRANITE CAPITAL ADVISORS, LLC","GRANITE CAPITAL ADVISORS, LLC",16100 NW CORNELL ROAD,SUITE 260,BEAVERTON,OR,UNITED STATES,97006,(503) 597-7788,(503) 597-7787,,,,,,,Approved,4/6/2010,5/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"29,900,000.00","4,800,000.00","34,700,000.00",83,42,125,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109521,801-56283,VERRETTE CAPITAL MANAGEMENT LLC,VERRETTE CAPITAL MANAGEMENT LLC,1030 MONARCH STREET,SUITE 330,LEXINGTON,KY,USA,40513,859-296-1555,859-296-0968,,,,,,,Approved,4/23/1999,2/22/2008,Y,WWW.VERRETTECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,CONSULTING FEE,Y,"31,196,336.00",0,"31,196,336.00",228,0,228,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153894,801-71459,ROCWOOD CAPITAL MANAGEMENT LP,ROCWOOD CAPITAL MANAGEMENT LP,900 3RD AVENUE,SUITE 1103,NEW YORK,NY,UNITED STATES,10022,212-702-6900,212-702-6901,,,,,,,120-Day Approval,5/17/2010,5/12/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,132436,801-63488,ABSOLUTE INVESTMENT ADVISERS LLC,ABSOLUTE INVESTMENT ADVISERS LLC,"350 LINCOLN STREET, SUITE 216",,HINGHAM,MA,USA,2043,781-740-1904,781-740-1917,,,,,,,Approved,9/2/2004,5/12/2010,Y,WWW.ABSOLUTEADVISERS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,450,000,000.00",0,"2,450,000,000.00",2,0,2,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151840,801-70766,"MADISON FINANCIAL GROUP, LLC","MADISON FINANCIAL GROUP, LLC",,,,,,,914-714-0550,609-895-7395,,,,,,,120-Day Approval,11/12/2009,5/12/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,120632,801-61492,"UPROMISE INVESTMENT ADVISORS, LLC","UPROMISE INVESTMENT ADVISORS, LLC",95 WELLS AVENUE,SUITE 160,NEWTON,MA,UNITED STATES,2459,617-454-6400,617-454-6353,,,,,,,Approved,9/27/2002,5/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,N,N,N,N,N,Y,PERCENTAGE OF QUALIFIED TUITION PROGRAM MANAGEMENT FEE,Y,0,"18,120,617,557.00","18,120,617,557.00",0,11,11,N,N,N,Y,N,Y,N,N,N,Y,REVIEW THE PERCENTAGE ALLOCATIONS FOR EACH PORTFOLIO AND THE SELECTION OF UNDERYING FUNDS FOR IRS QUALIFIED TUITION PROGRAMS.,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,106495,801-51517,"CAPITAL MANAGEMENT ASSOCIATES, LLC","CAPITAL MANAGEMENT ASSOCIATES, LLC",6220 S. ORANGE BLOSSOM TRAIL,SUITE 145,ORLANDO,FL,USA,32809,407-854-0040,407-854-0037,,,,,,,Approved,3/15/1996,5/12/2010,Y,WWW.CMACORPORATION.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,Nov-50,0,10-Jun,0,0,0,10-Jun,0,10-Jan,0,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"306,400,000.00",0,"306,400,000.00",315,0,315,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
DRO,144367,801-68046,EQUUS PRIVATE WEALTH MANAGEMENT LLC,EQUUS PRIVATE WEALTH MANAGEMENT LLC,225 MAIN STREET,SUITE 306,CARBONDALE,CO,UNITED STATES,81623,970-963-9254,970-963-9274,,,,,,,Approved,7/6/2007,5/12/2010,Y,WWW.EQUUSPRIVATEWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"51,296,037.00",0,"51,296,037.00",7,0,7,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106451,801-39734,NIEMANN CAPITAL MANAGEMENT INC,NIEMANN CAPITAL MANAGEMENT INC,"5615 SCOTTS VALLEY DR., SUITE 200",,SCOTTS VALLEY,CA,UNITED STATES,95066,831-462-0663,831-462-0755,,,,,,,Approved,8/27/1991,5/12/2010,Y,WWW.NCM.NET,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,251-500,0,More than 500,"3,500",More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,523,565,807.00",0,"1,523,565,807.00","7,133",0,"7,133",N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153511,801-71278,"ALLEN FINANCIAL MANAGEMENT, LLC","ALLEN FINANCIAL MANAGEMENT, LLC",1120 S LAPEER RD,SUITE 200,OXFORD,MI,UNITED STATES,48371,248-572-4731,248-572-4734,,,,,,,Approved,4/1/2010,5/12/2010,Y,WWW.AFMWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"50,000,000.00",0,"50,000,000.00","1,286",0,"1,286",Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,759,801-8002,"SECURITIES MANAGEMENT AND RESEARCH, INC. (""SM&R"")","SECURITIES MANAGEMENT AND RESEARCH, INC.",2450 SOUTH SHORE BLVD,SUITE 400,LEAGUE CITY,TX,UNITED STATES,77573,281-334-2469,281-538-4980,P. O. BOX 58969,,HOUSTON,TX,UNITED STATES,77258-8969,Approved,11/26/1971,5/12/2010,Y,WWW.SMRINVEST.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,11-25 percent,11-25 percent,0 percent,11-25 percent,INSURANCE COMPANIES,Y,N,N,Y,N,N,Y,DIRECT COST REIMBURSEMENT,Y,"14,540,097,312.00",0,"14,540,097,312.00",152,0,152,Y,Y,Y,Y,N,N,N,N,N,N,,101-250,,N,N,Y,N,N,N,N,N,N,,Y,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,114003,801-60805,"LINCOLN ADVISORY GROUP, LTD.","LINCOLN ADVISORY GROUP, LTD.","120 NORTH LASALLE, SUITE 1750",,CHICAGO,IL,UNITED STATES,60602,312-345-8780,312-345-8760,ATTN: GREGORY S. COURTWRIGHT,"2000 MCKINNEY AVENUE, STE. 1000",DALLAS,TX,UNITED STATES,75201,Approved,12/28/2001,5/12/2010,Y,HTTP://WWW.LPC.COM/SERVICES/ADVISORY.HTML,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ACQUISITION FEES,Y,"458,626,571.00",0,"458,626,571.00",1,0,1,N,N,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,Y,Y,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,137484,801-64803,HERITAGE WEALTH ADVISORS,"HERITAGE WEALTH ADVISORS, LLC","901 EAST BYRD STREET, WEST TOWER",SUITE 1300,RICHMOND,VA,UNITED STATES,23219,804-643-4080,804-643-4085,,,,,,,Approved,10/27/2005,5/12/2010,Y,WWW.HERITAGEWEALTH.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"151,626,573.00","21,233,681.00","172,860,254.00",420,44,464,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,124729,801-61764,"CARDINAL CAPITAL MANAGEMENT, INC.","CARDINAL CAPITAL MANAGEMENT, INC.",1780 WELLINGTON AVENUE,SUITE 400,WINNIPEG,,CANADA,R3H-1B3,1-800-310-4664,204-783-0725,,,,,,,Approved,2/4/2003,5/12/2010,Y,WWW.CARDINAL.CA,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,"MANITOBA, CANADA",Nov-50,0,10-Jun,0,0,0,Nov-50,0,More than 500,"1,000",26-50 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,014,031,382.00","901,017.00","1,014,932,399.00","2,121",48,"2,169",Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,144850,801-68754,"VERITAS WEALTH ADVISORS, LLC","VERITAS WEALTH ADVISORS, LLC",100 CLOCK TOWER PLACE,#215,CARMEL,CA,UNITED STATES,93923,(831) 625-5800,(831) 621-0605,,,,,,,Approved,1/23/2008,5/19/2010,Y,WWW.VERITASWA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,Y,N,,Y,"189,866,908.00","11,985,646.00","201,852,554.00",234,7,241,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
PLRO,142821,801-67490,"SENSENIG CAPITAL ADVISORS, INC.","SENSENIG CAPITAL ADVISORS, INC.",,,,,,,610-584-9700,610-592-9355,3100 MILL ROAD,P. O. BOX 245,FAIRVIEW VILLAGE,PA,USA,19409-0245,Approved,2/6/2007,5/19/2010,Y,WWW.SENSENIGCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"14,299,231.00","24,117,493.00","38,416,724.00",13,44,57,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111155,801-63175,FISCAL DYNAMICS INCORPORATED,FISCAL DYNAMICS INCORPORATED,314 FARMINGTON AVENUE,,FARMINGTON,CT,UNITED STATES,6032,860-677-1753,860-677-4267,,,,,,,Approved,6/7/2004,5/19/2010,Y,FDICENTRAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,REFERRAL FEES,Y,"48,383,983.00",0,"48,383,983.00",109,0,109,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104562,801-55558,FILBRANDT INVESTMENT ADVISERS INCORPORATED,FILBRANDT INVESTMENT ADVISERS INCORPORATED,8401 GREENWAY BLVD,,MIDDLETON,WI,USA,53562,608-836-3600,608-836-7447,,,,,,,Approved,5/13/1998,5/19/2010,Y,WWW.FILBRANDT-CO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"329,524,980.00","1,353,532.00","330,878,512.00","1,655",11,"1,666",Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,135081,801-64460,INTELLIGENT CAPITALWORKS,"ICW INVESTMENT ADVISORS, LLC",15210 NORTH SCOTTSDALE ROAD,SUITE 200,SCOTTSDALE,AZ,UNITED STATES,85254,480-951-2900,480-951-2922,,,,,,,Approved,6/23/2005,5/19/2010,Y,WWW.INTELLIGENTCAPITALWORKS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"92,393,296.00","9,334,371.00","101,727,667.00",245,38,283,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114924,801-70382,PARALLAX ASSET MANAGEMENT,"PARALLAX INVESTMENTS, LLC",5718 WESTHEIMER,SUITE 955,HOUSTON,TX,UNITED STATES,77057,713-400-4555,713-735-9229,5718 WESTHEIMER,SUITE 950,HOUSTON,TX,UNITED STATES,77057,Approved,3/9/2010,5/19/2010,Y,WWW.PARALLAXCAPITALPARTNERS.US,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"43,338,400.00",0,"43,338,400.00",125,0,125,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
BRO,111729,801-42306,DILMUN INVESTMENT'S INC,"DILMUN INVESTMENTS, INC",84 WEST PARK PLACE,4TH FLOOR,STAMFORD,CT,UNITED STATES,6901,203-406-0875,203-975-5238,,,,,,,Approved,9/16/1992,5/19/2010,Y,WWW.DILMUN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,More than 75 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"75,000,000.00",0,"75,000,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR BAHRAIN INTERNATIONAL BANK,0,,N,N,N,N,N,N,N,Y,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145552,801-68507,"HARVEST FINANCIAL ADVISORS, LLC","HARVEST FINANCIAL ADVISORS, LLC",8897 CINCINNATI-DAYTON ROAD,,WEST CHESTER,OH,UNITED STATES,45069,513-779-3030,888-779-4033,,,,,,,Approved,11/16/2007,5/19/2010,Y,WWW.HARVESTADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"72,303,428.00","166,479,147.00","238,782,575.00",223,6,229,Y,Y,N,Y,Y,Y,Y,N,N,Y,FAMILY OFFICE SERVICES,0,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,140415,801-66722,CCA CREDIT EUROPE LIMITED,CCA CREDIT EUROPE LIMITED,41 BERKELEY SQUARE,3RD FLOOR,LONDON,,UNITED KINGDOM,W1J 5AN,44 20 7500 0842,44 20 7500 1752,,,,,,,Approved,5/18/2006,5/19/2010,Y,HTTPS://CITIGROUPAI.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),PRIVATE LIMITED COMPANY,,UNITED KINGDOM,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,COST REIMBURSEMENT,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,151609,801-70629,MARVINMATRIX LLC,MARVINMATRIX LLC,,,,,,,816-886-4818,,,,,,,,Approved,9/30/2009,5/19/2010,Y,MARVINMATRIX.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,WEB BASED INVESTMENT ADVICE,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143484,801-67737,"PENDO, LLC","PENDO, LLC",100 PARK AVENUE,16TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-880-6446,,,,,,,,Approved,4/18/2007,5/19/2010,Y,WWW.PENDOLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"38,710,365.00",0,"38,710,365.00",93,0,93,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,29686,801-63905,"WINSLOW, EVANS & CROCKER, INC.","WINSLOW, EVANS & CROCKER, INC.",175 FEDERAL STREET,6TH FLOOR,BOSTON,MA,USA,2110,617-227-4300,617-227-5505,,,,,,,Approved,2/17/2005,5/19/2010,Y,WWW.WINSLOWEVANSCROCKER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,More than 500,600,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"186,199,311.00",0,"186,199,311.00","1,289",0,"1,289",Y,Y,N,Y,N,Y,N,N,N,N,,More than 500,1300,Y,N,Y,N,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,108928,801-56972,"BLACKROCK INVESTMENT MANAGEMENT, LLC","BLACKROCK INVESTMENT MANAGEMENT, LLC",800 SCUDDERS MILL ROAD,,PLAINSBORO,NJ,UNITED STATES,8536,609-853-5600,609 282-3472,,,,,,,Approved,11/9/1999,5/19/2010,Y,WWW.BLACKROCK.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,More than 1000,"1,223",251-500,0,251-500,0,51-250,0,More than 500,"13,700",51-75 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,"COLLEGES, UNIVERSITIES, HOSPITALS & UNION WELFARE FUNDS",Y,N,N,Y,N,Y,N,,Y,"171,524,372,913.00","355,457,103.00","171,879,830,016.00","16,139",69,"16,208",N,Y,Y,Y,N,Y,N,N,N,N,,,,Y,Y,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,134918,801-64175,"RIVER ROAD ASSET MANAGEMENT, LLC","RIVER ROAD ASSET MANAGEMENT, LLC",462 SOUTH FOURTH STREET,SUITE 1600,LOUISVILLE,KY,USA,40202-3466,502-371-4100,502-371-4110,,,,,,,Approved,4/28/2005,5/19/2010,Y,WWW.RIVERROADAM.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,101-250,0,0 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,623,665,867.00",0,"3,623,665,867.00",115,0,115,N,Y,Y,Y,N,N,N,N,N,Y,RIVER ROAD ASSET MANAGEMENT LLC IS A MODEL PORTFOLIO PROVIDER.,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,125145,801-71296,"WARTHER COMPANIES, LLC","WARTHER COMPANIES, LLC",1075 WEST MARKET ST.,,AKRON,OH,UNITED STATES,44313,330-867-6999,330-867-0490,,,,,,,Approved,5/13/2010,5/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISORY FEES,Y,"35,448,671.00",0,"35,448,671.00",119,0,119,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,150145,801-70145,GLASGOW CAPITAL MANAGEMENT LLC,GLASGOW CAPITAL MANAGEMENT LLC,,,,,,,205-977-9947,205-977-9947,,,,,,,Approved,5/4/2009,5/19/2010,Y,GCMADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,600,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"30,000,000.00",0,"30,000,000.00",220,0,220,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,Y,N,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,131628,801-63206,"GARNER FINANCIAL MANAGEMENT, INC.","GARNER FINANCIAL MANAGEMENT, INC.",3595 MT. DIABLO BLVD.,SUITE 290,LAFAYETTE,CA,UNITED STATES,94549,925.282.5500,925.962.9250,,,,,,,Approved,6/15/2004,4/13/2010,Y,WWW.GARNERFINANCIALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"50,000,000.00","5,500,000.00","55,500,000.00",85,5,90,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,134542,801-64361,"HOMEWOOD CAPITAL MANAGEMENT, INC.","HOMEWOOD CAPITAL MANAGEMENT, INC.",1079 RIVER ROCK LANE,,DANVILLE,CA,UNITED STATES,94526,(925) 838-5445,(925) 837-7661,3000 F DANVILLE BOULEVARD,SUITE 330,ALAMO,CA,UNITED STATES,94507,Approved,6/3/2005,4/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"68,394,144.00",0,"68,394,144.00",205,0,205,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,112389,801-29022,LAUREL FINANCIAL GROUP INC,LAUREL FINANCIAL GROUP INC,9 DORCHESTER DR,,PITTSBURGH,PA,USA,15241,412-831-7800,412-833-6791,,,,,,,Approved,3/19/1987,4/13/2010,Y,WWW.LAURELFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"46,474,128.00",0,"46,474,128.00",378,0,378,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107855,801-50156,"COLUMBIA PARTNERS, L.L.C. INVESTMENT MANAGEMENT","COLUMBIA PARTNERS, L.L.C. INVESTMENT MANAGEMENT",5425 WISCONSIN AVENUE,SUITE 700,CHEVY CHASE,MD,UNITED STATES,20815,240-482-0400,240-482-0401,,,,,,,Approved,9/27/1995,4/13/2010,Y,WWW.COLUMBIAPTRS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,101-250,0,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,26-50 percent,TAFT HARTLEY / UNION,Y,N,N,Y,N,Y,N,,Y,"2,718,560,694.00",0,"2,718,560,694.00",697,0,697,N,Y,Y,Y,N,Y,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,129787,801-63441,LADENBURG THALMANN FUND MANAGEMENT LLC,LADENBURG THALMANN FUND MANAGEMENT LLC,520 MADISON AVENUE,9TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-409-2000,212-409-2179,,,,,,,Approved,11/12/2004,4/13/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,0,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,Y,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,116600,801-71357,PINNACLE FINANCIAL GROUP LLC,PINNACLE FINANCIAL GROUP LLC,915 W. 55TH STREET,SUITE 202,WESTERN SPRINGS,IL,UNITED STATES,60558,708-246-6262,708-246-6288,,,,,,,Approved,4/19/2010,4/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"8,500,000.00","90,162,000.00","98,662,000.00",25,325,350,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,136925,801-64962,"IFRAH FINANCIAL SERVICES, INC.","IFRAH FINANCIAL SERVICES, INC.",17300 CHENAL PARKWAY,SUITE 150,LITTLE ROCK,AR,USA,72223,501-821-7733,866-740-5204,,,,,,,Approved,11/29/2005,4/13/2010,Y,WWW.IFRAHFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AR,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,More than 500,"1,000",51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"220,927,742.00",0,"220,927,742.00",783,0,783,Y,Y,N,N,Y,Y,Y,N,N,N,,More than 500,1000,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,123494,801-71358,"OBERON ASSET MANAGEMENT, LLC","OBERON ASSET MANAGEMENT, LLC","51 WOOSTER STREET, 4TH FLOOR",,NEW YORK,NY,UNITED STATES,10013,917-237-0147,212-226-4698,,,,,,,Approved,4/19/2010,4/13/2010,Y,WWW.OBERONASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"32,778,000.00",0,"32,778,000.00",29,0,29,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110391,801-6997,"LORD, ABBETT & CO. LLC","LORD, ABBETT & CO. LLC",90 HUDSON STREET,,JERSEY CITY,NJ,UNITED STATES,07302-3973,201-827-2000,201-536-3979,,,,,,,Approved,11/7/1970,4/13/2010,Y,WWW.LORDABBETT.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,501-1000,0,51-250,0,251-500,0,5-Jan,0,More than 500,"39,000",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"84,733,314,977.00","78,151,119.00","84,811,466,096.00","38,832",1,"38,833",N,Y,Y,Y,N,N,N,N,N,Y,IMPERSONAL INVESTMENT ADVISORY SERVICES,0,,N,Y,N,N,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
BRO,138258,801-65175,CORNERSTONE ACQUISITION & MANAGEMENT COMPANY LLC,CORNERSTONE ACQUISITION & MANAGEMENT COMPANY LLC,500 WEST PUTNAM AVENUE,,GREENWICH,CT,UNITED STATES,06830-6086,203-618-3400,203-618-3402,16236 SAN DIEGUITO ROAD,SUITE 4-23,RANCHO SANTA FE,CA,UNITED STATES,92067,Approved,1/18/2006,4/13/2010,Y,WWW.CENTAURFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"79,361,727.00",0,"79,361,727.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,152453,801-70945,MONTEREY MANAGEMENT GROUP LP,MONTEREY MANAGEMENT GROUP LP,"PIER 5, THE EMBARCADERO",SUITE 101,SAN FRANCISCO,CA,UNITED STATES,94111,415.399.5330,415.591.0850,,,,,,,Approved,1/12/2010,4/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"154,984,460.00",0,"154,984,460.00",1,0,1,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,132437,801-64705,"BLUE CHIP PARTNERS, INC.","BLUE CHIP PARTNERS, INC.",37525 ENTERPRISE COURT,,FARMINGTON HILLS,MI,UNITED STATES,48331,248-848-1111,248-848-1118,,,,,,,Approved,9/30/2005,4/13/2010,Y,WWW.BLUECHIPPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISOR/MANAGER FEES,Y,"51,743,423.00","32,971,397.00","84,714,820.00",163,112,275,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,117517,801-68374,BIRCH & JOSSI FINANCIAL ADVISORS,"BIRCH & JOSSI, INC.",9200 SE SUNNYBROOK BLVD. STE 210,,CLACKAMAS,OR,UNITED STATES,97015,503-654-5100,503-654-5105,,,,,,,Approved,12/13/2007,4/13/2010,Y,WWW.BIRCHANDJOSSI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"34,305,000.00",0,"34,305,000.00",126,0,126,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,149262,801-69885,CENTRAL TRUST BANK,CENTRAL TRUST BANK,238 MADISON STREET,,JEFFERSON CITY,MO,UNITED STATES,65101,573-634-1149,573-634-7813,,,,,,,Approved,2/26/2009,2/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),SID OF CENTRAL TRUST BANK,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"161,000,000.00","562,000,000.00","723,000,000.00",7,3,10,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,Y,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,129601,801-69753,QP CONSULTING,"IVCEVICH, MARK, JOSEPH",6930 CARROLL AVENUE,STE. 402,TAKOMA PARK,MD,UNITED STATES,20912,301-326-1521,240-235-3557,,,,,,,Approved,11/25/2008,2/5/2010,Y,WWW.QP-CONSULTING.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Sole Proprietorship,,DC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,Y,PERCENTAGE OF THE OVERALL ASSETS OF THE QUALIFIED PLAN,N,0,0,0,0,0,0,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,119543,801-61231,FRM AMERICAS LLC,FRM AMERICAS LLC,888 SEVENTH AVENUE,24TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-810-2300,212-810-2301,,,,,,,Approved,6/12/2002,2/5/2010,Y,HTTP://WWW.FRMHEDGE.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,INTER-COMPANY SERVICE FEES,Y,"423,265,835.00",0,"423,265,835.00",5,0,5,N,N,N,Y,N,Y,N,N,N,Y,PROVIDE DISCRETIONARY ADVISORY SERVICES TO PRIVATE INVESTMENT FUNDS.,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,134854,801-69105,"PAYANT FINANCIAL SERVICES, INC.","AMERICAN PLANNING SERVICES, INC.",1653 SUN CITY CENTER PLAZA,,SUN CITY CENTER,FL,USA,33573,813-633-7333,813-633-6420,,,,,,,Approved,4/18/2008,2/5/2010,Y,WWW.PAYANTFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISORY FEES,Y,"38,563,252.00","403,872.00","38,967,124.00",253,2,255,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107846,801-60926,HAYS INVESTMENT ADVISORS,"HAYS INVESTMENT ADVISORS, L.L.C.",3800 AMERICAN BLVD. WEST,SUITE 1450,MINNEAPOLIS,MN,UNITED STATES,55431,612-486-4820,952-896-3819,,,,,,,Approved,2/22/2002,2/5/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,N,0,0,0,0,0,0,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,Y,N,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,127397,801-62535,"OTTER CREEK MANAGEMENT, INC.","OTTER CREEK MANAGEMENT, INC.",222 LAKEVIEW AVENUE,SUITE 1130,WEST PALM BEACH,FL,USA,33401,561-832-4110,561-55-6902,,,,,,,Approved,11/18/2003,2/5/2010,Y,WWW.OTTERCREEKMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"219,800,000.00",0,"219,800,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,118641,801-61345,"FINANCIAL CONCEPTS UNLIMITED, INC.","FINANCIAL CONCEPTS UNLIMITED, INC.",1803 RESEARCH BLVD.,SUITE 200-A,ROCKVILLE,MD,UNITED STATES,20850,301-315-6344,301-315-6343,,,,,,,Approved,7/29/2002,2/5/2010,Y,WW.FCUINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"74,514,407.00","407,703.00","74,922,110.00",486,28,514,Y,Y,N,N,Y,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,129301,801-67987,"KEYSTONE FINANCIAL GROUP, INC.","KEYSTONE FINANCIAL GROUP, INC.",6849 PEACHTREE DUNWOODY ROAD,BUILDING B-2,ATLANTA,GA,USA,30328,770-698-9816,770-698-9503,,,,,,,Approved,5/31/2007,2/5/2010,Y,WWW.KEYSTONEFG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"22,000,000.00","13,000,000.00","35,000,000.00",193,26,219,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,147103,801-69132,PATRONUS ADVISORS,"PATRONUS ADVISORS, LLC",3141 HOOD STREET,SUITE 650,DALLAS,TX,USA,75219,214.599.9967,214.599.0954,,,,,,,Approved,5/12/2008,2/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"23,758,138.00","4,628,564.00","28,386,702.00",86,3,89,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,141596,801-70293,THE MUTUAL FUND STORE,"TMFS-MEMPHIS, LLC",6300 POPLAR AVE,SUITE 110,MEMPHIS,TN,USA,38119,901-751-7272,901-205-0531,,,,,,,Approved,7/9/2009,2/5/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"42,049,377.00",0,"42,049,377.00",581,0,581,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,133859,801-63839,SUSTAINABLE WEALTH MANAGEMENT LLC,SUSTAINABLE WEALTH MANAGEMENT LLC,321 MILL ST.,SUITE 2,EUGENE,OR,UNITED STATES,97401,541-345-5669,541-345-8004,,,,,,,Approved,1/14/2005,2/5/2010,Y,WWW.SUSTAINABLEWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"111,800,251.00",0,"111,800,251.00",240,0,240,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,142477,801-67356,"KOURY CAPITAL MANAGEMENT, LLC","KOURY CAPITAL MANAGEMENT, LLC",,,,,,,919-942-6452,919-967-9239,,,,,,,Approved,1/23/2007,2/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"63,000,000.00","63,000,000.00",0,144,144,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,133009,801-64965,"HEADWATER INVESTMENT CONSULTING,INC.","HEADWATER INVESTMENT CONSULTING,INC.",2290 SW 2ND STREET,,MCMINNVILLE,OR,UNITED STATES,97128,503-565-2100,(503) 565-2101,2290 SW 2ND STREET,,MCMINNVILLE,OR,UNITED STATES,97128,Approved,11/29/2005,2/5/2010,Y,WWW.HEADWATER-IC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"80,167,000.00",0,"80,167,000.00",316,0,316,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108494,801-55709,BARDIN FINANCIAL SERVICES,BARDIN FINANCIAL SERVICES INC,711 COURT STREET,,JACKSON,CA,USA,95642,209-223-1225,209-223-1360,,,,,,,Approved,6/30/1998,2/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"88,146,029.00","4,207,179.00","92,353,208.00",448,46,494,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108072,801-56373,"ROBERT PRISKE, LLC","ROBERT PRISKE, LLC",SUITE 201,4211 WAIALAE AVE.,HONOLULU,HI,USA,96816-5312,808-735-8882,,,,,,,,Approved,3/29/1999,2/5/2010,Y,WWW.ROBERTPRISKE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,HI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"111,954,167.00",0,"111,954,167.00",143,0,143,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,132477,801-67145,EFG CORPORATION,EFG CORPORATION,6440 N. CENTRAL EXPRESSWAY,SUITE 820,DALLAS,TX,UNITED STATES,75206,214.473.9200,214.473.9201,,,,,,,Approved,10/5/2006,2/5/2010,Y,HTTP://WWW.EFGCORP.COM/ABOUT.HTML,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"196,706,645.00",0,"196,706,645.00",617,0,617,Y,Y,N,N,N,N,N,N,N,Y,"TAX PLANNING AND PREPARATION, ESTATE PLANNING, INSURANCE PLANNING, EMPLOYEE BENEFIT ANALYSIS AND RETIREMENT PLANNING",251-500,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,143179,801-69923,"MCMILLAN CAPITAL MANAGEMENT, LLC","MCMILLAN CAPITAL MANAGEMENT, LLC",300 CRESCENT COURT,SUITE 1111,DALLAS,TX,UNITED STATES,75201,214-658-1460,214-658-0153,,,,,,,Approved,2/23/2009,2/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"35,368,929.00",0,"35,368,929.00",73,0,73,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106565,801-50875,OAK FOREST INVESTMENT MANAGEMENT INC,OAK FOREST INVESTMENT MANAGEMENT INC,,,,,,,301-530-9201,301-530-9201,,,,,,,Approved,1/26/1996,2/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"55,000,000.00",0,"55,000,000.00",14,0,14,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,115326,801-68493,"WHITE & COMPANY FINANCIAL PLANNING, INC.","WHITE & COMPANY FINANCIAL PLANNING, INC.",910 E. FRANKLIN,SUITE 3,SUNNYSIDE,WA,UNITED STATES,98944,509-837-6700,509-837-8151,P. O. BOX 898,,SUNNYSIDE,WA,UNITED STATES,98944,Approved,11/15/2007,2/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"31,043,699.00",0,"31,043,699.00",181,0,181,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109617,801-57377,"STEGINSKY CAPITAL, LLC",STEGINSKY CAPITAL LLC,"47 HULFISH STREET, SUITE 441",,PRINCETON,NJ,UNITED STATES,8542,609-252-9980,609-252-9981,,,,,,,Approved,3/15/2000,5/25/2010,Y,WWW.STEGINSKY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"51,079,204.00",0,"51,079,204.00",119,0,119,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,120141,801-62867,"GLASS JACOBSON INVESTMENT ADVISORS, LLC","GLASS JACOBSON INVESTMENT ADVISORS, LLC","10711 RED RUN BLVD., SUITE 101",,OWINGS MILLS,MD,UNITED STATES,21117,410-356-1000,410-356-2892,,,,,,,Approved,3/12/2004,5/25/2010,Y,WWW.GLASSJACOBSON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"155,368,000.00","24,780,000.00","180,148,000.00",593,23,616,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,131989,801-71511,"VANTAGE POINT ADVISORS, LLC","VANTAGE POINT ADVISORS, LLC",308 EAST 4500 SOUTH,SUITE 285,SALT LAKE CITY,UT,UNITED STATES,84107,801-272-0908,866-873-0061,P.O. BOX 171266,,SALT LAKE CITY,UT,UNITED STATES,84117,Approved,6/24/2010,5/25/2010,Y,WWW.VP-ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"5,924,336.00","26,240,418.00","32,164,754.00",15,85,100,Y,Y,N,Y,Y,N,N,N,N,Y,CONSULTING,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105774,801-21730,ROSENBLUM SILVERMAN SUTTON SF INC,ROSENBLUM SILVERMAN SUTTON SF INC,1388 SUTTER ST STE 725,,SAN FRANCISCO,CA,UNITED STATES,94109,415-771-4500,415-771-0542,,,,,,,Approved,6/15/1984,5/25/2010,Y,WWW.RSSIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"206,141,575.00","868,656.00","207,010,231.00",200,2,202,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,153902,801-71512,GENTRY ASSET ADVISORY LLC,GENTRY ASSET ADVISORY LLC,7135 E. CAMELBACK ROAD,SUITE 235,SCOTTSDALE,AZ,UNITED STATES,85251,(480) 503-8007,(480) 503-8006,,,,,,,120-Day Approval,6/15/2010,5/25/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,149607,801-70455,SOUTHPORT ASSET MANAGEMENT,SOUTHPORT ASSET MANAGEMENT,1010 2ND AVE,SUITE 2400,SAN DIEGO,CA,UNITED STATES,92101,619-233-8777,619-233-8733,,,,,,,Approved,9/2/2009,5/26/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,152662,801-71109,FINANCIAL ADVISORY CORPORATION,FINANCIAL ADVISORY CORPORATION,,,,,,,858-487-0964,858-487-0547,P.O. BOX 722919,,SAN DIEGO,CA,UNITED STATES,92172-2919,Approved,2/24/2010,5/25/2010,Y,WWW.FINANCIALADVISORYCORP.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,"72,000,000.00","72,000,000.00",0,48,48,Y,Y,N,N,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109764,801-32849,"CHAPMAN CAPITAL MANAGEMENT, INC.","CHAPMAN CAPITAL MANAGEMENT, INC.","5850 WATERLOO ROAD, SUITE 140",,COLUMBIA,MD,USA,21045,410-480-7095,410-480-7096,,,,,,,Approved,8/29/1988,4/22/2005,Y,WWW.CHAPMANCOMPANY.COM,N,N,N,N,N,N,N,N,N,Y,N,N,N,Corporation,,DC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,Y
HQ,124925,801-64731,RATHBONES,RATHBONE INVESTMENT MANAGEMENT LIMITED,PORT OF LIVERPOOL BUILDING,PIER HEAD,LIVERPOOL,,UNITED KINGDOM,L3 1NW,0044-151 236 6666,0044-151 243 7001,,,,,,,Approved,11/16/2005,5/26/2010,Y,WWW.RATHBONES.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,251-500,0,51-250,0,0,0,5-Jan,0,More than 500,"32,000",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,LIVERY,Y,N,N,N,Y,N,N,,Y,"18,102,028,365.00","949,457,045.00","19,051,485,410.00","30,286","1,579","31,865",N,Y,N,Y,N,N,N,N,N,Y,UNIT TRUSTS,0,,N,N,N,N,N,N,N,Y,N,,N,N,N,Y,Y,Y,N,N,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,N,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,153202,801-71271,ABSOLUTE RETURN STRATEGIES LTD.,ABSOLUTE RETURN STRATEGIES LTD.,ATTN: CORPORATE FILING SERVICES,"4TH FLOOR, HARBOR CENTRE PO BOX 613",GEORGE TOWN,,CAYMAN ISLANDS,KY-1107,44 020 7223 1616,44 020 7801 9304,,,,,,,Approved,5/5/2010,5/26/2010,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED COMPANY,,CAYMAN ISLANDS,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"10,000,000.00",0,"10,000,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,147859,801-69416,CURRENCY INSIGHT LIMITED,CURRENCY INSIGHT LIMITED,16 CINNAMON ROW,,LONDON,,UNITED KINGDOM,SW11 3TW,44 020 7223 1616,44 020 7801 9304,,,,,,,Approved,7/14/2008,5/26/2010,Y,HTTP://WWW.CURRENCY-INSIGHT.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED COMPANY,,UNITED KINGDOM,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"575,000,000.00",0,"575,000,000.00",10,0,10,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,129117,801-62521,"SOUND ENERGY PARTNERS, INC.","SOUND ENERGY PARTNERS, INC.",354 PEQUOT AVENUE,,SOUTHPORT,CT,UNITED STATES,6890,203-254-4500,203-254-4509,,,,,,,Approved,11/24/2003,5/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,144,450,060.00",0,"1,144,450,060.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,"ADVISORY SERVICES ARE PROVIDED TO PRIVATE INVESTMENT FUNDS (""HEDGE FUNDS"")",0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,116083,801-60827,"SUMMITALLIANCE ADVISORS, L.L.C.","SUMMITALLIANCE ADVISORS, L.L.C.",14785 PRESTON ROAD,STE. 1000,DALLAS,TX,UNITED STATES,75254,972-663-4300,972-663-4301,,,,,,,Approved,1/4/2002,5/26/2010,Y,WWW.SA-CM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,Nov-50,0,More than 500,"1,000",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"310,000,000.00",0,"310,000,000.00",423,0,423,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105766,801-31188,ROWLAND CARMICHAEL ADVISORS INC,ROWLAND CARMICHAEL ADVISORS INC,7272 EAST INDIAN SCHOOL ROAD,SUITE 212,SCOTTSDALE,AZ,UNITED STATES,85251-3970,480-421-2660,480-421-2661,,,,,,,Approved,1/29/1988,5/26/2010,Y,WWW.ROWLANDCARMICHAEL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"343,025,982.00","8,742,530.00","351,768,512.00",669,6,675,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,Y,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,146923,801-70742,GUARDIAN WEALTH MANAGEMENT,"GUARDIAN WEALTH MANAGEMENT, LLC",,,,,,,801-990-2845,,1439 FLINT COURT,,KAYSVILLE,UT,UNITED STATES,84037,Approved,10/30/2009,5/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"31,822,504.00",0,"31,822,504.00",68,0,68,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,113553,801-64030,"HOLMES & TURNER FINANCIAL SERVICES, INC.","HOLMES & TURNER FINANCIAL SERVICES, INC.",1512 LARIMER STREET,SUITE 250,DENVER,CO,USA,80202,303-292-1121,303-292-2942,,,,,,,Approved,3/15/2005,5/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"45,900,000.00",0,"45,900,000.00",146,0,146,Y,Y,N,N,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105901,801-30171,HOLT-SMITH ADVISORS,"HOLT-SMITH ADVISORS, INC.",5201 EAST TERRACE DRIVE,SUITE #380,MADISON,WI,UNITED STATES,53718,608-249-4488,608-249-7988,,,,,,,Approved,8/7/1987,5/26/2010,Y,WWW.HOLTSMITHADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,SEPARATELY MANAGED,Y,N,N,N,N,N,N,,Y,"303,007,071.00",0,"303,007,071.00",122,0,122,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,149937,801-70381,CS PLANNING CORP,CS PLANNING CORP,3395 SW GARDEN VIEW AVE,,PORTLAND,OR,UNITED STATES,97225,503-292-5853,503-292-5863,,,,,,,Approved,7/10/2009,5/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"151,108,918.00",0,"151,108,918.00","1,512",0,"1,512",Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,133827,801-64024,SAMSUNG LIFE INVESTMENT (AMERICA) LTD.,SAMSUNG LIFE INVESTMENT (AMERICA) LTD.,"152 WEST 57TH STREET, 7TH FLOOR",,NEW YORK,NY,UNITED STATES,10019,212-421-6800,212-421-4211,,,,,,,Approved,4/4/2005,5/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,171,315,938.00",0,"2,171,315,938.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109774,801-6657,FRIEDMAN PUTTER & CO,FRIEDMAN PUTTER & CO,"12826 S.E. 40TH LANE, STE 204",,BELLEVUE,WA,USA,98006-4276,425-401-7220,425-401-7225,,,,,,,Approved,6/17/1970,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"2,784,287.00","52,454,814.00","55,239,101.00",6,73,79,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,136667,801-64802,"ANNANDALE CAPITAL, LLC","ANNANDALE CAPITAL, LLC","325 N. ST. PAUL ST., STE 3500",,DALLAS,TX,UNITED STATES,75201,214-523-5000,214-523-5029,,,,,,,Approved,10/11/2005,3/12/2010,Y,WWW.ANNANDALECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"364,190,023.00",0,"364,190,023.00",178,0,178,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109839,801-57327,"TURNBERRY FINANCIAL SERVICES, INC.","TURNBERRY FINANCIAL SERVICES, INC.",650 HAMPSHIRE ROAD,SUITE 100,WESTLAKE VILLAGE,CA,UNITED STATES,91361,805-374-2700,805-374-2702,,,,,,,Approved,3/3/2000,3/12/2010,Y,WWW. TURNBERRYFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"112,051,019.00","3,176,029.00","115,227,048.00",598,27,625,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108894,801-29459,"BRAVE WARRIOR CAPITAL, INC.","BRAVE WARRIOR CAPITAL, INC.",12 EAST 49TH STREET,,NEW YORK,NY,UNITED STATES,10017,212-421-9760,212-421-9826,,,,,,,Approved,4/20/1987,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,FOUNDATIONS/ENDOWMENTS,Y,N,N,N,N,N,N,,Y,"1,060,000,000.00",0,"1,060,000,000.00",214,0,214,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,121512,801-66539,"EMPIRE ASSET MANAGEMENT GROUP, LLC","EMPIRE ASSET MANAGEMENT GROUP, LLC.","5 CLINTON SQUARE, 2ND FLOOR",,ALBANY,NY,USA,12207,518-465-6447,518-465-4504,,,,,,,Approved,5/15/2006,3/19/2010,Y,WWW.EMPIREASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"82,000,000.00",0,"82,000,000.00",510,0,510,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,129316,801-67846,MICHAEL J. BUTKUS & COMPANY,MICHAEL JOHN BUTKUS,6401 PACIFIC STREET,,OMAHA,NE,UNITED STATES,68106,402-558-7774,402-558-7624,,,,,,,Approved,5/1/2007,3/19/2010,Y,WWW.BUTKUS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,CHURCH ENDOWNMENT,Y,N,N,N,N,N,N,,Y,"30,753,383.00",0,"30,753,383.00",135,0,135,N,Y,N,N,N,N,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,118474,801-63887,"LANPHIER CAPITAL MANAGEMENT, INC.","LANPHIER CAPITAL MANAGEMENT, INC.",,,,,,,808-826-0012,808-826-0052,,,,,,,Approved,2/28/2005,6/5/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"41,000,000.00",0,"41,000,000.00",12,0,12,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,112939,801-60323,WICKHAM INVESTMENT COUNSEL INC.,WICKHAM INVESTMENT COUNSEL INC.,"25 MAIN STREET. WEST, SUITE 603",,"HAMILTON, ONTARIO",,CANADA,L8P 1H1,905-528-6524,905-528-3567,,,,,,,Approved,6/1/2001,3/19/2010,Y,WWW.WICKHAMINVESTMENTS.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,600,000.00",0,"1,600,000.00",4,0,4,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105665,801-35528,KENNEY INVESTMENTS INC,KENNEY INVESTMENTS INC,"ONE NORTHFIELD PLAZA, SUITE 505",,NORTHFIELD,IL,UNITED STATES,60093,847-441-2642,847-441-1898,,,,,,,Approved,11/17/1989,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"54,973,507.00","31,870,344.00","86,843,851.00",31,23,54,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104776,801-31852,"EMERGING MARKETS MANAGEMENT, L.L.C.","EMERGING MARKETS MANAGEMENT, L.L.C.",1001 19TH ST. NORTH,17TH FLOOR,ARLINGTON,VA,USA,22209-1722,703-243-8800,703-243-2266,,,,,,,Approved,4/18/1988,3/19/2010,Y,WWW.EMIEMM.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,51-75 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,"FOREIGN (NON-U.S.) GOVERNMENT ASSETS, MULTI-NATIONAL ORGANIZATIONS, ETC.",Y,N,N,N,N,Y,N,,Y,"13,397,920,598.00",0,"13,397,920,598.00",38,0,38,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,Y,N,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110670,801-22307,GAM INTERNATIONAL MANAGEMENT LTD,GAM INTERNATIONAL MANAGEMENT LTD,12 ST JAMES'S PLACE,,LONDON,,UNITED KINGDOM,SW1A INX,44-207493-9990,44-2073938530,,,,,,,Approved,10/2/1984,3/19/2010,Y,HTTP://WWW.GAM.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,251-500,0,Nov-50,0,0,0,10-Jun,0,101-250,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"22,261,034,138.00",0,"22,261,034,138.00",99,0,99,N,N,N,Y,N,N,N,N,N,Y,OFFSHORE COLLECTIVE INVESTMENT SCHEMES,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109689,801-56501,BROWN FINANCIAL ADVISORY INC,BROWN FINANCIAL ADVISORY INC,508 FAIRHOPE AVENUE,,FAIRHOPE,AL,UNITED STATES,36532,251-928-9498,251-928-9499,,,,,,,Approved,5/4/1999,3/19/2010,Y,BROWNFINANCIALINFAIRHOPE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"80,963,266.00","1,471,275.00","82,434,541.00",149,3,152,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,137713,801-65890,"METROPOLITAN CAPITAL MANAGEMENT, INC.","METROPOLITAN CAPITAL MANAGEMENT, INC.",425 W. CAPIT0L AVE.,13TH FLOOR,LITTLE ROCK,AR,UNITED STATES,72201,501-377-7699,501-377-7668,P.O. BOX 8010,,LITTLE ROCK,AR,UNITED STATES,72203,Approved,1/26/2006,3/19/2010,Y,WWW.WASCHKA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"92,149,499.00",0,"92,149,499.00",181,0,181,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,134254,801-64215,"CLAYMORE INVESTMENTS, INC.","CLAYMORE INVESTMENTS, INC.",200 UNIVERSITY AVE.,13TH FLOOR,TORONTO,,CANADA,M5H 3C6,866-417-4640,416-813-2020,200 UNIVERSITY AVE.,13TH FLOOR,TORONTO,,CANADA,M5H 3C6,Approved,5/5/2005,3/19/2010,Y,WWW.CLAYMOREINVESTMENTS.CA,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,Nov-50,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,STRUCTURED PRODUCTS,Y,N,N,Y,N,N,Y,PORTFOLIO CONSTRUCTION FEE (STRUCTURED PRODUCTS),Y,"4,169,575,007.00",0,"4,169,575,007.00",30,0,30,N,N,Y,Y,N,Y,N,N,N,Y,STRUCTURED PRODUCT SECURITY SELECTION,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,131437,801-63089,AUGUSTUS ASSET MANAGERS LIMITED,AUGUSTUS ASSET MANAGERS LIMITED,12 ST JAMES'S PLACE,,LONDON,,UNITED KINGDOM,SW1A 1NX,+44 (0) 20 7493 9990,+ 44 (0) 20 7499 9114,,,,,,,Approved,5/14/2004,3/19/2010,Y,WWW.AUGUSTUS.CO.UK,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"12,100,450,000.00",0,"12,100,450,000.00",44,0,44,N,N,N,Y,N,N,N,N,N,Y,OFFSHORE COLLECTIVE INVESTMENT SCHEMES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,142543,801-67612,"WILSON INVESTMENT MANAGEMENT, LLC","WILSON INVESTMENT MANAGEMENT, LLC",8700 TRAIL LAKE DRIVE WEST,SUITE 125,MEMPHIS,TN,UNITED STATES,38125,901-346-8800/800-325-4977,901-261-5020,,,,,,,Approved,3/13/2007,3/19/2010,Y,WWW.WILSONIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,FOUNDATIONS AND ENDOWMENTS,Y,N,N,Y,N,N,N,,Y,"201,351,385.00","19,532,639.00","220,884,024.00",180,1,181,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108868,801-15330,PROFESSIONAL PLANNING GROUP,NEW ENGLAND PROFESSIONAL PLANNING GROUP INC.,9 GRANITE STREET,,WESTERLY,RI,UNITED STATES,2891,401-596-2800,401-596-5980,,,,,,,Approved,7/18/1980,3/19/2010,Y,WWW.PROFPLAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,RI,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,More than 500,"1,000",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISER/MANAGER FEES,Y,"368,575,721.00","64,030,590.00","432,606,311.00",910,254,"1,164",Y,Y,N,N,N,Y,N,N,N,N,,More than 500,1000,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110305,801-17552,ROBSHAW & JULIAN ASSOCIATES INC,ROBSHAW & JULIAN ASSOCIATES INC,6255 SHERIDAN DRIVE,SUITE 400,WILLIAMSVILLE,NY,UNITED STATES,14221,716-633-6555,716-633-2235,,,,,,,Approved,9/2/1982,3/19/2010,Y,WWW.ROBSHAWJULIAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"117,614,068.00","27,874,302.00","145,488,370.00",223,5,228,Y,Y,N,Y,N,N,Y,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,141674,801-69438,"MD WITTER INVESTMENTS, LLC","MD WITTER INVESTMENTS, LLC",600 MADISON AVENUE,25TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-753-7878,212-486-7697,,,,,,,Approved,8/7/2008,3/19/2010,Y,WWW.WITTERASSETS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,0 percent,Up to 10 percent,TRUST,Y,N,N,N,N,N,N,,Y,"547,130,950.00","15,424,359.00","562,555,309.00",18,4,22,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,114681,801-60486,DELTA PARTNERS LLC,DELTA PARTNERS LLC,"ONE INTERNATIONAL PLACE, SUITE 2401",,BOSTON,MA,USA,2110,617-526-8960,617-526-8937,,,,,,,Approved,8/21/2001,3/19/2010,Y,WWW.DELTAMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"262,106,946.00",0,"262,106,946.00",4,0,4,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107916,801-54670,CABOT-WELLINGTON LLC,CABOT WELLINGTON LLC,70 FEDERAL STREET,,BOSTON,MA,UNITED STATES,2110,617-451-1744,617-451-1733,,,,,,,Approved,6/26/1997,3/19/2010,Y,WWW.CABWEL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"463,154,860.00","10,883,133.00","474,037,993.00",169,14,183,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106428,801-41945,K P SMITH ASSET MANAGEMENT,SMITH KEITH PAUL,9910 N. 48TH ST.,STE 112,OMAHA,NE,USA,68152,402-392-0509,402-392-0634,,,,,,,Approved,7/16/1992,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"47,250,235.00",0,"47,250,235.00",284,0,284,Y,Y,N,Y,N,N,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,134453,801-66995,TOW FINANCIAL ADVISORS,STEPHAN TOW AND ASSOCIATES INSURANCE SERVICES INC.,14724 VENTURA BLVD,SUITE PH-1300,SHERMAN OAKS,CA,UNITED STATES,91403,818-906-9301,818-784-3241,,,,,,,Approved,7/20/2006,3/19/2010,Y,WWW.TFAINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"44,689,576.00","35,000,000.00","79,689,576.00",40,1,41,Y,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,132578,801-63625,"NEWFOCUS FINANCIAL GROUP, LLC","NEWFOCUS FINANCIAL GROUP, LLC",410 WEST 12TH STREET,,VANCOUVER,WA,UNITED STATES,98660,888-762-2423,866-565-8305,,,,,,,Approved,11/8/2004,3/31/2010,Y,WWW.NEWFOCUSFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"162,000,000.00",0,"162,000,000.00",865,0,865,Y,Y,N,N,N,N,N,N,N,N,,251-500,,Y,N,N,N,N,N,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104567,801-15717,MCRAE CAPITAL MANAGEMENT INC.,MCRAE CAPITAL MANAGEMENT INC.,230 MADISON AVENUE,,MORRISTOWN,NJ,UNITED STATES,7960,973-387-1080,973-387-1081,,,,,,,Approved,1/8/1981,3/31/2010,Y,WWW.MCRAECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"214,306,663.00","5,838,399.00","220,145,062.00",409,5,414,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,127907,801-63064,"WEALTHPRO, LLC","WEALTHPRO, LLC",15 FIRST AVENUE,,GLOVERSVILLE,NY,USA,12078,518-725-6111,518-725-4042,,,,,,,Approved,4/23/2004,3/31/2010,Y,WWW.SOLOMONASSOCIATES.COM (DIRECTS ITS TRAFFIC TO WWW.WEALTH.US),N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"31,566,521.00","31,566,521.00",0,322,322,Y,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT CONSULTING + REGULAR CLIENT UPDATE LETTERS AT LEAST QUARTERLY,25-Nov,,N,N,N,N,N,N,Y,N,Y,OFFER FDIC INSURED BANK PRODUCTS,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105873,801-24084,KAYS FINANCIAL ADVISORY CORP,KAYS FINANCIAL ADVISORY CORP,200 GALLERIA PARKWAY SE,SUITE 1150,ATLANTA,GA,USA,30339,770-951-9001,770-951-0902,,,,,,,Approved,4/30/1985,3/31/2010,Y,WWW.SCOTTKAYS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"123,139,641.00","23,234,060.00","146,373,701.00",840,201,"1,041",Y,Y,N,N,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,142542,801-67341,"HIGHLINE WEALTH MANAGEMENT, LLC","HIGHLINE WEALTH MANAGEMENT, LLC",6550 ROCK SPRING DRIVE,SUITE 210,BETHESDA,MD,UNITED STATES,20817,301-564-9500,888-850-6020,,,,,,,Approved,12/14/2006,3/31/2010,Y,WWW.HIGHLINEWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"988,757,881.00","988,757,881.00",0,"1,768","1,768",N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,148076,801-69609,"COBY LAMSON CAPITAL MANAGEMENT, INC","COBY LAMSON CAPITAL MANAGEMENT, INC",835 ALDER CREEK DR. SUITE A,,MEDFORD,OR,UNITED STATES,97504,541-773-7774,541-7773-5550,,,,,,,Approved,9/23/2008,3/25/2009,Y,WWW.COBYLAMSON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,Y,NEGOTIATED,Y,"15,000,000.00","18,000,000.00","33,000,000.00",75,125,200,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,137930,801-65043,"IRONMARK ADVISORS, LLC","IRONMARK ADVISORS, LLC",5072 WEST PLANO PARKWAY,SUITE 260,PLANO,TX,UNITED STATES,75093,866-449-4766,214-393-2305,,,,,,,Approved,12/16/2005,3/31/2010,Y,WWW.IRONMARKADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"115,519,142.00","1,012,242.00","116,531,384.00",686,2,688,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,137272,801-70043,"CHAMBERLAIN CONSULTING GROUP, LLC","CHAMBERLAIN CONSULTING GROUP, LLC","2301 DUPONT DRIVE, SUITE 460",,IRVINE,CA,UNITED STATES,92612,949-553-0313,949-975-1955,,,,,,,Approved,3/26/2009,3/31/2010,Y,WWW.CGWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,Y,Y,REFERRAL FEES,Y,"4,755,490.00","53,823,270.00","58,578,760.00",17,85,102,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,133202,801-63676,"UNIFIED WEALTH MANAGEMENT, LLC","UNIFIED WEALTH MANAGEMENT, LLC.",7025 N. SCOTTSDALE RD.,SUITE 110,SCOTTSDALE,AZ,UNITED STATES,85253,480-668-3016,480-668-3416,,,,,,,Approved,11/19/2004,3/31/2010,Y,WWW.UNIFIEDFS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"63,000,000.00",0,"63,000,000.00",515,0,515,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,141380,801-67095,"NETWIDE CAPITAL, LLC","NETWIDE CAPITAL, LLC",1818 16TH STREET,,BOULDER,CO,UNITED STATES,80302,(720) 266-4479,(866) 401-8162,,,,,,,Approved,8/18/2006,3/31/2010,Y,WWW.NETWIDECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"75,968,579.00",0,"75,968,579.00",3,0,3,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,112350,801-49797,"ALM ADVISORS, INC.","ALM ADVISORS, INC.",300 N. LAKE AVENUE,SUITE 420,PASADENA,CA,UNITED STATES,91101,626-432-5600,626-432-5603,P.O. BOX 1109,,SOUTH PASADENA,CA,UNITED STATES,91031-1109,Approved,8/7/1995,3/31/2010,Y,WWW.ALMADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"43,447,556.00",0,"43,447,556.00",25,0,25,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,134693,801-64085,CATALYST FINANCIAL PLANNING & INVESTMENT MANAGEMENT CORPORATION,CATALYST FINANCIAL PLANNING & INVESTMENT MANAGEMENT CORPORATION,70 WASHINGTON STREET,SUITE 203,OAKLAND,CA,USA,94607,(510) 547-5711,(510) 420-1778,,,,,,,Approved,2/28/2005,3/31/2010,Y,WWW.CATALYSTIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"107,518,434.00","29,334,452.00","136,852,886.00",208,22,230,Y,Y,N,N,Y,Y,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110131,801-57824,WEALTH RESOURCES GROUP,WEALTH RESOURCES GROUP,"28348 ROADSIDE DRIVE, SUITE 102B",,AGOURA HILLS,CA,UNITED STATES,91301,818-889-6700,818-530-7841,,,,,,,Approved,8/1/2000,3/31/2010,Y,WWW.NEALFRANKLE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"50,625,270.00","10,664,677.00","61,289,947.00",328,53,381,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105007,801-21953,"VONTOBEL ASSET MANAGEMENT, INC.","VONTOBEL ASSET MANAGEMENT, INC.","1540 BROADWAY, 38TH FLOOR",,NEW YORK,NY,UNITED STATES,10036,212-415-7000,646-840-5888,,,,,,,Approved,8/3/1984,3/31/2010,Y,WWW.VUSA.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,26-100,0,0 percent,0 percent,Up to 10 percent,26-50 percent,11-25 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,FOREIGN GOVERNMENT ENTITY,Y,N,N,N,N,Y,N,,Y,"7,860,640,492.00","5,826,983.00","7,866,467,475.00",40,2,42,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,141323,801-67114,COMPASS INVESTMENTS LLC,COMPASS INVESTMENTS LLC,1003 EAST THIRD ST,,WILLIAMSPORT,PA,UNITED STATES,17701-9307,570-326-6465,570-326-6621,,,,,,,Approved,8/31/2006,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"32,760,646.00",0,"32,760,646.00",576,0,576,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112701,801-60235,SOSNOWY INVESTMENT MANAGEMENT COMPANY,"NEW SIMCO, INC.","3883 TELEGRAPH ROAD, SUITE 100",,BLOOMFIELD HILLS,MI,USA,48302,248-642-6640,248-642-6741,,,,,,,Approved,5/11/2001,4/1/2010,Y,WWW.LASTINGWEALTH.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"8,578,791.00",0,"8,578,791.00",125,0,125,N,Y,N,Y,N,N,Y,N,Y,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,140952,801-66894,"ANGLER MANAGEMENT, L.P.","ANGLER MANAGEMENT, L.P.",ONE GREENWICH OFFICE PARK,"BLDG ONE SOUTH, 3RD FLOOR",GREENWICH,CT,UNITED STATES,6831,203-992-4201,203-409-3956,,,,,,,Approved,6/12/2006,4/1/2010,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"26,548,446.00",0,"26,548,446.00",1,0,1,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,144782,801-68332,"SBAUER FUNDS, LLC","SBAUER FUNDS, LLC",10401 N. MERIDIAN ST.,SUITE 100,INDIANAPOLIS,IN,UNITED STATES,46290,317-814-5000,317-705-5110,,,,,,,Approved,9/18/2007,4/1/2010,Y,WWW.SBAUERFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"218,000,000.00",0,"218,000,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147115,801-69158,VALUE WEALTH MANAGEMENT LLC,"THOMPSON CAPITAL MANAGEMENT, LLC",6150 VILLAGE VIEW DRIVE,SUITE 101,WEST DES MOINES,IA,UNITED STATES,50266,515-244-5141,866-476-8643,,,,,,,Approved,5/12/2008,4/1/2010,Y,WWW.ADVISORANDME.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"15,030,000.00","66,370,000.00","81,400,000.00",46,195,241,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110572,801-55880,"WEST CAPITAL MANAGEMENT, INC.","WEST CAPITAL MANAGEMENT, INC.",1818 MARKET STREET,33RD FLOOR,PHILADELPHIA,PA,UNITED STATES,19103,215-731-1820,215-731-1419,P.O. BOX 22477,,PHILADELPHIA,PA,UNITED STATES,19110-2477,Approved,9/18/1998,4/1/2010,Y,WWW.WESTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"281,639,984.00","135,534,733.00","417,174,717.00","1,020",5,"1,025",Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108576,801-57776,LEXINGTON RESEARCH & CAPITAL GROUP,OFFICER DENNIS TERRY,,,,,,,1-859-271-2505,1-859-271-2505,,,,,,,Approved,8/8/2000,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,KY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"137,642,827.00",0,"137,642,827.00",86,0,86,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122616,801-69502,"CAPITAL CITY INVESTMENT MANAGEMENT COMPANY, INC.","CAPITAL CITY INVESTMENT MANAGEMENT COMPANY, INC.",2929 KENNY RD.,SUITE #220,COLUMBUS,OH,UNITED STATES,43221,614-457-3438,614-457-3479,,,,,,,Approved,8/14/2008,4/1/2010,Y,WWW.CAPITALCITYINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"25,974,000.00",0,"25,974,000.00",63,0,63,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,106155,801-50303,"OLD NORTH STATE TRUST, LLC","OLD NORTH STATE TRUST, LLC",106 WEST RALEIGH STREET,,SILER CITY,NC,UNITED STATES,27344,919-663-3996,919-663-3254,P.O. BOX 378,,SILER CITY,NC,UNITED STATES,27344,Approved,10/5/1995,4/1/2010,Y,WWW.OLDNORTHSTATETRUST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"220,418,331.00","4,328,967.00","224,747,298.00",477,8,485,Y,Y,N,Y,Y,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
BRO,123108,801-63699,"WEISS CAPITAL MANAGEMENT, INC.","WEISS CAPITAL MANAGEMENT, INC.",,,,,,,978-505-5435,978-369-9029,P.O. BOX 1128,,CONCORD,MA,USA,01742-1128,Approved,1/3/2005,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"55,000,000.00",0,"55,000,000.00",25,0,25,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,104510,801-55196,FINANCIAL ENGINES ADVISORS L.L.C.,FINANCIAL ENGINES ADVISORS L.L.C.,1804 EMBARCADERO ROAD,SUITE 100,PALO ALTO,CA,UNITED STATES,94303,650-565-4900,650-565-4905,,,,,,,Approved,1/14/1998,4/1/2010,Y,WWW.FINANCIALENGINES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,251-500,0,Nov-50,0,0,0,5-Jan,0,More than 500,"7,418,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,Y,SET-UP FEES; REIMBURSEMENTS FOR PRINTED MATERIALS; CONSULTING,Y,"25,766,900,000.00",0,"25,766,900,000.00","431,337",0,"431,337",Y,Y,N,Y,Y,N,N,Y,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107399,801-38772,"DELTA FINANCIAL GROUP, INC.","DELTA FINANCIAL GROUP, INC.",41 STONEHOUSE ROAD,,BASKING RIDGE,NJ,UNITED STATES,7920,908-542-9400,908-542-9004,,,,,,,Approved,5/9/1991,4/1/2010,Y,WWW.DELTAFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"137,869,930.00","19,073,500.00","156,943,430.00","1,491",322,"1,813",Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,Y,FINANCIAL ADVISOR,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,135661,801-66371,COHEN & STEERS ASIA LIMITED,COHEN & STEERS ASIA LIMITED,"1202 CITIBANK TOWER, CITIBANK PLAZA",3 GARDEN ROAD,CENTRAL,,HONG KONG,,852-3667-0081,852-2509-4069,,,,,,,Approved,3/17/2006,4/1/2010,Y,WWW.COHENANDSTEERS.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Other (specify),HONG KONG LIMITED COMPANY,,HONG KONG,10-Jun,0,10-Jun,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,51-75 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,Y,"LICENSING FEES, AND PORTFOLIO CONSTRUCTION AND EVALUATION FEES",Y,"4,301,969,000.00",0,"4,301,969,000.00",53,0,53,N,N,Y,Y,N,N,N,N,N,Y,"PORTFOLIO CONSULTING SVCS, INDEX MAINTENANCE SVCS; PORTFOLIO MANAGEMENT FOR PRIVATE & NON U.S. POOLED INVESTMENT VEHICLES",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,133865,801-65783,PROVIDENT GROUP ASSET MANAGEMENT LLC,PROVIDENT GROUP ASSET MANAGEMENT LLC,654 MADISON AVENUE,SUITE 1009,NEW YORK,NY,UNITED STATES,10065,212-742-4900,212-742-1890,,,,,,,Approved,1/30/2006,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"25,200,000.00",0,"25,200,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,MANAGEMENT OF A FUND OF HEDGE FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N
ARO,126393,801-67290,"PENSION PLANNING SOLUTIONS, INC.","PENSION PLANNING SOLUTIONS, INC.",301 SOUTH ELM STREET,SUITE 608,GREENSBORO,NC,UNITED STATES,27401,336-389-9922,336-464-2500,,,,,,,Approved,11/22/2006,4/1/2010,Y,WWW.PENSIONPLANNINGSOLUTIONS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"3,000,000.00","117,000,000.00","120,000,000.00",1,25,26,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,133003,801-63590,KMI REALTY ADVISORS,"KITE REALTY ADVISORS, LLC","30 SOUTH MERIDIAN STREET, SUITE 200",,INDIANAPOLIS,IN,UNITED STATES,46204,317-577-5600,317-577-5605,,,,,,,Approved,8/16/2004,4/1/2010,Y,WWW.KITEREALTY.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,REAL ESTATE ACQUISITION AND DISPOSITION FEES,N,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,Y,"ADVISE ON REAL ESTATE, INCLUDING RELATED SECURITES, FOR PENSION PLANS",,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,129472,801-62776,"COMMUNITY FINANCIAL GROUP, INC.","COMMUNITY FINANCIAL GROUP, INC.",145 MAIN STREET,SUITE A,HUDSON,MA,UNITED STATES,1749,978-562-9499,978-246-0060,,,,,,,Approved,2/13/2004,1/27/2010,Y,WWW.CFGADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"28,274,063.00","7,950,914.00","36,224,977.00",758,4,762,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106834,801-43386,RYAN FINANCIAL ADVISORS INC,RYAN FINANCIAL ADVISORS INC,89 MAIN STREET,,ANDOVER,MA,UNITED STATES,1810,978-475-1500,978-475-6699,,,,,,,Approved,2/12/1993,1/27/2010,Y,WWW.RYANFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"108,025,000.00","16,740,000.00","124,765,000.00",936,205,"1,141",Y,Y,N,Y,Y,N,N,N,N,N,,251-500,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,116744,801-61747,"TAYLOR FINANCIAL GROUP, INC.","TAYLOR FINANCIAL GROUP, INC.","3102 BRAMBLETON AVENUE., SW",,ROANOKE,VA,USA,24018,540-774-7971,540-774-7697,P.O. BOX 20707,,ROANOKE,VA,UNITED STATES,24018,Approved,1/17/2003,1/27/2010,Y,WWW.TAYLORFG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"117,717,159.00",0,"117,717,159.00",848,0,848,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,151425,801-70579,"VERGEPOINTE WEALTH MANAGEMENT, LLC","VERGEPOINTE WEALTH MANAGEMENT, LLC",5285 MEADOWS ROAD,SUITE 161,LAKE OSWEGO,OR,UNITED STATES,97035,503-684-0100,503-684-0102,,,,,,,Approved,9/24/2009,1/27/2010,Y,WWW.VERGEPOINTE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,POSSIBLE REFERRAL FEES FROM HEDGE FUND MANAGER,Y,"76,067,946.00",0,"76,067,946.00",264,0,264,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,Y,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107638,801-37511,LODESTAR PRIVATE ASSET MANAGEMENT LLC,LODESTAR PRIVATE ASSET MANAGEMENT LLC,3201 DANVILLE BLVD,SUITE 275,ALAMO,CA,USA,94507,925-838-1234,925-838-1964,,,,,,,Approved,10/11/1990,1/27/2010,Y,WWW.LODESTARPAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"228,923,518.00","67,734,952.00","296,658,470.00",549,4,553,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,129615,801-69517,THE CAPITAL GROUP,THE CAPITAL GROUP INVESTMENT ADVISORS INC,1220 PONTIAC AVENUE,SUITE 301,CRANSTON,RI,USA,2920,401-943-2210,401-943-2252,,,,,,,Approved,8/22/2008,1/27/2010,Y,WWW.THECAPITALGROUP.BZ,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,RI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"37,350,589.00",0,"37,350,589.00",452,0,452,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,149750,801-70018,"PLACER SUMMIT FINANCIAL GROUP, LLC","PLACER SUMMIT FINANCIAL GROUP, LLC",3300 DOUGLAS BLVD.,SUITE 420,ROSEVILLE,CA,UNITED STATES,95661,916-910-0760,916-910-0763,,,,,,,Approved,4/13/2009,1/27/2010,Y,PLACERSUMMIT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"52,737,455.00","2,582,670.00","55,320,125.00",192,7,199,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,119103,801-64036,"FLOWERS CAPITAL MANAGEMENT, INC.","FLOWERS CAPITAL MANAGEMENT, INC.",,,,,,,718-575-3306,718-263-8646,,,,,,,Approved,4/4/2005,1/27/2010,Y,WWW.FLOWERSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"39,139,441.00",0,"39,139,441.00",41,0,41,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,151669,801-70792,"L & M WEALTH MANAGEMENT AND RETIREMENT SOLUTIONS, LLC","L & M WEALTH MANAGEMENT AND RETIREMENT SOLUTIONS, LLC",2601 NW EXPRESSWAY,#110W,OKLAHOMA CITY,OK,UNITED STATES,73112,405-286-2654,405-286-2658,,,,,,,Approved,11/25/2009,1/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,"TRUSTS, ESTATES",Y,N,N,N,N,N,N,,Y,"30,406,426.00",0,"30,406,426.00",305,0,305,N,Y,N,N,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,148335,801-69575,"WIENKEN ADVISORS, LTD.","WIENKEN ADVISORS, LTD.",100 CORPORATE CENTER DRIVE,SUITE 201,CAMP HILL,PA,UNITED STATES,17011,717-763-7365,717-763-7684,,,,,,,Approved,9/19/2008,1/27/2010,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,FEDERAL GOVERNMENT ENTITIES,N,N,N,N,N,N,Y,SEMINAR FEES,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,SEMINARS,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106460,801-8445,MITCHELL SINKLER & STARR,MITCHELL SINKLER & STARR INC,TWO PENN CENTER PLAZA,SUITE 1320,PHILADELPHIA,PA,USA,19102,215-665-1450,215-561-0808,,,,,,,Approved,2/8/1972,1/27/2010,Y,WWW.MSSADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"122,351,965.00","836,662,201.00","959,014,166.00",49,350,399,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,147963,801-69514,"MARKETRIDERS, INC.","MARKETRIDERS, INC.",740 CAMINO RAMON,,DANVILLE,CA,UNITED STATES,94526,650-328-7873,650-618-2780,,,,,,,Approved,9/4/2008,1/27/2010,Y,WWW.MARKETRIDERS.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,Y,Y,N,N,N,,Y,"15,500,000.00",0,"15,500,000.00",4,0,4,N,Y,N,N,N,N,N,N,N,Y,SOFTWARE USED TO SELF-MANAGE ACCOUNTS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,45641,801-56237,GOLDEN TRIANGLE SECURITES LLC DBA HOLBER & ASSOCIATES,GOLDEN TRIANGLE SECURTIES LLC,,,,,,,831-626-5570,831-624-0416,P.O. BOX 222298,,CARMEL,CA,UNITED STATES,93922,Approved,1/29/1999,1/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,000,000.00","50,000,000.00","75,000,000.00",40,250,290,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,148363,801-69640,"ETSPREADS, LLC","ETSPREADS, LLC",44 MONTGOMERY STREET,SUITE 2100,SAN FRANCISCO,CA,USA,94104,415-398-2727,415-421-2019,,,,,,,Approved,10/23/2008,3/24/2010,Y,HTTP://WWW.ETSPREADS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,133540,801-63746,"INDEPENDENCE CAPITAL MANAGEMENT, LLC","INDEPENDENCE CAPITAL MANAGEMENT, LLC",201 SOUTH LAKE AVENUE,SUITE 303,PASADENA,CA,USA,91101,626-584-6168,626-584-6167,,,,,,,Approved,1/3/2005,3/31/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"11,841,835.00",0,"11,841,835.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,INVESTMENT MANAGEMENT OF PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,129963,801-62669,"MINNEAPOLIS PORTFOLIO MANAGEMENT GROUP, LLC","MINNEAPOLIS PORTFOLIO MANAGEMENT GROUP, LLC",80 SOUTH 8TH STREET,SUITE 1902,MINNEAPOLIS,MN,UNITED STATES,55402,(612) 334-2000,(612) 334-2001,,,,,,,Approved,1/14/2004,3/24/2010,Y,WWW.MPMGLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,10-Jun,0,More than 500,"2,000",11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"610,765,000.00","80,000,000.00","690,765,000.00","2,502",250,"2,752",N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,128357,801-62392,"GREAT OAKS CAPITAL MANAGEMENT, LLC","GREAT OAKS CAPITAL MANAGEMENT, LLC",660 MADISON AVENUE,SUITE 1405,NEW YORK,NY,UNITED STATES,10065,212-821-1800,212-644-0099,,,,,,,Approved,9/29/2003,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"290,784,770.00",0,"290,784,770.00",41,0,41,N,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT TO PRIVATE FUND,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105990,801-12642,DAVID VAUGHAN INVESTMENTS INC,DAVID VAUGHAN INVESTMENTS INC,5823 N FOREST PARK DRIVE,,PEORIA,IL,UNITED STATES,61614-3559,309-685-0033,309-679-6505,,,,,,,Approved,3/17/1977,3/31/2010,Y,WWW.DVIINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,050,087,500.00",0,"1,050,087,500.00","1,246",0,"1,246",N,Y,N,Y,N,Y,N,N,N,Y,TAX QUALIFIED AND TAFT-HARTLEY PENSION PLAN CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106528,801-51533,"OPUS CAPITAL GROUP, LLC","OPUS CAPITAL GROUP, LLC",1 WEST FOURTH STREET,SUITE 2500,CINCINNATI,OH,UNITED STATES,45202,513-621-6787,513-639-3072,,,,,,,Approved,3/18/1996,3/31/2010,Y,WWW.OPUSINC.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,253,200,000.00","84,300,000.00","1,337,500,000.00",246,2,248,N,Y,Y,Y,N,Y,Y,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109208,801-58095,"CREDIT RENAISSANCE PARTNERS, LLC","CREDIT RENAISSANCE PARTNERS, LLC",295 MADISON AVENUE,21ST FLOOR,NEW YORK,NY,UNITED STATES,10017,212-935-0204,212-935-4268,,,,,,,Approved,11/15/2000,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"158,213,352.00",0,"158,213,352.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,133319,801-63665,"KLS PROFESSIONAL ADVISORS GROUP, LLC","KLS PROFESSIONAL ADVISORS GROUP, LLC",111 FIFTH AVENUE,8TH FLOOR,NEW YORK,NY,USA,10003,212-355-0346,212-355-0413,,,,,,,Approved,11/22/2004,3/31/2010,Y,WWW.KLSADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,More than 500,800,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"3,182,284,353.00","661,355,223.00","3,843,639,576.00","4,411","1,824","6,235",Y,Y,N,N,N,Y,N,N,N,N,,More than 500,700,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,114510,801-64495,CORNERSTONE ADVISORS,"CORNERSTONE ADVISORS, LLC",6540 SW 10TH AVENUE,,TOPEKA,KS,USA,66615,785-273-2685,785-273-1641,,,,,,,Approved,9/8/2005,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,SOLICITOR/REFERRAL FEES,Y,0,"61,156,479.00","61,156,479.00",0,633,633,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,113926,801-60470,HUDSON CANYON INVESTMENT COUNSELORS LLC,HUDSON CANYON INVESTMENT COUNSELORS LLC,15 EXCHANGE PLACE,SUITE 1010,JERSEY CITY,NJ,USA,7302,201-332-9800,201-332-9898,,,,,,,Approved,8/10/2001,3/31/2010,Y,WWW.HUDSONCANYON.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,PERFORMANCE FEE  PAID TO RELATED PARTY,Y,"221,426,291.00",0,"221,426,291.00",92,0,92,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107722,801-60001,"DURBIN BENNETT PETERSON PRIVATE WEALTH MANAGEMENT, LLP","DURBIN BENNETT PETERSON PRIVATE WEALTH MANAGEMENT, LLP","100 CONGRESS AVENUE, SUITE 1600",,AUSTIN,TX,UNITED STATES,78701,512-439-4800,512-439-4850,,,,,,,Approved,1/25/2001,3/31/2010,Y,WWW.DBPAUSTIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,TX,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"543,186,940.00","8,045,304.00","551,232,244.00",576,1,577,Y,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,146326,801-69020,THADDEUS CAPITAL LIMITED,THADDEUS CAPITAL LIMITED,C/O THADDEUS CAPITAL MANAGEMENT (HK) LIMITED,"5/F, RUTTONJEE HOUSE, 11 DUDDELL STREET, CENTRAL",HONG KONG,,HONG KONG,,852-3716-5700,852-2521-8020,,,,,,,Approved,4/9/2008,3/31/2010,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CAYMAN ISLANDS,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"294,386,722.00",0,"294,386,722.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106023,801-37116,CAPITAL MANAGEMENT CORP OF THE NORTHEAST,CAPITAL MANAGEMENT CORP OF THE NORTHEAST,9 BRYAN PLAZA,,WASHINGTON DEPOT,CT,USA,06794-0348,860-868-1830,860-868-1834,P.O. BOX 348,9 BRYAN PLAZA,WASHINGTON DEPOT,CT,,6794,Approved,6/29/1990,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"44,247,307.00","11,110,974.00","55,358,281.00",66,15,81,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,152114,801-70838,EUROPEAN VALUE PARTNERS ADVISORS S.A R.L,EUROPEAN VALUE PARTNERS ADVISORS S.A R.L,"534 , RUE DE NEUDORF",,LUXEMBOURG,,LUXEMBOURG,L-2220,352 264363,352 26436310,,,,,,,Approved,12/3/2009,3/31/2010,Y,WWW.EVPARTNERS.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,,LUXEMBOURG,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,271,058,650.00",0,"1,271,058,650.00",2,0,2,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107300,801-47202,HENDERSON GLOBAL INVESTORS,HENDERSON GLOBAL INVESTORS (NORTH AMERICA) INC.,"1 FINANCIAL PLAZA, 19TH FLOOR",,HARTFORD,CT,UNITED STATES,6103,860-723-8600,860-723-8601,,,,,,,Approved,8/12/1994,3/31/2010,Y,HTTP://WWW.HENDERSON.COM/HOME/US,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,10-Jun,0,5-Jan,0,More than 500,"1,500",More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,Y,PERCENTAGE OF NOI OR AS IN RESPONSE TO QUESTION 1D OF PART 2.,Y,"6,707,355,825.00","276,100,000.00","6,983,455,825.00","1,125",16,"1,141",N,Y,Y,Y,N,Y,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146426,801-68956,ROGGE GLOBAL PARTNERS,ROGGE GLOBAL PARTNERS INC.,444 MADISON AVENUE,SUITE 3700,NEW YORK,NY,UNITED STATES,10022,212-735-0600,212-735-0601,,,,,,,Approved,3/18/2008,3/31/2010,Y,WWW.ROGGE.CO.UK,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"1,153,035,342.00",0,"1,153,035,342.00",8,0,8,N,N,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,147994,801-69653,"APOLLO COMMODITIES MANAGEMENT, L.P.","APOLLO COMMODITIES MANAGEMENT, L.P.",9 WEST 57TH STREET,SUITE 4100,NEW YORK,NY,UNITED STATES,10019,212.515.3200,212.515.3251,,,,,,,Approved,10/14/2008,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,251-500,0,251-500,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"43,051,171.00",0,"43,051,171.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,ADVISE POOLED INVESTMENT VEHICLES.,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,147212,801-69171,"D. E. SHAW DIRECT CAPITAL, L.L.C.","D. E. SHAW DIRECT CAPITAL, L.L.C.",120 WEST FORTY-FIFTH STREET,39TH FLOOR,NEW YORK,NY,UNITED STATES,10036,212-478-0000,212-478-0100,,,,,,,Approved,5/28/2008,3/31/2010,Y,HTTP://WWW.DESHAWDIRECTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,011,970,000.00",0,"1,011,970,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,Y,N,Y,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,141141,801-67496,GROSVENOR INVESTMENT MANAGEMENT US INC.,GROSVENOR INVESTMENT MANAGEMENT US INC,50 S. 16TH STREET,SUITE 2600,PHILADELPHIA,PA,UNITED STATES,19102,215-575-3700,215-575-3701,,,,,,,Approved,7/5/2007,3/31/2010,Y,WWW.GROSVENOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,FORIEGN CLIENTS,Y,N,N,Y,N,Y,Y,AQUISITION AND DISPOSITION FEES,Y,"690,000,000.00","610,000,000.00","1,300,000,000.00",3,8,11,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135284,801-64222,"D. E. SHAW INVESTMENT MANAGEMENT, L.L.C.","D. E. SHAW INVESTMENT MANAGEMENT, L.L.C.",120 WEST FORTY-FIFTH STREET,39TH FLOOR,NEW YORK,NY,UNITED STATES,10036,212-478-0000,212-478-0100,,,,,,,Approved,5/26/2005,3/31/2010,Y,HTTP://WWW.DESHAW.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,002,594,000.00",0,"4,002,594,000.00",32,0,32,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,Y,N,Y,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,133373,801-63729,"MSREF V, L.L.C.","MSREF V, L.L.C.",1585 BROADWAY,"REAL ESTATE FUNDS, 37TH FLOOR",NEW YORK,NY,UNITED STATES,10036,212-761-4700,212-761-0261,,,,,,,Approved,1/3/2005,3/31/2010,Y,WWW.MORGANSTANLEY.COM/REALESTATE/,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,251-500,0,251-500,0,Nov-50,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ACQUISITION AND DISPOSITION FEES,Y,"12,175,351,207.00",0,"12,175,351,207.00",21,0,21,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,122389,801-61433,"BERKSHIRE ADVISORS, INC.","BERKSHIRE ADVISORS, INC.",2240 RIDGEWOOD ROAD,SUITE 101,WYOMISSING,PA,UNITED STATES,19610,610-376-6970,610-376-9588,,,,,,,Approved,9/6/2002,3/31/2010,Y,WWW.BERKSHIREADVISORS.NET,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,FIN. & RETIRE PLAN./EDUC. FUNDING/PORT. EVAL.OTHER NON INVESTMEN,Y,"14,500,000.00",0,"14,500,000.00",36,0,36,Y,Y,Y,Y,Y,Y,N,N,N,Y,TRUSTS/CHARITABLE ORG/ESTATES/OTHER NON INVESTMENT RELATED SERVICES,26-50,,N,N,N,Y,N,N,Y,N,Y,M& A CONSULTING,N,N,Y,Y,Y,N,N,N,Y,Y,Y,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108679,801-56171,"D. E. SHAW & CO., L.P.","D. E. SHAW & CO., L.P.",120 WEST FORTY-FIFTH STREET,39TH FLOOR,NEW YORK,NY,UNITED STATES,10036,212-478-0000,212-478-0100,,,,,,,Approved,1/15/1999,3/31/2010,Y,HTTP://WWW.DESHAW.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,501-1000,0,251-500,0,51-250,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"22,819,402,000.00",0,"22,819,402,000.00",6,0,6,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,Y,N,N,Y,N,Y,Y,N,N,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
SFRO,106383,801-43274,RUNDE & CO. LLC,RUNDE & CO. LLC,"1001 FOURTH AVENUE PLAZA, SUITE 3200",,SEATTLE,WA,USA,98154,206-323-2255,206-323-4216,,,,,,,Approved,2/4/1993,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"54,000,000.00",0,"54,000,000.00",67,0,67,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,109250,801-54914,"MARSICO CAPITAL MANAGEMENT, LLC","MARSICO CAPITAL MANAGEMENT, LLC",1200 17TH STREET,SUITE 1600,DENVER,CO,USA,80202-5824,303-454-5600,303-454-5678,,,,,,,Approved,9/26/1997,3/31/2010,Y,WWW.MARSICOCAPITAL.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,More than 500,"12,500",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"55,237,859,176.00",0,"55,237,859,176.00","12,605",0,"12,605",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146644,801-71305,PRINCETON GLOBAL ASSET MANAGEMENT LLC,PRINCETON GLOBAL ASSET MANAGEMENT LLC,,,,,,,609-945-1781,609-497-9196,,,,,,,Approved,4/9/2010,3/31/2010,Y,WWW.PGAM-LLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"73,629,044.00",0,"73,629,044.00",48,0,48,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108507,801-41752,SWARTHMORE ASSET MANAGEMENT LTD,SWARTHMORE ASSET MANAGEMENT LTD,"200 WEST 16TH STREET, OFFICE 1B",,NEW YORK,NY,UNITED STATES,10011,212-741-2300,212-741-1439,,,,,,,Approved,6/18/1992,2/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,GUARDIANSHIPS,Y,N,N,Y,N,N,N,,Y,"33,411,146.00",0,"33,411,146.00",45,0,45,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,133026,801-63565,HARVEST CAPITAL PARTNERS LLC,HARVEST CAPITAL PARTNERS LLC,"535 BOYLSTON STREET, 11TH FLOOR",,BOSTON,MA,UNITED STATES,2116,857-383-3200,857-383-3201,,,,,,,Approved,10/7/2004,2/9/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144083,801-67973,"CLERESTORY CAPITAL ADVISORS, LLC","CLERESTORY CAPITAL ADVISORS, LLC",11 EAST 44TH STREET,SUITE 1603,NEW YORK,NY,UNITED STATES,10017,212-584-2020,212-792-5468,,,,,,,Approved,6/4/2007,2/9/2010,Y,WWW.CLERESTORYCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,NON US STATE OR MUNICIPAL GOVERNMENT ENTITY,Y,N,N,N,N,Y,N,,Y,"138,000,000.00",0,"138,000,000.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,SPONSOR OF LIMITED PARTNERSHIPS,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108578,801-57719,DAVID K. TURNER,TURNER DAVID KAY,,,,,,,304-842-5724,,,,,,,,Approved,7/7/2000,2/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,WV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"54,271,825.00","6,499,554.00","60,771,379.00",30,2,32,N,Y,N,N,N,N,N,N,N,Y,PERFORMANCE MEASUREMENT SERVICES AND CONSULTING ON ASSET ALLOCATION AND INVESTMENT POLICY MATTERS.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,136792,801-65135,GOODNOW INVESTMENT GROUP LLC,GOODNOW INVESTMENT GROUP LLC,9 OLD KING'S HIGHWAY SOUTH,,DARIEN,CT,UNITED STATES,6820,203-655-6272,203-655-7351,,,,,,,Approved,1/13/2006,2/9/2010,Y,WWW.GOODNOW.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"340,925,039.00",0,"340,925,039.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122898,801-67096,"STRATEGIC FINANCIAL DESIGNS, INC.","STRATEGIC FINANCIAL DESIGNS, INC.",1780 ASH STREET,SUITE 200,NORTHFIELD,IL,USA,60093,847-441-8700,847-441-8715,,,,,,,Approved,8/18/2006,2/9/2010,Y,WWW.SFD-INC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISORY FEES,Y,0,"57,500,000.00","57,500,000.00",0,325,325,Y,Y,N,Y,N,Y,N,N,N,Y,SPEAKING ENGAGEMENTS AND EDUCATION WORKSHOPS,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,104917,801-22145,MCMANNAMA & ASSOCIATES,MCMANNAMA & ASSOCIATES INC,444 REGENCY PARKWAY DRIVE,SUITE 103,OMAHA,NE,UNITED STATES,68114-3779,402-493-6300,402-493-6930,,,,,,,Approved,9/12/1984,2/9/2010,Y,WWW.MCMANNAMA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"36,127,363.00","10,931,609.00","47,058,972.00",46,12,58,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110884,801-63552,ARGENTA WEALTH MANAGEMENT,"GAUDIN AND ASSOCIATES, INC.",301 MAIN STREET,SUITE 202,NORTH LITTLE ROCK,AR,UNITED STATES,72114,501-225-5600,501-225-5613,,,,,,,Approved,9/15/2004,2/9/2010,Y,WWW.ARGENTAWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,THIRD PARTY ADVISORY FEES,Y,"64,272,330.00",0,"64,272,330.00",221,0,221,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107894,801-51498,RMG CAPITAL ADVISORS LLC,RMG CAPITAL ADVISORS LLC,17111 PRESTON ROAD,SUITE 140,DALLAS,TX,USA,75248,972-267-9939,972-250-4111,,,,,,,Approved,3/11/1996,2/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"102,770,653.00","140,143.00","102,910,796.00",181,1,182,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
BRO,120859,801-66086,FIRST NATIONAL CORPORATION,FIRST NATIONAL CORPORATION,300 LEDGEWOOD PLACE,SUITE 101,ROCKLAND,MA,USA,2370,781-878-7757,781-878-9894,,,,,,,Approved,2/1/2006,2/9/2010,Y,WWW.FNCADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"207,896,243.00","1,865,218.00","209,761,461.00","1,116",5,"1,121",Y,Y,N,Y,Y,Y,N,N,N,Y,INVESTMENT CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106191,801-40048,"ROBERT HARRELL, INCORPORATED",ROBERT HARRELL INCORPORATED,"8310 CAPITAL OF TEXAS HIGHWAY, N. STE 320",,AUSTIN,TX,UNITED STATES,78731,512-795-9100,512-795-0633,,,,,,,Approved,10/28/1991,2/9/2010,Y,WWW.HARRELL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"158,661,695.00","1,800,185,513.00","1,958,847,208.00",28,16,44,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,110167,801-48914,INTERNATIONAL DISCOUNT INVESTORS,INTERNATIONAL DISCOUNT INVESTORS INC,4814 OLD KINGSTON PIKE,,KNOXVILLE,TN,UNITED STATES,37919-6424,865-212-4333,865-212-4329,,,,,,,Approved,4/13/1995,2/9/2010,Y,WWW.INVESTIDI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"30,361,263.00",0,"30,361,263.00",264,0,264,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110085,801-60028,"PRIMESOLUTIONS ADVISORS, LLC","PRIMESOLUTIONS ADVISORS, LLC",45 26TH STREET,,PITTSBURGH,PA,USA,15222,412-232-3300,412-232-0911,,,,,,,Approved,2/16/2001,2/9/2010,Y,WWW.PRIMESOLUTIONSADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,10-Jun,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"142,856,920.00","45,532,683.00","188,389,603.00",581,10,591,Y,Y,N,Y,Y,Y,N,N,N,Y,"INVESTMENT CONSULTATION SERVICES, FIDUCIARY REVIEW AND SEMINARS",26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,107671,801-19907,BUILDER INVESTMENT GROUP,BUILDER INVESTMENT GROUP INC,"TOWER PLACE 100, SUITE 1775","3340 PEACHTREE ROAD, N.E.",ATLANTA,GA,UNITED STATES,30326,404-233-9341,404-237-3168,,,,,,,Approved,10/1/1983,2/9/2010,Y,WWW.BIG-INC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"225,968,954.00",0,"225,968,954.00",589,0,589,N,Y,N,Y,N,N,N,N,N,Y,CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,136180,801-64476,BAKER ASSET MANAGEMENT,"BAKER ASSET MANAGEMENT, LLC",1601 NW EXPRESSWAY,"20TH FLOOR, SUITE A",OKLAHOMA CITY,OK,UNITED STATES,73118,405-415-7270,405-415-7296,,,,,,,Approved,6/30/2005,2/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,Y,FEES AND ACCT MINIMUMS MAY BE NEGOTIABLE,Y,"67,398,261.00","933,137.00","68,331,398.00",144,2,146,N,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,114288,801-68076,RESOURCE PARTNERS LLC,RESOURCE PARTNERS LLC,10 13TH AVENUE NW,,HICKORY,NC,USA,28601,828-324-4420,828-324-5544,P.O. BOX 3407,,HICKORY,NC,US,28603,Approved,7/5/2007,2/9/2010,Y,WWW.RJF.COM/RESOURCEPARTNERS,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISORY FEES,Y,0,"67,049,986.00","67,049,986.00",0,201,201,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,149232,801-69898,INSIGHT ONSITE STRATEGIC MANAGEMENT LLC,INSIGHT ONSITE STRATEGIC MANAGEMENT LLC,,,,,,,702-242-2446,702-309-2447,,,,,,,Approved,2/4/2009,8/11/2009,Y,WWW.INSIGHTONSITE.NET,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,Y,Y,Y,N,Y,Y,"ESTATE PLANNING,COMPENSATION PLANNING & INCOME TAX PLANNING, INSURANCE PLANNING",0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107651,801-52649,INSIGHT ONSITE FINANCIAL SOLUTIONS,FINANCIAL RESOURCES NETWORK INC,,,,,,,702-242-2446,702-309-2447,119 MARION ST. EXT.,,WILMINGTON,MA,UNITED STATES,1887,Approved,8/7/1996,8/11/2009,Y,WWW.INSIGHTONSITE.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"38,500,000.00","4,000,000.00","42,500,000.00",200,100,300,Y,Y,N,Y,Y,Y,N,N,Y,Y,"ESTATE PLANNING,COMPENSATION PLANNING & INCOME TAX PLANNING, INSURANCE PLANNING",101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,129829,801-66346,"GUALARIO & CO., LLC","GUALARIO & CO., LLC",,,,,,,908-326-6395,,,,,,,,Approved,4/4/2006,8/12/2009,Y,WWW.GUALARIO.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,124092,801-61710,"SCHULMAN, ROBERT E.","SCHULMAN, ROBERT E.",18 PINE TREE DRIVE,,GREAT NECK,NY,USA,11024,516-466-5752,516-829-3918,,,,,,,Approved,1/28/2003,6/3/2004,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),INDIVIDUAL,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,51-75 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"55,649,607.00",0,"55,649,607.00",45,0,45,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,139971,801-66920,LAMNETH CAPITAL,"CANFIELD, BRYAN BOYD",,,,,,,949-874-5309,,,,,,,,Approved,6/22/2006,8/25/2008,Y,WWW.LAMNETHCAPITAL.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,"500,000.00",0,"500,000.00",10,0,10,N,Y,N,N,N,N,N,N,N,N,,0,,Y,N,N,N,N,N,N,N,Y,INVESTMENT ADVISOR,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,112315,801-61646,"PRISM FINANCIAL GROUP, LLC","PRISM FINANCIAL GROUP, LLC",7101 COLLEGE BLVD. SUITE 900,,OVERLAND PARK,KS,UNITED STATES,66210-1984,913-345-1444,913-663-1444,,,,,,,Approved,12/12/2002,6/3/2010,Y,WWW.PRISMFG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"122,000,000.00","10,000,000.00","132,000,000.00",295,26,321,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,Y,Y,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,120131,801-62686,"PLANNING DIRECTIONS, INC.","PLANNING DIRECTIONS, INC.",239 BALTIMORE PIKE,,GLEN MILLS,PA,UNITED STATES,19342,610-361-0865,610-361-0869,,,,,,,Approved,1/14/2004,6/3/2010,Y,WWW.COMMONCENTSPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"82,872,808.00","82,872,808.00",0,210,210,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105642,801-8147,THE DREYFUS CORPORATION,THE DREYFUS CORPORATION,200 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10166,212-922-6000,212-922-4235,,,,,,,Approved,12/10/1971,6/3/2010,Y,WWW.DREYFUS.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,251-500,0,51-250,0,Nov-50,0,5-Jan,0,251-500,0,0 percent,0 percent,Up to 10 percent,26-50 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,"INSURANCE RESERVES, NUCLEAR DECOMMISIONING TRUSTS",Y,N,N,Y,N,Y,Y,A ONE TIME ONLY ACCOUNT SET-UP FEE MAY BE CHARGED TO NEW CLIENTS,Y,"370,117,044,852.00","2,385,614,644.00","372,502,659,496.00",425,6,431,N,Y,Y,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y
BRO,108763,801-55953,"US FINANCIAL ADVISORS, LLC","U.S. FINANCIAL ADVISORS, LLC",139 WOOD RD,,BRAINTREE,MA,USA,2184,781-849-9200,781-849-0677,,,,,,,Approved,10/9/1998,6/3/2010,Y,WWW.USWEALTHCOMPANIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,000",11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"124,175,038.00","28,042,324.00","152,217,362.00",658,273,931,Y,Y,N,Y,Y,Y,Y,N,N,N,,26-50,,Y,Y,N,N,N,N,N,N,Y,JOHN NAPOLITANO PUBLISHES NEWSLETTERS IN BLOGS/INT,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107738,801-37591,"GOLDMAN SACHS ASSET MANAGEMENT, L.P.","GOLDMAN SACHS ASSET MANAGEMENT, L.P.",200 WEST STREET,,NEW YORK,NY,UNITED STATES,10282,212-902-1000,212-357-5281,,,,,,,Approved,10/25/1990,6/3/2010,Y,WWW.GS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,501-1000,0,51-250,0,501-1000,0,0,0,More than 500,"23,000",0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,"OTHER (INCLUDES UNIONS, SUBADVISED ACCOUNTS, AND ACCOUNTS AT WRAP SPONSORS MANAGED BY GSAM)",Y,N,N,Y,N,Y,N,,Y,"505,456,824,927.00","70,342,814,041.00","575,799,638,968.00","22,859",107,"22,966",N,Y,Y,Y,N,Y,N,N,N,N,,0,,N,Y,N,N,Y,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
NYRO,107414,801-49363,KRAMER CAPITAL MANAGEMENT,KRAMER CAPITAL MANAGEMENT INC,"622 THIRD AVENUE, 32ND FLOOR",,NEW YORK,NY,USA,10017,212-906-1199,212-888-9128,,,,,,,Approved,6/9/1995,6/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,"TRUST, ESTATES, OR CHARITABLE ORGANIZATIONS",Y,N,N,N,Y,N,N,,Y,"53,678,284.00",0,"53,678,284.00",162,0,162,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,145901,801-69203,TRW INVESTMENTS,"TRW INVESTMENTS, LLC",707 WILSHIRE BOULEVARD,STE 5350,LOS ANGELES,CA,UNITED STATES,90017-3606,949-500-9979,818-743-7414,,,,,,,Approved,5/27/2008,6/3/2010,Y,WWW.TRWINVESTMENTSLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"52,000,000.00","9,100,000.00","61,100,000.00",175,35,210,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,127147,801-71549,"DENTAL WEALTH ADVISORS, LLC","DENTAL WEALTH ADVISORS, LLC",625 4TH AVENUE,SUITE 205,KIRKLAND,WA,UNITED STATES,98033,425-216-1612,425-216-1613,,,,,,,Approved,6/16/2010,6/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"32,617,464.00",0,"32,617,464.00",130,0,130,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,111381,801-44399,BROWN ASSET MANAGEMENT PTY LTD,BROWN MICHAEL WILLIAM,,,,,,,613-9815-1050,613-9815-1050,,,,,,,Approved,10/5/1993,1/10/2008,Y,MBROWN@ADIDAM.ORG,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,AUSTRALIA,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,Up to 10 percent,26-50 percent,0 percent,11-25 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,N,0,0,0,0,0,0,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,153936,801-71530,"REYNOLDS GROUP, PRIVATE INVESTMENT COUNSELORS, LLC","REYNOLDS GROUP, PRIVATE INVESTMENT COUNSELORS, LLC",,,,,,,617-945-5157,617-945-5157,,,,,,,120-Day Approval,6/7/2010,6/3/2010,Y,WWW.RGPIC.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,Y,N,N,Y,Y,TRUSTEE AND OTHER FIDUCIARY SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,144829,801-70673,PURPOSE WEALTH,"PURPOSE WEALTH MANAGEMENT, LLC",8589 MASON-MONTGOMERY RD.,SUITE 12,MASON,OH,UNITED STATES,45040,877-604-8183,877-604-8183,,,,,,,Approved,10/12/2009,6/3/2010,Y,WWW.PURPOSEWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"53,704,480.00","617,917.00","54,322,397.00",264,1,265,Y,Y,N,N,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106264,801-15106,ROCKEFELLER FINANCIAL,"ROCKEFELLER & CO., INC",10 ROCKEFELLER PLAZA,,NEW YORK,NY,UNITED STATES,10020,212-549-5100,212-549-5524,,,,,,,Approved,3/12/1980,6/3/2010,Y,WWW.ROCKCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,More than 500,500,26-50 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"5,785,969,009.00","806,735,015.00","6,592,704,024.00","2,243",441,"2,684",Y,Y,N,Y,N,Y,N,N,N,Y,"TAX, ACCOUNTING AND INFORMATION MANAGEMENT SERVICES",101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110205,801-56088,"AUDA HEDGE, LLC","AUDA HEDGE, LLC","888 7TH AVENUE, 41ST FLOOR",,NEW YORK,NY,UNITED STATES,10106,212-863-2300,212-593-2974,,,,,,,Approved,12/15/1998,6/3/2010,Y,WWW.AUDA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,SEPARATELY MANAGED ACCOUNTS,Y,N,N,N,N,Y,N,,Y,"302,470,585.00","239,711,767.00","542,182,352.00",13,3,16,N,Y,N,Y,N,Y,N,N,N,Y,PROVIDE PORTFOLIO MANAGEMENT SERVICES TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,145247,801-68497,"ABRIDGE PARTNERS, LLC","ABRIDGE PARTNERS, LLC","21700 E. COPLEY DRIVE, SUITE 120",,DIAMOND BAR,CA,UNITED STATES,91765,909-860-9992,909-860-6613,,,,,,,Approved,10/25/2007,6/3/2010,Y,WWW.ABRIDGEPARTNERSLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"182,734,766.00","182,734,766.00",0,443,443,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,104761,801-13887,LEGEND ADVISORY CORP,LEGEND ADVISORY CORP,"4600 EAST PARK DRIVE, SUITE 300",,PALM BEACH GARDENS,FL,UNITED STATES,33410,561-694-0110,561-775-8786,,,,,,,Approved,7/27/1978,6/3/2010,Y,WWW.LEGENDGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,501-1000,0,More than 500,"24,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,468,833,262.00",0,"1,468,833,262.00","24,000",0,"24,000",N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,131834,801-63195,KARP CAPITAL MANAGEMENT CORPORATION,KARP CAPITAL MANAGEMENT CORPORATION,188 THE EMBARCADERO,SUITE 800,SAN FRANCISCO,CA,UNITED STATES,94105,(415) 345-8185,(415) 869-2832,2269 CHESTNUT STREET,#308,SAN FRANCISCO,CA,UNITED STATES,94123,Approved,3/21/2006,3/25/2010,Y,WWW.KARPCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"85,903,401.00","2,205,875.00","88,109,276.00",492,1,493,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,113537,801-60506,III ASSOCIATES,III ASSOCIATES,777 YAMATO ROAD,SUITE 300,BOCA RATON,FL,USA,33431,561-544-4400,561-544-4433,,,,,,,Approved,8/28/2001,3/31/2010,Y,WWW.IIIOFFSHORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,NV,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"217,000,000.00",0,"217,000,000.00",6,0,6,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135009,801-64126,"MACLAREN ADVISORS, LLC","MACLAREN ADVISORS, LLC",60 STATE STREET,SUITE 700,BOSTON,MA,USA,2109,617-878-2080,617-371-2950,,,,,,,Approved,3/31/2005,3/29/2005,Y,WWW.MACLARENADVISORS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,11-25 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,Y,INVESTMENT PRODUCT DESIGN AND CONSTRUCTION,0,,N,N,N,N,Y,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,151037,801-70468,"WATERVILLE CAPITAL, LLC","WATERVILLE CAPITAL, LLC",,,,,,,610-964-3318,610-649-2219,,,,,,,Approved,8/17/2009,3/31/2010,Y,WWW.WATERVILLE.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"19,133,075.00",0,"19,133,075.00",1,0,1,N,Y,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,14942,801-56738,WILMINGTON BROKERAGE SERVICES COMPANY,WILMINGTON BROKERAGE SERVICES COMPANY,1100 NORTH MARKET STREET,,WILMINGTON,DE,UNITED STATES,19890,302-651-1011,302-651-8550,,,,,,,Approved,9/3/1999,3/31/2010,Y,WWW.WILMINGTONTRUST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"1,000",51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"240,758,704.00",0,"240,758,704.00",869,0,869,N,Y,N,N,N,N,N,N,N,N,,0,,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,Y,N,N,N,Y,N,Y,N,Y,N,N,N,N
CHRO,122547,801-64192,"SONAS FINANCIAL GROUP, INC.","SONAS FINANCIAL GROUP, INC.",BOARD OF TRADE BUILDING 4800 MAIN STREET,SUITE 330,KANSAS CITY,MO,USA,64112,816-753-2210,816-753-2222,,,,,,,Approved,4/18/2005,3/25/2010,Y,WWW.SONASFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"55,939,322.00","2,446,869.00","58,386,191.00",341,9,350,Y,Y,N,N,Y,Y,N,N,N,Y,GENERAL INVESTMENT ADVISORY CONSULTATION SERVICES,26-50,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,111180,801-41804,SOUTH OCEAN MANAGEMENT LTD.,SOUTH OCEAN MANAGEMENT LTD.,"ROOM 1501, 15/F, TUNG CHIU COMM. CTR.",NO. 193 LOCKHART ROAD,WANCHAI,,HONG KONG,,852-2521-0332,852-2530-2546,GPO BOX 1191,,CENTRAL,,HONG KONG,,Approved,7/27/1992,3/25/2010,Y,WWW.SOUTH-OCEAN.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"17,218,255.00",0,"17,218,255.00",4,0,4,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,110776,801-56902,SMITH HAYES ADVISERS INC,SMITH HAYES ADVISERS INC,200 CENTRE TERRACE,1225 L STREET,LINCOLN,NE,UNITED STATES,68508,402-476-3000,402-476-6909,P.O. BOX 83000,,LINCOLN,NE,UNITED STATES,68501-3000,Approved,11/12/1999,3/31/2010,Y,HTTP://ADVISERS.SMITHHAYES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,500,51-75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,Y,"MUTUAL FUND & VARIABLE PRODUCT 12B1'S, ERISA PLAN 404C, EDUCATIO",Y,"264,534,345.00","325,947,097.00","590,481,442.00",594,162,756,Y,Y,N,Y,Y,Y,N,N,N,N,,More than 500,500,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
SFRO,104535,801-42418,SIGMA INVESTMENT MANAGEMENT COMPANY,SIGMA INVESTMENT MANAGEMENT COMPANY,121 SW MORRISON ST.,SUITE 800,PORTLAND,OR,USA,97204,503-419-3938,503-419-3944,,,,,,,Approved,9/29/1992,3/25/2010,Y,HTTP://WWW.SIGMAINVESTMENT.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"300,714,670.00","97,718,634.00","398,433,304.00",499,5,504,N,Y,N,Y,Y,N,N,N,N,Y,CONSULTING TO FINANCIAL INSTITUTIONS AND HIGH-NET-WORTH FAMILIES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,110649,801-55776,"EAGLE BOSTON INVESTMENT MANAGMENT, INC.","EAGLE BOSTON INVESTMENT MANAGMENT, INC.",880 CARILLON PARKWAY,,ST PETERSBURG,FL,UNITED STATES,33716,800 237-3101,727 567-8285,880 CARILLON PARKWAY,,ST. PETERSBURG,FL,UNITED STATES,33716,Approved,8/25/1998,3/31/2010,Y,WWW.EAGLEBOSTON.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,900,11-25 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"426,211,413.00","12,419,229.00","438,630,642.00",685,87,772,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,17117,801-63070,"FIRST TENNESSEE BROKERAGE, INC.","FIRST TENNESSEE BROKERAGE, INC.",530 OAK COURT DRIVE,SUITE 200,MEMPHIS,TN,USA,38117,901-818-6000,901-818-6097,P O BOX 240655,,MEMPHIS,TN,USA,38124,Approved,5/17/2004,3/31/2010,Y,WWW.FIRSTTENNESSEE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,51-250,0,Nov-50,0,51-250,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"5,662,511.00","138,235,588.00","143,898,099.00",49,919,968,N,Y,N,N,N,Y,N,N,N,N,,0,,Y,N,Y,N,N,N,Y,N,N,,N,,Y,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,Y
NYRO,111469,801-56899,PERGAMENT ADVISORS LLC,PERGAMENT ADVISORS LLC,950 THIRD AVENUE,THIRD FLOOR,NEW YORK,NY,UNITED STATES,10022,212-994-6200,212-994-6228,,,,,,,Approved,10/6/1999,3/31/2010,Y,WWW.PERGAMENTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"75,037,360.00",0,"75,037,360.00",14,0,14,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111231,801-60256,BROWN BROTHERS HARRIMAN & CO.,BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT,BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPT,140 BROADWAY,NEW YORK,NY,UNITED STATES,10005-1101,212-483-1818,212-493-8907,,,,,,,Approved,5/30/2001,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),"SEPARATELY IDENTIFIABLE DEPARTMENT (""SID"") OF BBH",NY,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"4,476,261,075.00",0,"4,476,261,075.00",4,0,4,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,Y,N,,N,,N,Y,Y,N,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y
MIRO,110653,801-21343,EAGLE ASSET MANAGEMENT INC,EAGLE ASSET MANAGEMENT INC,880 CARILLON PKWY,,ST. PETERSBURG,FL,USA,33716,727-573-2453,727-573-8655,P. O. BOX 10520,,ST. PETERSBURG,FL,USA,33733,Approved,4/1/1984,3/31/2010,Y,WWW.EAGLEASSET.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"21,500",26-50 percent,11-25 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"16,123,439,768.00","493,949,232.00","16,617,389,000.00","19,725","1,929","21,654",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,120582,801-68270,"CASTLE FINANCIAL ADVISORS, LLC","CASTLE FINANCIAL ADVISORS, LLC",145 MARCUS BLVD.,,HAUPPAUGE,NY,USA,11788,(631) 952-3700,(631) 952-9797,,,,,,,Approved,8/16/2007,3/31/2010,Y,WWW.CASTLEFINANCIALADVISORS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,10-Jun,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,Y,N,N,,N,0,0,0,0,0,0,Y,N,N,N,Y,Y,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,104956,801-33631,BIDART & ROSS INC,BIDART & ROSS INC,10391 DOUBLE R BLVD,,RENO,NV,UNITED STATES,89521,775-826-6400,775-826-6698,,,,,,,Approved,1/5/1989,3/31/2010,Y,WWW.BIDART-ROSS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"10,700,000.00",0,"10,700,000.00",3,0,3,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,119248,801-64546,"NOLLENBERGER CAPITAL PARTNERS, INC.",NOLLENBERGER CAPITAL PARTNERS INC.,101 CALIFORNIA STREET,SUITE 3100,SAN FRANCISCO,CA,UNITED STATES,94111,415-402-6000,415-402-6099,,,,,,,Approved,7/22/2005,3/31/2010,Y,WWW.NCPI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,More than 500,500,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"161,641,845.00","49,181,550.00","210,823,395.00",322,138,460,Y,Y,N,Y,N,Y,Y,N,N,N,,10-Jan,,Y,N,Y,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N
MIRO,109399,801-56797,SANTANDER ASSET MANAGEMENT,SANTANDER ASSET MANAGEMENT CORP,SANTANDER TOWER B-7 TABONUCO STREET,SUITE 1800,GUAYNABO,PR,UNITED STATES,969,787-759-5340,787-759-5366,,,,,,,Approved,9/2/1999,3/31/2010,Y,WWW.SANTANDERSECURITIES.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,PR,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,PRIVATE ORGANIZATION CREATED BY LAW,Y,N,N,N,N,N,N,,Y,"4,165,866,616.00",0,"4,165,866,616.00",90,0,90,Y,Y,Y,Y,Y,Y,Y,N,N,N,,51-100,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110148,801-56403,"STARWOOD CAPITAL GROUP MANAGEMENT, L.L.C.","STARWOOD CAPITAL GROUP MANAGEMENT, L.L.C.",591 WEST PUTNAM AVENUE,,GREENWICH,CT,UNITED STATES,6830,203-422-7700,203-422-7784,,,,,,,Approved,4/14/1999,3/31/2010,Y,WWW.STARWOODCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,0,0,26-100,0,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,Up to 10 percent,SOVEREIGN INVESTMENT FUND,N,N,N,N,N,N,Y,SEE SCHEDULE D MISCELLANEOUS,Y,"4,953,958,000.00",0,"4,953,958,000.00",88,0,88,N,N,N,Y,Y,N,N,N,N,Y,MANAGEMENT OF REAL ESTATE - RELATED ASSETS.,,,N,N,N,N,N,N,N,N,Y,SEE SCHEDULE D MISCELLANEOUS,N,,Y,Y,N,Y,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109104,801-56945,"EDGEMOOR INVESTMENT ADVISORS, INC.","EDGEMOOR INVESTMENT ADVISORS, INC.",7250 WOODMONT AVENUE,SUITE 315,BETHESDA,MD,UNITED STATES,20814,301-543-8881,301-543-8385,,,,,,,Approved,10/25/1999,3/31/2010,Y,EDGEMOORINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"398,787,459.00","275,586.00","399,063,045.00",579,9,588,Y,Y,Y,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109088,801-58029,BITTERROOT CAPITAL ADVISORS LLC,BITTERROOT CAPITAL ADVISORS LLC,ONE EAST MAIN STREET,SUITE 201,BOZEMAN,MT,UNITED STATES,59715,406-556-8200,406-556-8203,,,,,,,Approved,10/20/2000,3/31/2010,Y,HTTP://WWW.BITTERROOTCAPITAL.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"98,255,642.00","421,198,720.00","519,454,362.00",30,112,142,Y,Y,N,Y,N,Y,N,N,N,Y,OTHER FINANCIAL SERVICE,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,134018,801-63857,DIVERSIFIED CREDIT INVESTMENTS LLC,DIVERSIFIED CREDIT INVESTMENTS LLC,201 SPEAR ST,STE250,SAN FRANCISCO,CA,UNITED STATES,94105,415-764-1901,415-764-1074,,,,,,,Approved,2/7/2005,3/31/2010,Y,WWW.DCINV.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,NON-US GOVERNMENT PENSION FUND,Y,N,N,N,N,Y,N,,Y,"3,265,550,126.00",0,"3,265,550,126.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,151524,801-70622,"NATURA CAPITAL, LLC","NATURA CAPITAL, LLC",44 MONTGOMERY ST.,SUITE 2100,SAN FRANCISCO,CA,UNITED STATES,94104,(415) 399-9100,,,,,,,,Approved,9/30/2009,3/31/2010,Y,WWW.NATURACAP.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,128838,801-62492,"TRICADIA CDO MANAGEMENT, LLC","TRICADIA CDO MANAGEMENT, LLC",780 THIRD AVENUE,29TH FLOOR,NEW YORK,NY,UNITED STATES,10017,646-388-5900,646-218-1585,,,,,,,Approved,11/7/2003,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,353,500,000.00",0,"2,353,500,000.00",11,0,11,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,143830,801-68049,"FIRST TENNESSEE ADVISORY SERVICES, INC.","FIRST TENNESSEE ADVISORY SERVICES, INC.",530 OAK COURT DRIVE,SUITE 200,MEMPHIS,TN,UNITED STATES,38117,901-818-6065,901-818-6099,,,,,,,Approved,6/29/2007,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,600,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"198,636,102.00","361,165,190.00","559,801,292.00",565,6,571,N,Y,N,Y,Y,Y,N,N,N,N,,,,Y,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y
NYRO,137758,801-65759,"TRICADIA CAPITAL MANAGEMENT, LLC","TRICADIA CAPITAL MANAGEMENT, LLC",780 THIRD AVENUE,29TH FLOOR,NEW YORK,NY,UNITED STATES,10017,646-388-5900,646-218-1585,,,,,,,Approved,1/27/2006,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,513,430,549.00",0,"2,513,430,549.00",8,0,8,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153731,801-71652,"APPOMATTOX ADVISORY, INC","APPOMATTOX ADVISORY, INC",623 5TH AVE,28TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-546-6940,212-546-6230,,,,,,,Approved,7/6/2010,8/12/2010,Y,WWW.APPOMATTOXADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,BOARD OF TRUSTEES FOR FAMILY,Y,N,N,Y,N,Y,N,,Y,"18,000,000.00","668,000,000.00","686,000,000.00",1,14,15,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139221,801-66366,MATTERHORN INVESTMENT MANAGEMENT LLP,MATTERHORN INVESTMENT MANAGEMENT LLP,"29 QUEEN ANNE'S GATE, 1ST FLOOR",,LONDON,,UNITED KINGDOM,SW1H 9BU,44-20-7340-2800,44-870-710-8448,,,,,,,Approved,3/27/2006,5/22/2007,Y,WWW.MATTERHORNINVESTMENT.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,0 percent,11-25 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,FAMILY OFFICES,Y,N,N,N,N,Y,N,,Y,"768,000,000.00",0,"768,000,000.00",4,0,4,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,154368,801-71618,"ONTHREE MANAGEMENT, LLC","ONTHREE MANAGEMENT, LLC",318 W. ADAMS STREET,10TH FLOOR,CHICAGO,IL,UNITED STATES,60606,312-432-6551,312-432-4498,,,,,,,Approved,8/26/2010,8/12/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,153828,801-71520,"SIGHTLINE INVESTMENTS, LLC","SIGHTLINE INVESTMENTS, LLC",5 GREAT VALLEY PARKWAY,SUITE 319,MALVERN,PA,UNITED STATES,19355,610-296-1742,610-889-9726,,,,,,,120-Day Approval,6/7/2010,8/12/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,145592,801-68701,GE COMMERCIAL FINANCE INVESTMENT ADVISORY SERVICES LLC,GE COMMERCIAL FINANCE INVESTMENT ADVISORY SERVICES LLC,201 MERRITT 7,,NORWALK,CT,UNITED STATES,6851,203-956-4294,203-956-4216,,,,,,,Approved,1/14/2008,8/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"1,442,000,000.00","1,442,000,000.00",0,1,1,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT ADVICE TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
SFRO,110336,801-31221,ASSET ALLOCATION ADVISORS INC,ASSET ALLOCATION ADVISORS INC,1850 MT DIABLO BLVD,STE 335,WALNUT CREEK,CA,USA,94596,925-944-9300,925-944-8736,,,,,,,Approved,12/31/1987,8/12/2010,Y,WWW.ASSETALLOCATIONADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"81,672,358.00",0,"81,672,358.00",302,0,302,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107075,801-42460,"APEX CAPITAL MANAGEMENT,INC.,","APEX CAPITAL MANAGEMENT,INC.,","8163 OLD YANKEE ROAD, SUITE E",,DAYTON,OH,UNITED STATES,45458,937-428-9222,937-428-9224,,,,,,,Approved,10/5/1992,8/12/2010,Y,HTTP://WWW.APEXCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,10-Jun,0,0,0,Nov-50,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"744,694,548.00",0,"744,694,548.00",481,0,481,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153443,801-71325,CAPSTONE ADVISORY GROUP LLC,CAPSTONE ADVISORY GROUP LLC,7650 EDINBOROUGH WAY,SUITE 770,EDINA,MN,UNITED STATES,55435,612-987-6602,612-313-7571,,,,,,,Approved,4/13/2010,8/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"40,000,000.00","40,000,000.00",0,200,200,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,112142,801-55690,"STRATEGIC EQUITY MANAGEMENT, INC.","STRATEGIC EQUITY MANAGEMENT, INC.",6969 E. SUNRISE DRIVE SUITE 200,,TUCSON,AZ,UNITED STATES,85750,520-749-4580,520-760-0820,,,,,,,Approved,7/2/1998,8/12/2010,Y,WWW.STRATEQUITY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,51-250,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"92,433,027.00",0,"92,433,027.00","1,385",0,"1,385",N,Y,N,Y,N,N,N,N,Y,N,,,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115501,801-60576,"VALSTONE PARTNERS, LLC","VALSTONE PARTNERS, LLC","260 E. BROWN ST., SUITE 250",,BIRMINGHAM,MI,UNITED STATES,48009-6231,248-646-9200,248-646-3322,,,,,,,Approved,9/18/2001,8/12/2010,Y,HTTP://WWW.VALSTONEPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"205,002,640.00","21,321,162.00","226,323,802.00",12,5,17,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N
SFRO,136970,801-67963,TITUS WEALTH MANAGEMENT,TITUS WEALTH MANAGEMENT,411 BOREL AVENUE,SUITE 650,SAN MATEO,CA,UNITED STATES,94402,(650) 579-0162,(650) 579-4527,,,,,,,Approved,6/8/2007,8/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"41,875,000.00","352,928.00","42,227,928.00",190,2,192,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,140377,801-66623,RIVERVIEW CAPITAL ADVISERS LLC,RIVERVIEW CAPITAL ADVISERS LLC,21 CUSTOM HOUSE STREET,SUITE 960,BOSTON,MA,USA,2110,617-423-0080,617-423-0092,,,,,,,Approved,5/3/2006,8/12/2010,Y,RIVERVIEWCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SEE SCHEDULE D. MISCELLANEOUS,Y,"94,817,571.00","2,461,163.00","97,278,734.00",343,12,355,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,154726,801-71770,"FUSION CAPITAL, LLC","FUSION CAPITAL, LLC",,,,,,,843-972-0065,843-972-0064,,,,,,,120-Day Approval,8/27/2010,8/12/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,Y,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,148393,801-70131,AG CONSULTANTS,ANDRES GOMEZ  (NMN),,,,,,,917-682-3658,718-788-4883,,,,,,,Approved,4/21/2009,8/12/2010,Y,WWW.AGCONSULTANTS.UCOZ.ORG,N,N,N,N,Y,N,N,N,N,N,N,N,N,Sole Proprietorship,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,N,0,0,0,0,0,0,Y,Y,Y,Y,Y,Y,N,N,N,N,,0,,N,N,Y,N,Y,Y,Y,N,N,,N,N,Y,Y,N,N,Y,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109849,801-44774,EAST PACIFIC INVESTMENT COMPANY INC,EAST PACIFIC INVESTMENT CO INC,1003 BISHOP STREET,"PAUAHI TOWER, SUITE 1730",HONOLULU,HI,UNITED STATES,96813,808-528-0056,808-534-1463,,,,,,,Approved,9/28/1993,8/12/2010,N,,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,HI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,Up to 10 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,"ANNUITY PLANS, HEALTH & WELFARE PLANS",Y,Y,N,Y,N,N,N,,Y,"21,706,033.00","622,458,709.00","644,164,742.00",13,9,22,N,Y,N,Y,N,N,N,N,N,Y,PERFORMANCE MONITORING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,149280,801-69873,"TAPLIN, CANIDA & HABACHT, LLC","TAPLIN, CANIDA & HABACHT, LLC",1001 BRICKELL BAY DRIVE,SUITE 2100,MIAMI,FL,UNITED STATES,33131-4940,305-379-2100,305-379-4452,,,,,,,Approved,2/6/2009,8/13/2010,Y,WWW.TCHINC.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"7,374,360,024.00",0,"7,374,360,024.00",79,0,79,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,116909,801-62021,RUBINBROWN ADVISORS,RUBINBROWN BENEFITS GROUP LLC,ONE NORTH BRENTWOOD,,ST. LOUIS,MO,USA,63105,314-290-3322,314-290-3400,,,,,,,Approved,5/2/2003,8/13/2010,Y,WWW.RUBINBROWN.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"616,618,838.00","616,618,838.00",0,682,682,N,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,129052,801-66195,PNC INVESTMENTS,PNC INVESTMENTS LLC,620 LIBERTY AVENUE,26TH FLOOR,PITTSBURGH,PA,UNITED STATES,15222,412-768-3313,412-762-0951,,,,,,,Approved,9/17/2003,8/13/2010,Y,HTTP://WWW.PNC.COM/WEBAPP/UNSEC/PRODUCTSANDSERVICE.DO?SITEAREA=/PNC/HOME/PERSONAL/INVESTMENTS+%26+WEALTH+MANAGEMENT/INVESTMENTS,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,More than 1000,"1,000",501-1000,0,More than 1000,"1,000",0,0,More than 500,"19,500",More than 75 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"2,200,669,591.00","533,285,626.00","2,733,955,217.00","16,356",930,"17,286",Y,Y,N,Y,N,Y,Y,N,N,N,,101-250,,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N
PLRO,139741,801-66405,SUNDANCE ADVISORS,"SUNDANCE ADVISORS, INC.",330 GRANT STREET,SUITE 1130,PITTSBURGH,PA,UNITED STATES,15219,412-471-0751,412-471-0755,,,,,,,Approved,4/10/2006,8/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"190,000,000.00",0,"190,000,000.00",120,0,120,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,824,801-60881,"NIKKO ASSET MANAGEMENT AMERICAS, INC.","NIKKO ASSET MANAGEMENT AMERICAS, INC.",535 MADISON AVENUE,SUITE 2500,NEW YORK,NY,UNITED STATES,10022,212-610-6100,212-610-6140,,,,,,,Approved,5/22/2002,8/13/2010,Y,WWW.NIKKOAM.COM/ENGLISH,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,SERVES AS SUB-ADVISER FOR OTHER INVESTMENT ADVISERS/PORTFOLIO MANAGER FOR SUPRA-NATIONALS,Y,N,N,Y,N,Y,N,,Y,"6,342,059,226.00","5,279,814,386.00","11,621,873,612.00",17,4,21,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,N,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
ARO,125268,801-62265,"JPH ADVISORY GROUP, INC.","JPH ADVISORY GROUP, INC.",600 GALLERIA PARKWAY,SUITE 1600,ATLANTA,GA,UNITED STATES,30339,770-859-0076,770-859-0377,,,,,,,Approved,8/12/2003,8/13/2010,Y,WWW.JPHADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"64,000,000.00",0,"64,000,000.00",109,0,109,Y,Y,N,Y,N,Y,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110824,801-21753,CAPITAL PROGRAMS ADVISORY CORP,CAPITAL PROGRAMS ADVISORY CORP,2755 EASTWOOD AVENUE,1ST FLOOR,EVANSTON,IL,UNITED STATES,60201,847-328-7700,847-328-7786,,,,,,,Approved,8/6/1984,8/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"80,145,912.00",0,"80,145,912.00",74,0,74,Y,Y,N,Y,Y,N,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138611,801-65598,KENMAR GLOBAL INVESTMENT MANAGEMENT LLC,KENMAR GLOBAL INVESTMENT MANAGEMENT LLC,900 KING STREET,SUITE 100,RYE BROOK,NY,UNITED STATES,10573,914-307-7000,914-307-4045,,,,,,,Approved,1/23/2006,8/13/2010,Y,WWW.KENMAR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,Nov-50,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"587,092,971.00",0,"587,092,971.00",3,0,3,N,N,N,N,N,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,10929,801-39571,LOEB PARTNERS CORPORATION,LOEB PARTNERS CORPORATION,61 BROADWAY,,NEW YORK,NY,UNITED STATES,10006,212-483-7000,212-574-2001,,,,,,,Approved,7/29/1991,8/13/2010,Y,WWW.LOEBPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"163,688,000.00",0,"163,688,000.00",29,0,29,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
FWRO,112629,801-60265,"PARKWAY ADVISORS, L.P.","PARKWAY ADVISORS, L.P.",6550 DIRECTORS PARKWAY,,ABILENE,TX,UNITED STATES,79606-5854,325-795-2111,325-795-8521,P. O. BOX 5225,,ABILENE,TX,UNITED STATES,79608,Approved,5/16/2001,8/13/2010,Y,WWW.PARKWAYADVISORS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"747,341,387.00","14,370,900.00","761,712,287.00",76,7,83,N,Y,Y,Y,Y,N,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,154645,801-71771,CONTOUR ASSET MANAGEMENT LLC,CONTOUR ASSET MANAGEMENT LLC,125 PARK AVENUE,SUITE 310,NEW YORK,NY,UNITED STATES,10017,646-371-9915,NONE,,,,,,,Approved,8/24/2010,8/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"425,000,000.00",0,"425,000,000.00",1,0,1,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,133668,801-66754,UNITED ADVISORS,"UNITED ADVISORS, LLC",3440 GRANITE CIRCLE,,TOLEDO,OH,UNITED STATES,43617,201-864-0500,201-864-9977,,,,,,,Approved,5/26/2006,8/13/2010,Y,WWW.UAWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"92,446,000.00","92,446,000.00",0,753,753,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTATION SERVICES,51-100,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150327,801-70238,KENMAR PREFERRED INVESTMENTS CORP.,KENMAR PREFERRED INVESTMENTS CORP.,900 KING STREET,SUITE 100,RYE BROOK,NY,UNITED STATES,10573,914-307-4000,914-307-4045,,,,,,,Approved,5/27/2009,8/13/2010,Y,WWW.KENMAR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,10-Jun,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"103,082,926.00","247,914,253.00","350,997,179.00",3,1,4,N,N,N,N,N,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,Y,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,111052,801-60458,"TLG ADVISORS, INC.","TLG ADVISORS, INC.",26 WEST DRY CREEK CIRCLE,SUITE 575,LITTLETON,CO,USA,80120,303-797-9080,303-797-7297,,,,,,,Approved,8/6/2001,8/13/2010,Y,WWW.LEADERSGROUP.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,51-250,0,Nov-50,0,51-250,0,0,0,More than 500,"1,000",26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,Y,Y,Y,N,N,,Y,"190,445,268.00",0,"190,445,268.00",771,0,771,Y,Y,N,Y,Y,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151994,801-70798,"CAIN BROTHERS ASSET MANAGEMENT, LLC","CAIN BROTHERS ASSET MANAGEMENT, LLC",360 MADISON AVENUE,5TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-869-5600,212-869-6418,,,,,,,Approved,11/16/2009,8/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"307,710,172.00",0,"307,710,172.00",5,0,5,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,122405,801-71572,POSEY CAPITAL,POSEY CAPITAL MANAGEMENT INC.,2415 SUNSET BOULEVARD,,HOUSTON,TX,USA,77005,713-490-7000,281-754-4415,,,,,,,Approved,6/21/2010,8/13/2010,Y,WWW.POSEYCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"81,000,000.00",0,"81,000,000.00",225,0,225,Y,Y,N,Y,Y,N,N,N,N,Y,EXPERT WITNESS SERVICES,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,104617,801-22755,"HOKANSON ASSOCIATES, INC.","HOKANSON ASSOCIATES, INC.","201 LOMAS SANTA FE DR, STE 360",,SOLANA BEACH,CA,UNITED STATES,92075,858-755-8899,858-755-4449,,,,,,,Approved,11/30/1984,8/13/2010,Y,WWW.HOKANSONASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,"MINIMUM ANNUAL FEE $12,000 OR % OF ASSETS, WHICHEVER IS GREATER.",Y,"301,080,477.00",0,"301,080,477.00",316,0,316,Y,Y,N,Y,N,N,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150316,801-70237,CLARITY MANAGED ACCOUNT PLATFORM LLC,CLARITY MANAGED ACCOUNT & ANALYTICS PLATFORM LLC,"900 KING STREET, SUITE 100",,RYE BROOK,NY,UNITED STATES,10573,914-307-4000,914-307-4045,,,,,,,Approved,5/29/2009,8/13/2010,Y,WWW.KENMAR.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"8,040,942.00",0,"8,040,942.00",1,0,1,N,N,N,N,N,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111878,801-47516,COLUMBUS CIRCLE INVESTORS,COLUMBUS CIRCLE INVESTORS,METRO CENTER,"ONE STATION PL, 8TH FLOOR SOUTH",STAMFORD,CT,UNITED STATES,6902,203-353-6000,203-353-5772,,,,,,,Approved,10/6/1994,8/13/2010,Y,WWW.COLUMBUSCIRCLE.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,251-500,0,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,WRAP FEE PROGRAMS (DELIVERY OF MODEL PORTFOLIOS),Y,N,N,N,N,Y,N,,Y,"14,920,861,912.00",0,"14,920,861,912.00",305,0,305,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,127019,801-67968,"WIN WEALTH MANAGEMENT, INC.","WIN WEALTH MANAGEMENT, INC.",5613 DTC PARKWAY,SUITE 850,GREENWOOD VILLAGE,CO,UNITED STATES,80111,303-221-3157,303-221-3159,,,,,,,Approved,6/8/2007,8/13/2010,Y,WWW.WINWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"49,037,535.00","1,768,361.00","50,805,896.00",294,3,297,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144581,801-68182,"MALTI TRADING, LLC","MALTI TRADING, LLC","575 MADISON AVENUE, 22ND FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-688-3415,212-688-3419,,,,,,,Approved,8/3/2007,8/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,,N,N,N,Y,Y,N,N,,Y,"2,000,000.00","25,000,000.00","27,000,000.00",4,6,10,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,147935,801-69442,HEADWATERS HOLDINGS LLC,HEADWATERS HOLDINGS LLC,30 LIBERTYSHIP WAY,SUITE 3200,SAUSALITO,CA,UNITED STATES,94965,415-962-3551,415-332-6582,,,,,,,Approved,8/5/2008,8/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,0,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"30,000,000.00",0,"30,000,000.00",1,0,1,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,128335,801-71127,"WHITE HORSE ADVISORS, LLC","WHITE HORSE ADVISORS, LLC",6151 POWERS FERRY ROAD,SUITE 400,ATLANTA,GA,UNITED STATES,30339,678-322-3000,678-322-3059,,,,,,,Approved,3/9/2010,5/17/2010,Y,WWW.WHITEHORSEADVISORS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,0,0,26-50 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"9,629,451.00",0,"9,629,451.00",22,0,22,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107324,801-55409,PEAK WEALTH MANAGEMENT LLC,PEAK WEALTH MANAGEMENT LLC,"5979 S. QUEBEC STREET, STE 270",,CENTENNIAL,CO,UNITED STATES,80111,303-331-0123,303-221-0950,,,,,,,Approved,4/23/1998,5/17/2010,Y,WWW.PEAKGLOBAL.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"8,569,693.00","865,449.00","9,435,142.00",69,1,70,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,147235,801-69226,LONGVIEW CAPITAL MANAGEMENT LLC,LONGVIEW CAPITAL MANAGEMENT LLC,"3512 SILVERSIDE ROAD , SUITE 9A",,WILMINGTON,DE,UNITED STATES,19810,3023534720,3023972457,,,,,,,Approved,6/12/2008,5/17/2010,Y,WWW.LONGVIEWCPTL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"70,849,721.00","39,393,351.00","110,243,072.00",142,9,151,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,152626,801-70971,"CIRCLE ONE WEALTH MANAGEMENT, LLC","CIRCLE ONE WEALTH MANAGEMENT, LLC",,,,,,,877-771-7325,617-507-2411,,,,,,,Approved,1/7/2010,5/17/2010,Y,WWW.CIRCLEONEWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"44,256,737.00","44,256,737.00",0,87,87,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,130070,801-68932,"INVESTMENT INSIGHT WEALTH MANAGEMENT, LLC","INVESTMENT INSIGHT WEALTH MANAGEMENT, LLC",36 WEST DRIVE,,NORTH MASSAPEQUA,NY,UNITED STATES,11758,516-249-0060,516-249-0055,,,,,,,Approved,3/12/2008,5/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"27,531,814.00",0,"27,531,814.00",262,0,262,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110455,801-50988,BROCKHOUSE & COOPER INTERNATIONAL INC,BROCKHOUSE & COOPER INTERNATIONAL INC,1250 BLVD RENE LEVESQUE WEST,SUITE 4025,"MONTREAL, QUEBEC",,CANADA,H3B 4W8,514-932-7171,514-846-1159,,,,,,,Approved,1/31/1996,5/17/2010,Y,WWW.BROCKHOUSECOOPER.COM,N,N,N,Y,N,N,Y,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,,N,N,N,Y,N,N,Y,REFERRAL INCOME,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150350,801-70243,"LIGHTSTONE CAPITAL ADVISERS, LLC","LIGHTSTONE CAPITAL ADVISERS, LLC",16 MIDCHESTER AVENUE,SUITE 301,WHITE PLAINS,NY,UNITED STATES,10606,914-328-4006,,,,,,,,Approved,6/1/2009,5/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,INVESTMENT ADVISER,Y,N,N,N,N,N,N,,Y,"29,662,041.00",0,"29,662,041.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,POERTFOLIO MANAGEMENT FOR INVESTMENT ADVISER,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,106725,801-39720,"GV CAPITAL MANAGEMENT,INC.","GV CAPITAL MANAGEMENT,INC.",1100 ABERNATHY ROAD,SUITE 500,ATLANTA,GA,UNITED STATES,30328-5646,770-295-5600,770-295-5700,,,,,,,Approved,8/27/1991,5/17/2010,Y,HTTP://WWW.GVFINANCIAL.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,10-Jun,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"714,956,786.00","10,933,157.00","725,889,943.00","2,646",160,"2,806",N,Y,N,Y,N,Y,N,N,N,N,,0,,Y,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,125509,801-63011,BROADWATER CAPITAL MANAGEMENT LLC,BROADWATER CAPITAL MANAGEMENT LLC,"15 COURT SQUARE, SUITE 640",,BOSTON,MA,UNITED STATES,02108-2521,617-778-0095,617-367-6877,,,,,,,Approved,4/13/2004,5/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"71,339,000.00",0,"71,339,000.00",104,0,104,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,147490,801-69333,"GLOBAL PLUS+ INVESTMENT MANAGEMENT, LLC","GLOBAL PLUS+ INVESTMENT MANAGEMENT, LLC",195 CHURCH STREET,17TH FLOOR,NEW HAVEN,CT,UNITED STATES,6510,203-285-6282,866-594-6790,,,,,,,Approved,7/7/2008,3/31/2009,Y,NONE,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"120,000,000.00",0,"120,000,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,POOLED INVESTMENT VEHICLES INCLUDING HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,Y,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,134806,801-64390,"JADIS FINANCIAL SERVICES, LLC","JADIS FINANCIAL SERVICES, LLC",626 EAB PLAZA,6TH FLOOR,UNIONDALE,NY,USA,11556,516-724-3466,516-522-2565,,,,,,,Approved,6/28/2005,8/9/2005,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,142180,801-67247,CRITERION WEALTH MANAGEMENT,"CRITERION WEALTH MANAGEMENT INSURANCE SERVICES, INC.",26650 N. THE OLD ROAD,SUITE 212,VALENCIA,CA,UNITED STATES,91381,661-254-2543,661-254-5190,,,,,,,Approved,10/17/2006,5/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"59,540,000.00",0,"59,540,000.00",133,0,133,N,Y,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,134770,801-64391,JADIS INVESTMENTS LLC,JADIS INVESTMENTS LLC,626 EAB PLAZA,6TH FLOOR,UNIONDALE,NY,USA,11556,516-724-3466,516-522-2565,,,,,,,120-Day Approval,6/28/2005,8/9/2005,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,133174,801-63594,"SILVERLEAFE CAPITAL PARTNERS, LLC","SILVERLEAFE CAPITAL PARTNERS, LLC","6070 POPLAR AVENUE, SUITE 725",,MEMPHIS,TN,UNITED STATES,38119,901-259-3345,901-259-3346,,,,,,,Approved,10/20/2004,5/17/2010,Y,WWW.SILVERLEAFE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"49,625,112.00","4,100,000.00","53,725,112.00",108,6,114,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109981,801-48858,"CB RICHARD ELLIS INVESTORS, LLC","CB RICHARD ELLIS INVESTORS, LLC",515 S. FLOWER STREET,SUITE 3100,LOS ANGELES,CA,USA,90071,213-683-4200,213-683-4301,,,,,,,Approved,3/30/1995,5/18/2010,Y,WWW.CBREINVESTORS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,N,N,Y,Y,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111590,801-56790,"CB RICHARD ELLIS VALUE INVESTORS, L.L.C.","CB RICHARD ELLIS VALUE INVESTORS, L.L.C.",515 S. FLOWER STREET,SUITE 3100,LOS ANGELES,CA,UNITED STATES,90071,213-683-4200,213-683-4301,,,,,,,Approved,8/27/1999,5/18/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,Y,FEES BASED ON COMMITTED CAPITAL; REAL ESTATE ACQUISITION FEES,N,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152578,801-71010,YORK ASSET MANAGEMENT INC.,YORK ASSET MANAGEMENT INC.,"610 FIFTH AVENUE, SUITE 610",,NEW YORK,NY,UNITED STATES,10020,212-218-8888,212-218-8899,,,,,,,Approved,2/4/2010,5/18/2010,Y,WWW.YORKLION.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"55,300,000.00",0,"55,300,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109597,801-57900,BIEGEL & WALLER LLC,BIEGEL & WALLER LLC,"8860 COLUMBIA 100 PARKWAY, SUITE 201",,COLUMBIA,MD,USA,21045,410-997-0994,410-997-8473,,,,,,,Approved,9/29/2000,5/18/2010,Y,WWW.BIEGELWALLER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"300,346,366.00",0,"300,346,366.00",901,0,901,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109602,801-56364,LITTLEFIELD ASSET MGMT. INC.,LITTLEFIELD ASSET MGMT. INC.,,,,,,,404-634-5404,404-364-5404,PO BOX 15360,,ATLANTA,GA,USA,30333,Approved,3/26/1999,5/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"47,644,111.00",0,"47,644,111.00",49,0,49,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,150683,801-70461,PROPHET CAPITAL ASSET MANAGEMENT,PROPHET CAPITAL ASSET MANAGEMENT LP,5000 PLAZA ON THE LAKE BLVD,STE 180,AUSTIN,TX,UNITED STATES,78746,512-327-9500,512-327-9515,,,,,,,Approved,8/24/2009,5/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,324,711,000.00",0,"1,324,711,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
PLRO,122224,801-69059,WILLIAMS ASSOCIATES,"WILLIAMS, DAVID ROBERT",9218 WINTERSET DRIVE,,POTOMAC,MD,UNITED STATES,20854,301-294-7804,301-294-7809,,,,,,,Approved,4/17/2008,5/27/2010,Y,WWW.WMSADVISORS.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Sole Proprietorship,,MD,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,0,"14,238,289.00","14,238,289.00",0,47,47,Y,Y,N,N,Y,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135468,801-64332,YORK CAPITAL MANAGEMENT,"YORK ENHANCED STRATEGIES MANAGEMENT, LLC",767 FIFTH AVENUE,17TH FLOOR,NEW YORK,NY,UNITED STATES,10153,212-300-1300,212-300-1301,,,,,,,Approved,5/19/2005,5/27/2010,Y,WWW.YORKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,51-250,0,51-250,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,PERFORMANCE-BASED CAPITAL ALLOCATIONS,Y,"430,000,000.00",0,"430,000,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,120410,801-65109,RIMROCK CAPITAL MANAGEMENT LLC,RIMROCK CAPITAL MANAGEMENT LLC,"27372 CALLE ARROYO, SUITE A",,SAN JUAN CAPISTRANO,CA,USA,92675-2746,949-276-7300,949-276-7320,,,,,,,Approved,1/5/2006,5/27/2010,Y,WWW.RIMROCKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,0 percent,26-50 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,26-50 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"735,000,000.00",0,"735,000,000.00",8,0,8,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLE(S),,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,114079,801-65315,PEGASUS INVESTMENT MANAGEMENT LLC,PEGASUS INVESTMENT MANAGEMENT LLC,,,,,,,206-842-9328,206-842-5378,,,,,,,Approved,5/31/2006,5/27/2010,Y,PEGASUSINVESTMENTMGMTLLC.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"7,000,000.00","600,000.00","7,600,000.00",2,1,3,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N
NYRO,147548,801-69439,MIRAE ASSET GLOBAL INVESTMENTS (USA) LLC,MIRAE ASSET GLOBAL INVESTMENTS (USA) LLC,1 BRYANT PARK,39TH FLOOR,NEW YORK,NY,UNITED STATES,10036,212-205-8300,212-205-8390,,,,,,,Approved,8/20/2008,5/27/2010,Y,HTTP://INVESTMENTS.MIRAEASSET.US/EN/MAIN/INDEX.DO,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,INVESTMENT TRUSTS,Y,N,N,N,N,N,N,,Y,"1,716,709,629.00",0,"1,716,709,629.00",32,0,32,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,44664,801-63342,"CORNERSTONE INSTITUTIONAL INVESTORS, INC.","CORNERSTONE INSTITUTIONAL INVESTORS, INC.",74 WEST BROAD STREET,SUITE 340,BETHLEHEM,PA,UNITED STATES,18018,610-694-0900,610-867-8614,,,,,,,Approved,7/8/2004,5/27/2010,Y,WWW.CORNERSTONE-COMPANIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"81,785,076.00","123,992,445.00","205,777,521.00",277,30,307,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114247,801-63372,TEXAN CAPITAL,"TEXAN CAPITAL MANAGEMENT, INC.",520 POST OAK BLVD,SUITE 777,HOUSTON,TX,UNITED STATES,77027-9479,713-965-0300,713-965-0373,,,,,,,Approved,7/30/2004,5/27/2010,Y,WWW.TEXANCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,CONSULTING FEES,Y,"302,423,142.00",0,"302,423,142.00",128,0,128,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,140336,801-70315,YORK CAPITAL MANAGEMENT,"YORK CAPITAL MANAGEMENT GLOBAL ADVISORS, LLC","767 FIFTH AVENUE, 17TH FLOOR",,NEW YORK,NY,UNITED STATES,10153,212-300-1300,212-300-1301,,,,,,,Approved,7/9/2009,5/27/2010,Y,WWW.YORKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,51-250,0,51-250,0,0,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"12,500,000,000.00",0,"12,500,000,000.00",42,0,42,N,Y,N,Y,N,N,N,N,N,Y,"SUPERVISE ENTITIES THAT MANAGE HEDGE FUNDS, A PRIVATE EQUITY FUND AND A REGISTERED INVESTMENT COMPANY.",,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108772,801-58080,COMPASS GROUP LLC,COMPASS GROUP LLC,135 EAST 57TH STREET,30TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-355-7630,212-355-2015,,,,,,,Approved,11/14/2000,5/27/2010,Y,WWW.COMPASSNY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,26-100,0,0 percent,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"187,000,000.00",0,"187,000,000.00",28,0,28,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,148300,801-69662,STOCKDIAGNOSTICS ADVISORS,"FLATFEEADVISORS.COM, INC.",,,,,,,402-505-3044,402-934-2387,,,,,,,Approved,10/24/2008,3/31/2009,Y,HTTP://WWW.FLATFEEADVISORS.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153625,801-71359,"SICA WEALTH MANAGEMENT, LLC","SICA WEALTH MANAGEMENT, LLC",67 EAST PARK PLACE,FIRST FLOOR,MORRISTOWN,NJ,UNITED STATES,7962,973-975-0750,,,,,,,,120-Day Approval,4/30/2010,5/27/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,144088,801-68338,AMERICAN INVESTMENT SERVICES,"USA TAX & INSURANCE SERVICES, INC.",4114 WOODLANDS PKWY,SUITE 402,PALM HARBOR,FL,UNITED STATES,34685,727-450-0970,727-450-0986,,,,,,,Approved,9/13/2007,5/28/2010,Y,WWW.AMERICANINVESTMENTSERVICES.US,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,51-250,0,51-250,0,Nov-50,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,Y,THIRD PARTY REFERRAL FEES,Y,"58,481,030.00","5,085,308.00","63,566,338.00",798,70,868,Y,Y,N,Y,N,Y,N,N,Y,N,,0,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,144092,801-67981,"MIDDLEFIELD FINANCIAL SERVICES, INC.","MIDDLEFIELD FINANCIAL SERVICES, INC.","#5855, 1 FIRST CANADIAN PLACE",,"TORONTO, ONTARIO",,CANADA,M5X 1A6,416-362-0714,416-362-7925,,,,,,,Approved,6/12/2007,5/28/2010,Y,WWW.MIDDLEFIELD.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,139379,801-66114,"KEEL POINT ADVISORS, LLC","KEEL POINT ADVISORS, LLC",8065 LEESBURG PIKE,SUITE 300,VIENNA,VA,UNITED STATES,22182,703-807-2020,703-807-1122,,,,,,,Approved,1/26/2006,5/28/2010,Y,HTTP://WWW.KEELPOINT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,"167,155,000.00","389,705,000.00","556,860,000.00",238,161,399,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104966,801-22189,"THOMASPARTNERS, INC.","THOMASPARTNERS, INC.",75 CENTRAL STREET,,WELLESLEY,MA,USA,2482,781.431.1430,781.431.1433,,,,,,,Approved,8/31/1984,5/28/2010,Y,THOMASPARTNERSINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,10-Jun,0,More than 500,"1,000",More than 75 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"1,035,400,000.00","17,100,000.00","1,052,500,000.00","2,614",12,"2,626",Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,125142,801-61860,MFC GLOBAL INVESTMENT MANAGEMENT (U.S.A.) LIMITED,MFC GLOBAL INVESTMENT MANAGEMENT (U.S.A.) LIMITED,200 BLOOR STREET EAST,NORTH TOWER,"TORONTO, ON",,CANADA,M4W 1E5,416-926-6334,416- 852-1722,200 BLOOR STREET EAST,,"TORONTO, ON",,CANADA,M4W 1E5,Approved,3/20/2003,5/28/2010,N,,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,CANADA,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"88,464,708,792.00",0,"88,464,708,792.00",66,0,66,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N
NYRO,139366,801-66147,MAXIM FINANCIAL ADVISORS LLC,MAXIM FINANCIAL ADVISORS LLC,"405 LEXINGTON AVE.,",2ND FLOOR,NEW YORK,NY,USA,10174,212-895-3500,212-895-3588,,,,,,,Approved,1/26/2006,5/28/2010,Y,WWW.MAXIMGRP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"548,839,828.00","22,121,657.00","570,961,485.00",435,25,460,N,Y,N,Y,Y,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR COLLATERALIZED DEBT OBLIGATIONS,,,Y,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N
CHRO,105303,801-20692,"OXFORD FINANCIAL GROUP, LTD","OXFORD FINANCIAL GROUP, LTD",11711 N MERIDIAN STREET,SUITE 600,CARMEL,IN,UNITED STATES,46032,317-843-5678,317-843-5679,P. O. BOX 80238,,INDIANAPOLIS,IN,UNITED STATES,46280,Approved,2/7/1984,5/28/2010,Y,WWW.OFGLTD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"371,983,015.00","8,066,514,507.00","8,438,497,522.00",814,"4,030","4,844",Y,Y,N,Y,Y,Y,N,N,N,N,,More than 500,500,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,Y,Y,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,138635,801-65180,COPIA CAPITAL LLC,COPIA CAPITAL LLC,71 S. WACKER DRIVE,SUITE 3525,CHICAGO,IL,UNITED STATES,60606-4637,312-544-4200,312-544-4242,,,,,,,Approved,1/18/2006,4/7/2010,Y,WWW.COPIACAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"581,107,338.00",0,"581,107,338.00",15,0,15,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVICE TO PRIVATE FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,106508,801-9707,CIBC GLOBAL ASSET MANAGEMENT INC.,CIBC GLOBAL ASSET MANAGEMENT INC.,1000 DE LA GAUCHETIERE ST WEST,SUITE 3200,MONTREAL QUEBEC H3B 4W5,,CANADA,H3B 4W5,514-875-7040,514-875-9364,,,,,,,Approved,1/2/1974,4/7/2010,Y,WWW.CIBC.COM/CA/AM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,51-250,0,51-250,0,0,0,0,0,101-250,0,0 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,"INSURANCE & PRIVATE COS, NATIVE-TAX DEFERRED FOUNDATIONS",Y,N,N,N,N,Y,N,,Y,"53,151,970,922.00","2,251,305,065.00","55,403,275,987.00",323,65,388,N,N,N,Y,N,Y,N,N,N,Y,"CANADIAN MUTUAL FUNDS, PRIVATE POOLED FUNDS, AND SEGREGATED FUNDS (LIFE INSURANCE CONTRACTS)",,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N
MIRO,148831,801-70965,DELANEY FINANCIAL GROUP,"DELANEY FINANCIAL GROUP, INC.",1007 GOLDEN OAK COURT,,ORLANDO,FL,UNITED STATES,32806,407-472-4165,407-472-4170,,,,,,,Approved,1/7/2010,4/7/2010,Y,WWW.DELANEYFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),SUB S-CORPORATION,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PORTION OF FEES CHARGED BY THIRD-PARTY INVESTMENT ADVISORS,Y,"40,000,000.00",0,"40,000,000.00",200,0,200,Y,Y,N,Y,N,Y,N,N,N,Y,SEMINARS,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105690,801-36209,TOCQUEVILLE ASSET MANAGEMENT LP,TOCQUEVILLE ASSET MANAGEMENT LP,40 WEST 57TH STREET,19TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-698-0800,212-262-0154,,,,,,,Approved,4/27/1990,4/7/2010,Y,WWW.TOCQUEVILLE.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,Nov-50,0,51-250,0,10-Jun,0,More than 500,"1,000",51-75 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,SMALLER JOINT AND FAMILY ACCOUNTS,Y,N,N,N,N,Y,N,,Y,"8,535,692,070.00","13,749,143.00","8,549,441,213.00","2,023",100,"2,123",Y,Y,Y,Y,N,Y,N,N,N,N,,More than 500,500,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
LARO,104611,801-23421,"OMICRON GROUP, LTD.",OMICRON GROUP LTD,,,,,,,480-460-1991,480-460-1992,,,,,,,Approved,2/5/1985,4/7/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,0,"35,551,712.00","35,551,712.00",0,25,25,Y,Y,N,N,N,Y,N,N,N,Y,ADVISE ON NON SECURITY INVESTMENTS,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111917,801-57708,EVERGREEN WEALTH MANAGEMENT LLC,EVERGREEN WEALTH MANAGEMENT LLC,7911 HERSCHEL AVENUE,SUITE 311,LA JOLLA,CA,USA,92037,858-459-9511,858-459-9512,,,,,,,Approved,6/29/2000,4/7/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"129,285,359.00","129,285,359.00",0,168,168,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111057,801-57505,"IBBOTSON ASSOCIATES, INC.","IBBOTSON ASSOCIATES, INC.",22 WEST WASHINGTON STREET,,CHICAGO,IL,UNITED STATES,60602-7676,312-696-6000,312-696-6630,,,,,,,Approved,4/24/2000,4/7/2010,Y,WWW.IBBOTSON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,51-250,0,Nov-50,0,0,0,Nov-50,0,26-100,0,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,RETIREMENT PLAN SPONSORS OR OTHER PROVIDERS OF RETIREMENT PLANNING ADVICE FOR PLAN SPONSORS AND/OR PARTICIPANTS,Y,N,N,Y,N,N,N,,Y,"15,656,905,571.00",0,"15,656,905,571.00","564,480",0,"564,480",N,Y,Y,Y,Y,Y,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105991,801-50672,"M.A. WEATHERBIE & CO., INC.","M.A. WEATHERBIE & CO., INC.",265 FRANKLIN STREET,SUITE 1601,BOSTON,MA,UNITED STATES,2110,617-951-2550,617-951-2531,,,,,,,Approved,11/27/1995,4/7/2010,Y,WWW.MAWEATHERBIE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"971,000,000.00",0,"971,000,000.00",28,0,28,N,Y,Y,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,153023,801-71118,"HARDIN CAPITAL PARTNERS, LLC","HARDIN CAPITAL PARTNERS, LLC",600 E. WASHINGTON ST.,SUITE 614,GREENVILLE,SC,UNITED STATES,29601,864-252-4200,864-252-4201,,,,,,,Approved,3/2/2010,4/7/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,126,912.00",0,"34,126,912.00",226,0,226,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
ARO,149500,801-71108,"LEGACY TAX AND FINANCIAL PLANNING, LLC","LEGACY TAX AND FINANCIAL PLANNING, LLC",308 NORTH PETERS ROAD,SUITE 100,KNOXVILLE,TN,UNITED STATES,37922,865-862-3524,865-862-3533,,,,,,,Approved,2/25/2010,4/7/2010,Y,WWW.LEBLANCFINANCIAL.COM,N,N,N,N,N,N,N,N,N,Y,N,N,N,Limited Liability Company,,TN,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,116548,801-63769,"FINANCIAL CONCEPTS, INC.","FINANCIAL CONCEPTS OF THE TWIN CITIES, INC.",9655 SCHMIDT LAKE ROAD,,PLYMOUTH,MN,USA,55442,763-450-1800,763-450-1801,,,,,,,Approved,1/3/2005,4/7/2010,Y,WWW.FCI-BENEFITS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,25-Nov,0,Up to 10 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"94,981,723.00","6,563,976.00","101,545,699.00",189,42,231,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,Y,Y,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,147911,801-69533,"PRISM FUNDS, LLC","PRISM FUNDS, LLC",800 VILLAGE SQUARE CROSSING,SUITE 222,PALM BEACH GARDENS,FL,UNITED STATES,33410,561-655-9122,561-655-6143,,,,,,,Approved,9/19/2008,4/7/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"37,972,663.00",0,"37,972,663.00",74,0,74,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT PARTNERSHIPS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,153498,801-71322,ABBEY CAPITAL LIMITED,ABBEY CAPITAL LIMITED,1-2 CAVENDISH ROW,,DUBLIN,,IRELAND,1,00-353-1-8280400,00-353-1-8280499,,,,,,,Approved,4/12/2010,4/7/2010,Y,WWW.ABBEYCAPITAL.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,IRELAND ,Nov-50,0,Nov-50,0,5-Jan,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,600,673,141.00",0,"1,600,673,141.00",6,0,6,N,N,N,N,N,N,N,N,N,Y,INVESTMENT MANAGER FOR HEDGE FUNDS,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109762,801-57269,CAPITAL DIRECTIONS LLC,"CAPITAL DIRECTIONS, LLC",400 NORTHRIDGE ROAD,SUITE 220,ATLANTA,GA,UNITED STATES,30350,404-237-8881,404-237-9652,,,,,,,Approved,2/17/2000,4/7/2010,Y,WWW.CAPDIR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,More than 500,500,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"730,077,064.00","95,145,769.00","825,222,833.00","1,363",214,"1,577",Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105950,801-33485,"VANTAGE FINANCIAL GROUP, INC.","VANTAGE FINANCIAL GROUP, INC.",6200 ROCKSIDE ROAD,SUITE 100,CLEVELAND,OH,USA,44131,216-642-7878,216-642-4862,,,,,,,Approved,12/16/1988,4/7/2010,Y,WWW.VANFIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"155,418,000.00","106,436,000.00","261,854,000.00","1,020",393,"1,413",Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110953,801-68117,BRADFORD FINANCIAL CENTER,BRADFORD FINANCIAL CENTER,215 NORTH MAIN STREET,,CLARION,IA,UNITED STATES,50525-0540,515.532.6661,515.532.6547,PO BOX 540,,CLARION,IA,UNITED STATES,50525-0540,Approved,7/23/2007,4/7/2010,Y,WWW.BRADFORDFINANCIAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IA,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PER CONSULTING AGREEMENT,Y,"40,803,513.00",0,"40,803,513.00",444,0,444,Y,Y,N,Y,N,N,N,N,Y,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,120755,801-69387,"WESTCO ADVISORY SERVICES, INC.","WESTCO ADVISORY SERVICES, INC.",77 HEMPSTEAD AVE,,LYNBROOK,NY,UNITED STATES,11563,516-593-5070,516-593-8152,,,,,,,Approved,7/11/2008,3/30/2010,Y,WWW.WESTCOFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"33,603,441.00","2,616,574.00","36,220,015.00",162,11,173,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131169,801-63023,SUTTONBROOK CAPITAL MANAGEMENT LP,SUTTONBROOK CAPITAL MANAGEMENT LP,598 MADISON AVENUE,6TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-588-6600,212-308-2597,,,,,,,Approved,4/9/2004,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,048,643,000.00",0,"1,048,643,000.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,119128,801-60947,EMMES ASSET MANAGEMENT CO. LLC,EMMES ASSET MANAGEMENT CO. LLC,"420 LEXINGTON AVENUE, SUITE 900",,NEW YORK,NY,UNITED STATES,10170-0900,212-293-8900,212-293-8805,,,,,,,Approved,2/25/2002,3/30/2010,Y,WWW.EMMESCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,,N,N,N,N,N,Y,Y,PERCENTAGE OF COST OF TRANSACTIONS.,Y,0,"948,500,000.00","948,500,000.00",0,8,8,N,N,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,Y,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,124744,801-62016,"MARINER INVESTMENT GROUP, LLC","MARINER INVESTMENT GROUP, LLC",500 MAMARONECK AVENUE,4TH FLOOR,HARRISON,NY,UNITED STATES,10528,914-670-4300,914-670-4320,,,,,,,Approved,5/14/2003,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,10-Jun,0,26-100,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,530,400,000.00",0,"5,530,400,000.00",42,0,42,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,N,Y,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,127758,801-62234,"LEGACY WEALTH ADVISORS, LLC","LEGACY WEALTH ADVISORS, LLC",2001 GATEWAY PLACE,SUITE 340E,SAN JOSE,CA,USA,95110,(408) 452-7700,(408) 452-7470,,,,,,,Approved,7/25/2003,3/30/2010,Y,WWW.LWALLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"41,163,971.00",0,"41,163,971.00",144,0,144,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,113400,801-60345,"LAIRD NORTON TYEE ASSET STRATEGIES, LLC","LAIRD NORTON TYEE ASSET STRATEGIES, LLC","801 SECOND AVENUE, SUITE 1600",,SEATTLE,WA,UNITED STATES,98104-1564,206-464-5100,206-464-5267,,,,,,,Approved,6/8/2001,3/30/2010,Y,WWW.LNTYEE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,FOUNDATIONS AND ENDOWMENTS,Y,N,N,Y,N,N,N,,Y,"1,364,341,975.00","146,850,794.00","1,511,192,769.00",995,340,"1,335",Y,Y,N,N,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107073,801-44209,"M.D. SASS MANAGEMENT, INC.","M.D. SASS MANAGEMENT, INC.",1185 AVENUE OF THE AMERICAS,18TH FLOOR,NEW YORK,NY,UNITED STATES,10036,(212)730-2000,(212) 843-5949,,,,,,,Approved,7/15/1993,3/30/2010,Y,WWW.MDSASS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"58,644,081.00",0,"58,644,081.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISOR TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138802,801-65571,ORE HILL PARTNERS LLC,ORE HILL PARTNERS LLC,650 FIFTH AVENUE,9TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-389-2333,212-389-2332,,,,,,,Approved,1/20/2006,3/30/2010,Y,WWW.OREHILL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,435,000,000.00",0,"2,435,000,000.00",16,0,16,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT ADVICE TO PRIVATE POOLED INVESTMENT VEHICLE,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,131405,801-63140,OLD MUTUAL CAPITAL,"OLD MUTUAL CAPITAL, INC.",4643 SOUTH ULSTER STREET,7TH FLOOR,DENVER,CO,UNITED STATES,80237-2853,720-200-7600,720-200-7795,,,,,,,Approved,5/14/2004,3/30/2010,Y,WWW.OLDMUTUALUS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,711,290,483.00",0,"2,711,290,483.00",21,0,21,N,N,Y,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,105687,801-6004,BRIDGES INVESTMENT ADVISERS,BRIDGES EDSON LOWELL II,256 DURHAM PLAZA,8401 WEST DODGE ROAD,OMAHA,NE,USA,68114,402-397-4700,402-397-8617,,,,,,,Approved,9/27/1969,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"10,200,000.00","19,500,000.00","29,700,000.00",9,15,24,N,Y,N,Y,N,N,N,N,N,Y,HOURLY CONSULTING SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108978,801-56049,NEXT CENTURY GROWTH INVESTORS LLC,NEXT CENTURY GROWTH INVESTORS LLC,5500 WAYZATA BLVD,SUITE 1275,MINNEAPOLIS,MN,UNITED STATES,55416,763-591-4490,763-591-4499,,,,,,,Approved,11/23/1998,3/30/2010,N,,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,256,194,924.00","189,772,536.00","2,445,967,460.00",75,2,77,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,N
CHRO,104541,801-27598,"GRATRY & COMPANY, LLC","GRATRY & COMPANY, LLC",20600 CHAGRIN BLVD,SUITE 320,SHAKER HTS.,OH,UNITED STATES,44122-5334,216-283-8423,216-283-8220,,,,,,,Approved,8/15/1986,3/30/2010,Y,WWW.GRATRY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,More than 500,500,0 percent,51-75 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"209,800,542.00","65,397,031.00","275,197,573.00",515,6,521,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,113634,801-60634,BUCHANAN STREET PARTNERS,"BUCHANAN STREET PARTNERS, LP",620 NEWPORT CENTER DRIVE,8TH FLOOR,NEWPORT BEACH,CA,UNITED STATES,92660,949-721-1414,949-721-1919,,,,,,,Approved,10/10/2001,3/30/2010,Y,WWW.BUCHANANSTREET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"392,131,990.00",0,"392,131,990.00",11,0,11,N,Y,N,Y,N,N,N,N,N,Y,REAL ESTATE INVESTMENT MANAGEMENT,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106095,801-52409,OPTIMA ASSET MANAGEMENT INC,OPTIMA ASSET MANAGEMENT INC,12222 MERIT DRIVE,SUITE 1760,DALLAS,TX,UNITED STATES,75251-2265,972-726-0400,972-726-9667,,,,,,,Approved,7/12/1996,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"221,785,600.00","221,785,600.00",0,77,77,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104882,801-47055,LANE DOUGLAS C & ASSOCIATES INC,LANE DOUGLAS C & ASSOCIATES INC,100 PARK AVENUE,36TH FLOOR,NEW YORK,NY,UNITED STATES,10017-5516,212-262-7670,212-262-2801,,,,,,,Approved,7/25/1994,3/30/2010,Y,WWW.DCLAONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,10-Jun,0,More than 500,500,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,942,147,644.00","28,462,135.00","1,970,609,779.00","2,941",25,"2,966",N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107769,801-54763,"HUDSON ADVISOR SERVICES, INC.","HUDSON ADVISOR SERVICES, INC.",237 MAIN STREET,SUITE 600,BUFFALO,NY,USA,14203,(716) 852-7628,(716) 852-4591,,,,,,,Approved,8/1/1997,3/30/2010,Y,WWW.HUDSONADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"204,477,738.00","31,140,960.00","235,618,698.00",371,43,414,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,114908,801-55692,LASALLE INVESTMENT MANAGEMENT SECURITIES B.V.,LASALLE INVESTMENT MANAGEMENT SECURITIES B.V.,HERENGRACHT 471,,AMSTERDAM,,NETHERLANDS,1017 BS,1.13121E+12,1.13121E+12,,,,,,,Approved,7/10/1998,3/30/2010,Y,WWW.JONESLANGLASALLE.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Other (specify),DUTCH BESLOTEN VENNOOTSCHAP,,NETHERLANDS,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,51-75 percent,"GROUP TRUSTS, PARNERSHIPS, AND OTHER COMINGLED INVESTMENTS",Y,N,N,N,N,Y,N,,Y,"1,688,487,426.00",0,"1,688,487,426.00",36,0,36,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,8032,801-41541,COMMONWEALTH FINANCIAL NETWORK,"COMMONWEALTH EQUITY SERVICES, LLP",29 SAWYER ROAD,,WALTHAM,MA,USA,02453-3483,781-736-0700,781-398-9905,,,,,,,Approved,6/11/1992,3/30/2010,Y,WWW.COMMONWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,MA,UNITED STATES,More than 1000,"2,000",More than 1000,"1,000",More than 1000,"2,000",51-250,0,More than 500,"116,500",26-50 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"20,649,856,308.00","1,147,847,153.00","21,797,703,461.00","106,504","5,526","112,030",Y,Y,N,Y,Y,Y,N,N,N,N,,More than 500,4000,Y,Y,Y,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,N,Y,Y,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,Y
DRO,105692,801-3153,BRIDGES INVESTMENT COUNSEL INC,BRIDGES INVESTMENT COUNSEL INC,256 DURHAM PLAZA,8401 W DODGE ROAD,OMAHA,NE,USA,68114-3453,402-397-4700,402-397-8617,,,,,,,Approved,4/13/1963,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,"UGTMA, CUSTODIANSHIPS, GUARDIANSHIPS",Y,Y,N,Y,N,N,N,,Y,"579,000,000.00","102,500,000.00","681,500,000.00",680,128,808,N,Y,N,Y,N,N,N,N,N,Y,HOURLY CONSULTING SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,149902,801-70118,"LIBERTYVIEW CAPITAL MANAGEMENT, LLC","LIBERTYVIEW CAPITAL MANAGEMENT, LLC",PLAZA 10 - HARBORSIDE FINANCIAL CENTER,SUITE 202,JERSEY CITY,NJ,UNITED STATES,7311,201 - 533 - 2210,201 - 533 - 2211,,,,,,,Approved,5/4/2009,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,839,366,590.00",0,"1,839,366,590.00",26,0,26,N,N,N,Y,N,N,N,N,N,Y,PROVIDING INVESTMENT MANAGEMENT SERVICES TO INVESTMENT COMPANIES EXEMPT FROM REGISTRATION UNDER THE 1940 ACT,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,105104,801-17302,EARL M FOSTER ASSOCIATES,FOSTER EARL M ASSOCIATES INC,7241 SW 168TH ST.,SUITE C,MIAMI,FL,UNITED STATES,33157,305-232-4000,305-235-1920,,,,,,,Approved,6/25/1982,3/30/2010,Y,WWW.EMFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"138,000,000.00","800,000.00","138,800,000.00",96,1,97,N,Y,N,N,N,Y,N,N,N,Y,INVESTMENT ADVICE THROUGH CONSULTATION,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,148922,801-69840,GLOBE WEALTH ADVISORS,GLOBE FINANCIAL CORPORATION,770 LAKE COOK ROAD,SUITE 300,DEERFIELD,IL,UNITED STATES,60015,847-267-0100,847-267-0090,,,,,,,Approved,4/17/2009,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"474,575,195.00",0,"474,575,195.00",46,0,46,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,131359,801-63354,"SALEM PARTNERS WEALTH MANAGEMENT, LLC","SALEM PARTNERS WEALTH MANAGEMENT, LLC",11111 SANTA MONICA BLVD,SUITE 1070,LOS ANGELES,CA,USA,90025,310-806-4200,310-806-4212,,,,,,,Approved,7/23/2004,3/30/2010,Y,WWW.SALEMPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"138,203,634.00",0,"138,203,634.00",104,0,104,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,125183,801-70051,LUNT CAPITAL MANAGEMENT INC.,LUNT CAPITAL MANAGEMENT INC.,275 EAST SOUTH TEMPLE STE. 250,,SALT LAKE CITY,UT,USA,84111,801-503-3035,801-328-1827,,,,,,,Approved,4/14/2009,3/30/2010,Y,WWW.LUNTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"42,643,559.00","6,547,265.00","49,190,824.00",312,26,338,Y,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT RECOMMENDATIONS TO MODEL PORTFOLIO PROVIDERS.,25-Nov,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,126844,801-63230,"VANTAGE ADVISORS, LLC","VANTAGE ADVISORS, LLC",150 FAYETTEVILLE STREET,SUITE 1130,RALEIGH,NC,UNITED STATES,27601,919-585-4852,919-882-1026,,,,,,,Approved,6/17/2004,3/30/2010,Y,WWW.VANTAGESELECTOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,Nov-50,0,More than 500,"1,115",More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"83,761,638.00",0,"83,761,638.00","1,115",0,"1,115",N,Y,N,N,N,Y,N,N,N,Y,VARIABLE ANNUITY SUB-ACCOUNT ALLOCATION ADVICE,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
DRO,108028,801-57056,BRIDGES INVESTMENT MANAGEMENT INC,BRIDGES INVESTMENT MANAGEMENT INC,"256 DURHAM PLAZA, 8401 WEST DODGE RD",,OMAHA,NE,USA,68114,402-397-4700,402-397-8617,,,,,,,Approved,12/9/1999,3/30/2010,Y,WWW.BRIDGESINV.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"348,200,000.00",0,"348,200,000.00",75,0,75,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,129040,801-64645,"POTKUL CAPITAL MANAGEMENT, LLC","POTKUL CAPITAL MANAGEMENT, LLC",3633 HILL RD,3RD FLR,PARSIPPANY,NJ,USA,7054,973-331-1000,973-331-9021,,,,,,,Approved,9/6/2005,3/25/2010,Y,WWW.BREADANDBUTTERFUND.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"7,365,000.00",0,"7,365,000.00",32,0,32,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,142136,801-67440,RIDGEWOOD ENERGY CORPORATION,RIDGEWOOD ENERGY CORPORATION,14 PHILIPS PARKWAY,,MONTVALE,NJ,UNITED STATES,07645-1811,201-447-9000,201-447-0474,,,,,,,Approved,2/21/2007,3/31/2010,Y,WWW.RIDGEWOODENERGY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,% OF CAPITAL CONTRIBUTION;% OF DISTRIBUTIONS,Y,"606,721,000.00",0,"606,721,000.00",26,0,26,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y
MIRO,139422,801-68898,"STOLOFF INVESTMENT ADVISORY SERVICES, LLC","STOLOFF INVESTMENT ADVISORY SERVICES, LLC",4581 WESTON ROAD #316,,WESTON,FL,UNITED STATES,33331,954-559-1165,,,,,,,,Approved,3/3/2008,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,251-500,0,5-Jan,0,0,0,0,0,10-Jan,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,"% OF ASSETS MONITORED OR CONSULTED UPON, REFERRAL COMPENSATION",Y,"15,140,711.00","21,812,806.00","36,953,517.00",22,22,44,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107226,801-38979,KENSINGTON REALTY ADVISORS INC,KENSINGTON REALTY ADVISORS INC,100 N. RIVERSIDE PLAZA,SUITE 2300,CHICAGO,IL,UNITED STATES,60606-1519,312-993-7800,312-993-7801,,,,,,,Approved,6/7/1991,3/31/2010,Y,WWW.KRA-NET.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,Y,N,Y,N,Y,Y,ASSET FEES BASED ON INCOME AND FINANCE FEES.,N,0,0,0,0,0,0,N,N,N,Y,Y,N,N,N,N,Y,REAL ESTATE INVESTMENT MANAGEMENT,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,107472,801-40136,DIMENSIONAL FUND ADVISORS LTD,DIMENSIONAL FUND ADVISORS LTD,INTERPARK HOUSE,7 DOWN STREET,LONDON,,UNITED KINGDOM,W1J 7AJ,(44) 20-7016-4500,(44) 20-7495-4141,,,,,,,Approved,11/6/1991,3/31/2010,Y,WWW.DFAUK.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,51-250,0,Nov-50,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,Y,EXPENSES PLUS A FIXED PERCENTAGE OF EXPENSES,Y,"10,005,457,973.00",0,"10,005,457,973.00",14,0,14,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,133198,801-66834,METIS CAPITAL MANAGEMENT LLC,METIS CAPITAL MANAGEMENT LLC,,,,,,,(415) 294-4789,(415) 294-5366,2370 MARKET STREET #419,,SAN FRANCISCO,CA,UNITED STATES,94114,Approved,6/16/2006,3/31/2010,Y,WWW.METISCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"50,296,911.00",0,"50,296,911.00",59,0,59,N,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,131037,801-62988,"PERIGON WEALTH MANAGEMENT, LLC","PERIGON WEALTH MANAGEMENT, LLC",55 SECOND STREET,SUITE 1900,SAN FRANCISCO,CA,UNITED STATES,94105,415-430-4140,415-430-4160,,,,,,,Approved,4/7/2004,3/31/2010,Y,WWW.PERIGONPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"93,903,114.00","2,844,463.00","96,747,577.00",63,1,64,Y,Y,N,Y,N,Y,N,N,N,Y,MULTI-FAMILY OFFICE /WEALTH ADVISORY,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,122149,801-61918,"SPRUCE PRIVATE INVESTORS, LLC","SPRUCE PRIVATE INVESTORS, LLC",ONE STAMFORD PLAZA,"263 TRESSER BOULEVARD, 15TH FLOOR",STAMFORD,CT,UNITED STATES,6901,203-428-2600,203-428-2628,,,,,,,Approved,3/26/2003,3/31/2010,Y,WWW.SPRUCEINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"436,368,424.00","2,069,536,238.00","2,505,904,662.00",63,48,111,Y,Y,N,Y,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111397,801-60174,MORGAN STANLEY SMITH BARNEY,MORGAN STANLEY SMITH BARNEY PRIVATE MANAGEMENT LLC,"485 LEXINGTON AVENUE, 12TH FLOOR",,NEW YORK,NY,UNITED STATES,10017,212-783-3660,646-328-3220,,,,,,,Approved,4/4/2001,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,PRIVATE INVESTMENT FUNDS,Y,N,N,N,N,Y,N,,Y,"456,521,683.00",0,"456,521,683.00",18,0,18,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT TO PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,N,Y
DRO,106490,801-42281,"THE CORUNDUM GROUP, INC.","CB&T WEALTH MANAGEMENT, INC.",ONE SOUTH NEVADA,SUITE 200,COLORADO SPRINGS,CO,UNITED STATES,80903,719-228-1080,719-228-1081,,,,,,,Approved,9/10/1992,3/31/2010,Y,WWW.CENTRALBANCORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"445,477,759.00","97,140,108.00","542,617,867.00",28,2,30,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,Y,N,,N,N,Y,N,N,N,N,Y,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,123558,801-61564,"BOSTON COMMON ASSET MANAGEMENT, LLC","BOSTON COMMON ASSET MANAGEMENT, LLC","84 STATE STREET, SUITE 1000",,BOSTON,MA,UNITED STATES,2109,617-720-5557,617-720-5665,,,,,,,Approved,11/8/2002,3/31/2010,Y,WWW.BOSTONCOMMONASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"533,580,579.00","471,221,678.00","1,004,802,257.00",305,164,469,N,Y,N,Y,N,Y,N,N,N,Y,ESG INVESTMENT SCREENING SERVICES,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,140825,801-67288,"ANODOS ADVISORS, LLC","ANODOS ADVISORS, LLC",1334 ANACAPA STREET,,SANTA BARBARA,CA,UNITED STATES,93101,805-899-1246,805-899-1248,,,,,,,Approved,12/8/2006,3/31/2010,Y,WWW.ANODOSGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"105,165,881.00","54,703,874.00","159,869,755.00",14,4,18,Y,N,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,128244,801-62349,SHEPHERD KAPLAN LLC,SHEPHERD KAPLAN LLC,125 SUMMER STREET,22ND FLOOR,BOSTON,MA,USA,2110,617-896-1600,617-896-1650,,,,,,,Approved,10/20/2003,3/31/2010,Y,WWW.SK-LLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"41,057,504.00","2,942,889,732.00","2,983,947,236.00",66,"1,450","1,516",Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106729,801-40422,GARY A. MORRIS,MORRIS GARY ALAN,5310 HARVEST HILL ROAD,SUITE 192,DALLAS,TX,UNITED STATES,75230,214-363-4949,972-991-5055,,,,,,,Approved,2/4/1992,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"136,313,914.00","4,526,305.00","140,840,219.00",67,3,70,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,147407,801-69287,"CLEAR SPRINGS ADVISORS, LLC","CLEAR SPRINGS ADVISORS, LLC",15310 AMBERLY DRIVE,SUITE 165,TAMPA,FL,USA,33647,813-514-6764,214-853-4274,,,,,,,Approved,6/12/2008,3/31/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,500,000.00",0,"3,500,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,HEDGE FUND MANAGER,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138307,801-65274,"ALPINE CAPITAL MANAGEMENT, LLC","ALPINE CAPITAL MANAGEMENT, LLC","400 MADISON AVENUE, 8TH FLOOR",,NEW YORK,NY,USA,10017,212-317-2400,212-317-0684,,,,,,,Approved,1/20/2006,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"70,598,517.00",0,"70,598,517.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,137337,801-68626,"AMUNDI ALTERNATIVE INVESTMENTS, INC.","AMUNDI ALTERNATIVE INVESTMENTS, INC.",ONE NORTH WACKER DRIVE,SUITE 4050,CHICAGO,IL,UNITED STATES,60606-2834,312-425-8300,312-425-8470,,,,,,,Approved,1/2/2008,3/31/2010,Y,WWW.AMUNDI-AI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,INTRA-COMPANY AGREEMENTS WITH AFFILIATES,Y,"1,712,035,913.00",0,"1,712,035,913.00",1,0,1,N,N,N,Y,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR OTHER POOLED INVESTMENT VEHICLES (E.G. FUND OF HEDGE FUNDS),,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y
LARO,108870,801-55721,"METZLER-PAYDEN, LLC","METZLER-PAYDEN, LLC",333 S GRAND AVENUE,31ST FLOOR,LOS ANGELES,CA,UNITED STATES,90071,213-625-2870,213-830-4374,,,,,,,Approved,7/16/1998,3/31/2010,Y,WWW.METZLERPAYDEN.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"374,433,251.00","1,713,281,740.00","2,087,714,991.00",3,2,5,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109153,801-10220,AEA ADVISERS INC.,AEA ADVISERS INC.,55 EAST 52ND STREET,35TH FLOOR,NEW YORK,NY,UNITED STATES,10055,212-644-5900,212-702-0518,,,,,,,Approved,9/18/1974,3/31/2010,Y,WWW.AEAINVESTORS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,RECEIVES NO FEES SINCE THERE ARE NO MATERIAL REMAINING INVESTS.,Y,"1,915,243.00",0,"1,915,243.00",83,0,83,N,N,N,N,N,N,N,N,N,Y,"APPLICANT SOUGHT OUT INVESTMENT OPPORTUNITIES FOR ITS CLIENTS, WHO HAD EACH ENTERED INTO COMMITMENT AGREEMENTS WITH APPLICANT.",0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110035,801-54963,SHAY ASSETS MANAGEMENT INC,SHAY ASSETS MANAGEMENT INC,"230 W MONROE STREET, SUITE 2810",,CHICAGO,IL,UNITED STATES,60606,312-214-6593,312-214-4149,,,,,,,Approved,11/6/1997,3/31/2010,Y,WWW.AMFFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,093,942,438.00","400,000,000.00","1,493,942,438.00",7,9,16,N,N,Y,Y,N,N,N,N,N,Y,"SHAY  PROVIDES CONSULTING AND ADMINISTRATIVE SERVICES WHICH MAY INCLUDE CREDIT ANALYSIS, AND   CONSULTING",0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,151138,801-70478,"GKFO, LLC","GKFO, LLC",354 WEST LANCASTER AVENUE,SUITE 200,WAYNE,PA,UNITED STATES,19087,610-341-3900,(610) 341-9455,,,,,,,Approved,8/17/2009,3/31/2010,Y,WWW.GKFO.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"78,725,300.00",0,"78,725,300.00",5,0,5,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,137964,801-66278,DRUM CAPITAL MANAGEMENT LLC,DRUM CAPITAL MANAGEMENT LLC,FOUR STAMFORD PLAZA,"107 ELM STREET, 10TH FLOOR",STAMFORD,CT,UNITED STATES,06902-3834,203-391-7540,203-391-7545,,,,,,,Approved,2/28/2006,3/31/2010,Y,WWW.DRUMCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"748,761,909.00",0,"748,761,909.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,INVESTMENT SUPERVISORY SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,Y,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137841,801-65237,HENDERSON ALTERNATIVE INVESTMENT ADVISOR LIMITED,HENDERSON ALTERNATIVE INVESTMENT ADVISOR LIMITED,201 BISHOPSGATE,,LONDON,,UNITED KINGDOM,EC2M 3AE,+44 (0) 207-818-4449,+44 (0) 207-818-7284,,,,,,,Approved,1/19/2006,3/31/2010,Y,WWW.HENDERSON.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,51-250,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,382,000,000.00",0,"2,382,000,000.00",15,0,15,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HEDGE FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109302,801-57373,PG INVESTORS III INC.,PG INVESTORS III INC.,C/O MORGAN STANLEY,"1585 BROADWAY, DAVID BERSH",NEW YORK,NY,UNITED STATES,10036-8293,212-761-4000,212-507-5500,,,,,,,Approved,4/5/2000,3/31/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,"3,933,032.00",0,"3,933,032.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108936,801-56602,GRISANTI BROWN & PARTNERS LLC,GRISANTI BROWN & PARTNERS LLC,45 ROCKEFELLER PLAZA,17TH FLOOR,NEW YORK,NY,USA,10111,212-218-5300,212-218-5333,,,,,,,Approved,6/15/1999,3/31/2010,Y,WWW.GRISANTIBROWN.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"682,300,000.00",0,"682,300,000.00",168,0,168,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,8158,801-7571,ROBERT W. BAIRD & CO. INCORPORATED,ROBERT W. BAIRD & CO. INCORPORATED,777 E. WISCONSIN AVE,,MILWAUKEE,WI,UNITED STATES,53202-5391,414-765-3500,414-298-7800,,,,,,,Approved,7/14/1971,3/31/2010,Y,WWW.RWBAIRD.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,More than 1000,"2,000",501-1000,0,501-1000,0,10-Jun,0,More than 500,"36,000",26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,TAFT-HARTLEY,Y,Y,N,Y,Y,Y,N,,Y,"25,081,659,942.00","4,214,457,822.00","29,296,117,764.00","23,147","12,658","35,805",Y,Y,Y,Y,Y,Y,N,N,N,Y,NON-DISCRETIONARY INVSTMNT ADVICE/INSTITL CONSLTING/ NON-DISCRETIONARY MDL PORTFOLIOS/MUTUAL FND & ETF ASSET ALLOCATION PROGRAMS,More than 500,2500,Y,Y,Y,N,N,N,Y,N,N,,Y,N,Y,Y,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
BRO,111298,801-56633,"ARROWSTREET CAPITAL, LIMITED PARTNERSHIP","ARROWSTREET CAPITAL, LIMITED PARTNERSHIP","200 CLARENDON STREET, 30TH FLOOR",,BOSTON,MA,UNITED STATES,2116,617-919-0000,617-919-0010,,,,,,,Approved,7/8/1999,5/14/2010,Y,WWW.ARROWSTREETCAPITAL.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,MA,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,"PRIVATE FOUNDATIONS, ENDOWMENTS",Y,N,N,N,N,Y,N,,Y,"23,269,931,368.00",0,"23,269,931,368.00",93,0,93,N,N,Y,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,148062,801-69487,PFI STRATEGIES,"PUBLIC FUND INVESTMENT STRATEGIES, LLC",2460 EXECUTIVE DR. SUITE 105,,ST. CHARLES,MO,UNITED STATES,63303,636-447-7402,800-585-0840,,,,,,,Approved,9/9/2008,5/14/2010,Y,WWW.PFISTRATEGIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"95,000,000.00","95,000,000.00",0,5,5,Y,Y,N,Y,Y,Y,Y,Y,N,N,,26-50,,N,N,N,Y,N,N,Y,N,Y,PUBLIC FUND INVESTMENT TRACKING AND REPORT SOFTWAR,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108329,801-11384,ASHLAND MANAGEMENT INCORPORATED,ASHLAND MANAGEMENT INCORPORATED,355 LEXINGTON AVENUE,4TH FLOOR,NEW YORK,NY,USA,10017,212-425-2803,212-425-6026,,,,,,,Approved,3/29/1976,2/4/2008,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"119,643,152.00",0,"119,643,152.00",30,0,30,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,153016,801-71469,"FOREFRONT ANALYTICS, LLC","FOREFRONT ANALYTICS, LLC",354 W. LANCASTER AVE. SUITE 200,,WAYNE,PA,UNITED STATES,19087,610-341-9451,610-341-9455,,,,,,,Approved,6/3/2010,5/14/2010,Y,WWW.FOREFRONTANALYTICS.NET,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,51-75 percent,0 percent,0 percent,11-25 percent,11-25 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"130,000.00",0,"130,000.00",1,0,1,N,Y,N,Y,N,Y,N,N,N,Y,"ASSET ALLOCATION AND QUALITATIVE CONSULTING, EXPERT WITNESS TESTIMONY",,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,133753,801-68061,STENSON FINANCIAL CORPORATION,STENSON FINANCIAL CORPORATION,"101 LARKSPUR LANDING CIRCLE, SUITE 221",,LARKSPUR,CA,UNITED STATES,94939-1710,415-461-8150,415-461-2640,,,,,,,Approved,6/25/2007,5/14/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,TRUSTS,Y,N,N,Y,N,N,N,,Y,"31,353,271.00",0,"31,353,271.00",50,0,50,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150088,801-70159,"AIG ASSET MANAGEMENT (U.S.), LLC","AIG ASSET MANAGEMENT (U.S.), LLC",70 PINE STREET,,NEW YORK,NY,UNITED STATES,10270,212-770-7000,212-770-6068,,,,,,,Approved,5/13/2009,5/14/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,501-1000,0,251-500,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"266,919,998,924.00",0,"266,919,998,924.00",84,0,84,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,N
SFRO,151248,801-70523,"WI MUTUAL FUNDS, LLC","WI MUTUAL FUNDS, LLC",330 IGNACIO BLVD,SUITE 203,NOVATO,CA,UNITED STATES,94949,415-506-3070,415-883-1646,,,,,,,Approved,9/10/2009,5/14/2010,Y,WWW.WIMUTUALFUNDS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,0,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"18,176,112.00",0,"18,176,112.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,139746,801-66343,"APOGEE WEALTH MANAGEMENT, LLC","APOGEE WEALTH MANAGEMENT, LLC","3330 CUMBERLAND BOULEVARD, SUITE 400",,ATLANTA,GA,UNITED STATES,30339,404-419-7110,404-419-7101,,,,,,,Approved,3/15/2006,5/17/2010,Y,HTTP://WWW.APOGEE360.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"13,295,755.00","56,000,000.00","69,295,755.00",105,3,108,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,116360,801-63710,ALLIANT WEALTH ADVISORS,MILLENNIUM CAPITAL MANAGEMENT CORP.,4008 GENESEE PLACE,SUITE 201,WOODBRIDGE,VA,UNITED STATES,22192,703-878-9050,703-878-9051,,,,,,,Approved,1/14/2005,5/17/2010,Y,WWW.ALLIANTWEALTHADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"39,800,000.00",0,"39,800,000.00",61,0,61,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,118793,801-62030,FINANCIAL MANAGEMENT CONCEPTS,FINANCIAL MANAGEMENT CONCEPTS,1700 TOWN PLAZA COURT,,WINTER SPRINGS,FL,UNITED STATES,32708,407-647-7006,407-647-7675,,,,,,,Approved,5/20/2003,5/17/2010,Y,WWW.BRIANFRICKE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"96,451,827.00",0,"96,451,827.00",434,0,434,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,126355,801-63012,ARC INVESTMENT PLANNING & MANAGEMENT INC,ARC INVESTMENT PLANNING & MANAGEMENT INC,5 WALKER STEET,,LENOX,MA,UNITED STATES,01240-2723,413-637-2900,413-637-4330,,,,,,,Approved,4/13/2004,5/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"104,709,486.00",0,"104,709,486.00",130,0,130,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138271,801-66628,LYFORD GROUP INTERNATIONAL LTD.,LYFORD GROUP INTERNATIONAL LTD.,375 PARK AVENUE,SUITE 2304,NEW YORK,NY,UNITED STATES,10152,212-500-1600,212-500-1650,,,,,,,Approved,4/20/2006,5/17/2010,Y,WWW.LYFORDFUND.COM IS THE FIRM'S WEBSITE ADDRESS. INFORMATION RELATED TO PRIVATE FUNDS MANAGED BY THE FIRM IS PASSWORD PROTECTED,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,"BAHAMAS, THE",10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"82,209,201.00",0,"82,209,201.00",4,0,4,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT ADVICE TO PRIVATE FUNDS,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108982,801-54930,"DIAM U.S.A., INC.","DIAM U.S.A., INC.",1133 AVENUE OF THE AMERICAS,28TH FLOOR,NEW YORK,NY,USA,10036,212-350-7650,212-354-1883,,,,,,,Approved,10/3/1997,5/17/2010,Y,HTTP://WWW.DIAMUSA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,11-25 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"1,801,749,904.00","2,064,744,103.00","3,866,494,007.00",19,16,35,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,N,N,N,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N
HQ,146834,801-69117,SOMERSET CAPITAL MANAGEMENT LLP,SOMERSET CAPITAL MANAGEMENT LLP,146 BUCKINGHAM PALACE ROAD,,LONDON,,UNITED KINGDOM,SW1W 9TR,44 207 499 1815,44 207 499 6184,,,,,,,Approved,6/5/2008,5/17/2010,Y,WWW.SOMERSETCM.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,11-25 percent,26-50 percent,ENDOWMENTS & FOUNDATIONS,Y,N,N,N,N,Y,N,,Y,"580,111,231.00",0,"580,111,231.00",7,0,7,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135507,801-64329,"LEXINGTON WEALTH MANAGEMENT, INC.","LEXINGTON WEALTH MANAGEMENT, INC.",1666 MASSACHUSETTS AVENUE,,LEXINGTON,MA,USA,2420,781-860-7745,781-862-4392,,,,,,,Approved,6/10/2005,5/17/2010,Y,WWW.LEXINGTONWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,Nov-50,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"240,000,000.00","240,000,000.00",0,686,686,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,13609,801-62277,"BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.","BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.","701 TAMA ST.,",BLDG B,MARION,IA,UNITED STATES,52302,319-447-5700,319-447-4244,,,,,,,Approved,8/27/2003,5/17/2010,Y,WWW.BERTHEL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"3,000",26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"50,000,000.00","400,000,000.00","450,000,000.00",500,"3,500","4,000",Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,Y,N,N,N,Y,N,N,,N,,Y,N,Y,Y,N,N,N,N,Y,N,N,Y,N,N,Y,N,N,Y,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
CHRO,109307,801-19395,LASALLE INVESTMENT MANAGEMENT INC.,"LASALLE INVESTMENT MANAGEMENT, INC.",200 EAST RANDOLPH DRIVE,,CHICAGO,IL,USA,60601-6435,312-782-5800,312-228-0254,,,,,,,Approved,7/28/1983,5/17/2010,Y,WWW.JONESLANGLASALLE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,51-250,0,51-250,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,26-50 percent,26-50 percent,"GROUP TRUSTS,PARTNERSHIPS AND OTHER COMMININGLED INVESTMENTS",Y,N,N,Y,N,Y,N,,Y,"8,690,366,890.00","2,093,093,791.00","10,783,460,681.00",17,5,22,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,134045,801-63954,EAGLECLAW CAPITAL MANAGEMENT LLC,EAGLECLAW CAPITAL MANAGEMENT LLC,111 DEVONSHIRE ST,,BOSTON,MA,USA,2109,617-426-0417,617-812-6366,,,,,,,Approved,3/3/2005,5/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"89,698,375.00","614,583.00","90,312,958.00",94,2,96,N,Y,N,Y,N,N,N,N,N,N,,,,Y,Y,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,135379,801-64287,"MILITELLO WEALTH MANAGEMENT, L.L.C.","MILITELLO WEALTH MANAGEMENT, L.L.C.",1012 PLUMMER DRIVE,SUITE 201,EDWARDSVILLE,IL,UNITED STATES,62025,618-659-1284,618-659-1284,,,,,,,Approved,5/31/2005,5/17/2010,Y,WWW.MFFA.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"39,687,234.00","416,897.00","40,104,131.00",194,10,204,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,118868,801-67172,LOGICAL WEALTH MANAGEMENT INC.,LOGICAL WEALTH MANAGEMENT INC.,100 EAST GLENDALE AVE,,SPARKS,NV,UNITED STATES,89431,617-901-3591,775-355-9556,,,,,,,Approved,9/29/2006,5/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"19,000,000.00","7,000,000.00","26,000,000.00",15,10,25,Y,Y,Y,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135746,801-65362,"BERENS CAPITAL MANAGEMENT, LLC","BERENS CAPITAL MANAGEMENT, LLC",717 FIFTH AVENUE,FLOOR 12A,NEW YORK,NY,UNITED STATES,10022,212-698-2030,212-698-2021,,,,,,,Approved,1/23/2006,5/17/2010,Y,WWW.BERENSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,FUND OF FUNDS,Y,N,N,N,N,Y,N,,Y,"451,824,646.00",0,"451,824,646.00",5,0,5,N,N,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,112232,801-60519,"DAVIDSON CAPITAL MANAGEMENT, INC","DAVIDSON CAPITAL MANAGEMENT, INC.","5656 SOUTH STAPLES, SUITE 370",,CORPUS CHRISTI,TX,UNITED STATES,78411,361-906-0070,361-906-0077,P.O. BOX 270306,,CORPUS CHRISTI,TX,UNITED STATES,78427,Approved,8/29/2001,5/17/2010,Y,WWW.DAVIDSONCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"45,132,374.00","1,266,341.00","46,398,715.00",275,2,277,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143998,801-67935,"TOTAL FINANCIAL ADVISORS, LLC","TOTAL FINANCIAL ADVISORS, LLC",24 UNION AVENUE,,BETHPAGE,NY,USA,11714,516-579-2700,516-579-2780,,,,,,,Approved,5/29/2007,5/17/2010,Y,WWW.TOTALFINANCIAL.US,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"98,973,181.00","1,992,128.00","100,965,309.00",439,1,440,Y,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,45287,801-55802,GLADOWSKY CAPITAL MANAGEMENT CORP,GLADOWSKY CAPITAL MANAGEMENT CORP,18 MANOR ROAD,,SMITHTOWN,NY,UNITED STATES,11787,631-360-7200,631-361-7200,,,,,,,Approved,5/12/2000,6/2/2010,Y,HTTP://WWW.GLADOWSKY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"37,353,842.00","37,353,842.00",0,336,336,N,Y,N,N,N,Y,N,N,N,N,,,,Y,N,Y,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,Y,Y,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,134895,801-65793,"AURORA FINANCIAL GROUP, LLC","AURORA FINANCIAL GROUP, LLC",85 EXCHANGE STREET,SUITE 202,PORTLAND,ME,UNITED STATES,4101,(207) 553-2343,(207) 553-2344,,,,,,,Approved,1/27/2006,6/2/2010,Y,WWW.AURORAFINANCIAL.INFO,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,ME,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"72,000,000.00",0,"72,000,000.00",131,0,131,Y,Y,N,N,N,N,N,N,N,Y,"ESTATE PLANNING SERVICES, LEGAL SETTLEMENT CONSULTATION",101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131431,801-71415,"ARJENT SERVICES, LLC",ARJENT SERVICES LLC,"570 LEXINGTON AVENUE, 22ND FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-446-0006,212-446-0020,,,,,,,Approved,6/3/2010,6/2/2010,Y,HTTP://WWW.ARJENTSERVICESLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,0,0,0,0,51-75 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,Y,N,,Y,0,"26,152,294.00","26,152,294.00",0,793,793,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,Y,Y,N,N,Y,N,N,,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
HQ,140642,801-66742,DUET ASSET MANAGEMENT LTD.,DUET ASSET MANAGEMENT LTD.,27 HILL STREET,,LONDON,,UNITED KINGDOM,W1J 5LP,44-20-7290-9800,44-20-7491-9905,,,,,,,Approved,5/15/2006,5/9/2006,Y,WWW.DUETGROUP.NET,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED COMPANY,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,INSTITUTIONAL MANAGED ACCOUNTS,Y,N,N,N,N,Y,N,,Y,"470,000,000.00",0,"470,000,000.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE POOLED INVESTMENT VEHICLES (HEDGE FUNDS) AND MANAGEMENT OF INSTITUTIONAL MANAGED ACCOUNTS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,116071,801-67878,"LUDEMAN CAPITAL MANAGEMENT, INC.","LUDEMAN CAPITAL MANAGEMENT, INC.",2115 BARKLEY BVD #101,,BELLINGHAM,WA,UNITED STATES,98226,360-738-9600,360-738-1144,,,,,,,Approved,5/18/2007,6/2/2010,Y,WWW.LUDEMANCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,More than 500,500,More than 75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,Y,SOLICITATION FEES,Y,"48,382,410.00","17,106,334.00","65,488,744.00",387,157,544,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,118853,801-60878,"FOUNDERS CAPITAL MANAGEMENT, LLC","FOUNDERS CAPITAL MANAGEMENT, LLC",111 FOUNDERS PLAZA,SUITE 1500,EAST HARTFORD,CT,UNITED STATES,6108,860.308.0061,860.282.0441,,,,,,,Approved,1/30/2002,6/2/2010,Y,WWW.FOUNDCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"118,816,136.00","2,031,478.00","120,847,614.00",217,9,226,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,138111,801-66002,BALYASNY ASSET MANAGEMENT L.P.,BALYASNY ASSET MANAGEMENT L.P.,181 W. MADISON STREET,STE. 3600,CHICAGO,IL,UNITED STATES,60602,312-499-2999,312-499-2998,"135 E. 57TH STREET, 27TH FL",ATTN: CHIEF COMPLIANCE OFFICER,NEW YORK,NY,UNITED STATES,10022,Approved,1/23/2006,6/2/2010,Y,WWW.BAMFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,51-250,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,PASS THROUGH OF CERTAIN EXPENSES,Y,"1,823,853,590.00",0,"1,823,853,590.00",21,0,21,N,N,N,N,N,N,N,N,N,Y,PRIVATE INVESTMENT FUNDS,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,Y,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,128627,801-63578,"PERSONAL ASSET STRATEGIES, INC.","PERSONAL ASSET STRATEGIES, INC.",990 STEWART AVENUE,SUITE 120,GARDEN CITY,NY,UNITED STATES,11530,516-248-8811,516-248-1183,,,,,,,Approved,11/12/2004,6/2/2010,Y,WWW.PASFINANCE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"25,070,410.00",0,"25,070,410.00",133,0,133,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114391,801-71539,"ZERKE ADVISORS, INC.","ZERKE ADVISORS, INC.",440 LOUISIANA STREET,SUITE 900,HOUSTON,TX,USA,77002,(713) 236-7715,(713) 236-7713,,,,,,,Approved,6/21/2010,6/2/2010,Y,WWW.ZERKE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"29,097,956.00","3,083,127.00","32,181,083.00",106,7,113,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,130852,801-63040,"THE DAVID J. YVARS GROUP, INC.","THE DAVID J. YVARS, GROUP, INC",DIAMOND CORPORATE PARK,400 COLUMBUS AVENUE,VALHALLA,NY,UNITED STATES,10595,914 741 9700,914 741 9714,,,,,,,Approved,4/15/2004,6/2/2010,Y,WWW.YVARSGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"64,000,000.00","6,000,000.00","70,000,000.00",395,142,537,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106698,801-51748,FIRST QUADRANT,FIRST QUADRANT LP,800 EAST COLORADO BLVD,SUITE 900,PASADENA,CA,UNITED STATES,91101,626-795-8220,626-396-3298,,,,,,,Approved,3/25/1996,6/2/2010,Y,WWW.FIRSTQUADRANT.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,0 percent,11-25 percent,26-50 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,"FOREIGN GOVERNMENT, ADVISORY",Y,N,N,Y,N,Y,N,,Y,"13,698,000,000.00",0,"13,698,000,000.00",51,0,51,N,Y,Y,Y,N,N,Y,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,133322,801-71534,"AMERICU CAPITAL MANAGEMENT, LLC","AMERICU CAPITAL MANAGEMENT, LLC",1916 BLACK RIVER BLVD,,ROME,NY,UNITED STATES,13440,315-673-2684,270-637-3375,,,,,,,Approved,6/9/2010,6/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISER FEES,Y,"35,366,000.00","3,143,000.00","38,509,000.00",261,4,265,N,Y,N,Y,Y,Y,N,N,N,Y,ADVISORY CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,152820,801-71081,BRIGHT ROCK CAPITAL MANAGEMENT LLC,BRIGHT ROCK CAPITAL MANAGEMENT LLC,288 UNION STREET,,ROCKLAND,MA,UNITED STATES,2370,781-982-6158,508-732-7783,2036 WASHINGTON STREET,,HANOVER,MA,UNITED STATES,2339,Approved,2/18/2010,6/2/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,Y,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108741,801-34451,"SOUTHERNSUN ASSET MANAGEMENT, INC","SOUTHERNSUN ASSET MANAGEMENT, INC",6000 POPLAR AVENUE,SUITE 220,MEMPHIS,TN,UNITED STATES,38119,(901) 333-6980,(901) 333-6981,,,,,,,Approved,5/18/1989,6/2/2010,Y,WWW.SOUTHERNSUNAM.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,More than 500,"2,000",11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,339,504,158.00",0,"1,339,504,158.00","1,963",0,"1,963",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,116372,801-63381,CLEARWEALTH,"CLEAR WEALTH, INC.",755 TEXAS AVE,SUITE B,WHITEFISH,MT,UNITED STATES,59937,208-384-8515,866-340-5447,P.O. BOX 5059,,WHITEFISH,MT,UNITED STATES,59937,Approved,8/2/2004,6/2/2010,Y,WWW.CLEARWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,ID,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"15,932,124.00","39,609,774.00","55,541,898.00",3,256,259,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
NYRO,105667,801-19567,"FINANCIAL PARTNERS CAPITAL MANAGEMENT, LLC","FINANCIAL PARTNERS CAPITAL MANAGEMENT, LLC",150 EAST 52ND STREET,16TH FLOOR,NEW YORK,NY,UNITED STATES,10022,646.277.7310,646.277.7315,,,,,,,Approved,8/29/1983,6/2/2010,Y,WWW.MYFPCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"260,582,706.00","1,569,291.00","262,151,997.00",362,2,364,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111168,801-41391,"COLUMBIA WANGER ASSET MANAGEMENT, LLC","COLUMBIA WANGER ASSET MANAGEMENT, LLC",227 W MONROE,SUITE 3000,CHICAGO,IL,UNITED STATES,60606-5016,312-634-9200,312-634-0267,,,,,,,Approved,5/11/1992,6/2/2010,Y,WWW.COLUMBIAFUNDS.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,10-Jun,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"27,349,661,000.00",0,"27,349,661,000.00",19,0,19,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N
SFRO,104649,801-8374,HOERTKORN RICHARD CHARLES,HOERTKORN RICHARD CHARLES,60 E. SIR FRANCIS DRAKE BLVD,SUITE 300,LARKSPUR,CA,UNITED STATES,94939,415-482-8899,415-482-8811,,,,,,,Approved,2/3/1972,6/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"74,911,434.00",0,"74,911,434.00",168,0,168,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,Y,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105370,801-8809,THE CLIFTON GROUP INVESTMENT MANAGEMENT COMPANY,THE CLIFTON GROUP INVESTMENT MANAGEMENT COMPANY,3600 MINNESOTA DRIVE,SUITE 325,EDINA,MN,UNITED STATES,55435,[612] 870-8800,[952] 767-7701,,,,,,,Approved,8/31/1972,6/2/2010,Y,THECLIFTONGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,26-50 percent,11-25 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"25,403,621,294.00","2,698,097,385.00","28,101,718,679.00",153,12,165,N,Y,Y,Y,N,N,Y,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,Y,Y,N,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151462,801-70690,HAZARD & SIEGEL ADVISORY SERVICES LLC,HAZARD & SIEGEL ADVISORY SERVICES LLC,5790 WIDEWATERS PARKWAY,,DEWITT,NY,UNITED STATES,13214,315-414-0722,315-414-0724,PO BOX 157,,DEWITT,NY,UNITED STATES,13214-0157,Approved,10/26/2009,6/2/2010,Y,WWW.HAZARDSIEGEL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"27,143,570.00","3,867,841.00","31,011,411.00",331,3,334,Y,Y,N,N,Y,Y,N,N,N,N,,101-250,,N,N,Y,N,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,123767,801-69443,"TUTTLE WEALTH MANAGEMENT, LLC","TUTTLE WEALTH MANAGEMENT, LLC",723 N BROADWAY,,WHITE PLAINS,NY,UNITED STATES,10603,800-462-1655,800-462-1655,,,,,,,Approved,8/4/2008,6/2/2010,Y,WWW.MATTHEWTUTTLE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,Y,SOLICITOR'S FEES,Y,"37,500,000.00","6,500,000.00","44,000,000.00",421,74,495,Y,Y,N,N,N,N,Y,N,N,Y,ACT AS A SOLICITOR,26-50,,N,N,N,N,Y,N,Y,N,N,,Y,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135741,801-65364,"BERENS CAPITAL, LLC","BERENS CAPITAL, LLC",717 FIFTH AVENUE,FLOOR 12A,NEW YORK,NY,UNITED STATES,10022,212-698-2030,212-698-2021,,,,,,,Approved,1/23/2006,6/2/2010,Y,WWW.BERENSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,FUND OF  FUNDS,Y,N,N,N,N,Y,N,,Y,"542,664,184.00",0,"542,664,184.00",3,0,3,N,N,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,139233,801-66681,"INVESTMENT ADVISORS INTERNATIONAL, INC.","INVESTMENT ADVISORS INTERNATIONAL, INC.",11315 JOHNS CREEK PARKWAY,,DULUTH,GA,UNITED STATES,30097-1517,(770) 453-9300,(678) 966-6290,,,,,,,Approved,5/17/2006,6/2/2010,Y,WWW.INVESTMENTADVISORSINTERNATIONAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,More than 1000,"1,000",More than 1000,"1,000",More than 1000,"1,000",0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,SOLICITATION FEES,Y,0,"29,387,875.00","29,387,875.00",0,2,2,N,N,N,N,N,Y,N,N,N,N,,0,,Y,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,147539,801-69301,"NEF ADVISORS, LLC","NEF ADVISORS, LLC",527 MADISON AVE. 7TH FLOOR,,NEW YORK,NY,USA,10022,212-689-1455,212-689-1918,,,,,,,Approved,6/23/2008,3/30/2009,Y,WWW. NEWENERGYFUNDLP.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"8,330,000.00",0,"8,330,000.00",2,0,2,N,N,Y,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED VEHICLE,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,154070,801-71542,"LGL PARTNERS, LLC","LGL PARTNERS, LLC",401 CITY AVENUE SUITE 812,,BALA CYNWYD,PA,UNITED STATES,19004,610-667-9150,610-667-9148,,,,,,,120-Day Approval,6/23/2010,6/2/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,152717,801-71055,"STRATEGIC INVESTING FUNDS, LLC","STRATEGIC INVESTING FUNDS, LLC",2435 N. CENTRAL EXPRESSWAY,SUITE 888,RICHARDSON,TX,UNITED STATES,75080,972-234-2001,972-234-8850,,,,,,,Approved,2/11/2010,6/2/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,118337,801-67174,CAPITAL ASSET MANAGEMENT CORPORATION,CAPITAL ASSET MANAGEMENT CORPORATION,124 MINE LAKE CT.,,RALEIGH,NC,UNITED STATES,27615,919-847-5439,919-870-6976,,,,,,,Approved,9/15/2006,2/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"29,568,747.00","29,568,747.00",0,130,130,Y,N,N,N,N,N,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,116334,801-67127,"MDK FINANCIAL GROUP, INC.","MDK FINANCIAL GROUP, INC.",6802 MAPLERIDGE,SUITE 203,BELLAIRE,TX,UNITED STATES,77401,713-665-3880,713-665-3884,,,,,,,Approved,10/11/2006,2/3/2010,Y,WWW.MDKFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,0,"77,000,000.00","77,000,000.00",0,321,321,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,132854,801-67971,"FIRST RESPONDERS FINANCIAL SERVICES, LLC","FIRST RESPONDERS FINANCIAL SERVICES, LLC",545 FIFTH AVENUE,,NEW YORK,NY,USA,10017,212-573-8700,212-877-8097,,,,,,,Approved,6/19/2007,6/21/2007,Y,WWW.FIRSTRESPONDERS.COM,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,REFERRAL FEES FROM VENDORS OF FINANCIAL PRODUCTS AND SERVICES,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,PROVIDES FIRST RESPONDERS WITH ACCESS TO SECURITIES PRODUCTS AND SERVICES OFFERED BY OTHERS,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,148182,801-69643,SODITIC CBIP LLP,SODITIC CBIP LLP,WELLINGTON HOUSE,125 STRAND,LONDON,,UNITED KINGDOM,WC2R OAP,+44 20 7872 7050,+44 20 7872 7065,,,,,,,Approved,11/28/2008,2/3/2010,Y,WWW.SODITIC-CBIP.CO.UK,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"81,680,000.00","10,010,000.00","91,690,000.00",4,3,7,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109772,801-43611,COMPREHENSIVE FINANCIAL PLANNING INC,COMPREHENSIVE FINANCIAL PLANNING INC,,,,,,,770-904-0490,770-406-2625,,,,,,,Approved,2/12/1993,2/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"55,907,425.00",0,"55,907,425.00",192,0,192,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,148816,801-70555,RESTON WEALTH MANAGEMENT,"TUCKER, ROBERT EUGENE",1984 ISAAC NEWTON SQUARE WEST,SUITE 107,RESTON,VA,UNITED STATES,20190,703-481-2280,703-935-6402,,,,,,,Approved,9/10/2009,2/3/2010,Y,WWW.RESTONWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,VA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"75,036,126.00","2,203,516.00","77,239,642.00",433,5,438,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,111256,801-60086,J.T. BISHOP ADVISORS,BISHOP JOHN THOMAS,,,,,,,307-733-5525,307-203-2152,BOX 1370,,WILSON,WY,UNITED STATES,83014,Approved,4/9/2001,2/3/2010,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,Y,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,117522,801-69010,MONTVEST LLC,MONTVEST LLC,,,,,,,801-479-9585,,,,,,,,Approved,4/15/2008,2/3/2010,Y,WWW.MONTVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"32,400,000.00","1,100,000.00","33,500,000.00",28,1,29,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,152221,801-70816,"VICTORY WEALTH MANAGEMENT, LLC","VICTORY WEALTH MANAGEMENT, LLC","1592 11TH STREET, SUITE A",,REEDLEY,CA,UNITED STATES,93654,559-638-2100,559-638-2121,,,,,,,Approved,11/23/2009,2/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"39,847,904.00",0,"39,847,904.00",35,0,35,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110433,801-12359,JAMES INVESTMENT RESEARCH INC,JAMES INVESTMENT RESEARCH INC,1349 FAIRGROUND ROAD,,XENIA,OH,UNITED STATES,45385,937-426-7640,937-426-7097,P. O. BOX 8,,ALPHA,OH,UNITED STATES,45301,Approved,10/2/1976,2/3/2010,Y,WWW.JIR-INC.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,PROVIDE RESEARCH TO AN AFFILIATED FIRM,Y,N,N,N,N,Y,Y,PERCENTAGE OF REVENUES FROM JAMES CAPITAL ALLIANCE,Y,"1,380,100,000.00","636,700,000.00","2,016,800,000.00",280,9,289,N,Y,Y,Y,N,N,N,N,N,Y,RESEARCH,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112234,801-43072,KEPPLER ASSET MANAGEMENT INC.,KEPPLER ASSET MANAGEMENT INC.,350 WEST 57 ST,,NEW YORK,NY,UNITED STATES,10019,212-245-4304,212-262-8150,,,,,,,Approved,1/11/1992,2/3/2010,Y,WWW.KAMNY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,"3,249,999,997.00","3,249,999,997.00",0,16,16,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,121425,801-65024,DWIGHT INVESTMENT COUNSEL,"LAWRENCE EDWARD DWIGHT, JR.",,,,,,,207-645-9415,207-645-9415,,,,,,,Approved,1/20/2006,2/3/2010,Y,WWW.BUFFETTSTYLE.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,ME,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,CO-TRUSTEE ADVISORY ONLY RELATIONSHIPS,Y,N,N,N,N,N,N,,Y,"43,305,000.00",0,"43,305,000.00",107,0,107,N,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR MUNICIPALITIES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,152584,801-70999,VENABLE PARK INVESTMENT COUNSEL INC.,VENABLE PARK INVESTMENT COUNSEL INC.,"33 CLAPPERTON ST.,",,"BARRIE, ONTARIO",,CANADA,L4M 3E6,705-792-3991,705-792-3992,,,,,,,Approved,1/22/2010,2/3/2010,Y,WWW.VENABLEPARK.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"130,000,000.00",0,"130,000,000.00",319,0,319,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,105961,801-24343,BARROW INVESTMENT MANAGEMENT INC,BARROW INVESTMENT MANAGEMENT INC,3800 BAY TO BAY BLVD,STE 21,TAMPA,FL,UNITED STATES,33629,813-831-4191,,,,,,,,Approved,5/29/1985,2/3/2010,Y,BARROWINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"31,115,990.00",0,"31,115,990.00",36,0,36,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,112414,801-45564,"KLEIN PAVLIS & PEASLEY FINANCIAL, INC.","KLEIN PAVLIS & PEASLEY FINANCIAL, INC.",34232 PACIFIC COAST HIGHWAY,SUITE B,DANA POINT,CA,UNITED STATES,92629-2821,949-443-2030,949-443-2039,,,,,,,Approved,2/2/1994,2/3/2010,Y,WWW.INVESTTALK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,More than 500,500,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,Y,N,N,N,N,,Y,"86,892,418.00",0,"86,892,418.00",700,0,700,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
SFRO,133017,801-63556,HUMAN INVESTING,ANDERSONFISHER LLC,5800  MEADOWS ROAD,SUITE 200,LAKE OSWEGO,OR,UNITED STATES,97035,503-905-3100,503-715-4940,,,,,,,Approved,10/5/2004,2/3/2010,Y,WWW.ANDERSONFISHER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"105,000,000.00","80,000,000.00","185,000,000.00",135,15,150,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135424,801-66026,"GS GAMMA ADVISORS, LLC","GS GAMMA ADVISORS, LLC",135  EAST 57TH STREET,15TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-381-4169,212-935-8827,,,,,,,Approved,1/23/2006,6/7/2010,Y,WWW.GUGGENHEIMPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"601,292,655.00",0,"601,292,655.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,GS GAMMA ADVISORS PROVIDES PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144527,801-70132,PLACE FINANCIAL ADVISORS,"PLACE, BRYAN, MCNEILL",104 SMITH STREET,,MANLIUS,NY,UNITED STATES,13104,315-682-0348,315-682-0349,,,,,,,Approved,5/20/2009,4/20/2009,Y,WWW.PLACEFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"44,014,353.00","1,156,546.00","45,170,899.00",252,13,265,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,136887,801-64666,"INTEROCEAN CAPITAL, LLC","INTEROCEAN CAPITAL, LLC",221 N. LASALLE STREET,SUITE 900,CHICAGO,IL,UNITED STATES,60601,312-648-1720,312-269-3060,,,,,,,Approved,9/19/2005,6/8/2010,Y,WWW.IOFINANCE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,Y,WRAP FEES OR FEES PAID BY FIRMS,Y,"98,010,000.00","535,510,000.00","633,520,000.00",126,376,502,Y,Y,N,N,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,151943,801-70786,DENT ASSET MANAGEMENT,"DENTGROUP, LLC","301 MAIN STREET, STE. 1630",,BATON ROUGE,LA,UNITED STATES,70801,225-922-9955,866-203-3904,,,,,,,Approved,11/18/2009,6/8/2010,Y,WWW.DENTGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"136,767,594.00",0,"136,767,594.00",458,0,458,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124786,801-63345,BALANCE SHEET SOLUTIONS LLC,BALANCE SHEET SOLUTIONS LLC,4450 WEAVER PARKWAY,SUITE 250,WARRENVILLE,IL,UNITED STATES,60555-3926,630-276-2780,630-276-2626,,,,,,,Approved,8/5/2004,6/8/2010,Y,WWW.BALANCESHEETSOLUTIONS.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,CREDIT UNIONS,Y,Y,N,Y,N,N,N,,Y,0,"2,912,634,414.00","2,912,634,414.00",0,32,32,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR CREDIT UNIONS,,,N,N,Y,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,147984,801-69560,"SUMMIT PLACE FINANCIAL ADVISORS, LLC","SUMMIT PLACE FINANCIAL ADVISORS,LLC","18 BANK STREET, SUITE 200",,SUMMIT,NJ,UNITED STATES,7901,908-517-5880,,,,,,,,Approved,10/3/2008,6/8/2010,Y,WWW.SUMMITPLACEFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"38,529,776.00",0,"38,529,776.00",78,0,78,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,141559,801-70662,"MEG GREEN & ASSOCIATES, INC.","MEG GREEN & ASSOCIATES, INC.","2627 IVES DAIRY ROAD, SUITE 201",,NORTH MIAMI BEACH,FL,UNITED STATES,33180,305-931-1400,305-931-6256,,,,,,,Approved,10/9/2009,6/8/2010,Y,WWW.MEGGREEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"225,835,000.00","225,835,000.00",0,701,701,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,140795,801-66823,GUNDERSON CAPITAL MANAGEMENT INC.,GUNDERSON CAPITAL MANAGEMENT INC.,550 SEAGAZE DRIVE,SUITE 16,OCEANSIDE,CA,UNITED STATES,92054,(760) 736-8258,(760) 529-9263,,,,,,,Approved,6/13/2006,6/8/2010,Y,WWW.PWSTREET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,0,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,Y,Y,N,N,N,,Y,"25,908,000.00",0,"25,908,000.00",400,0,400,Y,Y,N,N,N,N,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,119241,801-67269,"HERITAGE ADVISORY SERVICES, INC.","HERITAGE ADVISORY SERVICES, INC.",5 GREAT VALLEY PARKWAY,SUITE 334,MALVERN,PA,UNITED STATES,19355,610-889-2066,610-889-2056,,,,,,,Approved,12/1/2006,6/8/2010,Y,WWW.HERITAGEFINCORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"27,482,312.00",0,"27,482,312.00",53,0,53,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,Y,Y,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105876,801-32090,TRENDLINE CAPITAL MANAGEMENT,TRENDLINE RESEARCH & MANAGEMENT CORP,4820 LAKE BROOK DRIVE,STE 125,GLEN ALLEN,VA,UNITED STATES,23060,804-323-9100,804-888-8220,,,,,,,Approved,5/19/1988,6/8/2010,Y,TRENDLINECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"61,737,899.00",0,"61,737,899.00",570,0,570,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,114951,801-60490,"FIEN CAPITAL MANAGEMENT, LLC","FIEN CAPITAL MANAGEMENT, LLC",110 ALLENS CREEK ROAD,,ROCHESTER,NY,UNITED STATES,14618,585-271-8910,585-271-6995,,,,,,,Approved,8/17/2001,6/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"59,533,541.00","2,661,184.00","62,194,725.00",95,1,96,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,149865,801-71564,IPSWICH BAY ADVISORS,"IBA INVESTMENT ADVISORS, LLC",150A ANDOVER STREET,,DANVERS,MA,UNITED STATES,1923,978-777-6554,978-777-6560,,,,,,,Approved,6/23/2010,6/8/2010,Y,WWW.IPSWICHFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"33,368,138.00","33,368,138.00",0,7,7,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,140743,801-67329,"CENTURION INVESTMENT PARTNERS, LLC","CENTURION INVESTMENT PARTNERS, LLC",5860 RIDGEWAY CENTER PARKWAY,SUITE 330,MEMPHIS,TN,UNITED STATES,38120,901.766.9393,901.767.8556,,,,,,,Approved,11/20/2006,4/20/2009,Y,WWW.CENTURIONINVESTMENTPARTNERS.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"87,147.00",0,"87,147.00",1,0,1,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,121811,801-68575,"HOPKINS INVESTMENT MANAGEMENT, LLC.","HOPKINS INVESTMENT MANAGEMENT, LLC.",12 FRANCIS STREET,,ANNAPOLIS,MD,UNITED STATES,21401,410-757-7980,800-861-0030,,,,,,,Approved,11/26/2007,6/8/2010,Y,WWW.HOPKINSIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"27,202,203.00",0,"27,202,203.00",76,0,76,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107719,801-8255,"PIONEER INVESTMENT MANAGEMENT, INC.","PIONEER INVESTMENT MANAGEMENT, INC.",60 STATE STREET,,BOSTON,MA,USA,02109-1820,617-422-4700,617-422-4223,,,,,,,Approved,12/14/1971,6/8/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,5-Jan,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"51,421,826,956.00",0,"51,421,826,956.00",86,0,86,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
BRO,138756,801-66395,"PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.","PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.",60 STATE STREET,,BOSTON,MA,UNITED STATES,02109-1820,617-422-4700,617-422-4223,,,,,,,Approved,3/9/2006,6/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,11-25 percent,Up to 10 percent,11-25 percent,0 percent,11-25 percent,(INCLUDING SEPARATELY MANAGED ACCOUNT PROGRAMS),Y,N,N,N,N,Y,N,,Y,"3,390,715,643.00","940,234,880.00","4,330,950,523.00",182,3,185,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,130774,801-63084,TOBIAS CAPITAL L.P.,TOBIAS CAPITAL L.P.,"623 FIFTH AVE., SUITE 2501",,NEW YORK,NY,USA,10022,212-251-3200,212-251-3225,,,,,,,Approved,5/7/2004,3/27/2008,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"27,000,000.00",0,"27,000,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT TO ONE OFFSHORE PRIVATE INVESTMENT FUND,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109258,801-56145,"ROEHL & YI INVESTMENT ADVISORS, LLC","ROEHL & YI INVESTMENT ADVISORS, LLC",450 COUNTRY CLUB ROAD,SUITE 160,EUGENE,OR,UNITED STATES,97401,541-683-2085,541-683-6357,PO BOX 11810,,EUGENE,OR,UNITED STATES,97440,Approved,1/12/1999,6/8/2010,Y,WWW.ROEHL-YI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,11-25 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,"TRUSTS, ESTATES",Y,Y,N,Y,Y,N,N,,Y,"182,298,980.00","107,052,064.00","289,351,044.00",566,89,655,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,615,801-47061,NEW ENGLAND SECURITIES CORPORATION,NEW ENGLAND SECURITIES CORPORATION,1095 AVENUE OF THE AMERICAS,,NEW YORK,NY,UNITED STATES,10036,212.578.0594,212.578.8978,"C/O METLIFE SECURITIES, INC.",1095 AVENUE OF THE AMERICAS,NEW YORK,NY,UNITED STATES,10036,Approved,7/26/1994,5/25/2010,Y,WWW.NEFN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,More than 1000,"3,700",More than 1000,"1,800",More than 1000,"3,700",0,0,More than 500,"9,700",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,INVESTMENT CLUB,Y,Y,N,Y,N,N,N,,Y,"267,931,937.00","1,390,546,514.00","1,658,478,451.00","1,600","8,070","9,670",Y,Y,N,Y,N,Y,N,N,N,N,,More than 500,700,Y,Y,Y,N,N,N,N,N,N,,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,N,Y,N
BRO,126144,801-61950,"FERNWOOD INVESTMENT MANAGEMENT, LLC","FERNWOOD INVESTMENT MANAGEMENT, LLC",400 CROWN COLONY DRIVE,SUITE 101,QUINCY`,MA,UNITED STATES,2169,617-376-4750,617-376-4754,,,,,,,Approved,4/11/2003,5/25/2010,Y,WWW.FERNWOODINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"149,704,188.00",0,"149,704,188.00",406,0,406,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,833,801-50585,"TOWER SQUARE SECURITIES, INC.","TOWER SQUARE SECURITIES, INC.",1095 AVENUE OF THE AMERICAS,,NEW YORK,NY,UNITED STATES,10036,212.578.0594,212-578-8978,"C/O METLIFE SECURITIES, INC.",1095 AVENUE OF THE AMERICAS,NEW YORK,NY,UNITED STATES,10036,Approved,11/28/1995,5/25/2010,Y,WWW.TOWERSQUARE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,501-1000,0,251-500,0,501-1000,0,0,0,More than 500,"1,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,INVESTMENT CLUB,Y,Y,N,Y,N,N,N,,Y,"38,184,274.00","196,993,401.00","235,177,675.00",235,"1,264","1,499",Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,Y
PLRO,105211,801-23924,"BURT ASSOCIATES, INCORPORATED","BURT ASSOCIATES, INCORPORATED",6010 EXECUTIVE BLVD,SUITE 900,ROCKVILLE,MD,UNITED STATES,20852,301-770-9880,301-770-9885,,,,,,,Approved,4/23/1985,5/25/2010,Y,BURTASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"327,241,015.00",0,"327,241,015.00",731,0,731,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104766,801-3186,PEGASUS ASSET MANAGEMENT INC,PEGASUS ASSET MANAGEMENT INC,400 RELLA BLVD.,SUITE 157,MONTEBELLO,NY,USA,10901,845-369-9422,845-369-9420,,,,,,,Approved,5/25/1963,5/25/2010,Y,WWW.PEGASUSASSETMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"107,874,502.00",0,"107,874,502.00",509,0,509,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109405,801-57508,WINDWARD INVESTMENT MANAGEMENT INC,WINDWARD INVESTMENT MANAGEMENT INC,"60 STATE STREET, SUITE 3600",,BOSTON,MA,UNITED STATES,2109,617-241-8600,617-241-0100,,,,,,,Approved,4/14/2000,5/25/2010,Y,WWW.WINDWARDINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,10-Jun,0,More than 500,"2,300",11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"3,436,000,000.00","44,000,000.00","3,480,000,000.00","6,217",44,"6,261",N,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT CONSULTING SERVICES FOR INDIVIDUALS,,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112084,801-57914,"MESIROW FINANCIAL PRIVATE EQUITY ADVISORS, INC.","MESIROW FINANCIAL PRIVATE EQUITY ADVISORS, INC.",353 NORTH CLARK ST,,CHICAGO,IL,UNITED STATES,60654,312-595-6000,312-595-7208,,,,,,,Approved,9/11/2000,5/25/2010,Y,WWW.MESIROWFINANCIAL.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"795,569,000.00",0,"795,569,000.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,SELECTS PRIVATE EQUITY INVESTMENT PARTNERSHIPS,,,N,N,N,N,N,N,N,N,Y,PRIVATE EQUITY LIMITED PARTNERSHIP INTERESTS,N,N,N,Y,N,Y,Y,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,152127,801-70785,"ETESIAN WEALTH ADVISORS, LLC","ETESIAN WEALTH ADVISORS, LLC",17040 PILKINGTON ROAD,STE. 200,LAKE OSWEGO,OR,UNITED STATES,97035,503-387-3615,503-387-3261,,,,,,,Approved,11/18/2009,5/25/2010,Y,WWW.ETESIANWEALTHADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"81,356,000.00",0,"81,356,000.00",225,0,225,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108257,801-25943,"COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC","COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC",100 FEDERAL STREET,,BOSTON,MA,UNITED STATES,2110,617-772-3543,877-303-7454,,,,,,,Approved,12/20/1985,5/25/2010,Y,WWW.AMERIPRISE.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,251-500,0,51-250,0,51-250,0,5-Jan,0,251-500,0,11-25 percent,Up to 10 percent,Up to 10 percent,26-50 percent,11-25 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"148,814,812,517.00",0,"148,814,812,517.00",376,0,376,N,Y,Y,Y,N,Y,N,N,N,Y,"PORTFOLIO MANAGEMENT FOR OTHER POOLED INVESTMENT VEHICLES, ASSET LIABILITY MANAGEMENT, CREDIT ANALYSIS & ASSET ALLOCATION SVCS",,,N,Y,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N
CHRO,106131,801-48479,DONALDSON CAPITAL MANAGEMENT LLC,DONALDSON CAPITAL MANAGEMENT LLC,20 NORTHWEST FIRST STREET,FIFTH FLOOR,EVANSVILLE,IN,UNITED STATES,47708,812-421-3211,812-421-3214,,,,,,,Approved,2/10/1995,5/25/2010,Y,WWW.DCMOL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"341,543,779.00","30,006,883.00","371,550,662.00",919,148,"1,067",N,Y,N,Y,N,N,Y,N,N,Y,PORTFOLIO AND INVESTMENT CONSULTATION SERVICES.,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,115754,801-60639,"ROCKBRIDGE INVESTMENT MANAGEMENT, LLC","ROCKBRIDGE INVESTMENT MANAGEMENT, LLC",101 SOUTH SALINA STREET,SUITE 400,SYRACUSE,NY,UNITED STATES,13202,315-671-0588,315-671-0589,,,,,,,Approved,10/18/2001,5/25/2010,Y,WWW.AGRI-INVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,More than 500,"2,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"196,989,100.00",0,"196,989,100.00",389,0,389,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,140234,801-66800,"STARR INVESTMENT ADVISORS, LLC","STARR INVESTMENT ADVISORS, LLC",850 THIRD AVENUE,15TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-759-6556,212-759-8775,,,,,,,Approved,6/2/2006,5/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"1,255,816,807.00","1,255,816,807.00",0,35,35,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,128500,801-62489,"GLENN H. BAER, CPA","BAER, GLENN HOWARD",95 LOWER POST ROAD,,GHENT,NY,USA,12075,518-828-3132,518-828-8929,,,,,,,Approved,10/31/2003,4/18/2006,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Sole Proprietorship,,NY,UNITED STATES,5-Jan,0,0,0,0,0,0,0,25-Nov,0,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105920,801-47250,MCGLINN CAPITAL MANAGEMENT INC,MCGLINN CAPITAL MANAGEMENT INC,850 NORTH WYOMISSING BLVD,,WYOMISSING,PA,UNITED STATES,19610-0158,610-374-5125,610-371-1116,,,,,,,Approved,8/30/1994,5/25/2010,Y,WWW.MCGLINNCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"230,000,000.00",0,"230,000,000.00",41,0,41,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152096,801-71507,"JAMISON & MCCARTHY INVESTMENT ADVISORS, LLC","JAMISON & MCCARTHY INVESTMENT ADVISORS, LLC",,,,,,,201-694-3391,973-284-0729,,,,,,,120-Day Approval,6/15/2010,5/25/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,135060,801-67710,"VALENTINE VENTURES, LLC","VALENTINE VENTURES, LLC",550 SW INDUSTRIAL WAY,BUILDING TWO SUITE 201,BEND,OR,UNITED STATES,97702,541-389-4148,541-389-4171,,,,,,,Approved,4/3/2007,5/25/2010,Y,HTTP://WWW.VALENTINEVENTURES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"98,225,213.00",0,"98,225,213.00",421,0,421,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145876,801-68637,PIPER JAFFRAY INVESTMENT MANAGEMENT LLC,PIPER JAFFRAY INVESTMENT MANAGEMENT LLC,800 NICOLLET MALL,,MINNEAPOLIS,MN,UNITED STATES,55402,612-303-6000,612-303-6295,,,,,,,Approved,1/2/2008,5/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"40,833,125.00",0,"40,833,125.00",1,0,1,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,N,Y,N,Y,N,Y,Y,Y,N,Y
LARO,106935,801-48177,WEATHERLY ASSET MANAGEMENT,WEATHERLY ASSET MANAGEMENT LP,"832 CAMINO DEL MAR, SUITE 4",,DEL MAR,CA,UNITED STATES,92014,858-259-4507,858-259-0782,,,,,,,Approved,1/10/1995,5/25/2010,Y,WWW.WEATHERLYASSETMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"292,591,734.00","8,637,067.00","301,228,801.00",685,30,715,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,128036,801-62324,"RUTHERFORD ASSET PLANNING, INC.","RUTHERFORD ASSET PLANNING, INC.",5150 TAMIAMI TRAIL NORTH,SUITE 204,NAPLES,FL,UNITED STATES,34103,239-261-3344,239-261-8008,,,,,,,Approved,9/17/2003,3/25/2010,Y,WWW.RUTHERFORDASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"108,252,285.00","271,272.00","108,523,557.00",310,4,314,Y,Y,N,Y,N,N,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139217,801-66016,EMSO PARTNERS LIMITED,EMSO PARTNERS LIMITED,41 BERKELEY SQUARE,,LONDON,,UNITED KINGDOM,W1J 5AN,4-207-500-0954,44-207-500-0611,,,,,,,Approved,2/1/2006,3/31/2010,Y,WWW.CITIGROUPAI.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),PRIVATE LIMITED COMPANY,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,COST REIMBURSEMENT,Y,"601,785,637.00",0,"601,785,637.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110625,801-26315,NEW STAR INSTITUTIONAL MANAGERS,NEW STAR INSTITUTIONAL MANAGERS LIMITED,201 BISHOPSGATE,,LONDON,,UNITED KINGDOM,EC2M 3AE,001.44.207.818.4050,001.44.207.818.7303,,,,,,,Approved,1/24/1986,3/31/2010,Y,HENDERSON.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,Up to 10 percent,"OEIC,SICAVS AND LIFE FUNDS (REGULATED SCHEMES IN THE EU)",Y,N,N,N,N,Y,N,,Y,"3,106,715,876.00",0,"3,106,715,876.00",32,0,32,N,N,Y,Y,N,N,N,N,N,Y,PORTFOLIO SERVICES FOR NON-US FUNDS AND NON-US INVESTMENT COMPANIES,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,22123,801-70493,MCMAHAN SECURITIES CO. L.P.,MCMAHAN SECURITIES CO. L.P.,500 WEST PUTNAM AVENUE - 3RD FL,,GREENWICH,CT,UNITED STATES,6830,203-618-3357,203-618-3399,,,,,,,Approved,8/27/2009,3/31/2010,Y,WWW.800MCMAHAN.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,RESEARCH REPORTS,,,N,N,Y,N,N,N,N,N,N,,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
FWRO,148409,801-69721,"MAC ADAMS WEALTH ADVISORS, LLC","MAC ADAMS WEALTH ADVISORS, LLC",12770 COIT ROAD,SUITE 1226,DALLAS,TX,UNITED STATES,75251,214-273-3630,214-273-3636,,,,,,,Approved,11/12/2008,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SHARES IN THIRD PARTY ADVISORY FEES,Y,"24,408,794.00","1,027,145.00","25,435,939.00",188,12,200,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,Y,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112005,801-46297,"MANNING & NAPIER ALTERNATIVE OPPORTUNITIES, INC.","MANNING & NAPIER ALTERNATIVE OPPORTUNITIES, INC.",290 WOODCLIFF DRIVE,,FAIRPORT,NY,UNITED STATES,14450,585-325-6880,585-325-3266,,,,,,,Approved,5/20/1994,3/31/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,0,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,N,N,N,Y,N,N,N,Y,SEE SCHEDULE D,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109159,801-53353,AEA QP ADVISERS INC.,AEA QP ADVISERS INC.,55 EAST 52ND STREET,35TH FLOOR,NEW YORK,NY,USA,10055,212-644-5900,212-702-0518,,,,,,,Approved,12/17/1996,3/31/2010,Y,WWW.AEAINVESTORS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,RECEIVES NO FEES SINCE THERE ARE NO MATERIAL REMAINING INVESTS.,Y,"5,765,298.00",0,"5,765,298.00",65,0,65,N,N,N,N,N,N,N,N,N,Y,"APPLICANT SOUGHT INVESTMENT OPPORTUNITIES FOR ITS CLIENTS, WHO HAD EACH ENTERED INTO COMMITMENT AGREEMENTS WITH APPLLICANT.",0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112572,801-57042,MOHAWK ASSET MANAGEMENT INC,MOHAWK ASSET MANAGEMENT INC,,,,,,,518-370-0289,,,,,,,,Approved,12/1/1999,3/31/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,WEALTH MANAGEMENT SERVICES FEE MAY BE BASED ON PERCENTAGE OF NET,Y,"7,072,803.00","1,841,223.00","8,914,026.00",43,15,58,Y,Y,Y,N,N,N,N,N,N,Y,BUSINESS CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,142411,801-67448,"RIDGEWOOD CAPITAL MANAGEMENT, LLC","RIDGEWOOD CAPITAL MANAGEMENT, LLC",14 PHILIPS PARKWAY,,MONTVALE,NJ,UNITED STATES,7645,201-447-9000,201-447-0474,,,,,,,Approved,2/20/2007,3/31/2010,Y,WWW.RIDGEWOODCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,Y,% CAPITAL CONTRIBUTIONS,Y,"56,160,748.00",0,"56,160,748.00",13,0,13,N,N,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y
CHRO,143268,801-67658,"JNF ADVISORS, INC.","JNF ADVISORS, INC.",9920 CORPORATE CAMPUS DRIVE,SUITE 1000,LOUISVILLE,KY,UNITED STATES,40223,502-587-3843,502-213-2970,,,,,,,Approved,3/23/2007,3/31/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,0,0,10-Jun,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"205,000,000.00",0,"205,000,000.00",3,0,3,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,105078,801-56081,GUARDIAN CAPITAL LP,GUARDIAN CAPITAL LP,"COMMERCE CT W, SUITE 3100",199 BAY STREET,"TORONTO, ONTARIO",,CANADA,M5L1E8,416-364-8341,416-364-2067,,,,,,,Approved,12/7/1998,3/31/2010,Y,WWW.GUARDIANCAPITALLP.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP (LP),,"ONTARIO, CANADA",Nov-50,0,Nov-50,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,"WE HAVE NO U.S. BASED CLIENTS. WE MANAGE 202 CDN-BASED SECURITIES PORTFOLIOS, VALUED AT C$12.9BN",Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135094,801-64208,"PALLADIO CAPITAL MANAGEMENT, LLC","PALLADIO CAPITAL MANAGEMENT, LLC",8 SOUND SHORE DRIVE,SUITE 160,GREENWICH,CT,USA,6830,203-542-8111,203-869-1013,P.O. BOX 134,,COS COB,CT,USA,06807-0134,Approved,5/19/2005,3/30/2009,Y,WWW.PALLADIOCAPITAL.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"10,212,000.00",0,"10,212,000.00",4,0,4,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,112157,801-20092,"MARGATE ADVISORY GROUP, INC.","MARGATE ADVISORY GROUP, INC.",,,,,,,818-905-5599,818-905-5660,,,,,,,Approved,11/18/1983,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"57,139,990.00",0,"57,139,990.00",28,0,28,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,2225,801-54935,"SII INVESTMENTS, INC.","SII INVESTMENTS, INC.",5555 GRANDE MARKET DRIVE,,APPLETON,WI,UNITED STATES,54913-8403,800-426-5975,920-954-2778,,,,,,,Approved,10/8/1997,3/31/2010,Y,HTTP://WWW.SIIONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,251-500,0,251-500,0,51-250,0,0,0,More than 500,"8,000",51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"786,484,209.00","130,709,103.00","917,193,312.00","4,672",608,"5,280",Y,Y,N,Y,Y,Y,Y,N,Y,Y,SEMINARS,251-500,,N,N,Y,N,N,N,Y,N,N,,N,,Y,Y,Y,Y,N,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
MIRO,134802,801-64112,KAHN FINANCIAL GROUP,"KAHN FINANCIAL GROUP, INC.",1700 MCMULLEN BOOTH ROAD,SUITE A-5,CLEARWATER,FL,UNITED STATES,33759,727-797-5551,727-797-5881,,,,,,,Approved,4/8/2005,3/31/2010,Y,WWW.KAHNFINANCIALGROUPINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"46,535,464.00","46,535,464.00",0,301,301,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,149770,801-70096,"GRANITE INVESTMENT ADVISORS, INC.","GRANITE INVESTMENT ADVISORS, INC.",11 SOUTH MAIN STREET,SUITE 501,CONCORD,NH,UNITED STATES,3301,603-226-6600,603-226-7200,PO BOX 2090,,CONCORD,NH,UNITED STATES,03302-2090,Approved,4/24/2009,3/31/2010,Y,WWW.GRANITEINVESTMENTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,Y,A PERCENTAGE OF AUM (NOT DIRECTLY MANAGED BY GRANITE),Y,"480,119,024.00","3,929,386.00","484,048,410.00",455,5,460,Y,Y,N,Y,N,N,N,N,N,Y,CONSULTING,26-50,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107148,801-38507,"FOSTER GROUP, INC.","FOSTER GROUP, INC.",1001 GRAND AVE,,WEST DES MOINES,IA,UNITED STATES,50265-3502,515-226-9000,515-224-4970,,,,,,,Approved,5/30/1991,3/31/2010,Y,WWW.FOSTERGRP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"846,829,265.00",0,"846,829,265.00","2,262",0,"2,262",Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,112149,801-60302,"QUANTLAB CAPITAL MANAGEMENT, LTD.","QUANTLAB CAPITAL MANAGEMENT, LTD.",4200 MONTROSE BOULEVARD,SUITE 200,HOUSTON,TX,UNITED STATES,77006,713-333-5440,713-333-5464,,,,,,,Approved,5/24/2001,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,CAYMAN ISLANDS,51-250,0,Nov-50,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"456,053,904.00",0,"456,053,904.00",7,0,7,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HEDGE FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107518,801-35477,INDEPENDENCE CAPITAL MANAGEMENT INC.,INDEPENDENCE CAPITAL MANAGEMENT INC.,600 DRESHER ROAD,#C1L,HORSHAM,PA,USA,19044,215-956-8108,215-956-7750,,,,,,,Approved,2/2/1990,3/31/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"4,102,841,558.00",0,"4,102,841,558.00",29,0,29,N,N,Y,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107076,801-53561,BAY HARBOUR MANAGEMENT LC,BAY HARBOUR MANAGEMENT LC,375 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10152,212-371-2211,212-371-7497,,,,,,,Approved,12/2/1996,3/31/2010,Y,WWW.BAYHARBOUR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"391,422,243.00",0,"391,422,243.00",6,0,6,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,141129,801-67299,ADVISEME NATIONAL ADVISORS,"PENSION SOLUTIONS, INC.",3737 PARK EAST DRIVE,#204,BEACHWOOD,OH,UNITED STATES,44122,216-595-0800,216-595-0825,,,,,,,Approved,11/28/2006,3/30/2009,Y,WWW.PA401K.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"46,314,916.00","30,904,876.00","77,219,792.00",734,7,741,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112170,801-55375,"SPRINGCREEK ADVISORS, LLC","SPRINGCREEK ADVISORS, LLC",770 TAMALPAIS DRIVE,SUITE 210,CORTE MADERA,CA,UNITED STATES,94925,415-945-7050,415-945-1385,,,,,,,Approved,3/23/1998,3/31/2010,Y,SPRINGCREEKADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"123,789,341.00","108,732,905.00","232,522,246.00",55,114,169,Y,Y,N,N,N,Y,N,N,N,Y,PORTFOLIO MGMT FOR PRIVATE INVESTMENT PARTNERSHIPS,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,N,N,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109309,801-55183,"GMO RENEWABLE RESOURCES, LLC","GMO RENEWABLE RESOURCES, LLC",77 FRANKLIN STREET,10TH FLOOR,BOSTON,MA,UNITED STATES,02110-3327,617-346-7597,617-310-4587,,,,,,,Approved,1/15/1998,3/31/2010,Y,WWW.GMO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,ENDOWMENTS,Y,N,N,N,N,Y,N,,Y,"1,729,710,019.00","1,639,749,613.00","3,369,459,632.00",20,6,26,N,Y,N,Y,N,N,N,N,N,Y,PROVIDES ADVICE ON DIRECT INVESTMENTS IN FORESTLAND AND TIMBER OPERATIONS,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,120642,801-61138,"ALTAIR ADVISERS, LLC","ALTAIR ADVISERS, LLC",303 W. MADISON ST.,SUITE 600,CHICAGO,IL,USA,60606,312-429-3000,312-429-3029,,,,,,,Approved,5/7/2002,3/31/2010,Y,WWW.ALTAIRADVISERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"2,529,888,278.00","2,529,888,278.00",0,204,204,Y,N,N,N,Y,Y,Y,N,N,Y,"RESEARCH, DUE DILIGENCE ON INVESTMENT MANAGERS; PORTFOLIO PERFORMANCE REPORTING FOR USE BY OTHER INVESTMENT CONSULTING FIRMS.",25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,109840,801-57262,GUARDIAN CAPITAL ADVISORS LP,GUARDIAN CAPITAL ADVISORS LP,"COMMERCE COURT WEST, SUITE 3100",199 BAY STREET,TORONTO ONTARIO,,CANADA,M5L1E8,416-364-8341,416-364-1255,,,,,,,Approved,3/31/2000,3/31/2010,Y,WWW.GCAWEB.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP(LP),,"ONTARIO, CANADA",Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,"ON A DISCR. BASIS, WE MANAGE 1,798 CDN-BASED SECS. PORTS., VALUED AT C$760MM, AND ADVISE PORTS. VALUED AT C$111MM, ALL NON-U.S.",Y,N,N,N,N,N,N,,Y,"10,615,060.00",0,"10,615,060.00",23,0,23,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108917,801-58074,MOSS ADAMS WEALTH ADVISORS LLC,MOSS ADAMS WEALTH ADVISORS LLC,999 THIRD AVE STE 2800,,SEATTLE,WA,UNITED STATES,98104,206-302-6717,206-332-8849,,,,,,,Approved,10/26/2000,3/31/2010,Y,HTTP://WWW.MOSSADAMSWEALTHADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,000",11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"800,125,479.00","12,643,341.00","812,768,820.00","1,928",78,"2,006",Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,131443,801-63161,FAIRVIEW CONSTITUTION MANAGEMENT LLC,FAIRVIEW CONSTITUTION MANAGEMENT LLC,75 ISHAM ROAD,SUITE 200,WEST HARTFORD,CT,UNITED STATES,6107,860-674-8066,860 678-5108,,,,,,,Approved,6/7/2004,3/31/2010,Y,WWW.FAIRVIEWCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,FUND-OF-FUNDS,N,N,N,Y,N,N,N,,Y,"640,000,552.00",0,"640,000,552.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131796,801-63317,"PAPAMARKOU WELLNER ASSET MANAGEMENT, INC.","PAPAMARKOU WELLNER ASSET MANAGEMENT, INC.",399 PARK AVENUE,38TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-223-2020,212-758-9804,,,,,,,Approved,7/21/2004,3/31/2010,Y,WWW.PAPAMARKOU.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,REFERRAL FEES; PERCENTAGE OF ASSETS,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,Y,ADVICE ON ASSET ALLOCATION,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
BRO,138552,801-65965,CAMBRIAN CAPITAL LIMITED PARTNERSHIP,CAMBRIAN CAPITAL LIMITED PARTNERSHIP,,,,,,,978-526-7010,978-526-7080,,,,,,,Approved,1/30/2006,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,MA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"850,919,022.00",0,"850,919,022.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES TO PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105776,801-13304,BLACKROCK INSTITUTIONAL MANAGEMENT CORPORATION,BLACKROCK INSTITUTIONAL MANAGEMENT CORPORATION,100 BELLEVUE PARKWAY,,WILMINGTON,DE,UNITED STATES,19809,302-797-2000,302-797-2473,,,,,,,Approved,9/8/1977,3/31/2010,Y,WWW.BLACKROCK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"112,792,469,464.00",0,"112,792,469,464.00",15,0,15,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
BRO,106781,801-45649,FAIRVIEW CAPITAL PARTNERS LP,FAIRVIEW CAPITAL PARTNERS LP,75 ISHAM ROAD,SUITE 200,WEST HARTFORD,CT,UNITED STATES,6107,860-674-8066,860-678-5108,,,,,,,Approved,1/31/1994,3/31/2010,Y,WWW.FAIRVIEWCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,FUND-OF-FUNDS,Y,N,N,N,N,Y,N,,Y,"92,100,000.00",0,"92,100,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112994,801-63778,PLANNING CAPITAL MANAGEMENT CORP.,PLANNING CAPITAL MANAGEMENT CORP.,30 S HADDON AVENUE,,HADDONFIELD,NJ,UNITED STATES,8033,856-482-8700,856-482-0096,,,,,,,Approved,1/19/2005,3/31/2010,Y,WWW.PCMINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"33,123,353.00","29,452,921.00","62,576,274.00",162,234,396,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,Y,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,129299,801-68142,AUBURNDALE INVESTMENT MANAGEMENT,"STUART, DAVID BALDWIN","101 FEDERAL ST., SUITE 310",,BOSTON,MA,UNITED STATES,2110,617-261-6400,617-261-6430,,,,,,,Approved,7/24/2007,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"29,902,000.00",0,"29,902,000.00",23,0,23,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,132903,801-63572,UNIVERSAL ADVISORY SERVICES,"UASNM, INC.","4906 ALAMEDA, NE",,ALBUQUERQUE,NM,USA,87113,505-856-5600,505-856-7000,,,,,,,Approved,9/4/2004,3/31/2010,Y,WWW.UASINC.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NM,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,PERCENTAGE OF NET WORTH,Y,"245,000,000.00",0,"245,000,000.00","1,035",0,"1,035",Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,113085,801-60336,"CLIENT FIRST ADVISORS,INC.","CLIENT FIRST ADVISORS,INC.",611 DRUID RD. E,SUITE 707,CLEARWATER,FL,UNITED STATES,33756,727-450-2301,727-450-2302,,,,,,,Approved,6/19/2001,3/31/2010,Y,WWW.CLIENT1STADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"65,540,287.00",0,"65,540,287.00",64,0,64,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108492,801-55105,FAIRVIEW CAPITAL PARTNERS II LP,FAIRVIEW CAPITAL PARTNERS II LP,75 ISHAM ROAD,SUITE 200,WEST HARTFORD,CT,UNITED STATES,6107,860-674-8066,860-678-5108,,,,,,,Approved,12/5/1997,3/31/2010,Y,WWW.FAIRVIEWCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,FUND-OF-FUNDS,Y,N,N,N,N,Y,N,,Y,"174,203,846.00",0,"174,203,846.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,3618,801-70259,"TRUBEE, COLLINS & CO., INC.","TRUBEE, COLLINS & CO., INC.",1350 ONE M & T PLAZA,,BUFFALO,NY,UNITED STATES,14203,716-849-1401,716-849-0144,,,,,,,Approved,6/11/2009,3/31/2010,Y,HTTP://WWW.TRUBEECOLLINS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"40,884,396.00","29,730,057.00","70,614,453.00",136,117,253,N,Y,N,N,N,N,N,N,N,N,,0,,Y,Y,Y,N,N,N,Y,N,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
FWRO,106482,801-16283,DIMENSIONAL FUND ADVISORS LP,DIMENSIONAL FUND ADVISORS LP,6300 BEE CAVE ROAD,BUILDING ONE,AUSTIN,TX,UNITED STATES,78746,512-306-7400,512-306-7609,,,,,,,Approved,8/26/1981,3/31/2010,Y,WWW.DIMENSIONAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,251-500,0,51-250,0,51-250,0,5-Jan,0,251-500,0,0 percent,11-25 percent,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"126,902,926,372.00",0,"126,902,926,372.00",259,0,259,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106614,801-47710,"BLACKROCK ADVISORS, LLC","BLACKROCK ADVISORS, LLC",100 BELLEVUE PARKWAY,,WILMINGTON,DE,UNITED STATES,19809,302.797.2000,302-797-2473,,,,,,,Approved,11/1/1994,3/31/2010,Y,HTTP://WWW.BLACKROCK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,251-500,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"242,658,467,857.00",0,"242,658,467,857.00",269,0,269,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
PLRO,107402,801-37472,"SCARBOROUGH CAPITAL MANAGEMENT, INC.","SCARBOROUGH CAPITAL MANAGEMENT, INC.",441 DEFENSE HWY,SUITE E,ANNAPOLIS,MD,USA,21401,410-573-5700,410-573-5708,,,,,,,Approved,10/12/1990,3/31/2010,Y,WWW.401KADVICE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"3,500",51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SHARE IN 3RD PARTY FEES,Y,"843,776,874.00",0,"843,776,874.00","4,248",0,"4,248",Y,Y,N,N,N,Y,N,N,N,Y,EDUCATIONAL SEMINARS,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,117268,801-64180,GILBERT CAPITAL GROUP,"GILBERT CAPITAL GROUP, INC.",,,,,,,207-657-6900,207-657-6996,,,,,,,Approved,1/31/2006,2/2/2010,Y,WWW.GILBERTCAPITALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,ME,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"42,203,194.00",0,"42,203,194.00",210,0,210,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,135948,801-64443,"BLACKSTREET CAPITAL ADVISORS, LLC","BLACKSTREET CAPITAL ADVISORS, LLC",5425 WISCONSIN AVENUE,SUITE 701,CHEVY CHASE,MD,UNITED STATES,20815,240.223.1330,240.223.1331,,,,,,,Approved,1/24/2006,2/2/2010,Y,WWW.BLACKSTREETCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,"87,950,000.00",0,"87,950,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,GENERAL PARTNER OF PRIVATE EQUITY FUND,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,135949,801-64444,"BLACKSTREET CAPITAL MANAGEMENT, LL","BLACKSTREET CAPITAL MANAGEMENT, LL",5425 WISCONSIN AVENUE,SUITE 701,CHEVY CHASE,MD,UNITED STATES,20815,240.223.1330,240.223.1331,,,,,,,Approved,8/5/2005,2/2/2010,Y,WWW.BLACKSTREETCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"194,000,000.00",0,"194,000,000.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,MANAGER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,149228,801-69881,"MARTIN FINANCIAL GROUP, LLC","MARTIN FINANCIAL GROUP, LLC",3707 CHARLESTOWN ROAD,SUITE C2,NEW ALBANY,IN,UNITED STATES,47150,(812) 542-1018,(812)542-1108,,,,,,,Approved,1/30/2009,2/2/2010,Y,WWW.MARTINFINANCIALGROUP.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"41,852,051.00",0,"41,852,051.00",417,0,417,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,Y,Y,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112237,801-45825,"MANLEY ASSET MANAGEMENT, L.P.","MANLEY ASSET MANAGEMENT, L.P.",323 MAIN STREET,,CHATHAM,NJ,UNITED STATES,07928-2200,973-665-0475,973-665-0479,,,,,,,Approved,2/10/1994,2/4/2010,Y,WWW.MANLEYASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"105,979,598.00",0,"105,979,598.00",5,0,5,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,129422,801-67734,"NORRIS FINANCIAL GROUP, LLC","NORRIS FINANCIAL GROUP, LLC",600 N. MAIN STREET,,GREENVILLE,SC,UNITED STATES,29601,864-235-6408,864-235-1186,605 N MAIN STREET,,GREENVILLE,SC,UNITED STATES,29601,Approved,4/20/2007,2/4/2010,Y,WWW.NORRISFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"52,776,843.00",0,"52,776,843.00",111,0,111,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,144958,801-68375,"GUARDIAN ASSET ADVISORS, LLC","GUARDIAN ASSET ADVISORS, LLC",5000 RITTER RD,SUITE 202,MECHANICSBURG,PA,USA,17055,717-691-3003,717-200-2559,,,,,,,Approved,10/19/2007,2/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,More than 500,500,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"53,271,955.00","205,375.00","53,477,330.00",659,2,661,Y,Y,N,N,N,N,N,N,N,N,,0,,Y,Y,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,121269,801-67388,M.K. BROWN & ASSOCIATES LLC,M.K. BROWN & ASSOCIATES LLC,580 LINCOLN PARK BLVD.,SUITE 333,KETTERING,OH,UNITED STATES,45429,937-298-8904,937-298-8950,,,,,,,Approved,1/18/2007,2/4/2010,Y,WWW.MKBROWN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,Y,THIRD PARTY REFERRAL FEES,Y,"20,000,000.00","16,000,000.00","36,000,000.00",85,68,153,N,Y,N,Y,N,Y,N,N,N,Y,CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109143,801-57978,"INDEX FUNDS ADVISORS, INC.","INDEX FUNDS ADVISORS, INC.",19200 VON KARMAN AVE,SUITE 150,IRVINE,CA,UNITED STATES,92612-6566,949-502-0050,949-502-0048,,,,,,,Approved,9/28/2000,2/4/2010,Y,WWW.IFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,10-Jun,0,More than 500,"1,500",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,032,840,958.00",0,"1,032,840,958.00","3,501",0,"3,501",N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110026,801-33273,"S & CO., INC.","S & CO., INC.","50 CONGRESS STREET, ROOM 800",,BOSTON,MA,USA,2109,617-227-8660,617-227-4470,,,,,,,Approved,11/10/1988,2/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,"TO CLARIFY D(1) AND (2) ABOVE, A SUBSTANTIAL PORTION OF OUR CLIENTS ARE INDIVIDUAL TRUSTEES OF REVOCABLE AND IRREVOCABLE TRUSTS.",Y,N,N,N,N,N,N,,Y,"952,914,200.00",0,"952,914,200.00",169,0,169,N,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT ADVICE TO INDIVIDUAL TRUSTEES OF REVOCABLE AND IRREVOCABLE TRUSTS.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,139648,801-66374,"STRATEGIC PLANNING, INC.","STRATEGIC PLANNING, INC.",7720 RIVERS EDGE DRIVE,SUITE 126A,COLUMBUS,OH,USA,43235,614-802-0170,614-802-0171,,,,,,,Approved,3/13/2006,2/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,0,"75,000,000.00","75,000,000.00",0,721,721,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,136380,801-68661,"GRIFFITH & WERNER, INC.","GRIFFITH & WERNER, INC.",107 MOUNTAIN BROOK DRIVE,SUITE 108,CANTON,GA,USA,30115,678-901-4167,678-493-7854,,,,,,,Approved,1/15/2008,2/4/2010,Y,WWW.GRIFFITH-WERNER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"25,812,113.00","15,363,833.00","41,175,946.00",457,103,560,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,125936,801-70741,"CONFIDENTIAL MANAGEMENT ADVISORS, INC.","CONFIDENTIAL MANAGEMENT ADVISORS, INC.",1700 WEST BIG BEAVER,SUITE 320,TROY,MI,UNITED STATES,48084,248-540-7511,248-540-9261,,,,,,,Approved,11/5/2009,2/4/2010,Y,WWW.CONFIDENTIALMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"50,000,000.00","10,000,000.00","60,000,000.00",270,30,300,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,151715,801-70683,"FIRST SAVINGS FINANCIAL SERVICES, INC.","FIRST SAVINGS FINANCIAL SERVICES, INC.",2 WALNUT STREET,,DANVILLE,PA,UNITED STATES,17821,570-271-1855,570-271-1208,,,,,,,Approved,10/16/2009,2/4/2010,Y,WWW.PAPALIAFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,10-Jun,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,12B1 FEE OFFSETS,Y,"265,102,621.00",0,"265,102,621.00","1,414",0,"1,414",Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,Y,N,Y,N,Y,N,Y,Y,Y,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107823,801-32238,COMPASS CAPITAL MANAGEMENT INC,COMPASS CAPITAL MANAGEMENT INC,400 BAKER BLDG,706 2ND AVE SOUTH,MINNEAPOLIS,MN,UNITED STATES,55402,612-338-4051,612-339-1304,,,,,,,Approved,6/10/1988,2/4/2010,Y,WWW.COMPASSCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,0 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"447,173,192.00","7,773,733.00","454,946,925.00",181,8,189,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,121134,801-69374,"JM EGAN WEALTH ADVISORS, LLC","JM EGAN WEALTH ADVISORS, LLC",21 GREEN VILLAGE ROAD,,MADISON,NJ,UNITED STATES,7940,973-377-4700 EX 323,973-377-7080,,,,,,,Approved,7/2/2008,2/4/2010,Y,WWW.JMEGAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITOR/REFERAL FEE,Y,"102,350,468.00",0,"102,350,468.00",451,0,451,Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,44430,801-57302,"FIRST CITIZENS INVESTOR SERVICES, INC.","FIRST CITIZENS INVESTOR SERVICES, INC.",4300 SIX FORKS ROAD,,RALEIGH,NC,UNITED STATES,27609,919-716-7392,919-716-2230,PO BOX 27131,,RALEIGH,NC,UNITED STATES,27611,Approved,2/22/2000,2/4/2010,Y,WWW.FIRSTCITIZENS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"1,500",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,BENEVOLENT ORGANIZATION (CHURCH),Y,N,N,Y,N,N,N,,Y,"240,993,476.00",0,"240,993,476.00","1,175",0,"1,175",Y,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,N,N,N,N,Y,N,N,Y,N,N,N,Y,N,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,109995,801-56546,"CARL STUART INVESTMENT ADVISOR, INC.","CARL STUART INVESTMENT ADVISOR, INC.",1301 SOUTH MOPAC EXPRESSWAY,SUITE 300,AUSTIN,TX,UNITED STATES,78746,512-478-2275,512-478-3062,,,,,,,Approved,5/24/1999,2/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,$250 CONSULTATION FEE,Y,"141,145,001.00","51,087,232.00","192,232,233.00",508,95,603,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,137192,801-64842,"OAK ADVISORS, LLC","OAK ADVISORS, LLC",9 OAK FOREST ROAD,SUITE 200,BLUFFTON,SC,USA,29910,843-757-9339,843-757-9338,P.O. BOX 7318,,HILTON HEAD,SC,USA,29938,Approved,10/25/2005,1/30/2010,Y,WWW.OAKADVISORS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"88,230,160.00","673,967.00","88,904,127.00",400,1,401,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,151631,801-70615,"EXOS ADVISORS, LLC","EXOS ADVISORS, LLC",560 MISSION STREET,SUITE 2800,SAN FRANCISCO,CA,UNITED STATES,94105,415-658-9800,415-658-9799,,,,,,,Approved,10/2/2009,1/30/2010,Y,WWW.EXOS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,0,0,More than 75 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"12,000,000.00","17,000,000.00","29,000,000.00",20,30,50,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,130731,801-63085,RICHARD  DUDLEY KEY DBA RICHARD D. KEY,RICHARD DUDLEY KEY,,,,,,,307-367-6661,307-367-3577,,,,,,,Approved,5/7/2004,3/16/2007,Y,RDKEY@CENTURYTEL.NET,N,N,Y,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"250,000.00",0,"250,000.00",2,0,2,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111362,801-57392,ARBOR CAPITAL MANAGEMENT INC,ARBOR CAPITAL MANAGEMENT INC,1400 WEST BENSON BLVD.,SUITE 575,ANCHORAGE,AK,USA,99503,907-222-7581,907-222-7583,,,,,,,Approved,3/17/2000,1/30/2010,Y,WWW.ARBORCAPITAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AK,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"122,000,000.00",0,"122,000,000.00",210,0,210,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,151010,801-70435,TAYAL VENTURES INTERNATIONAL LLC,TAYAL VENTURES INTERNATIONAL LLC,4450 ARAPAHOE AVE,SUITE 100,BOULDER,CO,UNITED STATES,80303,303-807-4500,303-484-4272,,,,,,,Approved,7/30/2009,1/30/2010,Y,WWW.TAYALVENTURES.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,11-25 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,Y,N,N,Y,N,N,N,Y,RISK MANAGEMENT FOR INVESTMENT COMPANIES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,126890,801-67223,"WEGENER, LLC","WEGENER, LLC",,,,,,,703-282-9380,866-898-2993,,,,,,,Approved,10/24/2006,1/30/2010,Y,WWW.WEGENERLLC.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,500,000.00",0,"3,500,000.00",2,0,2,N,Y,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,141785,801-67187,ASHCAR ADVISORS LLC,ASHCAR ADVISORS LLC,,,,,,,772 545 3177,NA,,,,,,,Approved,9/19/2006,1/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"160,000,000.00",0,"160,000,000.00",79,0,79,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106958,801-50964,ALEX GREEN INVESTMENT MANAGEMENT LLC,ALEX GREEN INVESTMENT MANAGEMENT LLC,10 SOUTH RIVERSIDE PLAZA #1800,,CHICAGO,IL,UNITED STATES,60606,312-474-7737,847-940-4455,,,,,,,Approved,2/5/1996,1/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"113,788,362.00",0,"113,788,362.00",132,0,132,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,103846,801-60515,MMC SECURITIES CORP.,MMC SECURITIES CORP.,1166 AVENUE OF THE AMERICAS,,NEW YORK,NY,UNITED STATES,10036,212-345-5000,212-345-2778,,,,,,,Approved,9/28/2001,6/3/2010,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,251-500,0,51-250,0,251-500,0,0,0,More than 500,500,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,Y,A PERCENTAGE BASED ON ASSETS IN A PENSION PLAN,Y,0,"2,000,000.00","2,000,000.00",0,19,19,N,Y,N,N,Y,Y,N,N,N,Y,OFFER WRAP FEE PROGRAMS SPONSORED BY OTHER ADVISERS,0,,N,N,Y,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,Y,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,Y,Y
BRO,141772,801-67147,"ELLINGTON GLOBAL ASSET MANAGEMENT, LLC","ELLINGTON GLOBAL ASSET MANAGEMENT, LLC",53 FOREST AVENUE,SUITE 301,OLD GREENWICH,CT,USA,6870,203-698-1200,203-698-0869,,,,,,,Approved,10/5/2006,6/3/2010,Y,WWW.ELLINGTON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"172,705,806.00",0,"172,705,806.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,MANAGEMENT OF MANAGED ACCOUNTS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
BRO,117590,801-61009,"DUKE FUNDING MANAGEMENT, L.L.C.","DUKE FUNDING MANAGEMENT, L.L.C.",53 FOREST AVENUE,SUITE 301,OLD GREENWICH,CT,USA,6870,203-698-1200,203-698-0869,,,,,,,Approved,4/5/2002,6/3/2010,Y,WWW.ELLINGTON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,STRUCTURING FEE,Y,"4,628,304,423.00",0,"4,628,304,423.00",12,0,12,N,N,N,N,N,N,N,N,N,Y,MANAGEMENT OF COLLATERALIZED DEBT OBLIGATIONS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
FWRO,20580,801-66300,SANDERS MORRIS HARRIS INC.,SANDERS MORRIS HARRIS INC.,600 TRAVIS,SUITE 5800,HOUSTON,TX,UNITED STATES,77002-3003,713-224-3100,713-220-5182,"600 TRAVIS, SUITE 5800",,HOUSTON,TX,UNITED STATES,77002-3003,Approved,3/30/2006,6/3/2010,Y,SMHGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,251-500,0,51-250,0,51-250,0,5-Jan,0,More than 500,"4,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,BANK COLLATERAL ACCOUNTS,Y,Y,N,Y,Y,N,N,,Y,"426,067,214.00","121,815,564.00","547,882,778.00","1,544",505,"2,049",Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,Y,Y,Y,N,N,N,N,N,Y,FUTURES INTRODUCING BROKER,Y,N,Y,N,N,Y,N,N,N,N,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,Y,N,N,N,N
BRO,152353,801-71551,"WEALTH GATHERING, LLC","WEALTH GATHERING, LLC",,,,,,,(207) 240-8486,,PO BOX 656,,GORHAM,ME,UNITED STATES,4038,Approved,6/21/2010,6/4/2010,Y,WWW.WEALTHGATHERING.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,ME,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,1588,801-13057,DAVENPORT & COMPANY LLC,DAVENPORT & COMPANY LLC,ONE JAMES CENTER,"901 EAST CARY STREET, SUITE 1100",RICHMOND,VA,UNITED STATES,23219,804-780-2000,804-549-4339,P.O. BOX 85678,,RICHMOND,VA,UNITED STATES,23285-5678,Approved,6/2/1977,6/4/2010,Y,WWW.INVESTDAVENPORT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,251-500,0,51-250,0,251-500,0,5-Jan,0,More than 500,"10,000",More than 75 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,Y,Y,12B-1 FEES AND/OR SHAREHOLDER SERVICING FEES FROM MUTUAL FUNDS,Y,"3,854,219,714.00","171,346,561.00","4,025,566,275.00","12,541",482,"13,023",Y,Y,Y,Y,Y,Y,N,N,N,N,,25-Nov,,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
HQ,107081,801-41622,JF INTERNATIONAL MANAGEMENT INC.,JF INTERNATIONAL MANAGEMENT INC.,"21ST FLOOR, CHATER HOUSE, 8 CONNAUGHT ROAD CENTRAL",,HONG KONG,,HONG KONG,,852-2800-2800,852-2522-0356,,,,,,,Approved,6/3/1992,6/4/2010,N,,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,BRITISH VIRGIN ISLANDS,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,169,000,000.00",0,"2,169,000,000.00",6,0,6,N,N,Y,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,N
NYRO,20989,801-38319,JPMORGAN ALTERNATIVE ASSET MANAGEMENT,"J.P. MORGAN ALTERNATIVE ASSET MANAGEMENT, INC.",270 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10017,212-648-2631,917-464-7309,,,,,,,Approved,2/22/1991,6/4/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"6,061,731,593.00","1,321,722,143.00","7,383,453,736.00",34,4,38,N,Y,Y,Y,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HEDGE FUNDS/ FUND OF FUND,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N
NYRO,143393,801-67629,THRASHER CAPITAL MANAGEMENT,"THRASHER CAPITAL MANAGEMENT, LLC",419 LAFAYETTE ST. 3RD FLOOR,,NEW YORK,NY,USA,10003,646-723-4563,646-414-0029,,,,,,,Approved,3/23/2007,7/24/2007,Y,WWW.THRASHERFUNDS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,51-75 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"982,000.00",0,"982,000.00",4,0,4,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107326,801-57272,BEDELL INVESTMENT COUNSELLING LLC,BEDELL INVESTMENT COUNSELLING LLC,200 PRINGLE AVE STE 450,,WALNUT CREEK,CA,USA,94596,925-932-0344,925-932-8216,,,,,,,Approved,2/18/2000,6/4/2010,Y,WWW.BEDELLINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,26-50 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"270,000,000.00",0,"270,000,000.00",800,0,800,Y,Y,N,N,N,N,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,109765,801-60198,KEMPEN CAPITAL MANAGEMENT (UK) LIMITED,KEMPEN CAPITAL MANAGEMENT (UK) LIMITED,41 MELVILLE STREET,,EDINBURGH,,UNITED KINGDOM,EH37JF,011-44-131-226-6985,011-44-131-226-6984,,,,,,,Approved,5/1/2001,6/4/2010,Y,WWW.KEMPEN.NL,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,10-Jun,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,339,251,027.00",0,"1,339,251,027.00",10,0,10,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152824,801-71051,SENECA FINANCIAL ADVISORS LLC,SENECA FINANCIAL ADVISORS LLC,400 LINDEN OAKS,SUITE 150,ROCHESTER,NY,UNITED STATES,14625,585-203-1211,585-286-3858,,,,,,,Approved,2/8/2010,6/4/2010,Y,WWW.SENECAFINANCIALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"12,206,835.00","91,274,024.00","103,480,859.00",14,125,139,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,147082,801-70479,"DISCH & ASSOCIATES, LLC","DISCH & ASSOCIATES, LLC","10 NEWBURY STREET, 4TH FLOOR",,BOSTON,MA,UNITED STATES,2116,617-585-0050,617-507-6036,,,,,,,Approved,8/7/2009,6/4/2010,Y,WWW.DISCHANDASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"89,667,287.00",0,"89,667,287.00",345,0,345,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153818,801-71424,"DEETER ADVISORY GROUP, LLC","DEETER ADVISORY GROUP, LLC",,,,,,,513-289-5056,,,,,,,,120-Day Approval,5/13/2010,6/4/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153537,801-71490,"RIVER STREET ADVISORS, LLC","RIVER STREET ADVISORS, LLC",37 S. RIVER STREET,,AURORA,IL,UNITED STATES,60506,630-892-0202,,,,,,,,120-Day Approval,6/7/2010,6/4/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,26-50 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,138535,801-65161,"WATERSTONE CAPITAL MANAGEMENT, L.P.","WATERSTONE CAPITAL MANAGEMENT, L.P.",2 CARLSON PARKWAY,SUITE 260,PLYMOUTH,MN,UNITED STATES,55447,952-697-4100,952-697-4140,,,,,,,Approved,1/19/2006,6/4/2010,Y,WWW.WSCM.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,SINGLE INVESTOR INVESTMENT VEHICLES AND MANAGED ACCOUNTS,Y,N,N,N,N,Y,N,,Y,"1,648,000,000.00",0,"1,648,000,000.00",12,0,12,N,N,N,Y,N,N,N,N,N,Y,"PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES, SINGLE INVESTOR INVESTMENT VEHICLES AND SEPARATE ACCOUNTS",,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,119660,801-64475,"WEALTH MANAGEMENT GROUP, LLP","WEALTH MANAGEMENT GROUP, LLP",18201 VON KARMAN AVENUE,SUITE 305,IRVINE,CA,UNITED STATES,92612-1070,949-752-7997,949-261-1805,,,,,,,Approved,7/1/2005,6/4/2010,Y,WWW.CPAPLANNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"61,352,508.00","8,006,675.00","69,359,183.00",239,2,241,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107754,801-53770,UBS AGRIVEST LLC,UBS AGRIVEST LLC,242 TRUMBULL STREET,,HARTFORD,CT,USA,06103-1212,860-616-9200,860-616-9204,,,,,,,Approved,2/5/1997,6/4/2010,Y,WWW.UBS.COM/REALESTATE,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,10-Jun,0,25-Nov,0,Up to 10 percent,26-50 percent,0 percent,0 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,,Y,N,Y,N,N,N,Y,N,Y,N,Y,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N
NYRO,142117,801-67722,"TRANSPARENT VALUE ADVISORS, LLC","TRANSPARENT VALUE ADVISORS, LLC",135 EAST 57TH STREET,15TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-381-4163,212-901-9484,,,,,,,Approved,4/18/2007,6/4/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,0,"51,385,804.00","51,385,804.00",0,1,1,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,127737,801-63364,"DBN WEALTH MANAGEMENT, LLC","DBN WEALTH MANAGEMENT, LLC",200 EAST CARRILLO ST STE 302,,SANTA BARBARA,CA,USA,93101,805-962-2261,805-965-5682,,,,,,,Approved,7/30/2004,6/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,0,"44,824,266.00","44,824,266.00",0,44,44,Y,Y,N,N,Y,N,N,N,N,Y,FOUNDATIONS,0,,N,N,N,Y,N,Y,Y,N,Y,"VENTURE CAPITAL, EQUIPMENT LEASING",N,,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111234,801-63431,ENRICH FINANCIAL PARTNERS LLC,ENRICH FINANCIAL PARTNERS LLC,6425 ODANA ROAD,,MADISON,WI,UNITED STATES,53719,608-275-3442,608-275-3445,,,,,,,Approved,8/20/2004,6/4/2010,Y,WWW.ENRICHPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"55,948,786.00","482,925.00","56,431,711.00",523,9,532,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,Y,Y,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,143597,801-68396,"GURTIN FIXED INCOME MANAGEMENT, LLC","GURTIN FIXED INCOME MANAGEMENT, LLC",440 STEVENS AVENUE,SUITE 260,SOLANA BEACH,CA,UNITED STATES,92075,858-436-2210,858-436-2201,,,,,,,Approved,10/10/2007,6/4/2010,Y,WWW.GURTIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"6,747,183,972.00",0,"6,747,183,972.00",781,0,781,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,145200,801-70857,GLOBAL VISION ADVISORS,GLOBAL VISION ADVISORS LLC,"99 DERBY STREET, SUITE 203",,HINGHAM,MA,UNITED STATES,2043,781-740-8883,781-740-0553,,,,,,,Approved,12/14/2009,6/4/2010,Y,WWW.GLOBALVISIONADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"48,222,179.00","6,945,603.00","55,167,782.00",265,21,286,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,153865,801-71556,COURANT INVESTMENT MANAGEMENT LLC,COURANT INVESTMENT MANAGEMENT LLC,7800 SOUTHWEST PARKWAY #1110,,AUSTIN,TX,UNITED STATES,78735,360-941-6001,888-841-3405,,,,,,,120-Day Approval,6/16/2010,6/4/2010,Y,WWW.COURANTINVESTMENT.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105633,801-19287,BROWN CAPITAL MANAGEMENT INC,BROWN CAPITAL MANAGEMENT INC,1201 N CALVERT ST,,BALTIMORE,MD,USA,21202-3908,410-837-3234,410-837-6525,,,,,,,Approved,7/14/1983,4/1/2010,Y,WWW.BROWNCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,541,567,359.00",0,"2,541,567,359.00",112,0,112,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105752,801-13695,FFP INVESTMENT ADVISORS INC,FFP INVESTMENT ADVISORS INC,"RIVERVIEW OFFICE TOWER, SUITE 185",8009 34TH AVENUE SOUTH,BLOOMINGTON,MN,USA,55425,952-854-9678,952-854-9889,,,,,,,Approved,3/9/1978,4/1/2010,Y,WWW.FFPIA.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"290,000.00","16,360,000.00","16,650,000.00",6,53,59,Y,Y,N,Y,N,Y,N,N,Y,N,,51-100,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N
NYRO,128093,801-60314,"ROBOTTI & COMPANY ADVISORS, LLC","ROBOTTI & COMPANY ADVISORS, LLC",110 E. 42ND STREET,SUITE 1100,NEW YORK,NY,UNITED STATES,10017-8535,212 986-4800,212 986-0816,,,,,,,Approved,6/7/2001,4/1/2010,Y,WWW.ROBOTTI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,11-25 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"238,995,081.00",0,"238,995,081.00",229,0,229,N,Y,Y,Y,N,N,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,104840,801-13200,BOYS ARNOLD & CO. INC.,BOYS ARNOLD & CO. INC.,1272 HENDERSONVILLE RD,,ASHEVILLE,NC,UNITED STATES,28803,828-274-1542,828-274-5568,P.O.  BOX 5255,,ASHEVILLE,NC,UNITED STATES,28813,Approved,8/19/1977,4/1/2010,Y,WWW.BOYSARNOLD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"714,800,000.00","50,400,000.00","765,200,000.00",907,106,"1,013",Y,Y,N,Y,Y,Y,N,N,N,Y,TRUST SERVICES,26-50,,N,N,N,N,N,N,N,Y,N,,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124174,801-62115,"COLUMBIA ASSET MANAGEMENT, L.L.C.","COLUMBIA ASSET MANAGEMENT, L.L.C.",213 WEST LIBERTY ST,SUITE 110,ANN ARBOR,MI,UNITED STATES,48104,734-665-1454,734-665-4003,,,,,,,Approved,6/12/2003,4/1/2010,Y,WWW.COLUMBIAASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"216,139,537.00","21,499,173.00","237,638,710.00",460,139,599,Y,Y,N,N,Y,N,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,127615,801-64719,"PACIFIC INVESTMENT ADVISORS, LLC","PACIFIC INVESTMENT ADVISORS, LLC",,,,,,,805-955-0650,866-696-5609,"2470 STEARNS STREET, #328",,SIMI VALLEY,CA,USA,93063,Approved,9/30/2005,4/1/2010,Y,WWW.CLIENT.PACIFICADVISORS.BIZ,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"21,000,000.00","21,000,000.00",0,177,177,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145112,801-68395,"DMKC ADVISORY SERVICES, LLC","DMKC ADVISORY SERVICES, LLC",3900 INGERSOLL AVENUE,SUITE 300,DES MOINES,IA,UNITED STATES,50312,515-221-1133,515-221-1031,,,,,,,Approved,9/28/2007,4/1/2010,Y,WWW.DMKC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IA,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"58,774,621.00","28,992,991.00","87,767,612.00",187,146,333,N,Y,N,Y,N,N,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,132330,801-63357,"MASSEY, QUICK & CO. LLC","MASSEY, QUICK & CO. LLC",360 MT. KEMBLE AVE,,MORRISTOWN,NJ,UNITED STATES,7960,973-525-1000,973-525-1100,,,,,,,Approved,7/16/2004,4/1/2010,Y,WWW.MASSEYQUICK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,ENDOWMENTS AND FOUNDATIONS,Y,Y,N,Y,N,Y,N,,Y,"275,064,092.00","1,141,132,435.00","1,416,196,527.00",79,177,256,Y,N,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
BRO,136205,801-64638,"CASSIDY RETIREMENT GROUP, INC.","CASSIDY RETIREMENT GROUP, INC.",66 COMMONWEALTH AVE,,CONCORD,MA,UNITED STATES,1742,978-371-8029,978-371-8028,,,,,,,Approved,8/26/2005,4/1/2010,Y,HTTP://WWW.CASSIDYRETIREMENT.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,150966,801-70520,LAKEVIEW CAPITAL MANAGEMENT LLC,LAKEVIEW CAPITAL MANAGEMENT LLC,75 FOURTEENTH STREET,SUITE 2150,ATLANTA,GA,UNITED STATES,30309,404-841-2224,404-343-2651,,,,,,,Approved,8/25/2009,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"13,884,874.00","48,089,017.00","61,973,891.00",200,207,407,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,47893,801-56741,"THOROUGHBRED FINANCIAL SERVICES, LLC","THOROUGHBRED FINANCIAL SERVICES, LLC","5110 MARYLAND WAY, SUITE 300",,BRENTWOOD,TN,USA,37027-7508,615-371-0001,615-371-0184,,,,,,,Approved,8/13/1999,4/1/2010,Y,WWW.THOROUGHBREDFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,000",Up to 10 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"22,000,000.00","590,000,000.00","612,000,000.00",128,"1,800","1,928",Y,Y,N,N,N,Y,N,N,N,N,,251-500,,Y,N,Y,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,114094,801-55954,"LONGSHIP ADVISERS, LLC","LONGSHIP ADVISERS, LLC",100 N SIXTH ST,SUITE 300A,MINNEAPOLIS,MN,UNITED STATES,55403,612.746.0550,612.746.0555,100 N SIXTH STREET,PO BOX 3353,MINNEAPOLIS,MN,UNITED STATES,55403-0353,Approved,10/30/1998,4/1/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151886,801-70873,"ACADIA MUTUAL FUND MANAGEMENT, LLC","ACADIA MUTUAL FUND MANAGEMENT, LLC",ONE PENN PLAZA,36TH FLOOR,NEW YORK,NY,UNITED STATES,10119,212-671-1111,212-658-9298,,,,,,,Approved,1/4/2010,4/1/2010,Y,WWW.ACADIAASSETMANAGEMENT.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,1763,801-56879,"H. BECK, INC.","H. BECK, INC.","11140 ROCKVILLE PIKE, 4TH FLOOR",,ROCKVILLE,MD,UNITED STATES,20852,301-468-0100,301-231-6478,,,,,,,Approved,10/6/1999,4/1/2010,Y,WWW.CFGINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,501-1000,0,501-1000,0,501-1000,0,5-Jan,0,More than 500,"5,000",51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"771,709,840.00","771,709,840.00",0,"4,828","4,828",Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,Y,N,Y,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,121975,801-61352,"ROBERT LESHNER AND ASSOCIATES, INC.","ROBERT LESHNER AND ASSOCIATES, INC.","10101 ALLIANCE RD., SUITE 222",,CINCINNATI,OH,UNITED STATES,45242,(513) 791-4910,(513) 792-7073,,,,,,,Approved,7/31/2002,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,CHARITABLE TRUSTS,Y,N,N,Y,N,N,Y,SOLICITATION FEES,Y,"862,548.00","101,352,316.00","102,214,864.00",1,151,152,N,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,136435,801-64540,"SARACEN ENERGY ADVISORS, LP","SARACEN ENERGY ADVISORS, LP",FIVE GREENWAY PLAZA,SUITE 1310,HOUSTON,TX,UNITED STATES,77046-0526,713-285-2900,713-285-2911,,,,,,,Approved,7/25/2005,4/1/2010,Y,WWW.SARACENENERGY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"345,000,000.00",0,"345,000,000.00",8,0,8,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,Y,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,104665,801-36356,WESTMOUNT ASSET MANAGEMENT INC,WESTMOUNT ASSET MANAGEMENT INC,2049 CENTURY PARK EAST,SUITE 2280,LOS ANGELES,CA,UNITED STATES,90067,310-556-2502,310-556-8661,,,,,,,Approved,4/13/1990,4/1/2010,Y,WWW.WESTMOUNT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,750,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,035,080,678.00",0,"1,035,080,678.00","2,500",0,"2,500",N,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT ADVISORY SERVICES TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107144,801-46433,MFS INSTITUTIONAL ADVISORS INC.,MFS INSTITUTIONAL ADVISORS INC.,500 BOYLSTON ST,,BOSTON,MA,UNITED STATES,02116-3741,617-954-5000,617-954-7891,,,,,,,Approved,5/6/1994,4/1/2010,Y,WWW.MFS.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,0,0,Nov-50,0,5-Jan,0,More than 500,"32,500",0 percent,More than 75 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,SOVEREIGN WEALTH,Y,N,N,N,N,Y,N,,Y,"50,637,532,202.00","455,896,648.00","51,093,428,850.00","25,865","7,032","32,897",N,Y,Y,Y,N,Y,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N
BRO,135271,801-64273,"SUMMIT PARTNERS, L.P.","SUMMIT PARTNERS, L.P.",222 BERKELEY STREET,,BOSTON,MA,UNITED STATES,2116,617-824-1000,617-824-1100,,,,,,,Approved,5/12/2005,4/1/2010,Y,WWW.SUMMITPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"5,038,093,406.00",0,"5,038,093,406.00",26,0,26,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135268,801-64274,"STAMPS, WOODSUM & CO. IV","STAMPS, WOODSUM & CO. IV",222 BERKELEY STREET,,BOSTON,MA,UNITED STATES,2116,617-824-1000,617-824-1100,,,,,,,Approved,6/3/2005,4/1/2010,Y,WWW.SUMMITPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,MA,UNITED STATES,Nov-50,0,51-250,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"29,226,452.00",0,"29,226,452.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105524,801-29263,EADS & HEALD INVESTMENT COUNSEL,"R. STEWART EADS INVESTMENT COUNSEL, INC.",2100 RIVEREDGE PKWY N.W. STE 760,,ATLANTA,GA,UNITED STATES,30328,770-988-9556,770-988-9378,,,,,,,Approved,3/30/1987,4/1/2010,Y,WWW.EADSHEALD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"156,100,000.00",0,"156,100,000.00",363,0,363,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105664,801-25433,"TRUEPOINT, INC.","TRUEPOINT, INC.","4901 HUNT ROAD, SUITE 200",,CINCINNATI,OH,UNITED STATES,45242,513-792-6648,513-792-6644,,,,,,,Approved,10/25/1985,4/1/2010,Y,WWW.TRUEPOINTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"723,228,500.00","25,631,250.00","748,859,750.00","1,700",50,"1,750",Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,110134,801-19820,KEATING INVESTMENT COUNSELORS INC,KEATING INVESTMENT COUNSELORS INC,777 EAST ATLANTIC AVE,SUITE 303,DELRAY BEACH,FL,UNITED STATES,33483,561-278-7862,561-265-1055,,,,,,,Approved,9/19/1983,4/1/2010,Y,KEATINGINVESTMENTCOUNSELORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"179,485,806.00",0,"179,485,806.00",215,0,215,N,Y,N,N,N,N,N,N,N,Y,HOURLY CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,135701,801-64438,"EAST WEST WEALTH MANAGEMENT, LLC","EAST WEST CAPITAL MANAGEMENT, LLC","1099 ALAKEA STREET, SUITE 2510",,HONOLULU,HI,UNITED STATES,96813,808-585-7788,808-585-7784,,,,,,,Approved,7/7/2005,4/1/2010,Y,WWW.EWWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,HI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"196,132,964.00","104,379,961.00","300,512,925.00",50,1,51,Y,Y,N,Y,N,N,N,N,N,Y,ADMINSTRATIVE SERVICES,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,132049,801-63264,"NGP INVESTMENT ADVISOR, LP","NGP INVESTMENT ADVISOR, LP",1221 MCKINNEY STREET,SUITE 2975,HOUSTON,TX,UNITED STATES,77010,713-752-0062,713-752-0063,,,,,,,Approved,6/29/2004,4/1/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"316,931,309.00",0,"316,931,309.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135253,801-64275,"SUMMIT PARTNERS SD II, LLC","SUMMIT PARTNERS SD II, LLC",222 BERKELEY STREET,,BOSTON,MA,UNITED STATES,2116,617-824-1000,617-824-1100,,,,,,,Approved,5/12/2005,4/1/2010,Y,WWW.SUMMITPARTNERS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"23,520,387.00",0,"23,520,387.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135264,801-64276,"SUMMIT PARTNERS IV, L.P.","SUMMIT PARTNERS IV, L.P.",222 BERKELEY STREET,,BOSTON,MA,UNITED STATES,2116,617-824-1000,617-824-1100,,,,,,,Approved,5/12/2005,4/1/2010,Y,WWW.SUMMITPARTNERS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,706,065.00",0,"5,706,065.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135257,801-64277,"SUMMIT PARTNERS, LLC","SUMMIT PARTNERS, LLC",222 BERKELEY STREET,,BOSTON,MA,UNITED STATES,2116,617-824-1000,617-824-1100,,,,,,,Approved,5/12/2005,4/1/2010,Y,WWW.SUMMITPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"131,773,826.00",0,"131,773,826.00",8,0,8,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135258,801-64278,"SUMMIT PARTNERS V, L.P.","SUMMIT PARTNERS V, L.P.",222 BERKELEY STREET,,BOSTON,MA,UNITED STATES,2116,617-824-1000,617-824-1100,,,,,,,Approved,5/12/2005,4/1/2010,Y,WWW.SUMMITPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"31,165,241.00",0,"31,165,241.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,140159,801-66532,"NICHOLAS INVESTMENT PARNTERS, L.P.","NICHOLAS INVESTMENT PARTNERS, L.P.",6451 EL SICOMORO STREET,,RANCHO SANTA FE,CA,UNITED STATES,92067,858-759-4545,858-756-6542,PO BOX 2828,,DEL MAR,CA,UNITED STATES,92014,Approved,4/17/2006,4/1/2010,Y,WWW.NICPARTNERS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,Y,PERFORMANCE BASED PROFIT ALLOCATION,Y,"272,174,000.00",0,"272,174,000.00",36,0,36,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,121995,801-65882,WHITEBOX ADVISORS LLC,WHITEBOX ADVISORS LLC,3033 EXCELSIOR BOULEVARD,SUITE 300,MINNEAPOLIS,MN,UNITED STATES,55416,612-253-6001,612-253-6100,,,,,,,Approved,1/31/2006,6/4/2010,Y,WWW.WHITEBOXADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,144,134,700.00",0,"4,144,134,700.00",44,0,44,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110373,801-58234,JPMORGAN PARTNERS,"J.P. MORGAN PARTNERS, LLC",270 PARK AVENUE,9TH FLOOR,NEW YORK,NY,UNITED STATES,10017-2014,212-834-5000,212-834-6550,,,,,,,Approved,12/29/2000,6/4/2010,Y,WWW.JPMORGANPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,573,885,435.00",0,"1,573,885,435.00",49,0,49,N,N,N,N,N,N,N,N,N,Y,ADVISE AND MANAGE INVESTMENTS OF POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N
SFRO,110654,801-26800,NOROIAN CAPITAL MANAGEMENT,NOROIAN STEVEN A & ASSOCIATES INC,3685 MT. DIABLO BLVD.,SUITE 353,LAFAYETTE,CA,UNITED STATES,94549,925-299-2000,925-299-2002,,,,,,,Approved,4/25/1986,6/4/2010,Y,WWW.NOROIAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"38,000,000.00",0,"38,000,000.00",100,0,100,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,145460,801-68568,"BROAD STREET CAPITAL ADVISORS, LLC","BROAD STREET CAPITAL ADVISORS, LLC",1550 TIMOTHY ROAD,SUITE 102,ATHENS,GA,UNITED STATES,30606,706-208-1166,706-208-1232,,,,,,,Approved,11/15/2007,6/4/2010,Y,BSCADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,101-250,0,0 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,26-50 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"91,504,000.00","467,505,000.00","559,009,000.00",296,313,609,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,119576,801-61140,LUMA CAPITAL,LUMA CAPITAL LLC,"1167 THIRD STREET, SOUTH",SUITE 208,NAPLES,FL,UNITED STATES,34102,239-659-2888,239-659-2886,,,,,,,Approved,5/21/2002,6/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,LIMITED PARTNERSHIPS,Y,Y,N,Y,N,Y,N,,Y,"31,148,424.00","76,421,791.00","107,570,215.00",38,9,47,Y,Y,N,Y,N,Y,N,N,N,Y,PROVIDE SERVICES TO OTHER INVESTMENT ADVISORS,10-Jan,,N,N,N,N,N,N,N,N,Y,INSTITUTIONAL SALES AND ADVISORY SERVICES,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,147575,801-69328,THE MUTUAL FUND STORE,"TMFS - FRESNO, LLC",9423 N. FORT WASHINGTON,UNIT# 104,FRESNO,CA,USA,93720,314-432-3320,314-432-3317,,,,,,,Approved,7/8/2008,6/4/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"27,000,000.00",0,"27,000,000.00",323,0,323,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,110554,801-60024,"CORNERSTONE ADVISORS, INC.","CORNERSTONE ADVISORS, INC.",1075 HENDERSONVILLE RD,SUITE 250,ASHEVILLE,NC,UNITED STATES,28803,828-210-8184,828-210-8183,,,,,,,Approved,2/14/2001,6/4/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"136,585,095.00",0,"136,585,095.00",3,0,3,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,139083,801-66095,PEAK6 ADVISORS LLC,PEAK6 ADVISORS LLC,141 W. JACKSON,STE. 500,CHICAGO,IL,UNITED STATES,60604,312-362-2401,312-362-2470,,,,,,,Approved,2/17/2006,6/4/2010,Y,WWW.PEAK6FUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"603,167,094.00",0,"603,167,094.00",3,0,3,N,N,Y,N,N,N,N,N,N,Y,PORTFOLIO MANAGER FOR PRIVATE INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110383,801-42319,HERITAGE CAPITAL MANAGEMENT INC,HERITAGE CAPITAL MANAGEMENT INC,3250 LACEY ROAD,SUITE 130,DOWNERS GROVE,IL,UNITED STATES,60515,630-250-4700,630-250-4709,,,,,,,Approved,9/15/1992,6/4/2010,Y,HERITAGECAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,Nov-50,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"40,717,992.00",0,"40,717,992.00",624,0,624,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,139006,801-65664,"EVERCORE ASSET MANAGEMENT, LLC","EVERCORE ASSET MANAGEMENT, LLC",55 EAST 52ND STREET,36TH FLOOR,NEW YORK,NY,UNITED STATES,10055,212-822-7571,212-822-7560,55 EAST 52ND STREET,36TH FLOOR,NEW YORK,NY,UNITED STATES,10055,Approved,1/26/2006,6/4/2010,Y,WWW.EVERCOREASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,26-50 percent,11-25 percent,0 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"457,231,400.00","15,390,171.00","472,621,571.00",28,5,33,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,146037,801-68993,"ETF ASSOCIATES, LLC","ETF ASSOCIATES, LLC","DEVON SQUARE  II , SUITE 250",744 W. LANCASTER AVENUE,WAYNE,PA,USA,19087,484-253-4570,484-253-4600,,,,,,,Approved,4/9/2008,9/3/2008,Y,WWW.ETFASSOC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"31,028,409.00",0,"31,028,409.00",22,0,22,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108911,801-32487,"HAHN CAPITAL MANAGEMENT, LLC","HAHN CAPITAL MANAGEMENT, LLC","601 MONTGOMERY STREET, SUITE 840",,SAN FRANCISCO,CA,USA,94111,415-394-6512,415-394-6518,,,,,,,Approved,7/21/1988,6/4/2010,Y,WWW.HAHNCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,SMA PROGRAMS,Y,N,N,N,N,N,N,,Y,"228,126,254.00",0,"228,126,254.00",104,0,104,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,140292,801-67188,ADVANCED EQUITIES ASSET MANAGEMENT,"ADVANCED EQUITIES ASSET MANAGEMENT, INC.",655 W. BROADWAY,SUITE 1050,SAN DIEGO,CA,UNITED STATES,92101,866-299-4864,619-239-5835,PO BOX 85549,,SAN DIEGO,CA,UNITED STATES,92186-5549,Approved,9/28/2006,6/4/2010,Y,AEAM.ADVANCEDEQUITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,10-Jun,0,10-Jan,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,51-75 percent,AFFILIATED REGISTERED INVESTMENT ADVISERS,Y,Y,N,N,N,Y,N,,Y,"540,058,629.00","5,222,330.00","545,280,959.00","4,880",354,"5,234",N,Y,N,Y,N,N,N,N,N,Y,COMMENTARY ON GENERAL MARKET CONDITIONS,0,,N,Y,N,Y,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,Y,N,N,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,N,Y,N,N,Y,N
LARO,131563,801-63129,"GREENBOOK INVESTMENT MANAGEMENT, INC.","GREENBOOK INVESTMENT MANAGEMENT, INC.",655 WEST BROADWAY,SUITE 1050,SAN DIEGO,CA,UNITED STATES,92101,866-350-4237,619-239-5835,,,,,,,Approved,5/14/2004,6/4/2010,Y,WWW.GBFS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,10-Jun,0,More than 500,"2,000",11-25 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"80,153,560.00","80,153,560.00",0,254,254,Y,N,N,N,Y,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,Y,N,N,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,N,Y,N,N,Y,N
NYRO,109992,801-57330,"J.P. MORGAN LATIN AMERICA MANAGEMENT COMPANY, LLC.","J.P. MORGAN LATIN AMERICA MANAGEMENT COMPANY, LLC.",270 PARK AVENUE,9TH FLOOR,NEW YORK,NY,UNITED STATES,10017-2014,212-834-5000,212-834-6550,,,,,,,Approved,3/7/2000,6/4/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"17,736,299.00",0,"17,736,299.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,MONITOR INVESTMENTS OF POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N
NYRO,109035,801-50703,"SIXTY WALL STREET MANAGEMENT COMPANY, LLC","SIXTY WALL STREET MANAGEMENT COMPANY, LLC",270 PARK AVENUE,9TH FLOOR,NEW YORK,NY,UNITED STATES,10017-2014,212-834-5000,212-899-6550,,,,,,,Approved,11/28/1995,6/4/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,N,,Y,"46,285,529.00",0,"46,285,529.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,MONITOR INVESTMENTS OF POOLED INVESTMENT VEHICLE.,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N
NYRO,109063,801-50704,SIXTY WALL STREET INVESTMENT CORPORATION,SIXTY WALL STREET INVESTMENT CORPORATION,270 PARK AVENUE,9TH FLOOR,NEW YORK,NY,UNITED STATES,10017-2014,212-834-5000,212-834-6550,,,,,,,Approved,11/28/1995,6/4/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,N,,Y,"2,590,414.00",0,"2,590,414.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,MONITOR INVESTMENTS OF POOLED INVESTMENT VEHICLE.,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N
BRO,30613,801-62341,INVESTORS CAPITAL ADVISORY,INVESTORS CAPITAL CORP.,230 BROADWAY,,LYNNFIELD,MA,UNITED STATES,1940,800-949-1422,781-593-9464,,,,,,,Approved,10/14/2003,6/4/2010,Y,WWW.INVESTORSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,251-500,0,251-500,0,251-500,0,0,0,More than 500,"6,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"883,776,355.00","120,977,460.00","1,004,753,815.00","6,609","1,292","7,901",Y,Y,N,Y,Y,Y,N,N,Y,N,,101-250,,Y,Y,Y,N,N,N,Y,N,N,,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,N,N,N,N,N,N
PLRO,147036,801-69123,"HILL-TOWNSEND CAPITAL, LLC","HILL-TOWNSEND CAPITAL, LLC",,,,,,,301-215-4300,301-215-4318,,,,,,,Approved,5/5/2008,6/4/2010,Y,WWW.HILLTOWNCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"48,450,000.00",0,"48,450,000.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT TO POOLED INVESTMENT VEHICLES.,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104949,801-37706,"GABELLI FUNDS, LLC","GABELLI FUNDS, LLC",ONE CORPORATE CENTER,,RYE,NY,UNITED STATES,10580-1422,914-921-5000,914-921-5118,,,,,,,Approved,11/16/1990,6/4/2010,Y,HTTP://WWW.GABELLI.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ADMINISTRATION FEES,Y,"14,800,000,000.00",0,"14,800,000,000.00",30,0,30,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
CHRO,106505,801-47232,SEGALL BRYANT & HAMILL,SEGALL BRYANT & HAMILL,10 S. WACKER DRIVE,STE 3500,CHICAGO,IL,UNITED STATES,60606-7407,312-474-1222,312-474-0521,,,,,,,Approved,8/10/1994,6/4/2010,Y,SBHIC.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,MN,UNITED STATES,51-250,0,Nov-50,0,0,0,Nov-50,0,More than 500,"1,000",26-50 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,UNION PENSION/HEALTH & WELFARE,Y,N,N,Y,N,Y,N,,Y,"5,987,836,661.00","52,752,138.00","6,040,588,799.00","1,531",23,"1,554",N,Y,N,Y,N,Y,N,N,N,N,,,,N,Y,N,N,Y,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,Y,Y,N,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105203,801-18151,"THE PACIFIC FINANCIAL GROUP, INC.",PACIFIC FINANCIAL GROUP INC,777 108TH AVENUE NE,SUITE 2100,BELLEVUE,WA,UNITED STATES,98004,425 451-7722,425 451-7731,,,,,,,Approved,1/10/1983,6/4/2010,Y,WWW.TPFG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,Nov-50,0,More than 500,"1,500",More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"325,828,474.00",0,"325,828,474.00","4,112",0,"4,112",N,Y,Y,Y,N,N,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
CHRO,127361,801-62155,SOMERSET ASSET MANAGEMENT LLC,SOMERSET ASSET MANAGEMENT LLC,90 SOUTH SEVENTH STREET,SUITE 4300,MINNEAPOLIS,MN,UNITED STATES,55402,612-317-2199,612-317-2160,,,,,,,Approved,6/18/2003,6/4/2010,Y,WWW.SOMERSETASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"346,500,000.00","13,500,000.00","360,000,000.00",564,45,609,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,N,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,151216,801-70501,"WYATT BLAKEY SECREST & ASSOCIATES, LLC","WYATT BLAKEY SECREST & ASSOCIATES, LLC",19453 WEST CATAWBA AVENUE,SUITE C,CORNELIUS,NC,UNITED STATES,28031,704-896-5571,704-943-3065,,,,,,,Approved,9/4/2009,6/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"53,983,796.00","9,037,295.00","63,021,091.00",191,8,199,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,143138,801-67659,SOMERSET ADVISERS LLC,SOMERSET ADVISERS LLC,"90 SOUTH SEVENTH STREET, SUITE 4300",,MINNEAPOLIS,MN,UNITED STATES,55402,612-317-2099,612-317-2160,,,,,,,Approved,4/9/2007,6/4/2010,Y,WWW.SOMERSETASSET.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,Y,N,N,,N,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,113510,801-67669,"PAULEY FINANCIAL SERVICES, INC.","PAULEY FINANCIAL SERVICES, INC.",,,,,,,512-773-6844,512-697-8302,,,,,,,Approved,3/23/2007,6/4/2010,Y,WWW.PAULEYFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"37,929,066.00","37,929,066.00",0,119,119,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,148399,801-69645,"EVERCORE WEALTH MANAGEMENT, LLC","EVERCORE WEALTH MANAGEMENT, LLC",55 EAST 52ND STREET,36TH FLOOR,NEW YORK,NY,UNITED STATES,10055,212-857-3105,212-857-3152,,,,,,,Approved,10/1/2008,6/4/2010,Y,WWW.EVERCOREWEALTHMANAGEMENT.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,960,000,000.00","52,000,000.00","2,012,000,000.00",674,17,691,Y,Y,Y,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110126,801-54874,"HIGHLAND CAPITAL MANAGEMENT, L.P.","HIGHLAND CAPITAL MANAGEMENT, L.P.",13455 NOEL RD,SUITE 800,DALLAS,TX,UNITED STATES,75240,972-628-4100,972-628-4147,,,,,,,Approved,9/12/1997,6/4/2010,Y,WWW.HCMLP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,51-250,0,51-250,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,STRUCTURED INVESTMENT VEHICLES,Y,N,N,N,N,Y,N,,Y,"24,320,583,000.00",0,"24,320,583,000.00",70,0,70,N,N,Y,Y,N,Y,N,N,N,Y,"MANAGEMENT OF POOLED INVESTMENT VEHICLES, INCLUDING HEDGE FUNDS AND STRUCTURED VEHICLES",,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N
ARO,107464,801-45370,"SANDERS FINANCIAL MANAGEMENT, INC.","SANDERS FINANCIAL MANAGEMENT, INC.",5550 TRIANGLE PARKWAY,SUITE 300,NORCROSS,GA,UNITED STATES,30092,770-448-5111,770-448-5133,,,,,,,Approved,12/9/1993,5/12/2010,Y,WWW.SANDERSFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"158,988,615.00","5,941,079.00","164,929,694.00",697,32,729,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137812,801-65023,"VICIS CAPITAL, LLC","VICIS CAPITAL, LLC",445 PARK AVENUE,19TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-909-4600,212-909-4601,,,,,,,Approved,1/3/2006,5/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,000,000,000.00",0,"1,000,000,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,129971,801-62684,HINDS FINANCIAL GROUP INC,HINDS FINANCIAL GROUP INC,"141 UNION BLVD., SUITE 350",,LAKEWOOD,CO,USA,80228,303-985-9889,303-985-0146,,,,,,,Approved,1/16/2004,5/12/2010,Y,WWW.HINDSFG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"96,194,215.00","20,000,000.00","116,194,215.00",299,2,301,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,143440,801-69329,"BELRAY ASSET MANAGEMENT, LLC","BELRAY ASSET MANAGEMENT, LLC",125 GREENWICH AVE,,GREENWICH,CT,UNITED STATES,6830,203-629-3300,203-629-3375,,,,,,,Approved,6/19/2008,5/12/2010,Y,WWW.BELRAYAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"22,730,691.00","6,214,915.00","28,945,606.00",226,30,256,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,116395,801-61109,"ARNERICH MASSENA & ASSOCIATES, INC","ARNERICH MASSENA, INC.",2045 NE MARTIN LUTHER KING JR. BLVD.,,PORTLAND,OR,UNITED STATES,97212,503-239-0475,503-239-0369,,,,,,,Approved,4/29/2002,5/12/2010,Y,WWW.ARNERICHMASSENA.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,251-500,0,11-25 percent,11-25 percent,Up to 10 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,0 percent,,Y,Y,N,Y,N,N,Y,A PERCENTAGE OF ASSETS TO WHICH WE CONSULT,Y,"342,300,490.00","12,931,695,516.00","13,273,996,006.00",567,619,"1,186",Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,147054,801-69098,IRVINGTON CAPITAL LLC,IRVINGTON CAPITAL LLC,720 SW WASHINGTON STREET,SUITE 620,PORTLAND,OR,UNITED STATES,97205,503-477-5816,503-719-5247,,,,,,,Approved,4/22/2008,5/12/2010,Y,WWW.IRVINGTONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"55,000,000.00",0,"55,000,000.00",70,0,70,N,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,151605,801-70688,"BROOKFIELD ASSET MANAGEMENT PIC CANADA, LP","BROOKFIELD ASSET MANAGEMENT PIC CANADA, LP","BROOKFIELD PLACE, SUITE 300",181 BAY STREET,"TORONTO, ONTARIO",,CANADA,M5J 2T3,416-363-9491,416-365-9642,,,,,,,Approved,11/16/2009,5/12/2010,Y,WWW.BROOKFIELD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,,CANADA,51-250,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,SEPARATE ACCOUNTS,Y,N,N,N,N,Y,N,,Y,"8,505,000,000.00",0,"8,505,000,000.00",7,0,7,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT OF POOLED INVESTMENT VEHICLES AND SEPARATE ACCOUNTS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,115044,801-69948,"KLARAOS, LLC","KLARAOS, LLC",917 TAHOE BLVD,SUITE 204,INCLINE VILLAGE,NV,UNITED STATES,89451,775-831-5546,775-201-0110,,,,,,,Approved,3/4/2009,5/12/2010,Y,WWW.KLARAOS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"25,800,000.00","5,200,000.00","31,000,000.00",67,8,75,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,137470,801-65513,INVESTMENT COUNSELORS OF REDLANDS LLC,INVESTMENT COUNSELORS OF REDLANDS LLC,101 E. REDLANDS BLVD. #138,,REDLANDS,CA,UNITED STATES,92373,909.792.0711,909.792.0811,,,,,,,Approved,1/23/2006,5/12/2010,Y,WWW.ICREDLANDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"54,600,000.00",0,"54,600,000.00",401,0,401,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,152802,801-71062,BALLENTINE PARTNERS,"BALLENTINE PARTNERS, LLC",55 MILL STREET,,WOLFEBORO,NH,UNITED STATES,03894-1860,603-569-1717,603-569-5264,PO BOX 1860,,WOLFEBORO,NH,UNITED STATES,03894-1860,Approved,1/25/2010,5/13/2010,Y,WWW.BALLENTINEPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,650,000,000.00","1,240,000,000.00","2,890,000,000.00",928,"1,029","1,957",Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,140522,801-66717,"TWIN FOCUS CAPITAL PARTNERS, LLC","TWIN FOCUS CAPITAL PARTNERS, LLC",SIXTY STATE STREET,,BOSTON,MA,UNITED STATES,2109,617-720-4500,617-275-8649,,,,,,,Approved,5/23/2006,5/13/2010,Y,WWW.TWINFOCUSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"536,885,558.00","190,842,035.00","727,727,593.00",494,83,577,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,Y,Y,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,150770,801-70409,VENTRAS CAPITAL ADVISORS LLC,VENTRAS CAPITAL ADVISORS LLC,1735 MARKET STREET SUITE 3920,,PHILADELPHIA,PA,UNITED STATES,19103,267-319-7850,267-319-7849,,,,,,,Approved,7/31/2009,5/13/2010,Y,WWW.VENTRAS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"3,000,000,000.00",0,"3,000,000,000.00",8,0,8,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES AND VALUATION SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,149136,801-69853,&WEALTH PARTNERS,"PROVIDENCE WEALTH ADVISORY, LLC",1340 SMITH AVENUE,SUITE 200,BALTIMORE,MD,UNITED STATES,21209,646-924-1900,866-526-4871,,,,,,,Approved,1/2/2009,5/13/2010,Y,WWW.ANDWEALTHPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"29,270,648.00",0,"29,270,648.00",90,0,90,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,109576,801-56976,WEALTH MANAGEMENT CORP,WEALTH MANAGEMENT CORP OF AMERICA INC,2941 KERRY FOREST PKWY,,TALLAHASSEE,FL,UNITED STATES,32309,850-894-7526,850-894-7363,,,,,,,Approved,11/12/1999,5/13/2010,Y,WWW.WEALTHMANAGEMENTCORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"53,298,474.00","1,119,511.00","54,417,985.00","1,132",82,"1,214",Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N
PLRO,146763,801-69104,WALDMAN FINANCIAL ADVISERS,"WALDMAN FINANCIAL ADVISERS, LLC",501 CHURCH ST NE,SUITE 110,VIENNA,VA,UNITED STATES,22180,703-281-7100,703-281-7275,,,,,,,Approved,4/23/2008,5/13/2010,Y,WWW.WALDMANADVISERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,REFERRAL FEES FROM UNAFFILIATED ADVISERS,Y,"75,943,180.00",0,"75,943,180.00",261,0,261,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,108046,801-57097,CORDA INVESTMENT MANAGEMENT,"BARNES, BONNER, CASTLES",8955 KATY FREEWAY,SUITE 304,HOUSTON,TX,UNITED STATES,77024-1626,713-439-0665,713-465-1308,,,,,,,Approved,12/20/1999,5/13/2010,Y,WWW.CORDAMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"148,312,646.00",0,"148,312,646.00",535,0,535,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,143231,801-67562,METACORTEX SERVICES CORPORATION,GLOBAL AUTOTRADING INC.,,,,,,,416-565-3377,,6A - 170 THE DONWAY WEST - SUITE 306,,"TORONTO, ONTARIO",,CANADA,M3C 2E8,Approved,3/5/2007,5/13/2010,Y,HTTP://WWW.METACORTEXSERVICES.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"923,488.00",0,"923,488.00",23,0,23,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126575,801-71335,"PIVOTAL PLANNING GROUP, LLC","PIVOTAL PLANNING GROUP, LLC",125 JERICHO TURNPIKE,SUITE 200,JERICHO,NY,UNITED STATES,11753,516-338-9500,516-338-8862,,,,,,,Approved,4/16/2010,5/13/2010,Y,WWW.PIVOTALPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,N,N,Y,RULE 206(4)-3 REFERRAL FEES,Y,"30,761,048.00","617,988.00","31,379,036.00",125,1,126,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124407,801-62074,"TFO-TDC, LLC","TFO-TDC, LLC",1440 ARROWHEAD DRIVE,,MAUMEE,OH,UNITED STATES,43537,419-891-9999,419-891-9993,,,,,,,Approved,5/28/2003,5/13/2010,Y,WWW.TFOPHOENIX.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"55,638,457.00",0,"55,638,457.00",18,0,18,N,Y,N,Y,Y,Y,N,N,N,Y,FAMILY OFFICE SERVICES & FINANCIAL CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105336,801-31201,"O'BRIEN MANAGEMENT, LLC","O'BRIEN MANAGEMENT, LLC",124 MOUNT AUBURN STREET STE 550N,,CAMBRIDGE,MA,UNITED STATES,2138,[617] 547-6717,[617] 547-9516,,,,,,,Approved,12/31/1987,5/13/2010,Y,WWW.OBRIENMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"281,604,154.00",0,"281,604,154.00","1,175",0,"1,175",Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108619,801-18073,LEGACY WEALTH MANAGEMENT INC,LEGACY WEALTH MANAGEMENT INC,6800 POPLAR AVENUE,SUITE 101,MEMPHIS,TN,UNITED STATES,38138-7448,901-758-9006,901-758-9007,,,,,,,Approved,12/23/1982,5/13/2010,Y,WWW.LEGACYWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,500,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"640,477,977.00","20,130,221.00","660,608,198.00",527,1,528,Y,Y,N,Y,N,N,N,N,N,N,,More than 500,500,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
SFRO,137251,801-65860,"EM CAPITAL MANAGEMENT, LLC","EM CAPITAL MANAGEMENT, LLC",920 COUNTRY CLUB DRIVE,SUITE 1-E/D,MORAGA,CA,UNITED STATES,94556,925-376-8700,925-955-1652,,,,,,,Approved,1/30/2006,4/30/2009,Y,HTTP://WWW.EMCAPITALMANAGEMENT.COM/,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"200,000.00","3,000,000.00","3,200,000.00",2,2,4,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,140344,801-66640,"CLAYTON CHASE ASSET MANAGEMENT, LLC.","CLAYTON CHASE ASSET MANAGEMENT, LLC.",201 HILLSBORO AVE.,SUITE 7,EDWARDSVILLE,IL,UNITED STATES,62025-4228,618-655-0061,,,,,,,,Approved,4/24/2006,5/13/2010,Y,WWW.WHEN2TRADE.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,0,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,N,Y,N,N,N,N,Y,Y,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,116368,801-64427,"JAGUAR INVESTMENT SERVICES, LTD","JAGUAR INVESTMENT SERVICES, LTD",4834 W. SAGUARO POINT PLACE,,MARANA,AZ,USA,85653,520.247.8859,520.423.3000,,,,,,,Approved,6/23/2005,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"32,466,940.00",0,"32,466,940.00",237,0,237,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,146271,801-68946,"THE SHERRY GROUP, INC.","THE SHERRY GROUP, INC.",5 E. 6TH STREET,,MOUNTAIN HOME,AR,USA,72653,870-425-8252,870-425-9223,,,,,,,Approved,3/17/2008,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AR,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"36,858,771.00","36,858,771.00",0,329,329,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106255,801-38948,FINANCIALLY SPEAKING INC,FINANCIALLY SPEAKING INC,5889 S GREENWOOD PLAZA BLVD,SUITE 400,GREENWOOD VILLAGE,CO,UNITED STATES,80111,303-290-0702,303-290-6581,,,,,,,Approved,6/6/1991,3/17/2010,Y,WWW.FINANCIALLYSPEAKINGINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"127,251,935.00","3,369,052.00","130,620,987.00",830,46,876,Y,Y,N,N,Y,Y,Y,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,116089,801-69367,"TRANSITION FINANCIAL ADVISORS GROUP, INC.","TRANSITION FINANCIAL ADVISORS GROUP, INC.",20 W. JUNIPER AVENUE,SUITE 101,GILBERT,AZ,USA,85233,(480) 722-9414,(480) 812-2090,,,,,,,Approved,7/9/2008,3/17/2010,Y,WWW.TRANSITIONFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"61,038,573.00",0,"61,038,573.00",158,0,158,Y,Y,N,N,N,Y,N,N,N,Y,CONSULTING AND SEMINARS,25-Nov,,N,N,N,N,N,N,N,N,Y,CANADA-U.S. FINANCIAL PLANNING BOOK SALES,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,132274,801-69127,"TIMPE & TIMPE FINANCIAL ADVISORY SERVICES, L.L.C.","TIMPE & TIMPE FINANCIAL ADVISORY SERVICES, L.L.C.",4212 WEST 71ST STREET,SUITE C,INDIANAPOLIS,IN,USA,46268,317.217.1660,317.217.1653,,,,,,,Approved,5/2/2008,3/17/2010,Y,WWW.TIMPEFAS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"32,144,835.00",0,"32,144,835.00",381,0,381,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104623,801-6449,GILLESPIE ROBINSON & GRIMM INC,GILLESPIE ROBINSON & GRIMM INC,80 FIELD POINT RD.,,GREENWICH,CT,UNITED STATES,06830-6480,203-629-2800,203-629-3762,P.O. BOX 2220,,GREENWICH,CT,UNITED STATES,06836-2220,Approved,3/26/1970,3/17/2010,Y,WWW.GRGINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"744,760,521.00",0,"744,760,521.00",555,0,555,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111984,801-60165,"GALLATIN & COMPANY, LLC","GALLATIN & COMPANY, LLC",65 SOUTH BROADWAY,,TARRYTOWN,NY,USA,10591,914-909-3951,914-909-3954,,,,,,,Approved,4/6/2001,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"2,986,119.00","35,258,237.00","38,244,356.00",2,26,28,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106902,801-33512,BENCHMARK FINANCIAL LTD,BENCHMARK FINANCIAL LTD,3636 NORTH CENTRAL AVE # 620,,PHOENIX,AZ,UNITED STATES,85012,602-222-4180,602-222-4189,,,,,,,Approved,12/23/1988,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"27,157,850.00","9,980,206.00","37,138,056.00",51,40,91,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111241,801-67276,"SFG INVESTMENT ADVISORS, INC.","SFG INVESTMENT ADVISORS, INC.","3655 ROUTE 202, SUITE 140",GEORGETOWN CROSSING OFFICES,DOYLESTOWN,PA,USA,18902,215-345-5601,215-345-5621,,,,,,,Approved,11/13/2006,3/17/2010,Y,WWW.SFGADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"40,712,089.00","40,712,089.00",0,419,419,Y,Y,N,N,N,Y,N,N,N,Y,"TAX PLANNING, FINANCIAL EDUCATION",10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106136,801-18897,"KRUMREI & ROSS, INC.","KRUMREI & ROSS, INC.",1600 SCHOOL ST #101,,MORAGA,CA,USA,94556,925-376-4712,925-376-3459,,,,,,,Approved,5/12/1983,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"83,087,902.00",0,"83,087,902.00",151,0,151,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,152123,801-71031,"TSL INVESTMENT MANAGEMENT, LLC","TSL INVESTMENT MANAGEMENT, LLC",4755 TECHNOLOGY WAY- SUITE 202,,BOCA RATON,FL,UNITED STATES,33431-3338,561-995-7878,561-995-9181,,,,,,,Approved,2/4/2010,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"28,865,778.00",0,"28,865,778.00",9,0,9,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105589,801-26687,"SCOFIELD & COMPANY, LLC","SCOFIELD & COMPANY, LLC",4040 EMBASSY PARKWAY,SUITE 350,AKRON,OH,USA,44333,330-668-2616,330-668-2064,,,,,,,Approved,4/4/1986,3/17/2010,Y,WWW.SCOFIELDANDCOMPANY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"48,972,985.00",0,"48,972,985.00",199,0,199,N,Y,N,N,N,N,N,Y,N,Y,ACTIVE INVESTMENT MANAGEMENT,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119969,801-63876,"FINANCIAL COUNSELING, INC.","FINANCIAL COUNSELING, INC.",582 N. MAIN ST.,,SPRINGBORO,OH,USA,45066,937-748-8710,937-748-8910,,,,,,,Approved,4/5/2005,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"30,000,000.00",0,"30,000,000.00",495,0,495,Y,Y,N,Y,N,N,N,N,N,Y,ACTIVE INVESTMENT MANAGEMENT,101-250,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,120846,801-61244,"MODERN PORTFOLIO CONSULTANTS, LLC","MODERN PORTFOLIO CONSULTANTS, LLC",,,,,,,805-370-5300,805-370-5323,,,,,,,Approved,6/10/2002,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,RELIGIOUS ORGANIZATIONS,Y,N,N,Y,N,N,N,,Y,0,"395,000,000.00","395,000,000.00",0,9,9,N,N,N,N,Y,Y,N,N,N,Y,INVESTMENT CONSULTING SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,124365,801-61673,"PACIFIC HEIGHTS ASSET MANAGEMENT, LLC","PACIFIC HEIGHTS ASSET MANAGEMENT, LLC","600 MONTGOMERY STREET, 27TH FLOOR",,SAN FRANCISCO,CA,UNITED STATES,94111-2702,415-398-8000,415-398-8091,,,,,,,Approved,1/3/2003,3/17/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,NEW SHAREHOLDER ACCOUNT START-UP FEE,Y,"5,075,046,489.00",0,"5,075,046,489.00",4,0,4,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,118637,801-60863,"STARMONT ASSET MANAGEMENT, LLC","STARMONT ASSET MANAGEMENT, LLC",BISHOP RANCH 6,2400 CAMINO RAMON STE 130,SAN RAMON,CA,UNITED STATES,94583,925-830-2100,925-830-2129,,,,,,,Approved,1/18/2002,3/17/2010,Y,WWW.STARMONT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"89,889,104.00",0,"89,889,104.00",301,0,301,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,133496,801-63903,"BRIAN S. PEARCE, INC.","BRIAN S. PEARCE, INC.",56 FOURTH STREET NORTHWEST SUITE 201,,WINTER HAVEN,FL,USA,33881,863-299-5808,863-299-5503,,,,,,,Approved,2/4/2005,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"35,000,000.00","2,000,000.00","37,000,000.00",500,100,600,Y,Y,N,Y,Y,Y,N,N,N,Y,ACTIVE INVESTMENT MANAGEMENT,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105581,801-34275,SHAPIRO CAPITAL MANAGEMENT LLC,SHAPIRO CAPITAL MANAGEMENT LLC,3060 PEACHTREE RD NW,STE 1555,ATLANTA,GA,UNITED STATES,30305,404-842-9600,404-842-9610,,,,,,,Approved,4/21/1989,3/17/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,410,910,291.00","6,655,105.00","2,417,565,396.00",383,21,404,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,136857,801-64665,MCCORMACK FINANCIAL PLANNING INC.,MCCORMACK FINANCIAL PLANNING INC.,2002 SUMMIT BLDV.,SUITE 1275,ATLANTA,GA,USA,30319,404-236-7316,404-843-3701,,,,,,,Approved,8/31/2005,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"29,341,045.00",0,"29,341,045.00",350,0,350,Y,Y,N,N,Y,Y,N,N,N,Y,ACTIVE ASSET MANAGEMENT,251-500,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,142944,801-67555,"BARNES PETTEY FINANCIAL ADVISORS, LLC","BARNES PETTEY FINANCIAL ADVISORS, LLC",252 SUNFLOWER AVENUE,,CLARKSDALE,MS,USA,38614,662-627-2225,662-627-2088,,,,,,,Approved,1/3/2007,3/17/2010,Y,WWW.BARNESPETTEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MS,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,I.E. PERCENTAGE OF ASSETS IN 401K PLANS/THIRD PARTY ADVISER FEES,Y,"59,408,176.00","559,871,343.00","619,279,519.00",114,"2,576","2,690",Y,Y,N,N,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111051,801-29982,TELLONE MANAGEMENT GROUP INC,TELLONE MANAGEMENT GROUP INC,6200 E. CANYON RIM RD,STE 201,ANAHEIM,CA,UNITED STATES,92807,714-998-2290,714-998-5613,,,,,,,Approved,7/10/1987,3/17/2010,Y,WWW.TELLONE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"170,669,048.00",0,"170,669,048.00",859,0,859,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,132257,801-63324,"PROGRESS INVESTMENT MANAGEMENT COMPANY, LLC","PROGRESS INVESTMENT MANAGEMENT COMPANY, LLC",33 NEW MONTGOMERY ST.,SUITE 1900,SAN FRANCISCO,DE,UNITED STATES,94105,415-512-3480,415-512-3475,,,,,,,Approved,5/28/2004,3/17/2010,Y,WWW.PROGRESSINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,Up to 10 percent,FOUNDATIONS,Y,N,N,N,N,Y,N,,Y,"6,895,121,303.00",0,"6,895,121,303.00",27,0,27,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,129112,801-62699,NORTHSTAR ASSET MANAGEMENT LLC,NORTHSTAR ASSET MANAGEMENT LLC,,,,,,,908-850-9991,908-850-8878,,,,,,,Approved,1/14/2004,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"46,000,000.00","46,000,000.00",0,405,405,Y,Y,N,N,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105373,801-31837,"SUMMIT PRIVATE INVESTMENTS, INC.","SUMMIT PRIVATE INVESTMENTS, INC.",47 MAPLE STREET,,SUMMIT,NJ,UNITED STATES,7901,908-522-1414,908-522-1447,,,,,,,Approved,4/8/1988,3/17/2010,Y,WWW.SPIFUNDS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"250,453,700.00",0,"250,453,700.00",339,0,339,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,130115,801-62719,"ALPHAPOINT, INC.","ALPHAPOINT, INC.",2101 EAST COAST HIGHWAY,SUITE 270,CORONA DEL MAR,CA,UNITED STATES,92625,949-718-4575,949-718-4595,,,,,,,Approved,1/20/2004,3/17/2010,Y,WWW.ALPHAPOINT.NET,N,N,N,N,N,N,Y,N,N,N,N,N,N,Other (specify),S-CORPORATION,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,% PLAN ASSETS; 12B-1 OFFSETS,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,150220,801-70152,"ARMORED WOLF, LLC","ARMORED WOLF, LLC",65 ENTERPRISE,,ALISO VIEJO,CA,UNITED STATES,92656,949-330-6135,949-330-6131,,,,,,,Approved,5/1/2009,3/17/2010,Y,WWW.ARMOREDWOLF.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"101,000,000.00",0,"101,000,000.00",1,0,1,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,126534,801-62149,"WEALTH MANAGEMENT, INC.","WEALTH MANAGEMENT, INC.",8655 SW CITIZENS DRIVE,#108,WILSONVILLE,OR,UNITED STATES,97070,503.682.8888,503.213.6026,,,,,,,Approved,6/12/2003,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"35,947,683.00","1,095,022.00","37,042,705.00",50,1,51,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,134201,801-70041,"KANE CAPITAL MANAGEMENT, LLC","KANE CAPITAL MANAGEMENT, LLC",,,,,,,1-210-497-6425,1-210-587-2473,,,,,,,Approved,4/14/2009,3/17/2010,Y,KANECAPITAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"9,000,000.00","17,000,000.00","26,000,000.00",14,8,22,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,145920,801-68732,FRONTFOUR CAPITAL GROUP LLC,FRONTFOUR CAPITAL GROUP LLC,68 SOUTHFIELD AVENUE,"TWO STAMFORD LANDING, STE 290",STAMFORD,CT,UNITED STATES,6902,203-274-9050,203-274-9045,,,,,,,Approved,1/16/2008,3/17/2010,Y,HTTP://WWW.FRONTFOURCAPITAL.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"50,000,000.00",0,"50,000,000.00",2,0,2,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,121764,801-66989,"SHORELINE ASSET MANAGEMENT, LLC","SHORELINE ASSET MANAGEMENT, LLC",412 SOUTH MAIN STREET,,NEW CASTLE,IN,USA,47362-3311,765-593-2485,765-521-4629,,,,,,,Approved,7/20/2006,3/17/2010,Y,WWW.SHORELINE-LLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"37,615,768.00",0,"37,615,768.00",306,0,306,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,104953,801-27090,"ROBERTSON, GRIEGE & THOELE","RGT CAPITAL MANAGEMENT, LTD.","5950 SHERRY LANE, STE. 700",,DALLAS,TX,UNITED STATES,75225,214-360-7000,214-360-7010,,,,,,,Approved,5/29/1986,3/30/2010,Y,WWW.RGTNET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,TX,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,256,037,249.00",0,"1,256,037,249.00",336,0,336,Y,Y,N,N,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,N,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,132833,801-63551,"INDEPENDENCE CAPITAL ASSET PARTNERS, LLC","INDEPENDENCE CAPITAL ASSET PARTNERS, LLC","1400 16TH STREET, SUITE 520",,DENVER,CO,UNITED STATES,80202,303-209-4100,303-209-4101,,,,,,,Approved,9/29/2004,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"355,368,836.00",0,"355,368,836.00",7,0,7,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR LIMITED PARTNERSHIPS AND SIMILAR POOLED VEHICLES.,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111046,801-49181,"THINKORSWIM ADVISORS, INC.","THINKORSWIM ADVISORS, INC.",600 WEST CHICAGO AVENUE,SUITE 100,CHICAGO,IL,UNITED STATES,60610,773-435-3210,773-435-3232,,,,,,,Approved,5/17/1995,3/30/2010,Y,WWW.REDOPTION.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,Y,Y,N,Y,N,,Y,"247,838,316.00",0,"247,838,316.00",414,0,414,N,Y,Y,Y,N,N,Y,N,Y,N,,,,Y,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
BRO,108108,801-56930,FAIRVIEW VENTURE MANAGEMENT LLC,FAIRVIEW VENTURE MANAGEMENT LLC,75 ISHAM ROAD,SUITE 200,WEST HARTFORD,CT,UNITED STATES,6107,860-674-8066,860-678-5108,,,,,,,Approved,10/18/1999,3/30/2010,Y,WWW.FAIRVIEWCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,FUND-OF-FUNDS,Y,N,N,N,N,Y,N,,Y,"392,534,319.00",0,"392,534,319.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109955,801-60044,"CYPRESS CAPITAL MANAGEMENT, LLC","CYPRESS CAPITAL MANAGEMENT, LLC",1220 MARKET BUILDING,SUITE 704,WILMINGTON,DE,USA,19801,302-429-8436,302-429-8446,,,,,,,Approved,3/7/2001,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"456,939,364.00",0,"456,939,364.00",351,0,351,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,111338,801-60118,MCLEAN BUDDEN LIMITED.,MCLEAN BUDDEN LIMITED.,145 KING STREET WEST SUITE 2525,,"TORONTO, ONTARIO",,CANADA,M5H 1J8,416-862-9800,416-862-0167,,,,,,,Approved,5/3/2001,3/30/2010,Y,WWW.MCLEANBUDDEN.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,CANADA,51-250,0,Nov-50,0,0,0,0,0,More than 500,"1,000",Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,51-75 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"33,709,968,880.00",0,"33,709,968,880.00",767,0,767,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109634,801-56935,TUCKERMAN GROUP LLC,THE TUCKERMAN GROUP LLC,4 INTERNATIONAL DRIVE,SUITE 230,RYE BROOK,NY,UNITED STATES,10573,914-701-4400,914-701-4419,,,,,,,Approved,10/28/1999,3/30/2010,Y,WWW.SSGA.COM/TUCKERMAN,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,26-50 percent,11-25 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"4,898,660,848.00",0,"4,898,660,848.00",35,0,35,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,128171,801-62314,"ROCKLEDGE PARTNERS, LLC","ROCKLEDGE PARTNERS, LLC",,,,,,,410-770-3002,410-770-3002,,,,,,,Approved,9/5/2003,3/30/2010,Y,WWW.ROCKLEDGEPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"26,621,170.00",0,"26,621,170.00",10,0,10,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,115354,801-62914,"WATSON CAPITAL MANAGEMENT, INC.","WATSON CAPITAL MANAGEMENT, INC.",,,,,,,202-333-6270,202-333-6275,,,,,,,Approved,3/12/2004,4/6/2009,Y,WATSONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"34,486,777.00","29,786.00","34,516,563.00",132,1,133,N,Y,N,Y,Y,Y,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,114687,801-61280,"SEGAL ADVISORS, INC.","SEGAL ADVISORS, INC.",333 WEST 34TH STREET,,NEW YORK,NY,UNITED STATES,10001,212-251-5900,212-251-5290,,,,,,,Approved,10/2/2002,3/30/2010,Y,WWW.SEGALADVISORS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,,N,Y,N,Y,N,N,Y,"SEE SCHEDULE D, PAGE 5",N,0,0,0,0,0,0,N,N,N,N,Y,Y,Y,N,N,Y,"SEE SCHEDULE D, PAGE 5",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109272,801-58121,"CAPRI CAPITAL PARTNERS, LLC","CAPRI CAPITAL PARTNERS, LLC",875 NORTH MICHIGAN AVE,SUITE 3430,CHICAGO,IL,UNITED STATES,60611,312-573-5300,312-573-5270,,,,,,,Approved,11/30/2000,3/30/2010,Y,WWW.CAPRICAPITAL.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,"A % OF NOI, FINANCING, ACQUISITION AND DISPOSITION FEES",N,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,Y,ADVICE REGARDING REAL ESTATE INVESTMENTS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,130849,801-64963,RIVERSTONE INVESTMENT SERVICES LLC,RIVERSTONE INVESTMENT SERVICES LLC,712 FIFTH AVENUE,,NEW YORK,NY,UNITED STATES,10019,212-993-0076,212-993-0077,,,,,,,Approved,12/9/2005,3/30/2010,Y,WWW.RIVERSTONELLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"10,185,472,688.00",0,"10,185,472,688.00",80,0,80,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,115093,801-60541,"CAMBIAR INVESTORS, LLC","CAMBIAR INVESTORS, LLC",2401 E SECOND AVENUE,SUITE 500,DENVER,CO,UNITED STATES,80206,303-302-9000,303-302-9050,,,,,,,Approved,9/6/2001,3/30/2010,Y,WWW.CAMBIAR.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,More than 500,"12,000",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"5,517,653,076.00",0,"5,517,653,076.00","12,145",0,"12,145",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105594,801-30958,"PRINCIPAL FINANCIAL ADVISORS, INC.","PRINCIPAL FINANCIAL ADVISORS, INC.",711 HIGH ST,,DES MOINES,IA,UNITED STATES,50392-3480,"800-322-5447, EXT. 2",515-247-0669,P.O. BOX 9397,,DES MOINES,IA,UNITED STATES,50306-9397,Approved,3/11/1988,3/30/2010,N,,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Corporation,,IA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,Y,FEES FOR PERIODIC ASSET ALLOCATION - PERCENTAGE OF PLAN ASSETS,N,0,0,0,0,0,0,N,N,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,108192,801-33224,VECTOR MONEY MANAGEMENT INC,VECTOR MONEY MANAGEMENT INC,"4266 1-55 NORTH, SUITE 102",,JACKSON,MS,USA,39211-5930,601-981-1773,601-981-1759,,,,,,,Approved,11/10/1988,3/30/2010,Y,WWW.VECTORMM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"80,390,018.00",0,"80,390,018.00",122,0,122,N,Y,N,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,147745,801-70291,"ETON ADVISORS, LP","ETON ADVISORS, LP",1414 RALEIGH ROAD,SUITE 445,CHAPEL HILL,NC,UNITED STATES,27517,919-442-1550,919-442-1530,,,,,,,Approved,6/29/2009,3/30/2010,Y,WWW.ETONADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,BASIS POINT FEE SCHEDULE,Y,"366,613,327.00","215,897,076.00","582,510,403.00",58,140,198,Y,Y,N,Y,N,Y,N,N,N,Y,FAMILY OFFICE SERVICES,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N
BRO,113467,801-60353,"FAIRVIEW CAPITAL PARTNERS III, L.L.C.","FAIRVIEW CAPITAL PARTNERS III, L.L.C.",75 ISHAM ROAD,SUITE 200,WEST HARTFORD,CT,UNITED STATES,6107,860-674-8066,860-678-5108,,,,,,,Approved,6/22/2001,3/30/2010,Y,WWW.FAIRVIEWCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,FUND-OF-FUNDS,Y,N,N,N,N,Y,N,,Y,"54,500,000.00",0,"54,500,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105849,801-35038,"WILLARD B SAPERSTON, INC.","WILLARD B SAPERSTON, INC.",172 LAKE STREET,,HAMBURG,NY,UNITED STATES,14075,716-649-9800,716-649-9875,,,,,,,Approved,8/21/1989,3/30/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"6,816,280.00",0,"6,816,280.00",225,0,225,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,136019,801-64434,"BERTHY CAPITAL MANAGEMENT, LLC","BERTHY CAPITAL MANAGEMENT, LLC",100 ELMWOOD PARK DRIVE,SUITE 100,WEST CARROLLTON,OH,UNITED STATES,45449,937-439-1339 EXT 307,513-672-9400,,,,,,,Approved,6/27/2005,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"30,857,218.00",0,"30,857,218.00",53,0,53,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
BRO,105616,801-6829,THE BOSTON COMPANY ASSET MANAGEMENT LLC,THE BOSTON COMPANY ASSET MANAGEMENT LLC,ONE BOSTON PLACE,,BOSTON,MA,USA,2108,617-722-3553,617-722-3928,,,,,,,Approved,8/24/1970,3/30/2010,Y,WWW.THEBOSTONCOMPANY.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,51-250,0,51-250,0,Nov-50,0,Nov-50,0,More than 500,"1,500",More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,"INSURANCE FUNDS, NON-US MUTUAL FUNDS, HEALTH AND WELFARE FUNDS, AND SEVERANCE FUNDS.",Y,N,N,Y,N,Y,N,,Y,"15,451,924,029.00",0,"15,451,924,029.00","1,295",0,"1,295",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,122178,801-61512,"FAIRVIEW VENTURE MANAGEMENT II, L.L.C.","FAIRVIEW VENTURE MANAGEMENT II, L.L.C.",75 ISHAM ROAD,SUITE 200,WEST HARTFORD,CT,UNITED STATES,6107,860-674-8066,860-678-5108,,,,,,,Approved,10/8/2002,3/30/2010,Y,WWW.FAIRVIEWCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,FUND-OF-FUNDS,Y,N,N,N,N,Y,N,,Y,"120,600,000.00",0,"120,600,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109108,801-55275,BLACKSTONE MANAGEMENT PARTNERS LP,BLACKSTONE MANAGEMENT PARTNERS LP,345 PARK AVENUE,,NEW YORK,NY,USA,10154,212-583-5000,212-583-5258,,,,,,,Approved,2/27/1998,3/30/2010,Y,WWW.BLACKSTONE.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"109,960,660.00",0,"109,960,660.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,126718,801-62027,"RESPONSIVE FINANCIAL GROUP, INC.","RESPONSIVE FINANCIAL GROUP, INC.",3601 ALGONQUIN ROAD,SUITE 620,ROLLING MEADOWS,IL,UNITED STATES,60008-3110,847-670-8000,847-670-8100,,,,,,,Approved,5/1/2003,3/30/2010,Y,WWW.RFGWEB.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,INSURANCE COMPANY,Y,Y,N,Y,N,N,Y,SUBSCRIPTION FEES FOR ONLINE SERVICES,Y,"57,916,203.00","592,701.00","58,508,904.00",515,6,521,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,113755,801-58075,TRADITION CAPITAL MANAGEMENT LLC,TRADITION CAPITAL MANAGEMENT LLC,129 SUMMIT AVENUE,,SUMMIT,NJ,UNITED STATES,7901,908-598-0909,413-845-4787,,,,,,,Approved,10/31/2000,3/30/2010,Y,WWW.TRADITIONCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"510,600,000.00","3,600,000.00","514,200,000.00",826,4,830,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,132616,801-63465,"FAIRVIEW CAPITAL EM PARTNERS, L.L.C.","FAIRVIEW CAPITAL EM PARTNERS, L.L.C.",75 ISHAM ROAD,SUITE 200,WEST HARTFORD,CT,UNITED STATES,6107,860-674-8066,860-678-5108,,,,,,,Approved,8/31/2004,3/30/2010,Y,WWW.FAIRVIEWCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,FUND-OF-FUNDS,Y,N,N,N,N,Y,N,,Y,"163,636,363.00",0,"163,636,363.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,143812,801-70042,"CAUBLE & HARRE WEALTH MANAGEMENT, INC.","CAUBLE & HARRE WEALTH MANAGEMENT, INC.",12977 NORTH 40 DRIVE,SUITE 213,ST. LOUIS,MO,UNITED STATES,63141,314-576-1112,314-576-1113,,,,,,,Approved,3/26/2009,3/30/2010,Y,WWW.CAUBLEHARRE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"59,000,000.00",0,"59,000,000.00",126,0,126,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,121254,801-66107,"401(K) ADVISORS, INC.","401(K) ADVISORS, INC.",120 VANTIS,SUITE 400,ALISO VIEJO,CA,UNITED STATES,92656,949-460-9898,949-460-9893,,,,,,,Approved,1/31/2006,3/30/2010,Y,HTTP://WWW.401KADVISORS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,10-Jun,0,26-100,0,11-25 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"5,565,451.00",0,"5,565,451.00",13,0,13,N,Y,N,N,Y,Y,N,N,N,Y,RESEARCH REPORTS ON 401(K) PLANS,,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,Y,Y,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,113233,801-60333,FAMILY WEALTH ARCHITECTS LLC,FAMILY WEALTH ARCHITECTS LLC,,,,,,,781-647-7030,781-647-7090,,,,,,,Approved,6/22/2001,3/2/2010,Y,WWW.ONN-FWA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"55,775,599.00",0,"55,775,599.00",58,0,58,N,Y,N,Y,N,Y,N,N,N,Y,"INVESTMENT CONSULTING, CLIENT REFERRALS TO OTHER REGISTERED INVESTMENT ADVISERS",,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,128866,801-67868,WEALTH MANAGEMENT GROUP LLC,WEALTH MANAGEMENT GROUP LLC,300 ROSEWOOD DRIVE,SUITE 103,DANVERS,MA,USA,1923,978-624-3000,978-624-3007,,,,,,,Approved,5/4/2007,3/2/2010,Y,WWW.WMGROUPLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"117,000,000.00",0,"117,000,000.00",993,0,993,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,120641,801-61249,"BEACON CAPITAL MANAGEMENT, INC.","BEACON CAPITAL MANAGEMENT, INC.",323 REGENCY RIDGE,,DAYTON,OH,USA,45459,937-439-9093,937-424-4825,,,,,,,Approved,6/13/2002,3/2/2010,Y,WWW.BEACONINVESTING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,Nov-50,0,More than 500,"1,000",26-50 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"210,709,436.00","4,935,526.00","215,644,962.00",971,90,"1,061",N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,125748,801-61912,"INDEX STREET ADVISORS, INC.","INDEX STREET ADVISORS, INC.",,,,,,,949-929-8937,949-209-2055,3334 E COAST HWY,506,CORONA DEL MAR,CA,UNITED STATES,92625,Approved,3/21/2003,3/2/2010,Y,WWW.INDEXSTREET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"60,000,000.00",0,"60,000,000.00",200,0,200,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,112761,801-64135,"GREENWOOD INVESTMENT MANAGEMENT, INC.","GREENWOOD INVESTMENT MANAGEMENT, INC.",6430 SOUTH QUEBEC STREET,BUILDING 6,CENTENNIAL,CO,UNITED STATES,80111,303-770-1250,303-688-9315,,,,,,,Approved,4/13/2005,3/2/2010,Y,WWW.GREENWOODINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"44,539,452.00","955,319.00","45,494,771.00",194,2,196,N,Y,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,136742,801-64661,"NFI, LLC","NFI, LLC",200 NORTHPOINT CIRCLE,SUITE 202,SEVEN FIELDS,PA,UNITED STATES,16046,724-776-3999,724-776-3939,,,,,,,Approved,8/30/2005,3/2/2010,Y,WWW.NFILLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"28,034,737.00",0,"28,034,737.00",709,0,709,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
CHRO,105648,801-21209,"LIFETIME PLANNING PINNACLE ADVISORS, INC","LIFETIME PLANNING PINNACLE ADVISORS, INC",6 WEST 3RD ST.,SUITE 100,MANSFIELD,OH,UNITED STATES,44902,419-526-5226,419-526-0323,,,,,,,Approved,5/9/1984,3/2/2010,Y,WWW.PINNACLEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"160,220,354.00","160,220,354.00",0,749,749,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
ARO,110113,801-46654,"DBA, BAILEY & ASSOCIATES",BAILEY DELTON OVID JR/SC/,"1122 LADY STREET, SUITE 605",,COLUMBIA,SC,UNITED STATES,29201,803-799-6850,803-779-7408,,,,,,,Approved,6/21/1994,3/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"27,815,482.00",0,"27,815,482.00",226,0,226,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,110568,801-49439,CALLAHAN CAPITAL MANAGEMENT,CALLAHAN CAPITAL MANAGEMENT INC,1169 HILLTOP PKWY,106A,STEAMBOAT SPRINGS,CO,UNITED STATES,80487,970-870-8750,970-870-8748,1169 HILLTOP PKWY,106A,STEAMBOAT SPRINGS,CO,UNITED STATES,80487,Approved,7/7/1995,3/2/2010,Y,WWW.CALLAHANCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,0,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"78,926,470.00","719,843.00","79,646,313.00",891,7,898,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115736,801-66755,"MINDSHARE CAPITAL MANAGEMENT, LLC","MINDSHARE CAPITAL MANAGEMENT, LLC","7711 BONHOMME AVENUE, SUITE 600",,ST. LOUIS,MO,UNITED STATES,63105,314-719-3470,314-725-7748,,,,,,,Approved,6/1/2006,3/2/2010,Y,WWW.MINDSHARECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,Y,N,,Y,"68,645,036.00",0,"68,645,036.00",59,0,59,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110315,801-56721,REILLY FINANCIAL ADVISORS,REILLY FINANCIAL ADVISORS LLC,"7777 ALVARADO ROAD, SUITE 116",,LA MESA,CA,UNITED STATES,91942,619-698-0794,619-698-7260,,,,,,,Approved,7/27/1999,3/2/2010,Y,WWW.RFADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"242,129,552.00",0,"242,129,552.00",880,0,880,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,Y,Y,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104873,801-17936,"STRATEGIC ASSET MANAGEMNET, INC.","STRATEGIC ASSET MANAGEMENT, INC.",3518 RIVERSIDE DRIVE SUITE 106,,COLUMBUS,OH,UNITED STATES,43221,[614]451-0200,[614]451-7407,,,,,,,Approved,11/19/1982,3/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"107,100,948.00",0,"107,100,948.00",564,0,564,N,Y,N,N,N,N,N,N,Y,N,,,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,112145,801-60184,"CHECKS & BALANCES, INC.","CHECKS & BALANCES, INC.",3290 NORTHSIDE PKWY,SUITE 375,ATLANTA,GA,UNITED STATES,30327,404-233-0560,404-233-0580,,,,,,,Approved,4/25/2001,3/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"118,251,276.00",0,"118,251,276.00",36,0,36,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,135405,801-64257,STERLING CAPITAL MANAGEMENT,STERLING CAPITAL MANAGEMENT LLC,TWO MORROCROFT CENTRE,4064 COLONY RD. SUITE 300,CHARLOTTE,NC,USA,28211,704-372-8670,704-376-8127,,,,,,,Approved,6/2/2005,3/2/2010,Y,WWW.STERLING-CAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,251-500,0,0 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,WRAP PROGRAMS,Y,N,N,Y,N,Y,N,,Y,"13,271,355,381.00",0,"13,271,355,381.00",776,0,776,N,Y,Y,Y,N,Y,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,130919,801-67415,RAMIAH INVESTMENT GROUP,"RAMIAH INVESTMENT GROUP, INC.","675 N.BARKER ROAD, SUITE #200",,BROOKFIELD,WI,UNITED STATES,53045,262-784-7205,262-784-7206,,,,,,,Approved,1/3/2007,3/2/2010,Y,WWW.RAMIAHINVESTMENTGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),S- CORPORATION,WI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SELECTION OF OTHER ADVISORS,Y,"47,961,149.00","3,905,603.00","51,866,752.00",580,29,609,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108985,801-55896,"CAPITAL ADVANTAGE, INC.","CAPITAL ADVANTAGE, INC.","3708 MOUNT DIABLO BOULEVARD,",SUITE 200,LAFAYETTE,CA,UNITED STATES,94549-3612,925-299-1500,925-299-1599,,,,,,,Approved,9/23/1998,3/2/2010,Y,WWW.CAPITALADVANTAGE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"282,474,000.00",0,"282,474,000.00",380,0,380,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,142463,801-67314,"METLIFE INVESTMENT ADVISORS COMPANY, LLC","METLIFE INVESTMENT ADVISORS COMPANY, LLC",200 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10166,212-578-7531,212-578-8978,1095 AVENUE OF THE AMERICAS,,NEW YORK,NY,UNITED STATES,10036,Approved,11/29/2006,3/2/2010,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,INTERNATIONAL SUBSIDIARIES,Y,N,N,N,N,Y,N,,Y,"9,290,008,028.00","1,510,686,986.00","10,800,695,014.00",6,3,9,N,N,Y,Y,N,N,N,N,N,Y,OTHER POOLED INVESTMENT VEHICLES AND INTERNATIONAL SUBSIDIARIES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,116806,801-70718,PERSONAL FINANCIAL GROUP,PERSONAL FINANCIAL GROUP,7007 COLLEGE BLVD.,SUITE 410,OVERLAND PARK,KS,UNITED STATES,66062,913-451-PLAN (7526),913-661-9811,,,,,,,Approved,10/28/2009,3/2/2010,Y,WWW.PERSONALFINANCIALGRP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"43,876,897.00",0,"43,876,897.00",393,0,393,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108279,801-56303,"MERCER CAPITAL ADVISERS, INC.","MERCER CAPITAL ADVISERS, INC.",524 PROSPECT AVENUE,SUITE A,LITTLE SILVER,NJ,UNITED STATES,7739,732-758-9350,732-758-9275,,,,,,,Approved,3/3/1999,1/26/2010,Y,WWW.MERCERCAPITALADVISERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"109,086,530.00","2,656,829.00","111,743,359.00",310,14,324,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,123811,801-62466,"CMC ADVISORS, INC.","CMC ADVISORS, INC.",75 BROAD STREET,30TH FLOOR,NEW YORK,NY,USA,10004,212-402-1850,212-402-1851,,,,,,,Approved,10/31/2003,1/26/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106908,801-50819,WINDWARD CAPITAL MANAGEMENT CO,WINDWARD CAPITAL MANAGEMENT CO,11111 SANTA MONICA BOULEVARD,SUITE 1200,LOS ANGELES,CA,UNITED STATES,90025,310-893-3000,310-893-3001,,,,,,,Approved,12/14/1995,1/26/2010,Y,WWW.WINDWARDCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"229,001,191.00",0,"229,001,191.00",163,0,163,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,135769,801-66657,TIETON CAPITAL MANAGEMENT,"TIETON CAPITAL MANAGEMENT, LLC","4700 TIETON DRIVE, SUITE C",,YAKIMA,WA,UNITED STATES,98908,509-965-6488,E-FAX 801-409-1882,,,,,,,Approved,5/23/2006,1/26/2010,Y,WWW.TIETONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"67,900,000.00",0,"67,900,000.00",48,0,48,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,143342,801-68184,MIDSOUTH INVESTMENT MANAGEMENT LLC,MIDSOUTH INVESTMENT MANAGEMENT LLC,"201 4TH AVE. NORTH, SUITE 1950",,NASHVILLE,TN,USA,37219,615-254-0992,615-254-1603,,,,,,,Approved,7/31/2007,1/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"98,000,000.00",0,"98,000,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HEDGE FUND,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,130217,801-67838,"MONTROSE ASSET MANAGEMENT, LLC","MONTROSE ASSET MANAGEMENT, LLC",44 MONTGOMERY STREET,SUITE 3050,SAN FRANCISCO,CA,USA,94104,415-399-8833,415-399-9916,,,,,,,Approved,4/16/2007,1/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"55,621,187.00",0,"55,621,187.00",9,0,9,N,N,Y,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,113775,801-1441,WOOD YOUNG & CO INC,WOOD YOUNG & CO INC,209 W. BROAD ST.,,QUAKERTOWN,PA,USA,18951,215-536-8620,215-536-8622,,,,,,,Approved,3/15/1957,4/20/2006,Y,WWW.WOODYOUNG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,111,990.00","62,575,113.00","63,687,103.00",2,56,58,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,6439,801-61424,FINANCIAL COUNSELING CORPORATION,FINANCIAL COUNSELING CORPORATION,"14785 PRESTON ROAD, STE. 1000",,DALLAS,TX,UNITED STATES,75254,972-663-4300,972-663-4301,,,,,,,Approved,8/28/2002,1/26/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,0,0,5-Jan,0,0,0,10-Jan,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,FAMILY LIMITED PARTNERSHIPS,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,164,801-69509,"COBURN & MEREDITH, INC.","COBURN & MEREDITH, INC.",1 OLD MILL LANE,,SIMSBURY,CT,UNITED STATES,6070,860.522.7171,860.408.9159,,,,,,,Approved,9/2/2008,1/26/2010,Y,WWW.COBURNFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,REFERRAL FEES,Y,"144,079,461.00",0,"144,079,461.00",445,0,445,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,10-Jan,,Y,Y,Y,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N
SFRO,108959,801-57979,DBA NOTMAN FINANCIAL GROUP,JOHN SHAW NOTMAN,3133 WEST MARCH LANE,SUITE 2000,STOCKTON,CA,UNITED STATES,95219,209-955-5955,209-955-5958,,,,,,,Approved,9/26/2000,1/30/2009,Y,WWW.NOTMANFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"25,761,000.00",0,"25,761,000.00",500,0,500,Y,Y,N,N,N,N,N,N,Y,N,,251-500,,N,N,N,Y,N,Y,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144733,801-69708,"INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC","INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC",6631 MAIN STREET,,WILLIAMSVILLE,NY,UNITED STATES,14221,716-633-1515,716-633-1333,,,,,,,Approved,11/10/2008,1/26/2010,Y,WWW.ISWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,Nov-50,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"55,465,439.00",0,"55,465,439.00",495,0,495,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108678,801-34161,"HIGH FALLS ADVISORS, LLC","HIGH FALLS ADVISORS, LLC",36 WEST MAIN STREET,SUITE 322,ROCHESTER,NY,UNITED STATES,14614,585-935-5300,585-777-4037,,,,,,,Approved,5/4/1989,4/1/2010,Y,WWW.HIGHFALLSADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,More than 500,900,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"330,000,000.00","18,000,000.00","348,000,000.00",904,19,923,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110590,801-8663,"M.D. SASS INVESTORS SERVICES, INC.","M.D. SASS INVESTORS SERVICES, INC.",1185 AVENUE OF THE AMERICAS,18TH FLR,NEW YORK,NY,UNITED STATES,10036,212-730-2000,212-843-5949,,,,,,,Approved,6/1/1972,4/1/2010,Y,WWW.MDSASS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,11-25 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,SCHOOL/COLLEGE/UNIVERSITY,Y,N,N,N,N,Y,N,,Y,"1,320,406,364.00","194,179.00","1,320,600,543.00",62,2,64,N,Y,Y,Y,N,N,N,N,N,Y,INVESTMENT ADVISOR TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135986,801-64502,"ARISTEIA CAPITAL, LLC","ARISTEIA CAPITAL, LLC",136 MADISON AVENUE,THIRD FLOOR,NEW YORK,NY,UNITED STATES,10016-6711,212-842-8900,212-842-8901,,,,,,,Approved,7/13/2005,4/1/2010,Y,WWW.ARISTEIACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,522,417,772.00",0,"2,522,417,772.00",6,0,6,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVICE TO HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,141279,801-67227,"TREE CITY INVESTMENTS, INC.","TREE CITY INVESTMENTS, INC.",950 NORTH WESTERN AVENUE,,LAKEFOREST,IL,USA,60045,847-735-9522,847-735-9517,,,,,,,Approved,10/17/2006,4/1/2010,Y,WWW.TREE-CITYINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"52,439,057.00","52,439,057.00",0,25,25,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137746,801-65087,"WATERFALL ASSET MANAGEMENT, LLC","WATERFALL ASSET MANAGEMENT, LLC",1185 AVENUE OF THE AMERICAS,18TH FLOOR,NEW YORK,NY,UNITED STATES,10036,212-730-2000,212-843-5949,,,,,,,Approved,1/9/2006,4/1/2010,Y,WWW.MDSASS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,COLLEGES AND UNIVERSITIES,Y,N,N,N,N,Y,N,,Y,"928,751,288.00",0,"928,751,288.00",13,0,13,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT MANAGER TO MASTER FUND,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106740,801-54100,"RESURGENCE ASSET MANAGEMENT,LLC","RESURGENCE ASSET MANAGEMENT, L.L.C.",1185 AVENUE OF THE AMERICAS,18TH FLOOR,NEW YORK,NY,UNITED STATES,10036,212-730-2000,212-710-5017,,,,,,,Approved,3/28/1997,4/1/2010,Y,WWW.MDSASS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"66,864,954.00",0,"66,864,954.00",3,0,3,N,N,N,Y,N,N,N,N,N,Y,ADVISER TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,122725,801-66434,"STEPHEN M. GROSS, INC.","STEPHEN M. GROSS, INC.",115 RIVER ROAD SUITE 1208: BUILDING 12,,EDGEWATER,NJ,USA,7020,201-313-0999,201-313-1505,,,,,,,Approved,3/27/2006,4/1/2010,Y,WWW.STEVEGROSSINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"50,530,420.00",0,"50,530,420.00",191,0,191,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108381,801-57150,RESURGENCE ASSET MANAGEMENT INTL LLC,"RESURGENCE ASSET MANAGEMENT INTERNATIONAL, L.L.C.",1185 AVENUE OF THE AMERICAS,18TH FLOOR,NEW YORK,NY,UNITED STATES,10036,212-730-2000,212-710-5017,,,,,,,Approved,1/14/2000,4/1/2010,Y,WWW.MDSASS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"18,056,065.00",0,"18,056,065.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,ADVISER TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106691,801-38828,"HYA ADVISORS, INC","HYA ADVISORS, INC",1256 E KINGSLEY ST,,SPRINGFIELD,MO,UNITED STATES,65804-7211,417-882-7283,417-883-6315,,,,,,,Approved,5/16/1991,4/1/2010,Y,WWW.HEIMYOUNG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"94,239,482.00",0,"94,239,482.00",203,0,203,N,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108378,801-56338,RE ENTERPRISE ASSET MANAGEMENT LLC,"RE/ENTERPRISE ASSET MANAGEMENT, L.L.C.",1185 AVENUE OF THE AMERICAS,18TH FLOOR,NEW YORK,NY,UNITED STATES,10036,212-730-2000,212-710-5017,,,,,,,Approved,3/16/1999,4/1/2010,Y,WWW.MDSASS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"33,881,958.00",0,"33,881,958.00",4,0,4,N,N,N,Y,N,N,N,N,N,Y,ADVISER TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,128563,801-62437,"DOUBLE EAGLE PARTNERS, LLC","DOUBLE EAGLE PARTNERS, LLC","100 BAYVIEW CIRCLE, SUITE 500",,NEWPORT BEACH,CA,UNITED STATES,92660,949-737-7700,949-737-7703,,,,,,,Approved,10/31/2003,4/1/2010,Y,WWW.HOLLENCREST.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,Nov-50,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"31,553,135.00",0,"31,553,135.00",1,0,1,N,N,N,Y,N,Y,N,N,N,Y,OTHER POOLED INVESTMENT FUND VEHICLES (I.E. HEDGE FUNDS),,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107646,801-43008,SOWA FINANCIAL GROUP,SOWA FINANCIAL GROUP INC,855 WATERMAN AVENUE,,EAST PROVIDENCE,RI,USA,2914,401-434-8090,401-434-8360,,,,,,,Approved,1/22/1993,4/1/2010,Y,SOWAFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,RI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SEE SCHEDULE D,Y,"100,832,735.00","522,685.00","101,355,420.00",842,3,845,Y,Y,N,Y,N,N,N,N,N,Y,SEE SCHEDULE D,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,133383,801-63734,"EVERGREEN ASSET MANAGEMENT, LLC","EVERGREEN ASSET MANAGEMENT, LLC","7117 STINSON AVENUE, SUITE B",,GIG HARBOR,WA,UNITED STATES,98335-4902,253-853-5500,253-853-5711,,,,,,,Approved,1/3/2005,4/1/2010,Y,WWW.EVERGREENASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"109,890,553.00","10,391,665.00","120,282,218.00",354,4,358,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,113647,801-60946,EVNINE & ASSOCIATES,"EVNINE & ASSOCIATES, INC.",456 MONTGOMERY STREET,8TH FLOOR,SAN FRANCISCO,CA,USA,94104-1241,415-830-4300,703-997-0776,,,,,,,Approved,2/25/2002,4/1/2010,Y,HTTP://WWW.EVAFUNDS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"449,503,746.00",0,"449,503,746.00",7,0,7,N,N,N,Y,N,N,N,N,N,Y,PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N
FWRO,147278,801-69351,"CAZ/INROADS GROUP, L.L.C.","CAZ/INROADS GROUP, L.L.C.",ONE RIVERWAY PLAZA,SUITE 2000,HOUSTON,TX,USA,77056,713-403-8250,713-403-8251,,,,,,,Approved,7/10/2008,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"63,000,000.00",0,"63,000,000.00",110,0,110,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108547,801-56261,SAGE CAPITAL MANAGEMENT LLC,SAGE CAPITAL MANAGEMENT LLC,380 LEXINGTON AVENUE,SUITE 2705,NEW YORK,NY,UNITED STATES,10168,212-584-4110,212-584-4114,,,,,,,Approved,2/5/1999,4/1/2010,Y,WWW.SAGENY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"113,713,527.00","302,530,120.00","416,243,647.00",53,592,645,Y,Y,N,N,N,Y,N,N,N,Y,"ADVISOR TO EXCEL ALTERNATIVE STRATEGIES FUND, LLC",25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,142260,801-67396,SWISS RE PORTFOLIO ADVISORS CORPORATION,SWISS RE PORTFOLIO ADVISORS CORPORATION,55 EAST 52ND STREET,,NEW YORK,NY,UNITED STATES,10055,212-317-5400,212-317-5450,,,,,,,Approved,1/12/2007,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,Y,Y,NEGOTIATED FEES,Y,"450,000,000.00","1,379,804,391.00","1,829,804,391.00",2,8,10,N,N,N,Y,N,N,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107549,801-44472,"COMPREHENSIVE FINANCIAL INVESTMENT ADVISORS, INC.",COMPREHENSIVE FINANCIAL PLANNING CORPORATION,"6243 RIVER ROAD, SUITE 7",,RICHMOND,VA,UNITED STATES,23229-8522,804-285-7010,804-285-7046,,,,,,,Approved,8/6/1993,4/1/2010,Y,WWW.HIGHSTONEGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,ANNUAL % OF INVEST. PORT. THAT FP ADVICE,Y,"13,000,000.00","52,000,000.00","65,000,000.00",89,356,445,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,Y,MORTGAGES,Y,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,1794,801-66121,DETWILER FENTON & CO.,DETWILER FENTON & CO.,100 HIGH STREET,STE 2800,BOSTON,MA,UNITED STATES,2110,617-747-0100,617-747-0800,,,,,,,Approved,2/17/2006,4/1/2010,Y,WWW.DMCOS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,More than 500,645,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,Y,"MUTUAL FUND, TICKET CHARGE, MAIL, SOLICITATION FOR OTHER ADVISER",Y,"173,343,264.00",0,"173,343,264.00",645,0,645,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,Y,N,N,N,Y,N,N,,N,Y,Y,Y,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
NYRO,107913,801-56729,OZ MANAGEMENT LP,OZ MANAGEMENT LP,9 WEST 57TH STREET,13TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-790-0000,212-719-7402,,,,,,,Approved,7/29/1999,4/1/2010,Y,WWW.OZCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,251-500,0,51-250,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"17,321,378,192.00",0,"17,321,378,192.00",13,0,13,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,115963,801-61497,MALCOLM H. GISSEN & ASSOCIATES INC.,MALCOLM H. GISSEN & ASSOCIATES INC.,1700 CALIFORNIA STREET,SUITE 335,SAN FRANCISCO,CA,UNITED STATES,94109,415-749-6565,415-749-6566,,,,,,,Approved,10/21/2002,4/1/2010,Y,WWW.MGISSEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,51-250,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"177,000,000.00",0,"177,000,000.00",426,0,426,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,Y,Y,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,113791,801-67652,"BROWN ROBELLO CAPITAL MANAGEMENT, LLC","BROWN ROBELLO CAPITAL MANAGEMENT, LLC",3626 FAIR OAKS BLVD.,SUITE 300,SACRAMENTO,CA,UNITED STATES,95864-7256,916-480-2747,916-480-2741,,,,,,,Approved,5/7/2007,4/1/2010,Y,WWW.BROWNROBELLO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"98,882,689.00",0,"98,882,689.00",243,0,243,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,136503,801-65549,EMF FINANCIAL PRODUCTS LLC,EMF FINANCIAL PRODUCTS LLC,675 THIRD AVENUE,SUITE 2800,NEW YORK,NY,UNITED STATES,10017,212-490-1990,212-490-1966,,,,,,,Approved,1/27/2006,4/1/2010,Y,WWW.EMFFP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"242,100,402.00",0,"242,100,402.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106126,801-44524,DHK FINANCIAL ADVISORS INC,DHK FINANCIAL ADVISORS INC,3 GREENLEAF WOODS DRIVE,SUITE 202,PORTSMOUTH,NH,UNITED STATES,3801,603-436-5801,603-431-3346,P.O. BOX 4162,,PORTSMOUTH,NH,UNITED STATES,3802,Approved,8/6/1993,4/1/2010,Y,WWW.DHKFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"385,740,914.00","481,437,944.00","867,178,858.00",17,32,49,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,136390,801-64589,"PERSHING SQUARE HOLDINGS GP, LLC","PERSHING SQUARE HOLDINGS GP, LLC",888 SEVENTH AVENUE,42ND  FLOOR,NEW YORK,NY,UNITED STATES,10019,212-813-3700,212-286-1133,,,,,,,Approved,8/19/2005,4/1/2010,Y,HTTPS://SECURE.PERSQ.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,"111,104,330.00",0,"111,104,330.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,MANAGER OF PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137894,801-64917,TAPESTRY ASSET MANAGEMENT L.P.,TAPESTRY ASSET MANAGEMENT L.P.,125 VILLAGE BLVD,SUITE 270,PRINCETON,NJ,UNITED STATES,8540,609.613.4230,609.613.4235,,,,,,,Approved,12/2/2005,4/1/2010,Y,WWW.TAPESTRYAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"44,376,575.00","412,436,236.00","456,812,811.00",1,2,3,N,N,N,Y,N,N,N,N,N,Y,PROVIDE INVESTMENT SUPERVISORY SERVICES TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,104379,801-60158,CAROLINAS INVESTMENT CONSULTING LLC,CAROLINAS INVESTMENT CONSULTING LLC,5605 CARNEGIE BOULEVARD,SUITE 400,CHARLOTTE,NC,USA,28209,704-643-2455,704-643-2470,,,,,,,Approved,4/17/2001,4/1/2010,Y,WWW.CAROLINASINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"1,150,656.00","667,347,103.00","668,497,759.00",9,"1,095","1,104",Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,Y,N,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106794,801-37165,PECKS MANAGEMENT PARTNERS LTD,PECKS MANAGEMENT PARTNERS LTD,1 ROCKEFELLER PLAZA,SUITE 1427,NEW YORK,NY,UNITED STATES,10020,212-332-1333,212-332-1334,,,,,,,Approved,8/1/1990,4/1/2010,Y,WWW.PECKS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,51-75 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"42,868,871.00",0,"42,868,871.00",5,0,5,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,133904,801-63906,SILVER OAK WEALTH ADVISORS,"SILVER OAK WEALTH ADVISORS, LLC",12121 WILSHIRE BLVD.,SUITE 1300,LOS ANGELES,CA,UNITED STATES,90025,310-207-4800,310-943-0398,,,,,,,Approved,4/1/2005,4/1/2010,Y,WWW.SILVEROAKWA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"95,533,500.00",0,"95,533,500.00",258,0,258,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,136431,801-64572,"NORTH BERKELEY INVESTMENT PARTNERS, LLC","NORTH BERKELEY INVESTMENT PARTNERS, LLC",900 COLUSA AVENUE,SUITE 201,BERKELEY,CA,UNITED STATES,94707,510-528-5820,510-528-0711,,,,,,,Approved,8/10/2005,4/1/2010,Y,WWW.NORTHBERKELEYINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"166,200,517.00","32,102,123.00","198,302,640.00",694,256,950,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106266,801-27721,COHEN & STEERS CAPITAL MANAGEMENT INC.,"COHEN & STEERS CAPITAL MANAGEMENT, INC.",280 PARK AVE,10TH FLOOR,NEW YORK,NY,UNITED STATES,10017-1216,(212) 832-3232,(212) 832-3622,,,,,,,Approved,8/7/1986,4/1/2010,Y,WWW.COHENANDSTEERS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,51-250,0,Nov-50,0,51-250,0,5-Jan,0,101-250,0,0 percent,Up to 10 percent,0 percent,11-25 percent,26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,Y,"LICENSING FEES, AND PORTFOLIO CONSTRUCTION AND EVALUATION FEES",Y,"24,785,277,000.00",0,"24,785,277,000.00",134,0,134,N,Y,Y,Y,N,N,N,N,N,Y,"PORTFOLIO CONSULTING SVCS, INDEX MAINTENANCE SVCS; PORTFOLIO MANAGEMENT FOR PRIVATE & NON U.S. POOLED INVESTMENT VEHICLES",,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,148406,801-69751,"HFG WEALTH MANAGEMENT, LLC","HFG WEALTH MANAGEMENT, LLC",9400 GROGANS MILL ROAD,SUITE 340,THE WOODLANDS,TX,UNITED STATES,77380,832-585-0110,832-585-0109,,,,,,,Approved,11/28/2008,4/1/2010,Y,WWW.HARVEYFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"70,000,000.00",0,"70,000,000.00",291,0,291,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,109791,801-55123,JOHN MOORE & ASSOCIATES INC,JOHN MOORE & ASSOCIATES INC,6301 INDIAN SCHOOL RD NE,SUITE 810,ALBUQUERQUE,NM,UNITED STATES,87110-9614,505-881-5100,505-881-5289,,,,,,,Approved,1/9/1998,4/1/2010,Y,WWW.JOHNMOORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NM,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"92,001,575.00","41,483,125.00","133,484,700.00",317,88,405,Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,119597,801-65323,MAGNOLIA CAPITAL MANAGEMENT,"MAGNOLIA CAPITAL MANAGEMENT, LTD.",145 MAIN STREET,,COLD SPRING,NY,USA,10516,845-809-5259,845-809-5261,PO BOX 330,,COLD SPRING,NY,USA,10516-0330,Approved,1/19/2006,4/1/2010,Y,WWW.MAGNOLIACAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"67,090,458.00","1,365,254.00","68,455,712.00",50,2,52,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,117917,801-63515,"JAMES RIVER ASSET MANAGEMENT, LLC","JAMES RIVER ASSET MANAGEMENT, LLC",804 MOOREFIELD PARK DRIVE,SUITE 102,RICHMOND,VA,UNITED STATES,23236,804-323-0517,804-320-3315,,,,,,,Approved,9/23/2004,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"43,000,000.00",0,"43,000,000.00",140,0,140,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,112205,801-45332,MAPLE LEAF INVESTMENT MANAGEMENT,MAPLE LEAF INVESTMENT MANAGEMENT INC,1441 MAIN STREET,,SPRINGFIELD,MA,UNITED STATES,1103,413-747-5400,413-747-0200,,,,,,,Approved,12/14/1993,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,052,783.00",0,"25,052,783.00",39,0,39,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131368,801-63076,SAMSON CAPITAL ADVISORS LLC,SAMSON CAPITAL ADVISORS LLC,600 LEXINGTON AVENUE,20TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-300-1600,212-300-1650,,,,,,,Approved,5/11/2004,4/1/2010,Y,WWW.SAMSONCA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"6,838,701,585.00",0,"6,838,701,585.00",826,0,826,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107242,801-49716,AMERISTOCK CORPORATION,AMERISTOCK CORPORATION,1320 HARBOR BAY PARKWAY STE 145,,ALAMEDA,CA,UNITED STATES,94502,510-522-3336,510-522-3334,,,,,,,Approved,7/21/1995,4/1/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"219,172,102.00",0,"219,172,102.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,142150,801-67297,COHEN & STEERS UK LIMITED,COHEN & STEERS UK LIMITED,21 SACKVILLE STREET,FOURTH FLOOR,LONDON,,UNITED KINGDOM,W1 3DN,44 (207) 460-6350,44 (207) 460-6346,,,,,,,Approved,11/27/2006,4/1/2010,Y,WWW.COHENANDSTEERS.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Other (specify),UK LIMITED COMPANY,,UNITED KINGDOM,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,51-75 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,151,630,000.00",0,"2,151,630,000.00",52,0,52,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138443,801-65556,PYRENEES INVESTMENT MANAGEMENT,PYRENEES INVESTMENT MANAGEMENT,GRAN VIA DE LES GRAN VIA DE LES CORTS CATALANES,"643,2",BARCELONA,,SPAIN,8010,+34 93481 4624,+34 93481 4619,,,,,,,Approved,2/1/2006,4/1/2010,Y,WWW.PYRENEES-INV.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CAYMAN ISLANDS,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"223,531,391.00",0,"223,531,391.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,110257,801-53402,COLONIAL ASSET MANAGEMENT INC,COLONIAL ASSET MANAGEMENT INC,359 SOUTH PINE STREET,,SPARTANBURG,SC,USA,29302,864-582-3356,864-582-7839,P.O. BOX 1724,,SPARTANBURG,SC,USA,29304,Approved,2/21/1997,4/1/2010,Y,WWW.COLONIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"358,650,010.00","5,117,521.00","363,767,531.00","1,332",37,"1,369",N,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,131558,801-69448,UNIVERSAL FINANCIAL SERVICES INC.,UNIVERSAL FINANCIAL SERVICES INC.,METRO OFFICE PARK,"STREET #1, LOT 10",GUAYNABO,PR,UNITED STATES,922,787-706-7337,787-625-7093,,,,,,,Approved,7/31/2008,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PR,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,PORTFOLIO MANAGEMENT FOR INVESTMENT COMPANIES NOT REGISTERED UNDER THE INVESTMENT COMPANY ACT OF 1940.,Y,N,N,N,N,N,N,,Y,"108,522,391.00",0,"108,522,391.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR INVESTMENT COMPANIES NOT REGISTERED UNDER THE INVESTMENT COMPANY ACT OF 1940.,0,,N,N,Y,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107485,801-45532,BSW WEALTH PARTNERS,BSW WEALTH PARTNERS LLC,2336 PEARL STREET,,BOULDER,CO,UNITED STATES,80302,303-444-9696,303-444-8585,,,,,,,Approved,1/3/1994,4/1/2010,Y,WWW.BSW.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"550,000,000.00","2,700,000.00","552,700,000.00","1,487",10,"1,497",Y,Y,N,Y,N,Y,N,N,N,Y,1. TAX & ESTATE PLANNING COORDINATION 2. DIVERSIFICATION PLANNING  3. EMPLOYEE STOCK OPTIONS,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111857,801-57656,STEPHENS ASSET MANAGEMENT INC,STEPHENS VAL G REGISTERED INVESTMENT ADVISOR INC,7844 MADISON AVE STE 120,,FAIR OAKS,CA,UNITED STATES,95628,916-863-6330,916-863-6334,,,,,,,Approved,6/2/2000,4/1/2010,Y,WWW.STEPHENSASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"39,984,000.00",0,"39,984,000.00",325,0,325,Y,Y,N,Y,N,N,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,133597,801-63760,"STARWOOD REAL ESTATE SECURITIES, LLC","STARWOOD REAL ESTATE SECURITIES, LLC",591 WEST PUTNAM AVE,,GREENWICH,CT,USA,6830,203-422-7740,203-422-7839,,,,,,,Approved,1/3/2005,4/1/2010,Y,WWW.STARWOODSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"314,944,398.00","18,507,189.00","333,451,587.00",8,6,14,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,Y,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150767,801-70396,"HUMONICA ASSET MANAGEMENT, LLC","HUMONICA ASSET MANAGEMENT, LLC",1865 PALMER AVENUE,SUITE 108,LARCHMONT,NY,UNITED STATES,10538,914-833-0875,914-833-0168,,,,,,,Approved,7/14/2009,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"32,500,000.00",0,"32,500,000.00",61,0,61,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,143224,801-67853,"DWM ASSET MANAGEMENT, LLC","DWM ASSET MANAGEMENT, LLC",800 POST ROAD,,DARIEN,CT,UNITED STATES,6820,203-655-5453,203-656-9528,,,,,,,Approved,5/3/2007,4/1/2010,Y,WWW.DWMARKETS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"176,552,131.00","447,171,816.00","623,723,947.00",5,2,7,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139647,801-66679,TOZAI INVESTMENT ADVISORY,TOZAI INVESTMENT ADVISORY,"C/O WALKERS SPV LIMITED, WALKER HOUSE",MARY STREET,"GEORGE TOWN, GRAND CAYMAN",,CAYMAN ISLANDS,,345-945-3727,345-945-4757,,,,,,,Approved,5/19/2006,2/13/2007,Y,WWW.TOZAI-ADVISORY.COM,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,,CAYMAN ISLANDS,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,More than 75 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,Y,Y,N,N,N,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,113010,801-68047,"TESSARA FINANCIAL ADVISORS, INC.","TESSARA FINANCIAL ADVISORS, INC.",1001 BAY HILL DRIVE,SUITE 170,SAN BRUNO,CA,UNITED STATES,94066,650-266-8000,650-266-8050,,,,,,,Approved,7/10/2007,5/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,0,"45,000,000.00","45,000,000.00",0,45,45,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N
LARO,127309,801-67551,"COOKE WEALTH MANAGEMENT, LLC","COOKE WEALTH MANAGEMENT, LLC","4695 MACARTHUR CT., SUITE 480",,NEWPORT BEACH,CA,UNITED STATES,92660,949-724-3880,949-622-9001,,,,,,,Approved,2/12/2007,5/3/2010,Y,WWW.COOKEWEALTHMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"22,296,498.00","13,485,154.00","35,781,652.00",56,67,123,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,152553,801-71098,"SWEDAN INVESTMENT MANAGEMENT, LLC","OUTSTANDING VALUE FINANCIAL MANAGEMENT, LLC",,,,,,,248-310-8727,815-550-1626,,,,,,,Approved,2/9/2010,5/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,102,591.00","39,796,042.00","44,898,633.00",9,23,32,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145915,801-71428,"AEON CAPITAL MANAGEMENT, INC.",AEON CAPITAL MANAGEMENT INC.,"30 SOUTH WACKER DRIVE, SUITE 1700",,CHICAGO,IL,UNITED STATES,60606,312-254-5044,312-275-7300,,,,,,,120-Day Approval,5/14/2010,5/4/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,CURRENTLY NONE- LAUNCHING A HEDGE FUND,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107303,801-38340,UPRIGHT FINANCIAL CORP,UPRIGHT FINANCIAL CORP,615 WEST MT PLEASANT AVE,,LIVINGSTON,NJ,UNITED STATES,7039,973-533-1818,973-533-9199,,,,,,,Approved,3/1/1991,5/4/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,FOREIGN INVESTORS,Y,N,N,N,Y,Y,Y,PACKAGE FEE,Y,"16,954,730.00",0,"16,954,730.00",87,0,87,Y,Y,Y,N,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,N,Y,N,N,N,Y,N,Y,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,7186,801-9204,WALL STREET MANAGEMENT CORPORATION,WALL STREET MANAGEMENT CORPORATION,441 LEXINGTON AVENUE,17TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-856-8200,212-856-8240,,,,,,,Approved,4/16/1973,5/4/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"12,209,290.00",0,"12,209,290.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,152430,801-70908,CFG ASSET MANAGEMENT LLC,CFG ASSET MANAGEMENT LLC,"16 CAMPUS BOULEVARD, SUITE 200",,NEWTOWN SQUARE,PA,UNITED STATES,19073-3229,610-325-6100,610-325-7010,,,,,,,Approved,1/11/2010,5/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,0,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"25,619,304.00",0,"25,619,304.00",17,0,17,N,Y,N,Y,N,Y,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151508,801-70607,"WATER ASSET MANAGEMENT, LLC","WATER ASSET MANAGEMENT, LLC",509 MADISON AVENUE,SUITE 804,NEW YORK,NY,UNITED STATES,10022,212-754-5132,212-754-5101,,,,,,,Approved,10/1/2009,5/4/2010,Y,WWW.WATERINV.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"157,000,000.00",0,"157,000,000.00",7,0,7,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,143536,801-67709,GASKIN WEALTH MANAGEMENT,"GASKIN WEALTH MANAGEMENT, LLC","318 DIABLO ROAD, STE. 230",,DANVILLE,CA,UNITED STATES,94526-3443,925-837-0955,925-837-0922,,,,,,,Approved,3/30/2007,5/4/2010,Y,WWW.GASKINWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"48,386,073.00",0,"48,386,073.00",211,0,211,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,113688,801-60492,"DELTA ASSET MANAGEMENT, LLC","DELTA ASSET MANAGEMENT, LLC",700 COLONIAL ROAD,SUITE 130,MEMPHIS,TN,UNITED STATES,38117-5190,901-767-4791,901-767-1224,,,,,,,Approved,11/21/2001,5/4/2010,Y,WWW.DELTAASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,More than 500,672,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"426,123,729.00",0,"426,123,729.00",672,0,672,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,106633,801-41821,CRESCENT STERLING LTD.,CRESCENT STERLING LTD,3850 NORTH CAUSEWAY BLVD.,SUITE 1150,METAIRIE,LA,UNITED STATES,70002,504-835-1135,504-835-1995,,,,,,,Approved,7/1/1992,5/4/2010,Y,WWW.CRESCENTSTERLING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"142,826,712.00","806,564.00","143,633,276.00",457,3,460,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,153643,801-71429,COMMUNITY INVESTMENT PARTNERS,"COMMUNITY INVESTMENT PARTNERS, INC.",7315 WISCONSIN AVENUE,SUITE 1100W,BETHESDA,MD,UNITED STATES,20814,301.951.4838,301.280.1399,,,,,,,Approved,5/20/2010,5/4/2010,Y,HTTP://WWW.CALVERTFOUNDATION.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"39,964,184.00","39,964,184.00",0,10,10,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,112510,801-60225,INVESTMENT ADVICE LINE,"INVESTMENT ADVICE LINE, INC.",300 EAST JOPPA RD.,SUITE 300,TOWSON,MD,USA,21286,410-828-4900,410-828-6610,,,,,,,Approved,5/1/2001,1/11/2006,Y,WWW.INVESTMENTADVICELINE.COM,N,N,N,N,N,N,N,N,N,Y,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,0,0,0,0,5-Jan,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,Y,N,N,N,Y,IMPERSONAL TELEPHONIC INVESTMENT ADVICE,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,29604,801-41015,"NATIONAL PLANNING CORPORATION (""NPC OF AMERICA"" IN FL & NY)",NATIONAL PLANNING CORPORATION,401 WILSHIRE BLVD STE 1100,,SANTA MONICA,CA,UNITED STATES,90401,310-899-7900,310-899-7844,,,,,,,Approved,3/12/1992,5/4/2010,Y,WWW.NATPLAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"5,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"1,566,602,364.00","1,582,937,074.00","3,149,539,438.00","7,742","9,727","17,469",Y,Y,N,Y,N,Y,Y,N,N,Y,SEMINARS,More than 500,1000,N,N,Y,N,N,N,Y,N,N,,N,,Y,Y,Y,Y,N,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N
SFRO,134364,801-69081,"TRELLIS ADVISORS, LLC","TRELLIS ADVISORS, LLC",8804 ROOSEVELT WAY NE,,SEATTLE,WA,UNITED STATES,98115,206 522-6111,206.522.5324,,,,,,,Approved,4/23/2008,5/4/2010,Y,WWW.TRELLISADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"62,814,332.00",0,"62,814,332.00",251,0,251,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,128559,801-64797,"BUCKLEY INVESTMENT GROUP, LLC","BUCKLEY INVESTMENT GROUP, LLC",20 E POPLAR ST,STE 202,WALLA WALLA,WA,UNITED STATES,99362,509-522-1600,509-522-1605,PO BOX 2500,,WALLA WALLA,WA,UNITED STATES,99362,Approved,10/11/2005,5/4/2010,Y,WWW.GO2BIG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"48,588,524.00",0,"48,588,524.00",217,0,217,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,148959,801-69945,OLD MUTUAL GLOBAL INDEX TRACKERS (PROPRIETARY) LIMITED,OLD MUTUAL GLOBAL INDEX TRACKERS (PROPRIETARY) LIMITED,144 KATHERINE STREET,"GRAYSTON RIDGE OFFICE PARK, FIRST FLOOR BLOCK A",SANDTON,,SOUTH AFRICA,2196,+27 11 562-6000,+27 11 262-6331,P.O. BOX 782574,,SANDTON,,SOUTH AFRICA,2196,Approved,3/12/2009,5/4/2010,Y,WWW.OMGXTUS.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),PROPRIETARY LIMITED,,SOUTH AFRICA,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,Up to 10 percent,0 percent,0 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"5,391,805,893.00",0,"5,391,805,893.00",29,0,29,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110464,801-50959,NORTHERN TRUST GLOBAL ADVISORS INC,NORTHERN TRUST GLOBAL ADVISORS INC,300 ATLANTIC STREET,SUITE 400,STAMFORD,CT,UNITED STATES,6901,203-977-7000,203-356-9341,,,,,,,Approved,1/5/1996,5/4/2010,Y,HTTP://WWW.NORTHERNTRUST.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,Nov-50,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"6,985,347,851.00",0,"6,985,347,851.00",2,0,2,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108182,801-55438,GARLAND CAPITAL MANAGEMENT INC,GARLAND CAPITAL MANAGEMENT INC,800 BELLEVUE WAY NE,SUITE 400,BELLEVUE,WA,UNITED STATES,98004,425-646-7366,425-646-7395,,,,,,,Approved,4/15/1998,3/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"141,056,484.00",0,"141,056,484.00",179,0,179,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,109482,801-57102,"ALEXANDER CAPITAL MANAGEMENT, INC.","ALEXANDER CAPITAL MANAGEMENT, INC.",5301 N. FEDERAL HIGHWAY,STE. 380,BOCA RATON,FL,UNITED STATES,33487,561-674-0081,561-674-0281,,,,,,,Approved,12/17/1999,3/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"59,118,211.00",0,"59,118,211.00",6,0,6,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105494,801-30019,WALL STREET ASSOCIATES,"WALL STREET ASSOCIATES, LLC",1200 PROSPECT STREET,SUITE 100,LA JOLLA,CA,UNITED STATES,92037,858-551-2100,858-551-2120,P.O. BOX 8589,,LA JOLLA,CA,UNITED STATES,92038,Approved,7/17/1987,3/8/2010,Y,HTTP://WWW.WSALJ.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,51-75 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,528,000,000.00",0,"1,528,000,000.00",45,0,45,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,111332,801-60895,"DAVIS CAPITAL MANAGEMENT, LLC","DAVIS CAPITAL MANAGEMENT, LLC",55 MADISON STREET SUITE 680,,DENVER,CO,UNITED STATES,80206-5420,303-329-6262,303-629-6813,,,,,,,Approved,2/1/2002,3/8/2010,Y,DCMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,FEE BASED CONSULTING SERVICES MAY BE PROVIDED IN THE FUTURE.,Y,"80,745,425.00","462,355.00","81,207,780.00",148,2,150,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107044,801-39831,LIVINGSTON & JEFFERSON INC,LIVINGSTON & JEFFERSON INC,442 CAREW TOWER 441 VINE STREET,,CINCINNATI,OH,UNITED STATES,45202-2813,513-852-8160,513-852-8163,,,,,,,Approved,9/12/1991,3/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),S CORPORATION,KY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"36,999,540.00","73,053,665.00","110,053,205.00",38,3,41,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,105878,801-38310,OPTIMUM FINANCIAL SERVICES INC,OPTIMUM FINANCIAL SERVICES INC,1817 CRANE RIDGE DRIVE,SUITE 200,JACKSON,MS,UNITED STATES,39216-4902,601-981-5900,601-981-5939,,,,,,,Approved,2/22/1991,3/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MS,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"95,772,000.00","33,479,000.00","129,251,000.00",146,5,151,N,Y,N,N,Y,Y,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109651,801-4211,CHURCHILL MANAGEMENT GROUP,CHURCHILL MANAGEMENT CORP,5900 WILSHIRE BLVD,SUITE 400,LOS ANGELES,CA,USA,90036,323-937-7110,323-937-0408,,,,,,,Approved,2/15/1967,3/8/2010,Y,WWW.CHURCHILLMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,51-250,0,10-Jun,0,0,0,10-Jun,0,More than 500,"2,340",51-75 percent,11-25 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,664,000,000.00",0,"1,664,000,000.00","3,639",0,"3,639",N,Y,N,N,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110564,801-50336,GUERRA INVESTMENT ADVISORS,"THE RUBEN E. GUERRA COMPANY, LLC",201 E. MAIN,SUITE 1200,EL PASO,TX,UNITED STATES,79901,915-760-5551,915-760-6661,,,,,,,Approved,10/10/1995,3/8/2010,Y,WWW.REGUERRACO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"28,000,000.00",0,"28,000,000.00",140,0,140,Y,Y,N,Y,N,N,N,N,N,Y,ACTIVE INVESTMENT MANAGMENT,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,134530,801-64179,"STEFFES FINANCIAL, LTD","STEFFES FINANCIAL, LTD",8655 COLLEGE BLVD,SUITE 101,OVERLAND PARK,KS,UNITED STATES,66210,913-722-1111,913-722-1120,,,,,,,Approved,4/15/2005,3/8/2010,Y,WWW.STEFFESFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"91,000,000.00",0,"91,000,000.00",166,0,166,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147688,801-70750,GREEN FAMILY WEALTH MANAGEMENT,"OPTIMUM WEALTH MANAGEMENT, LLC",10435 CLAYTON ROAD,SUITE 120,ST. LOUIS,MO,UNITED STATES,63131,314-569-0700,314-569-0702,,,,,,,Approved,10/26/2009,3/8/2010,Y,WWW.GREENFWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"16,171,157.00","24,363,799.00","40,534,956.00",32,125,157,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,146725,801-69289,"ATLANTIC CAPITAL STRATEGIES, INC.","ATLANTIC CAPITAL STRATEGIES, INC.",,,,,,,781-276-4966,781-276-4988,,,,,,,Approved,6/12/2008,3/9/2010,Y,WWW.ATLANTICCAPITALSTRATEGIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"2,462,527,000.00","2,462,527,000.00",0,14,14,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,127453,801-67960,SPECTRUM FINANCIAL RESOURCES,SPECTRUM FINANCIAL RESOURCES,1739 WEST BIG BEAVER,,TROY,MI,UNITED STATES,48084,248-643-0033,248-643-0066,,,,,,,Approved,6/13/2007,3/9/2010,Y,WWW.SPECTRUMFC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,SEMINAR FEES,Y,"12,225,000.00","25,388,592.00","37,613,592.00",100,125,225,Y,Y,N,Y,N,N,N,N,N,Y,CONSULTING SERVICES AND SEMINARS,26-50,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,122282,801-62308,"FOUNDING ASSET MANAGEMENT, INC.","FOUNDING ASSET MANAGEMENT, INC.","SUITE 18, VICARAGE HOUSE",58-60 KENSINGTON CHURCH STREET,LONDON,,UNITED KINGDOM,W84DB,011-44-20-3051-1522,011-44-20-3051-1577,C/O CROWE HORWATH LLP,"488 MADISON AVENUE, 3RD FLOOR",NEW YORK,NY,UNITED STATES,10022-5722,Approved,9/8/2003,3/9/2010,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,"26,500,000.00","26,500,000.00",0,12,12,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,137183,801-65657,"ABRAMS BISON INVESTMENTS, L.L.C.","ABRAMS BISON INVESTMENTS, L.L.C.",4800 HAMPDEN LANE,SUITE 1050,BETHESDA,MD,UNITED STATES,20814,301-657-5925,530-431-2007,,,,,,,Approved,1/27/2006,3/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"464,635,949.00",0,"464,635,949.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,111629,801-61837,NETINVESTMENTADVISOR.COM,"NETINVESTMENTADVISOR.COM, INC.",,,,,,,404-550-0155,706-733-2100,P.O.BOX 40052,,AUGUSTA,GA,USA,30909,Approved,2/28/2003,3/9/2010,Y,WWW.NETINVESTMENTADVISOR.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,Y,MODEL PORTFOLIOS/ASSET ALLOCATION,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,118000,801-68512,"ALLIANT FINANCIAL MANAGEMENT, INC.","ALLIANT FINANCIAL MANAGEMENT, INC.",,,,,,,443-982-1538,443-982-2238,P.O. BOX 124,,HAVRE DE GRACE,MD,UNITED STATES,21078-0124,Approved,11/9/2007,3/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,TAX-EXEMPT ASSOCIATIONS,Y,Y,N,N,N,N,N,,Y,"31,065,960.00","114,426.00","31,180,386.00",213,5,218,Y,Y,N,Y,N,N,N,N,N,Y,INCOME TAX PLANNING & PREPARATION,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108835,801-57720,"NORTHEAST ADVISERS, INC.",NORTHEAST ADVISERS INC,123 PAOLI PIKE,,PAOLI,PA,UNITED STATES,19301,610-240-7955,610-240-7956,,,,,,,Approved,7/5/2000,3/9/2010,Y,ADVICE@NORTHEASTADVISERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,10-Jun,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"264,081,153.00","264,081,153.00",0,231,231,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,Y,N,N,N,N,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,151561,801-70590,"TEAM FINANCIAL ASSET MANAGEMENT, LLC","TEAM FINANCIAL ASSET MANAGEMENT, LLC",800 CORPORATE CIRCLE,SUITE 106,HARRISBURG,PA,UNITED STATES,17110,717-540-7807,717-540-7875,,,,,,,Approved,9/24/2009,3/9/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"85,010.00",0,"85,010.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,134176,801-63900,COPPER ROCK CAPITAL PARTNERS,COPPER ROCK CAPITAL PARTNERS LLC,200 CLARENDON STREET,51ST FLOOR,BOSTON,MA,UNITED STATES,2116,617-369-7100,617-369-7208,,,,,,,Approved,2/10/2005,3/9/2010,Y,WWW.COPPERROCKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,606,461,185.00","21,286,671.00","1,627,747,856.00",81,434,515,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105756,801-17671,MONTAG A & ASSOCIATES INC,MONTAG A & ASSOCIATES INC,133 PEACHTREE STREET,2500 GEORGIA PACIFIC CENTER,ATLANTA,GA,USA,30303,404-522-5774,404-525-3287,,,,,,,Approved,9/13/1982,3/9/2010,Y,WWW@AMONTAG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"787,026,038.00","2,712,431.00","789,738,469.00",784,5,789,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,121583,801-68909,"MAIN LINE FINANCIAL ADVISORS, LLC.","MAIN LINE FINANCIAL ADVISORS, LLC.",211 E HIGH STREET,,POTTSTOWN,PA,UNITED STATES,19464,610-323-5860,610-323-5861,,,,,,,Approved,3/27/2008,3/9/2010,Y,WWW.MLFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"75,000,000.00",0,"75,000,000.00",3,0,3,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,119313,801-61955,KHD FINANCIAL,KHD FINANCIAL CORP.,"1200 BRICKELL AVENUE, SUITE 700",,MIAMI,FL,UNITED STATES,33131,305.710.6266,305.716.9209,,,,,,,Approved,3/31/2003,3/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"29,162,826.00",0,"29,162,826.00",1,0,1,Y,N,N,Y,N,Y,N,N,N,Y,CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109662,801-43579,FUNDQUEST INCORPORATED,FUNDQUEST INCORPORATED,ONE WINTHROP SQUARE,,BOSTON,MA,UNITED STATES,02110-1209,617-526-7300,617-526-7377,,,,,,,Approved,3/25/1993,3/18/2010,Y,WWW.FUNDQUEST.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,10-Jun,0,10-Jun,0,More than 500,"73,500",51-75 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"4,692,182,629.00","8,664,283,330.00","13,356,465,959.00","30,723","44,938","75,661",N,Y,Y,Y,N,Y,N,N,N,N,,0,,Y,N,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,124504,801-71261,"GLEN EAGLE ADVISORS, LLC","GLEN EAGLE ADVISORS, LLC",200 AMERICAN METRO BLVD.,SUITE 114,HAMILTON,NJ,UNITED STATES,08619-2320,609-631-8231,609-631-8237,,,,,,,Approved,4/6/2010,3/18/2010,Y,WWW.GLENEAGLEADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"10,643,729.00","14,568,193.00","25,211,922.00",14,83,97,N,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,146255,801-68830,"ARISTON SERVICES GROUP, LLC","ARISTON SERVICES GROUP, LLC",550 WEST C STREET,SUITE 1860,SAN DIEGO,CA,UNITED STATES,92101,619-241-2326,619-794-0127,,,,,,,Approved,2/5/2008,3/18/2010,Y,WWW.ARISTONSERVICESGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,0,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"74,300,000.00","4,500,000.00","78,800,000.00",178,15,193,Y,Y,N,Y,Y,Y,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106716,801-49805,BENNETT LAWRENCE MANAGEMENT LLC,BENNETT LAWRENCE MANAGEMENT LLC,ONE GRAND CENTRAL PLACE,"60 EAST 42ND STREET, 43RD FLOOR",NEW YORK,NY,UNITED STATES,10165,212-508-6400,212-593-9647,,,,,,,Approved,8/7/1995,3/18/2010,Y,WWW.BENNETTLAWRENCE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,10-Jun,0,101-250,0,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"781,652,738.00",0,"781,652,738.00",175,0,175,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,137495,801-64908,PMB ADVISORS,"BERESH, PATRICK M",101 LARKSPUR LANDING CIRCLE,SUITE 211,LARKSPUR,CA,USA,94939-1746,415-336-5501,415-925-1140,,,,,,,Approved,11/18/2005,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"46,900,000.00","2,000,000.00","48,900,000.00",193,5,198,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150886,801-70440,URSAMINE CREDIT ADVISORS LLC,URSAMINE CREDIT ADVISORS LLC,535 MADISON AVENUE,33RD FLOOR,NEW YORK,NY,UNITED STATES,10022,212-715-0470,212-715-0474,,,,,,,Approved,8/6/2009,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,427,704,686.00",0,"1,427,704,686.00",5,0,5,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,140011,801-66526,BEACH INVESTMENT MANAGEMENT LLC.,BEACH INVESTMENT MANAGEMENT LLC.,300 BARR HARBOR DRIVE,SUITE 220,CONSHOHOCKEN,PA,UNITED STATES,19428,610-940-1111,610-940-1118,,,,,,,Approved,5/5/2006,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"51,719,663.00",0,"51,719,663.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,INVESTMENT FIRM,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107878,801-55927,WARD & ASSOCIATES,WARD & ASSOCIATES,,,,,,,858-759-5330,858-759-5334,PO BOX 8710,,RANCHO SANTA FE,CA,UNITED STATES,92067,Approved,10/19/1998,3/18/2010,Y,WWW.WARDINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"132,061,665.00","5,335,197.00","137,396,862.00",40,8,48,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109210,801-57946,AMES FEE ONLY FINANCIAL PLANNING,AMES STEVEN REEDE,503 FIFTH ST.,,ANNAPOLIS,MD,USA,21403,410-280-2390,410-280-2116,,,,,,,Approved,9/15/2000,3/18/2010,Y,WWW.FEEONLYANNAPOLISMD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"76,154,000.00",0,"76,154,000.00",246,0,246,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107718,801-52142,"THE MDE GROUP, INC.","THE MDE GROUP, INC.",465 SOUTH STREET,SUITE 304,MORRISTOWN,NJ,USA,7960,973-206-7100,973-206-7101,,,,,,,Approved,6/17/1996,3/18/2010,Y,WWW.MDEGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,227,033,407.00",0,"1,227,033,407.00","1,429",0,"1,429",Y,Y,N,N,N,Y,N,N,N,Y,CONSULTING,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,147400,801-69512,HT PARTNERS LLC,HT PARTNERS LLC,5 ESSEX SQUARE,SUITE 2B,ESSEX,CT,UNITED STATES,6426,860-661-4161,860-767-7102,,,,,,,Approved,9/3/2008,3/18/2010,Y,WWW.HTPTRS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,TRUSTS,Y,Y,N,Y,N,N,N,,Y,"256,639,748.00",0,"256,639,748.00",106,0,106,Y,Y,N,Y,N,Y,N,N,N,Y,MULTIFAMILY OFFICE ADVISORY,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109818,801-58210,"CCM ADVISORS, LLC","CCM ADVISORS, LLC","190 S. LASALLE ST., SUITE 2800",,CHICAGO,IL,UNITED STATES,60603,312-444-6200,312-444-6205,,,,,,,Approved,12/13/2000,3/18/2010,Y,WWW.CCMADVISORS.COM,N,Y,N,N,Y,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"211,624,369.00","72,820,202.00","284,444,571.00",5,6,11,N,N,Y,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,132530,801-65141,"SILVERGATE CAPITAL MANAGEMENT, LLC","SILVERGATE CAPITAL MANAGEMENT, LLC",1225 17TH STREET,SUITE 2520,DENVER,CO,USA,80202,303-468-8674,303-468-8676,,,,,,,Approved,1/12/2006,3/31/2008,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"6,000,000.00",0,"6,000,000.00",3,0,3,N,Y,N,Y,N,N,N,N,N,Y,FIRM OFFERS INVESTMENT ADVISORY SERVICES TO POOLED INVESTMENT VEHICLES.,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,113851,801-58039,"MKP CAPITAL MANAGEMENT, L.L.C.","MKP CAPITAL MANAGEMENT, L.L.C.",600 LEXINGTON AVENUE,18TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-303-7100,212-303-7196,,,,,,,Approved,10/23/2000,3/18/2010,Y,WWW.MKPCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,SOVEREIGN WEALTH FUNDS,Y,N,N,N,N,Y,N,,Y,"3,250,000,000.00",0,"3,250,000,000.00",21,0,21,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS.,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,109664,801-19624,MANARIN INVESTMENT COUNSEL LTD,MANARIN INVESTMENT COUNSEL LTD,15858 W DODGE RD,STE 310,OMAHA,NE,USA,68118,402-330-1166,402-333-4297,,,,,,,Approved,9/1/1983,3/18/2010,Y,WWW.MANARIN.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,More than 500,"1,500",More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"185,378,533.00","268,347,938.00","453,726,471.00",3,"1,388","1,391",Y,Y,Y,Y,N,N,Y,N,N,N,,More than 500,1500,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,141024,801-66976,"HARDY REED CAPITAL ADVISORS, LLC","HARDY REED CAPITAL ADVISORS, LLC",101 S. FRONT STREET,,TUPELO,MS,UNITED STATES,38804,662-823-4722,662-823-4720,P.O. BOX 437,,TUPELO,MS,UNITED STATES,38802-0437,Approved,7/5/2006,3/18/2010,Y,WWW.HARDYREED.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"152,068,698.00",0,"152,068,698.00",278,0,278,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105022,801-21151,"DELTA VENTURES FINANCIAL COUNSEL, INC.",DELTA VENTURES FINANCIAL COUNSEL INC,2855 EAST BROWN ROAD,SUITE 5,MESA,AZ,UNITED STATES,85213,480-924-5613,480-924-8062,,,,,,,Approved,5/18/1984,3/18/2010,Y,WWW.DELTAVENTURESONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"75,321,510.00",0,"75,321,510.00",158,0,158,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145795,801-68600,"ESSEX RIDGE CAPITAL GROUP, LLC","ESSEX RIDGE CAPITAL GROUP, LLC",,,,,,,314-961-9405,314-965-9406,,,,,,,Approved,1/3/2008,2/12/2010,Y,WWW.ESSEXRIDGECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"73,162,760.00",0,"73,162,760.00",13,0,13,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,111603,801-60288,BEACON CAPITAL MANAGEMENT LIMITED,BEACON CAPITAL MANAGEMENT LIMITED,"HARBOUR HOUSE, 2ND FLOOR",WATERFRONT DRIVE,"ROAD TOWN, TORTOLA",,BRITISH VIRGIN ISLANDS,VG1110,1-284-494-4770,1-284-494-4771,PO BOX 972,,"ROAD TOWN, TORTOLA",,BRITISH VIRGIN ISLANDS,VG1110,Approved,5/21/2001,2/12/2010,Y,WWW.BEACONSECURITIES.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,BRITISH VIRGIN ISLANDS,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"4,100,000.00","80,000.00","4,180,000.00",20,5,25,Y,Y,N,N,Y,N,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,137449,801-68798,WARREN CAPITAL GROUP,"WARREN CAPITAL MANAGEMENT, INC.",2 WISCONSIN CIRCLE,ST 700,CHEVY CHASE,MD,UNITED STATES,20815,888-262-1040,240-235-6021,,,,,,,Approved,2/8/2008,2/12/2010,Y,WWW.WARCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"44,150,000.00",0,"44,150,000.00",270,0,270,N,Y,N,N,N,N,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114332,801-65859,"CROSSCAP MANAGEMENT, INC.","CROSSCAP MANAGEMENT, INC.",5851 SAN FELIPE,SUITE 230,HOUSTON,TX,USA,77057,713-781-1000,713-781-1035,,,,,,,Approved,1/30/2006,2/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"78,500,000.00",0,"78,500,000.00",10,0,10,N,Y,N,Y,N,N,N,N,N,Y,HEDGE FUND MANAGEMENT,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,144948,801-68655,"WEALTHMARK, LLC","WEALTHMARK, LLC","2200 RIMLAND DRIVE, SUITE 205",,BELLINGHAM,WA,UNITED STATES,98226,(360) 544-0119,,,,,,,,Approved,12/20/2007,2/12/2010,Y,WWW.WEALTHMARKLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,51-250,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"32,477,892.00","3,324,661.00","35,802,553.00",261,50,311,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,Y,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,131828,801-63366,"LAKESHORE CAPITAL, LLC","LAKESHORE CAPITAL, LLC",3755 CORPORATE WOODS DRIVE,SUITE 200,BIRMINGHAM,AL,USA,35242,205-313-9000,205-313-1221,,,,,,,Approved,7/30/2004,2/12/2010,Y,WWW.LAKESHORECAPITALLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"108,281,465.00","3,381,480.00","111,662,945.00",257,13,270,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,104798,801-14599,THOMPSON RUBINSTEIN INVESTMENT MANAGEMENT INC,THOMPSON RUBINSTEIN INVESTMENT MANAGEMENT INC,715 SW MORRISON SUITE 604,,PORTLAND,OR,USA,97205-3102,503-224-1488,503-224-6603,,,,,,,Approved,5/9/1979,2/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"181,336,222.00",0,"181,336,222.00",121,0,121,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,123282,801-61530,"TRUEHAND, INC.","TRUEHAND, INC.",,,,,,,617-323-4009,617-323-4097,,,,,,,Approved,10/11/2002,2/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"70,572,772.00","465,526.00","71,038,298.00",74,3,77,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122617,801-61462,"NADLER FINANCIAL GROUP, INC.","NADLER FINANCIAL GROUP, INC.",570 LAKE COOK ROAD,SUITE 120,DEERFIELD,IL,USA,60015-4953,847-940-4040,847-940-7246,,,,,,,Approved,9/13/2002,2/12/2010,Y,WWW.NADLERFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"197,089,256.00","48,125,220.00","245,214,476.00",883,30,913,Y,Y,N,N,Y,Y,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137242,801-65215,SCHOTTENFELD MANAGEMENT CORP.,SCHOTTENFELD MANAGEMENT CORP.,"800 THIRD AVE., 10TH FLOOR",,NEW YORK,NY,USA,10022,212-300-2200,212-838-5820,,,,,,,Approved,1/20/2006,12/8/2005,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"67,417,905.00",0,"67,417,905.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,120653,801-61172,"MACQUARIE ALLEGIANCE CAPITAL, LLC","MACQUARIE ALLEGIANCE CAPITAL, LLC",555 SOUTH FLOWER STREET,33RD FLOOR,LOS ANGELES,CA,UNITED STATES,90071,213-233-4500,213-233-4579,,,,,,,Approved,4/11/2002,2/12/2010,Y,WWW.MACQUARIEALLEGIANCE.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,11-25 percent,11-25 percent,26-50 percent,11-25 percent,WRAP FEE PROGRAMS,Y,N,N,N,N,N,N,,Y,"3,529,666,979.00",0,"3,529,666,979.00","3,509",0,"3,509",N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
FWRO,105519,801-31237,"BARROW, HANLEY, MEWHINNEY & STRAUSS, LLC","BARROW, HANLEY, MEWHINNEY & STRAUSS, LLC","2200 ROSS AVENUE, 31ST FLOOR",,DALLAS,TX,UNITED STATES,75201-2761,214-665-1900,214-665-1936,,,,,,,Approved,12/31/1987,2/12/2010,Y,WWW.OLDMUTUALUS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,101-250,0,Up to 10 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,11-25 percent,0 percent,11-25 percent,11-25 percent,OPERATING FUNDS,Y,N,N,N,N,Y,N,,Y,"53,386,287,739.00","1,645,866,659.00","55,032,154,398.00",374,2,376,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,139888,801-67077,"ARCHSTONE PORTFOLIO SOLUTIONS, LLC","ARCHSTONE PORTFOLIO SOLUTIONS, LLC",1312 BELLONA AVENUE,SUITE 300,LUTHERVILLE,MD,UNITED STATES,21093,410-825-0444,410-825-1777,,,,,,,Approved,8/10/2006,2/12/2010,Y,WWW.ARCHSTONEPORTFOLIO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"1,400,000,000.00","1,400,000,000.00",0,26,26,N,N,N,N,Y,Y,N,N,N,Y,"INVESTMENT CONSULTING FOR INDIVIDUALS, TRUSTS, FOUNDATIONS, ENDOWMENTS, HEALTHCARE PROVIDERS, EMPLOYEE BENEFIT PLANS",0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,108861,801-57562,PERRY CAPITAL,PERRY CORP,"767 FIFTH AVENUE, 19TH FLOOR",,NEW YORK,NY,UNITED STATES,10153,212-583-4000,212-583-4146,,,,,,,Approved,5/12/2000,2/12/2010,Y,WWW.PERRYCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,51-250,0,51-250,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"6,834,284,723.00",0,"6,834,284,723.00",7,0,7,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,113214,801-67572,"THORNE ASSET MANAGEMENT, INC.","THORNE ASSET MANAGEMENT, INC.",716 MONTGOMERY STREET,,SAN FRANCISCO,CA,UNITED STATES,94111,415-591-0661,415-983-0824,,,,,,,Approved,2/16/2007,2/12/2010,Y,WWW.THORNEASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"26,184,778.00",0,"26,184,778.00",211,0,211,Y,Y,N,Y,Y,Y,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105630,801-25385,"THE HEADLANDS GROUP, INC","THE HEADLANDS GROUP, INC",100 LARKSPUR LANDING CIRCLE,SUITE 202,LARKSPUR,CA,UNITED STATES,94939,415-464-9144,415-464-9145,,,,,,,Approved,9/30/1985,2/25/2010,Y,WWW.HEADLANDSGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"53,111,687.00","301,735.00","53,413,422.00",86,2,88,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,130073,801-69621,FOREST CAPITAL,FOREST CAPITAL CORP.,2400 CROWNPOINT EXECUTIVE DRIVE,SUITE 200,CHARLOTTE,NC,UNITED STATES,28227,704-847-0101,704-849-0535,,,,,,,Approved,10/30/2008,2/25/2010,Y,WWW.FORESTCAPITAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"29,000,000.00","3,000,000.00","32,000,000.00",140,6,146,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,121300,801-62560,WRIGHT ASSOCIATES,KATHLEEN S. WRIGHT ASSOCIATES INC.,1500 OXFORD DR.,SUITE 230,BETHEL PARK,PA,USA,15102,412-854-2100,412-854-2550,,,,,,,Approved,1/2/2004,2/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,% OF ASSETS MONITORED,Y,"87,948,695.00",0,"87,948,695.00",185,0,185,N,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,111507,801-45317,"GANUCHEAU CAPITAL MANAGEMENT, INC.","GANUCHEAU CAPITAL MANAGEMENT, INC.","301 COMMERCE STREET, SUITE 1470",,FORT WORTH,TX,USA,76102,817-332-9915,817-810-0585,,,,,,,Approved,12/8/1993,2/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"65,645,041.00","2,208,283.00","67,853,324.00",134,1,135,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,132969,801-64405,"FORTE ASSET MANAGEMENT, LLC","FORTE ASSET MANAGEMENT, LLC",170 VARICK STREET,2ND FLOOR,NEW YORK,NY,UNITED STATES,10013,212-509-8907,212-509-8927,,,,,,,Approved,7/19/2005,2/25/2010,Y,WWW.FORTEASSETS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"85,000,000.00",0,"85,000,000.00",150,0,150,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106849,801-38994,"JOHN HSU CAPITAL GROUP, INC.","JOHN HSU CAPITAL GROUP, INC.",747 THIRD AVENUE,SUITE 26A,NEW YORK,NY,UNITED STATES,10017,212-223-7515,212-980-8134,,,,,,,Approved,6/10/1991,2/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"343,800,000.00",0,"343,800,000.00",27,0,27,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107396,801-40578,MCGINN INVESTMENT MANAGEMENT INC,MCGINN INVESTMENT MANAGEMENT INC,"201 NORTH UNION STREET, STE 100",,ALEXANDRIA,VA,UNITED STATES,22314,703-548-2555,703-548-2556,,,,,,,Approved,2/7/1992,2/25/2010,Y,WWW.MCGINNINVESTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"43,942,485.00",0,"43,942,485.00",215,0,215,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
NYRO,112694,801-38795,CONSOLIDATED PORTFOLIO REVIEW CORP,CONSOLIDATED PORTFOLIO REVIEW CORP,152 FOREST AVE,,LOCUST VALLEY,NY,UNITED STATES,11560,516-759-3900,516-759-3928,,,,,,,Approved,12/2/1991,2/25/2010,Y,WWW.CPRRIA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"111,593,570.00","111,593,570.00",0,318,318,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,Y,Y,N,N,Y,N,N,,N,,N,Y,N,Y,N,N,Y,N,Y,Y,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,107612,801-49240,"MOON CAPITAL MANAGEMENT, LLC",MOON CAPITAL MANAGEMENT LLC,2103 RIVERVIEW TOWER,900 S GAY ST,KNOXVILLE,TN,UNITED STATES,37902,865-546-1234,865-546-7474,,,,,,,Approved,6/22/1995,2/25/2010,Y,WWW.MOONCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,INVESTMENT PARTNERSHIP,Y,N,N,N,N,Y,N,,Y,"126,886,901.00","152,000,000.00","278,886,901.00",136,1,137,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,127787,801-70354,"SORRENTO PACIFIC FINANCIAL, LLC","SORRENTO PACIFIC FINANCIAL, LLC",10455 SORRENTO VALLEY RD,STE 210,SAN DIEGO,CA,UNITED STATES,92121,858-805-7900,858-530-2875,P.O. BOX 85227,,SAN DIEGO,CA,UNITED STATES,92186,Approved,7/15/2009,2/25/2010,Y,WWW.MYBD.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,101-250,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"9,049,671.00","9,049,671.00",0,128,128,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,Y,N,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,109978,801-63994,"IRVING PLANNING & INVESTMENTS, LTD.","IRVING PLANNING & INVESTMENTS, LTD.",3333 S. WADSWORTH BLVD.,SUITE 320,LAKEWOOD,CO,UNITED STATES,80227,303-985-4100,303-989-5083,,,,,,,Approved,3/25/2005,2/25/2010,Y,WWW.IRVINGPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"35,000,000.00",0,"35,000,000.00",350,0,350,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105826,801-30686,LEUTHOLD WEEDEN CAPITAL MANAGEMENT,"THE LEUTHOLD GROUP, LLC",33 SOUTH SIXTH STREET,SUITE 4600,MINNEAPOLIS,MN,USA,55402,612-332-9141,612-332-0797,,,,,,,Approved,10/16/1987,2/25/2010,Y,WWW.LWCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,10-Jun,0,251-500,0,0 percent,Up to 10 percent,0 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,Y,Y,N,Y,N,,Y,"4,160,118,700.00",0,"4,160,118,700.00",266,0,266,N,Y,Y,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,113570,801-64327,"SOLUTIONS FOR WEALTH MANAGEMENT, LLC","SOLUTIONS FOR WEALTH MANAGEMENT, LLC",1605 N CONVENT,,BOURBONNAIS,IL,UNITED STATES,60914,815-935-6636,815-935-0360,,,,,,,Approved,5/27/2005,2/25/2010,Y,WWW.W-M-S.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"70,533,903.00",0,"70,533,903.00",353,0,353,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,151666,801-70665,"MOUNTAIN PACIFIC ADVISORS, LLC","MOUNTAIN PACIFIC ADVISORS, LLC",11820 NORTHUP WAY,SUITE E210,BELLEVUE,WA,UNITED STATES,98005-1926,425-284-7200,425-284-7201,,,,,,,Approved,10/14/2009,2/25/2010,Y,WWW.MOUNTAINPACIFICADVISORS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,140303,801-66790,"HARRY S. BOWER, LLC","HARRY S. BOWER, LLC",,,,,,,800-942-6180,603-375-0067,,,,,,,Approved,6/28/2006,2/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"16,043,827.00","17,089,000.00","33,132,827.00",29,9,38,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145026,801-68317,"SAWYER FALDUTO ASSET MANAGEMENT, LLC","SFAM, LLC",340 WEST BUTTERFIELD ROAD,SUITE 400,ELMHURST,IL,UNITED STATES,60126,630-941-8560,630-941-8558,,,,,,,Approved,9/13/2007,2/25/2010,Y,WWW.SAWYERFALDUTO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,TRADE GROUP PROFESSIONAL ASSOCIATIONS,Y,N,N,Y,N,N,N,,Y,"339,225,693.00",0,"339,225,693.00",85,0,85,N,Y,N,Y,N,N,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,126338,801-62223,"GREGORY.W.GROUP, INC.","GREGORY.W.GROUP, INC.",15 WEST SIXTH STREET,SUITE 2901,TULSA,OK,USA,74119,918-583-1005,918-583-1028,,,,,,,Approved,7/14/2003,12/7/2009,Y,WWW.GREGORYWGROUP.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,128366,801-69240,"ETF PORTFOLIO PARTNERS, INC.","ETF PORTFOLIO PARTNERS, INC.",4707 W. 135TH STREET,SUITE 200,LEAWOOD,KS,UNITED STATES,66224-7605,913-851-1100,913-851-9400,,,,,,,Approved,6/13/2008,4/19/2010,Y,THESMARTERWAYTOINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"62,019,802.00","116,888.00","62,136,690.00",326,3,329,N,Y,N,N,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,20787,801-66436,KORNFIELD INVESTMENT MANAGEMENT,"KEVIN HART KORNFIELD & COMPANY, INC.",2137 EMBASSY DRIVE,SUITE 105,LANCASTER,PA,USA,17603-2877,717-392-0002,717-392-0186,P.O. BOX 6423,,LANCASTER,PA,USA,17607-6423,Approved,4/13/2006,4/19/2010,Y,WWW.KORNFIELDMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"29,909,294.00","2,422,141.00","32,331,435.00",185,90,275,Y,Y,N,Y,N,N,Y,N,N,N,,25-Nov,,N,N,Y,Y,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107710,801-15602,HOISINGTON INVESTMENT MANAGEMENT CO,HOISINGTON INVESTMENT MANAGEMENT CO,6836 BEE CAVES RD.,BLDG 2 SUITE 100,AUSTIN,TX,UNITED STATES,78746,512-327-7200,512-327-8646,,,,,,,Approved,10/30/1980,4/19/2010,Y,HOISINGTONMGT.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,"UNION, INSURANCE",Y,N,N,N,N,N,N,,Y,"4,230,796,568.00",0,"4,230,796,568.00",43,0,43,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,150734,801-70378,"LABRUM CAPITAL ADVISORS, LLC","LABRUM CAPITAL ADVISORS, LLC",5650 EL CAMINO REAL,SUITE 230,CARLSBAD,CA,UNITED STATES,92008,(760) 707-5555,(760) 707-5556,,,,,,,Approved,7/10/2009,4/19/2010,Y,WWW.LABRUMCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"113,016,221.00","5,948,222.00","118,964,443.00",956,52,"1,008",Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,139597,801-66234,SANDGRAIN ADVISORS INC.,SANDGRAIN ADVISORS INC.,1050 FRANKLIN AVENUE,SUITE 302,GARDEN CITY,NY,UNITED STATES,11530,516-750-7800,516-741-5150,,,,,,,Approved,2/17/2006,4/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"102,471,948.00",0,"102,471,948.00",30,0,30,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,123122,801-61502,NUVEEN INVESTMENTS ADVISERS INC.,NUVEEN INVESTMENTS ADVISERS INC.,333 WEST WACKER DRIVE,,CHICAGO,IL,USA,60606,312-917-7700,312-917-6912,,,,,,,Approved,10/7/2002,4/19/2010,Y,WWW.NUVEEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,0,0,More than 500,"3,100",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"1,497,881,947.00","1,497,881,947.00",0,"3,136","3,136",N,N,N,N,N,N,N,N,N,Y,OVERLAY MANAGER SERVICES IN MULTI STRATEGY ACCOUNTS & MARKETING SERVICES FOR ITS AFFILIATES.,,,N,Y,N,N,N,N,N,N,N,,Y,N,N,Y,Y,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,107179,801-70911,"W.R. TAYLOR & COMPANY, LLC","W. R. TAYLOR & COMPANY, LLC",4740 WOODMERE BOULEVARD,,MONTGOMERY,AL,UNITED STATES,36106,334-395-6000,334-395-6200,,,,,,,Approved,1/4/2010,12/7/2009,Y,WWW.WRTAYCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AL,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"33,191,000.00",0,"33,191,000.00",172,0,172,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,Y,N,N,,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107957,801-20597,ARMSTRONG SHAW ASSOCIATES INC.,ARMSTRONG SHAW ASSOCIATES INC.,45 GROVE STREET,,NEW CANAAN,CT,UNITED STATES,6840,203-972-9600,203-972-9630,,,,,,,Approved,2/17/1984,4/19/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,11-25 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,TAFT-HARTLEY,Y,N,N,N,N,Y,N,,Y,"3,552,941,397.00","2,131,108.00","3,555,072,505.00",205,1,206,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,113407,801-71311,"MIKE PARKE INVESTMENT MANAGEMENT, LLC","MIKE PARKE INVESTMENT MANAGEMENT,  LLC",148 - 3RD AVENUE WEST,,DICKINSON,ND,UNITED STATES,58601,701 483-4312,701-483-4314,,,,,,,Approved,4/26/2010,4/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,ND,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"27,372,362.00",0,"27,372,362.00",162,0,162,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,150999,801-70446,"RADY ASSET MANAGEMENT, LLC","RADY ASSET MANAGEMENT, LLC",1020 PROSPECT STREET,SUITE 312,LA JOLLA,CA,UNITED STATES,92037,877-302-7239,858-746-4100,,,,,,,Approved,9/15/2009,4/19/2010,Y,WWW.RADYASSETS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"60,000,000.00","200,000,000.00","260,000,000.00",50,1,51,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,145028,801-68366,"LUCERN WEALTH MANAGEMENT, LLC","LUCERN WEALTH MANAGEMENT, LLC",100 W. LUCERNE CIRCLE,SUITE 500,ORLANDO,FL,USA,32801,407-422-5400,407-447-5400,,,,,,,120-Day Approval,9/27/2007,9/12/2007,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,115824,801-60761,"AMERICAN FINANCIAL ADVISORS, LLC.","AMERICAN FINANCIAL ADVISORS, LLC.",2551 ROSWELL ROAD,SUITE 310,MARIETTA,GA,UNITED STATES,30062,770-977-2434,770-579-8575,,,,,,,Approved,12/13/2001,3/26/2010,Y,WWW.AFAINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,More than 500,"1,000",51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"383,692,021.00",0,"383,692,021.00","1,875",0,"1,875",Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,123689,801-68725,"THE POWELL FINANCIAL GROUP, INC.","THE POWELL FINANCIAL GROUP, INC.",792 CHIMNEY ROCK ROAD,SUITE D,MARTINSVILLE,NJ,UNITED STATES,8836,732-564-0742,732-564-9071,PO BOX 339,,MARTINSVILLE,NJ,UNITED STATES,8836,Approved,1/17/2008,3/26/2010,Y,HTTP://WWW.POWELLFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"83,987,782.00","12,127,634.00","96,115,416.00",320,33,353,Y,Y,N,N,N,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES,10-Jan,,N,N,N,Y,N,N,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105499,801-19384,FLAHERTY & CRUMRINE INCORPORATED,FLAHERTY & CRUMRINE INCORPORATED,301 E COLORADO BLVD,SUITE 720,PASADENA,CA,UNITED STATES,91101,626-795-7300,626-795-0269,,,,,,,Approved,7/21/1983,3/26/2010,Y,WWW.FLAHERTY-CRUMRINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,Up to 10 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,NUCLEAR DECOMMISSIONING TRUST,Y,N,N,Y,N,N,N,,Y,"3,395,188,255.00",0,"3,395,188,255.00",30,0,30,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,114507,801-66380,"ROCKY MOUNTAIN PLANNING GROUP, INC","ROCKY MOUNTAIN PLANNING GROUP, INC",48 E. BEAVER CREEK SUITE 308,,AVON,CO,UNITED STATES,81620,970-949-9281,970-949-1983,PO BOX 2882,,AVON,CO,UNITED STATES,81620,Approved,3/14/2006,3/26/2010,Y,RMPGINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,TRUST,Y,Y,N,Y,N,N,N,,Y,0,"48,000,000.00","48,000,000.00",0,192,192,Y,Y,N,Y,Y,Y,N,N,N,Y,BUSINESS PLANNING,51-100,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105137,801-27918,INVESTMENT SCIENCES INC,INVESTMENT SCIENCES INC,"261 OLD YORK ROAD, STE 623",,JENKINTOWN,PA,UNITED STATES,19046,215-885-1893,215-885-4288,,,,,,,Approved,9/8/1986,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"26,000,000.00",0,"26,000,000.00",16,0,16,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,145634,801-68554,"WRIGHT FUND MANAGEMENT, LLC","WRIGHT FUND MANAGEMENT, LLC",3420 OCEAN PARK BLVD.,STE 3060,SANTA MONICA,CA,UNITED STATES,90405,310-452-1887,310-452-2680,,,,,,,Approved,11/30/2007,3/26/2010,Y,WWW.SIERRACOREFUND.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"300,000,000.00",0,"300,000,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105765,801-35678,"OCEAN PARK ASSET MANAGEMENT, INC.","OCEAN PARK ASSET MANAGEMENT, INC.",3420 OCEAN PARK BLVD,SUITE 3060,SANTA MONICA,CA,USA,90405,310-452-1887,310-452-2680,,,,,,,Approved,12/14/1989,3/26/2010,Y,WWW.OCEANPARKAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,Nov-50,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"135,392,842.00",0,"135,392,842.00",656,0,656,N,Y,N,Y,N,N,N,N,Y,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,131625,801-63362,"PALANTIR CAPITAL MANAGEMENT, LTD.","PALANTIR CAPITAL MANAGEMENT, LTD.",3200 SOUTHWEST FWY,STE 3020,HOUSTON,TX,UNITED STATES,77027,713-877-0200,713-877-0201,,,,,,,Approved,8/11/2004,3/26/2010,Y,WWW.PALANTIRINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"68,101,220.00","7,011,405.00","75,112,625.00",165,18,183,Y,Y,Y,Y,N,N,N,N,N,N,,26-50,,Y,Y,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,118635,801-60803,"MORGAN KEEGAN FUND MANAGEMENT, INC.","MORGAN KEEGAN FUND MANAGEMENT, INC.",50 NORTH FRONT STREET,,MEMPHIS,TN,USA,38103,901-579-4356,901-531-3422,,,,,,,Approved,1/10/2002,3/26/2010,Y,WWW.MORGANKEEGAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"41,587,526.00",0,"41,587,526.00",5,0,5,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107063,801-13857,ROANOKE ASSET MANAGEMENT CORP,ROANOKE ASSET MANAGEMENT CORP,HARBORSIDE FINANCIAL CENTER,PLAZA 5 SUITE 1640,JERSEY CITY,NJ,UNITED STATES,7311,201-985-1111,201-985-1200,,,,,,,Approved,6/15/1978,3/26/2010,Y,WWW.ROANOKEASSET.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,10-Jun,0,26-100,0,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"131,004,231.00",0,"131,004,231.00",74,0,74,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,118154,801-61246,"GREER & WALKER INVESTMENT ADVISORS, LLC","GREER & WALKER INVESTMENT ADVISORS, LLC",201 SOUTH TRYON STREET,SUITE 1500,CHARLOTTE,NC,UNITED STATES,28202,704.377.0239,704.377.8663,,,,,,,Approved,6/14/2002,3/26/2010,Y,WWW.GWLLP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"232,542,520.00",0,"232,542,520.00",214,0,214,N,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104951,801-35943,FAMILY MANAGEMENT CORPORATION,FAMILY MANAGEMENT CORPORATION,"485 MADISON AVENUE, 19TH FL",,NEW YORK,NY,USA,10022,212-872-9600,212-758-4020,,,,,,,Approved,3/2/1990,3/26/2010,Y,WWW.FAMILYMANAGE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,500,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"936,322,076.00","158,667,493.00","1,094,989,569.00","1,479",67,"1,546",Y,Y,N,Y,N,Y,N,N,N,Y,SERVES AS GENERAL PARTNER TO INVESTMENT FUNDS THAT ARE EXEMPT FROM REGISTRATION UNDER THE INVESTMENT ADVISERS ACT 1940.,More than 500,500,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
LARO,128588,801-62431,WEALTH MANAGEMENT NETWORK LLC,WEALTH MANAGEMENT NETWORK LLC,610 NEWPORT CENTER DRIVE,STE 280,NEWPORT BEACH,CA,USA,92660,949-720-9980,949-720-9998,,,,,,,Approved,10/10/2003,3/26/2010,Y,WWW.THEWMN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"118,712,208.00",0,"118,712,208.00",314,0,314,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,140261,801-66796,"GAVIN MANAGEMENT GROUP, INC.","GAVIN MANAGEMENT GROUP, INC.",50 BAY STREET,SUITE 1444,"TORONTO, ONTARIO",,CANADA,M5J 2X3,416-861-1998,416-861-1914,,,,,,,Approved,6/28/2006,3/26/2010,Y,WWW.GAVINGROUP.CA,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"34,134,600.00",0,"34,134,600.00",33,0,33,Y,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT CONSULTING,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,149122,801-69938,HYAS GROUP,"HYAS GROUP, LLC","108 NW 9TH AVENUE, #203",,PORTLAND,OR,UNITED STATES,97209,971.634.1503,971.275.1856,,,,,,,Approved,2/24/2009,3/26/2010,Y,HTTP://WWW.HYASGROUP.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,113792,801-66756,PONDEROSA WEALTH MANAGEMENT,"MDS INVESTMENTS, INC.",6607 S. HIGHLAND PARK DRIVE,PO BOX 31553,SPOKANE,WA,UNITED STATES,99223,509-747-3798,509-472-3108,P.O. BOX 31553,,SPOKANE,WA,UNITED STATES,99223,Approved,6/22/2006,3/26/2010,Y,WWW.PONDEROSAWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"29,709,040.00",0,"29,709,040.00",165,0,165,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,137879,801-64931,"ERISA FIDUCIARY ADVISORS, INC.","ERISA FIDUCIARY ADVISORS, INC.",,,,,,,954-385-5331,954-208-9910,,,,,,,Approved,11/28/2005,3/26/2010,Y,WWW.EFADVISOR.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"183,260,775.00","183,260,775.00",0,27,27,Y,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109187,801-58145,"ACCOUNTANTS FINANCIAL ALLIANCE, INC.","ACCOUNTANTS FINANCIAL ALLIANCE, INC.",,,,,,,818-501-3171,818-907-9725,26500 W. AGOURA ROAD,SUITE 102-426,CALABASAS,CA,UNITED STATES,91302,Approved,11/20/2000,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"51,451,877.00",0,"51,451,877.00",53,0,53,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,N,N,Y,N,Y,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,123174,801-66902,HELM CAPITAL MANAGEMENT,HELM CAPITAL MANAGEMENT LLC,"1904 THIRD AVENUE, SUITE 325",,SEATTLE,WA,UNITED STATES,98101,206-654-6200,206-654-7013,,,,,,,Approved,6/28/2006,3/26/2010,Y,WWW.HELMCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"59,005,765.00","3,026,164.00","62,031,929.00",90,4,94,N,Y,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107909,801-47001,"P.I.M., INC.","P.I.M., INC.",1420 FIFTH AVENUE,SUITE 3020,SEATTLE,WA,UNITED STATES,98101,206-583-8300,206-583-8310,,,,,,,Approved,8/15/1994,3/26/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,112243,801-58282,"APEX INVESTMENT SERVICES, INC.","APEX INVESTMENT SERVICES, INC.",33-A PENDLETON DRIVE,,HEBRON,CT,UNITED STATES,06248-1512,860-228-0501,860-228-7744,PO BOX 1322,,HEBRON,CT,UNITED STATES,06248-7322,Approved,1/19/2001,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"66,368,292.00",0,"66,368,292.00",451,0,451,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,147049,801-69111,"FB INCOME ADVISOR, LLC","FB INCOME ADVISOR, LLC",2929 ARCH STREET,SUITE 675,PHILADELPHIA,PA,UNITED STATES,19104,215-495-1150,215-495-1189,,,,,,,Approved,5/7/2008,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"93,197,000.00",0,"93,197,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108357,801-54247,AFBA INVESTMENT MANAGEMENT COMPANY,AFBA 5 STAR INVESTMENT MANAGEMENT CO.,909 NORTH WASHINGTON STREET,,ALEXANDRIA,VA,UNITED STATES,22314,703-706-5972,703-549-4238,,,,,,,Approved,4/18/1997,5/15/2009,Y,WWW.AFBA.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"170,000,000.00",0,"170,000,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,125567,801-68499,"PRIMORIS CAPITAL MANAGEMENT, LLC","PRIMORIS CAPITAL MANAGEMENT, LLC",25 HIGH ST.,SUITE 1,HUNTINGTON,NY,USA,11743,631-423-8400,631-425-7710,,,,,,,Approved,11/20/2007,3/26/2010,Y,WWW.PRIMORISCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"42,918,441.00",0,"42,918,441.00",382,0,382,Y,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,131762,801-63455,"QA INVESTMENT SERVICES, LLC","QA INVESTMENT SERVICES, LLC",10225 YELLOW CIRCLE DRIVE,SUITE 101,MINNETONKA,MN,UNITED STATES,55343,952-767-8007,952-767-8009,,,,,,,Approved,9/10/2004,3/26/2010,Y,WWW.QAIS.BIZ,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,"1,000",11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,Y,N,N,N,Y,ADVICE TO INDIVIDUALS REGARDING RETIREMENT PLAN INVESTMENTS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110691,801-57418,ALTIUS ASSOCIATES LTD,ALTIUS ASSOCIATES LTD,20 GROSVENOR PLACE,2ND FLOOR,LONDON,,UNITED KINGDOM,SW1X 7HN,011 44 (0) 207 838 7640,011 44 (0) 207 838 7699,,,,,,,Approved,4/7/2000,3/26/2010,Y,WWW.ALTIUS-ASSOCIATES.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,10-Jun,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"1,196,000,000.00","17,221,000,000.00","18,417,000,000.00",9,7,16,N,N,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,135704,801-64439,"KRAVITZ INVESTMENT SERVICES, INC.","KRAVITZ INVESTMENT SERVICES, INC.",15760 VENTURA BOULEVARD,SUITE 910,ENCINO,CA,UNITED STATES,91436-3017,818-325-3000,818-325-3025,,,,,,,Approved,6/23/2005,3/26/2010,Y,WWW.KRAVITZINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"281,264,240.00","281,264,240.00",0,97,97,N,N,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,106854,801-40019,MONTFORD ASSOCIATES INC,MONTFORD ASSOCIATES INC,3500 PIEDMONT RD NE,SUITE 225,ATLANTA,GA,UNITED STATES,30305-1520,404-760-7470,404-760-7471,,,,,,,Approved,10/18/1991,3/26/2010,Y,WWW.MONTFORDASSOCIATES.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"800,000,000.00","800,000,000.00",0,28,28,N,N,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,111267,801-56325,"BELSEN GETTY, LLC",BELSEN GETTY LLC,1245 EAST BRICKYARD ROAD,SUITE 590,SALT LAKE CITY,UT,UNITED STATES,84106-2559,801-433-2000,801-433-2222,,,,,,,Approved,3/18/1999,3/26/2010,Y,BELSENGETTY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"64,145,274.00",2,"64,145,276.00",883,1,884,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111450,801-54022,WINSTON CAPITAL MANAGEMENT LLC,WINSTON CAPITAL MANAGEMENT LLC,1750 TYSONS BLVD,SUITE 200,MCLEAN,VA,UNITED STATES,22102-4228,703-905-9555,703-905-9019,,,,,,,Approved,1/31/1997,3/26/2010,Y,WWW.WINSTONPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,088,478,638.00","296,349,564.00","1,384,828,202.00",4,3,7,N,N,N,Y,N,Y,N,N,N,Y,ADVISOR TO MULTI-MANAGER FUNDS (FUND OF FUNDS),,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122594,801-68659,SPYGLASS INVESTMENT MANAGEMENT,SPYGLASS INVESTMENT MANAGEMENT CORPORATION,1205 SOUTH 3RD ST,,TERRE HAUTE,IN,USA,47802,812-238-8484,812-478-9000,,,,,,,Approved,1/7/2008,3/26/2010,Y,EYEONYOURFUTURE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"36,800,922.00",0,"36,800,922.00",369,0,369,Y,Y,N,Y,N,N,N,N,N,Y,GENERAL CONSULTATION SERVICES,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,142006,801-67278,"ADAM & PARTNERS INVESTMENT ADVISORS, LLC","ADAM & PARTNERS INVESTMENT ADVISORS, LLC",1266 EAST MAIN STREET,7TH FLOOR,STAMFORD,CT,UNITED STATES,6902,203 539-6270,646-219-6698,,,,,,,Approved,11/13/2006,3/26/2010,Y,WWW.ADAMPTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"75,784,301.00","1,774,247.00","77,558,548.00",5,2,7,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,146383,801-68819,"MORSE CAPITAL PARTNERS, LLC","MORSE CAPITAL PARTNERS, LLC",420 NORTH RIDGE ROAD,2ND FLOOR,RICHMOND,VA,UNITED STATES,23229,804.767.2156,804.562.7076,,,,,,,Approved,2/7/2008,5/15/2009,Y,WWW.MORSECAPITALPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"71,259,000.00","5,000,000.00","76,259,000.00",19,3,22,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,134620,801-64042,"EAGLE WEALTH MANAGEMENT, INC.","EAGLE WEALTH MANAGEMENT, INC.",,,,,,,904-273-4550,904-212-0193,,,,,,,Approved,3/16/2005,3/1/2010,Y,WWW.EAGLEWEALTHMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"22,785,492.00","6,907,981.00","29,693,473.00",36,63,99,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,144024,801-67959,"WEALTH CAPITAL MANAGEMENT GROUP, LLC","WEALTH CAPITAL MANAGEMENT GROUP, LLC",10143 ROYALTON ROAD,UNIT D,NORTH ROYALTON,OH,USA,44133,440-582-9264,440-582-1262,,,,,,,Approved,6/8/2007,3/1/2010,Y,WWW.WEALTHCMG.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,A PERCENTAGE OF ASSETS UNDER MANAGEMENT WITH SUBADVISORS,N,0,0,0,0,0,0,Y,Y,N,Y,Y,Y,N,N,N,Y,"INVESTMENT CONSULTING SERVICES,  INVESTMENT PERFORMANCE AUDITING AND PORTFOLIO MONITORING SERVICES",0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,118136,801-68250,CCR FINANCIAL PLANNING,"MCKOY, ROBERT ALAN",,,,,,,435-753-3555,435-753-3776,,,,,,,Approved,8/17/2007,3/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,UT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,1.5% OF INCOME FOR DEVELOPMENT OF A FINANCIAL PLAN.,Y,0,"30,000,000.00","30,000,000.00",0,100,100,Y,N,N,N,N,N,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143892,801-68302,"BEEKMAN WEALTH ADVISORY, LLC","BEEKMAN WEALTH ADVISORY, LLC",,,,,,,212-319-2766,917-591-1247,,,,,,,Approved,9/11/2007,3/1/2010,Y,WWW.BEEKMANWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,"270,000,000.00","270,000,000.00",0,20,20,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107781,801-1675,"THE DANFORTH ASSOCIATES, INC","THE DANFORTH ASSOCIATES, INC","ONE HOLLIS ST, SUITE 206",,WELLESLEY,MA,UNITED STATES,02482-4673,781-235-9100,781-235-8028,P.O. BOX 9014,,WELLESLEY,MA,UNITED STATES,2482,Approved,4/20/1958,3/1/2010,Y,WWW.DANFORTHASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"70,924,568.00","2,615,412.00","73,539,980.00",395,18,413,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,140452,801-66736,J.J. BURNS & COMPANY,"JAMES J. BURNS & COMPANY, LLC",1895 WALT WHITMAN ROAD,,MELVILLE,NY,UNITED STATES,11747,631-390-0500,631-420-4243,,,,,,,Approved,5/15/2006,1/14/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"93,678,709.00",0,"93,678,709.00",756,0,756,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,6080,801-14979,AMERICAN RESEARCH & MANAGEMENT CO,AMERICAN RESEARCH & MANAGEMENT COMPANY,145 FRONT STREET,,MARION,MA,UNITED STATES,2738,508-748-1665,508-748-2880,P.O. BOX 576,,MARION,MA,UNITED STATES,2738,Approved,12/28/1979,3/1/2010,Y,WWW.ARM-CO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"111,991,368.00","171,308,423.00","283,299,791.00",367,118,485,N,Y,N,N,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
ARO,140107,801-70258,"WILSON PRICE WEALTH MANAGEMENT, LLC","WILSON PRICE WEALTH MANAGEMENT, LLC",3815 INTERSTATE COURT,,MONTGOMERY,AL,UNITED STATES,36109,334-271-2200,334-387-3632,,,,,,,Approved,6/25/2009,3/1/2010,Y,WWW.WILSONPRICE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"49,976,604.00","49,976,604.00",0,44,44,N,Y,N,Y,N,N,N,N,N,Y,SOLICITOR FOR A THIRD PARTY MANAGER,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151451,801-70833,"ADVANCED GROUP FINANCIAL SERVICES, LLC","ADVANCED GROUP FINANCIAL SERVICES, LLC",2508 GENESEE STREET,,UTICA,NY,UNITED STATES,13502,315-733-1010,315-733-3114,,,,,,,Approved,11/18/2009,3/1/2010,Y,WWW.ADVANCEDGROUPFS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"25,225,635.00",0,"25,225,635.00",98,0,98,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104817,801-18876,SYMONS CAPITAL MANAGEMENT INC,SYMONS CAPITAL MANAGEMENT INC,650 WASHINGTON ROAD,SUITE 800,PITTSBURGH,PA,UNITED STATES,15228-2702,412-344-7690,412-344-7693,,,,,,,Approved,4/26/1983,3/1/2010,Y,WWW.SYMONSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"304,907,000.00","3,124,000.00","308,031,000.00",452,33,485,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,130440,801-62790,"GREYLOCK CAPITAL ADVISERS, LLC","GREYLOCK CAPITAL ADVISERS, LLC",99 PARK AVENUE,11TH FLOOR,NEW YORK,NY,USA,10016,212-808-1800,212-808-1801,,,,,,,Approved,3/1/2004,3/1/2010,Y,HTTP://WWW.GREYLOCKCAPITAL.COM,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR OTHER POOLED INVESTMENT VEHICLES.,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,107119,801-43838,"STRATIGRAPHIC ASSET MANAGEMENT, INC.","STRATIGRAPHIC ASSET MANAGEMENT, INC.",804 DOUGLAS RD,SUITE 363,CORAL GABLES,FL,UNITED STATES,33134,305-447-0300,305-447-0385,,,,,,,Approved,4/30/1993,3/1/2010,Y,WWW.STRATIGRAPHIC.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"79,897,488.00","25,618,003.00","105,515,491.00",69,1,70,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106713,801-47188,TILDEN LOUCKS & WOODNORTH LLC,TILDEN LOUCKS & WOODNORTH LLC,980 NORTH MICHIGAN AVE.,SUITE 1200,CHICAGO,IL,USA,60611,312-475-1400,312-475-1444,,,,,,,Approved,8/15/1994,3/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"3,634,242.00","105,217,359.00","108,851,601.00",1,201,202,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
NYRO,109568,801-58045,"STRATEGIC PARTNERS INVESTMENT ADVISORS, INC.","STRATEGIC PARTNERS INVESTMENT ADVISORS, INC.",800 WESTCHESTER AVENUE,SUITE N 335,RYE BROOK,NY,UNITED STATES,10573,914-332-5842,914-332-5516,,,,,,,Approved,6/26/2003,3/1/2010,Y,WWW.SPIAPORTFOLIOS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,251-500,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,RELIGIOUS ORGANIZATIONS,Y,N,N,N,N,N,N,,Y,"394,612,611.00",0,"394,612,611.00",382,0,382,N,Y,N,N,N,N,N,N,N,N,,251-500,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,112086,801-26096,CAMBRIDGE CONNECTION INC,CAMBRIDGE CONNECTION INC,26111 W. 14 MILE RD SUITE LL6,,FRANKLIN,MI,UNITED STATES,48025,248-737-7090,248-737-8010,,,,,,,Approved,8/29/1988,3/1/2010,Y,WWW.CAMBRIDGECONNECTION.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"175,523,926.00",0,"175,523,926.00","1,253",0,"1,253",Y,Y,N,N,N,Y,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,137283,801-64909,"PYA WALTMAN CAPITAL, LLC","PYA WALTMAN CAPITAL, LLC",2076 LAKESIDE CENTRE WAY,,KNOXVILLE,TN,UNITED STATES,37922,865-693-6301,865-693-6302,,,,,,,Approved,12/9/2005,3/1/2010,Y,WWW.PYAWALTMAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,10-Jun,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"157,095,475.00","291,480,897.00","448,576,372.00",825,20,845,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111151,801-60089,"MRJ CAPITAL, INC.","MRJ CAPITAL, INC.",C/O IRIDIAN ASSET MANAGEMENT LLC,276 POST ROAD WEST,WESTPORT,CT,USA,06880-4704,203-341-9011,203-341-7801,,,,,,,Approved,3/23/2001,3/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"118,030,000.00",0,"118,030,000.00",68,0,68,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR TAX-EXEMPT ENTITIES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109465,801-10330,J.W. SWENSON INVESTMENT COUNSEL,SWENSON JACK WENDELL,30 COLPITTS RD,,WESTON,MA,UNITED STATES,2493,781-899-4853,781-899-0422,PO BOX 348,30 COLPITTS ROAD,WESTON,MA,UNITED STATES,2493,Approved,11/20/1974,3/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"49,620,089.00","13,184,552.00","62,804,641.00",135,39,174,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N
NYRO,151590,801-71184,"ARMBRUSTER CAPITAL MANAGEMENT, INC.","ARMBRUSTER CAPITAL MANAGEMENT, INC.",259 QUAKER MEETING HOUSE ROAD,,HONEOYE FALLS,NY,UNITED STATES,14472,585-469-5199,206-309-0787,,,,,,,Approved,3/9/2010,3/1/2010,Y,WWW.ARMBRUSTERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"26,000,000.00",0,"26,000,000.00",22,0,22,Y,Y,N,Y,N,N,N,N,N,Y,EXPERT TESTIMONY FOR LEGAL PROCEEDINGS,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,21313,801-60206,HART CAPITAL MANAGEMENT,"ARBOR RESEARCH & TRADING, INC.",1000 HART ROAD,SUITE 210,BARRINGTON,IL,UNITED STATES,60010,847-304-0450,847-713-2225,,,,,,,Approved,4/20/2001,1/14/2009,Y,HTTP://WWW.ARBORRESEARCH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,Up to 10 percent,11-25 percent,0 percent,11-25 percent,51-75 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"29,000,000.00","68,000,000.00","97,000,000.00",3,10,13,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,16691,801-20018,PRUDENT MANAGEMENT ASSOCIATES,PRUDENT MANAGEMENT ASSOCIATES,1735 MARKET STREET,SUITE 3902,PHILADELPHIA,PA,UNITED STATES,19103,215-994-1062,215-994-1064,,,,,,,Approved,11/4/1983,3/1/2010,Y,WWW.PRUDENTMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,PA,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,251-500,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"711,639,422.00",0,"711,639,422.00",624,0,624,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112814,801-67374,RCM ROBINSON CAPITAL MANAGEMENT LLC,RCM ROBINSON CAPITAL MANAGEMENT LLC,3997 WASHINGTON STREET,,SAN FRANCISCO,CA,UNITED STATES,94118,415-771-9421,,,,,,,,Approved,1/8/2007,3/1/2010,Y,WWW.ROBINSONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,0,"105,000,000.00","105,000,000.00",0,5,5,N,Y,N,Y,N,Y,N,N,N,Y,FINANCIAL CONSULTATIONS,0,,N,N,N,Y,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,125838,801-64369,"HIGHLAND FINANCIAL ADVISORS, LLC","HIGHLAND FINANCIAL ADVISORS, LLC",44 ST ROUTE 23 NORTH,SUITE 11,RIVERDALE,NJ,UNITED STATES,7457,973-557-2933,973-858-0201,,,,,,,Approved,6/23/2005,3/1/2010,Y,WWW.HIGHLANDPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"93,258,000.00",0,"93,258,000.00",556,0,556,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,149354,801-70151,"RELIANCE WEALTH & TRUST PARTNERS, LLC","RELIANCE WEALTH & TRUST PARTNERS, LLC","101 E. KENNEDY BLVD., SUITE 1100",,TAMPA,FL,UNITED STATES,33602,813-343-0009,813-464-3234,,,,,,,Approved,5/5/2009,3/1/2010,Y,WWW.RELIANCEWTP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"28,000,000.00","1,000,000.00","29,000,000.00",126,11,137,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,148566,801-70447,"1492 CAPITAL MANAGEMENT, LLC","1492 CAPITAL MANAGEMENT, LLC",309 NORTH WATER STREET,SUITE 505,MILWAUKEE,WI,UNITED STATES,53202,414-276-1492,414-224-9158,,,,,,,Approved,8/5/2009,3/1/2010,Y,WWW.1492CAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"36,385,663.00",0,"36,385,663.00",36,0,36,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N
BRO,146113,801-68874,DAVLIN FUND ADVISORS,"DAVLIN FUND ADVISORS, LLC",,,,,,,508-276-1705,508-276-1705,,,,,,,Approved,2/20/2008,3/1/2010,Y,WWW.DAVLINFUNDS.ORG,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,269,776.00",0,"2,269,776.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150468,801-70296,"BLAIR ADVISORS, LLC","BLAIR ADVISORS, LLC",2666 BEDFORD AVEUNE,,BROOKLYN,NY,UNITED STATES,11210,347-203-9885,,,,,,,,Approved,6/15/2009,3/1/2010,Y,BLAIRADVISORS.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,6751,801-11036,"PLANNERS FINANCIAL SERVICES, INC.","PLANNERS FINANCIAL SERVICES, INC.",7710 COMPUTER AVE,STE 100,MINNEAPOLIS,MN,UNITED STATES,55435,952-835-9000,952-835-4702,,,,,,,Approved,10/10/1975,3/1/2010,Y,WWW.PLANNERSFINANCIALSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,More than 500,500,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"106,919,622.00","1,386,429.00","108,306,051.00",512,1,513,Y,Y,N,Y,N,N,N,N,N,N,,More than 500,500,N,N,Y,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,126062,801-68914,"LGC&D WEALTH MANAGEMENT, LLC","LGC&D WEALTH MANAGEMENT, LLC",10 WEYBOSSET STREET,SUITE 700,PROVIDENCE,RI,USA,2903,401-421-4800,401-421-0643,,,,,,,Approved,3/5/2008,3/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,RI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"23,437,336.00","3,653,428.00","27,090,764.00",20,36,56,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,110945,801-49710,"FAMILY LEGACY, INC.","FAMILY LEGACY, INC.",104 BROADUS AVENUE,,GREENVILLE,SC,USA,29601,864-233-2788,864-370-1713,,,,,,,Approved,8/15/1995,3/1/2010,Y,WWW.FALEGACY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"94,853,287.00",0,"94,853,287.00",228,0,228,Y,Y,N,Y,Y,N,N,N,N,Y,CONSULTATION AND GENERAL SEMINARS,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,118218,801-62130,"CHARLES D. JONES CAPITAL MANAGEMENT, INC.","CHARLES D. JONES CAPITAL MANAGEMENT, INC.",5015 FORT AVENUE,,WACO,TX,USA,76710,254-751-0064,254-772-1190,,,,,,,Approved,6/26/2003,3/1/2010,Y,HTTP://WWW.CJONES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"65,000,000.00","10,000,000.00","75,000,000.00",180,3,183,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104600,801-28328,BASE MANAGEMENT CO,BASE MANAGEMENT CO,600 BALTIMORE AVENUE,"ADAMS BLDG, SUITE 306",TOWSON,MD,UNITED STATES,21204,410-583-4828,410-583-4829,,,,,,,Approved,11/10/1986,3/1/2010,Y,HTTP://WWW.BASEMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"77,602,499.00","37,480,543.00","115,083,042.00",43,32,75,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,25700,801-65811,"HARBOR FINANCIAL SERVICES, LLC","HARBOR FINANCIAL SERVICES, LLC",RSA BATTLEHOUSE TOWER,"11 NORTH WATER STREET, STE 21290",MOBILE,AL,UNITED STATES,36602,251-650-0840,251-281-2007,,,,,,,Approved,2/13/2006,3/1/2010,Y,WWW.HARBORFS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AL,UNITED STATES,51-250,0,Nov-50,0,51-250,0,0,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"41,638,110.00","64,993,257.00","106,631,367.00",340,392,732,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,Y,N,N,N,Y,N,N,,N,Y,Y,Y,N,Y,N,N,Y,N,Y,N,N,N,N,Y,Y,N,Y,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
BRO,139068,801-65865,"FLAG CAPITAL MANAGEMENT, LLC","FLAG CAPITAL MANAGEMENT, LLC",1266 EAST MAIN STREET,5TH FLOOR,STAMFORD,CT,USA,6902,203-352-0440,203-352-0441,,,,,,,Approved,1/30/2006,3/1/2010,Y,WWW.FLAGCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,104,367,500.00",0,"4,104,367,500.00",19,0,19,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112739,801-55695,HARTLAND ASSET MANAGEMENT CORP,HARTLAND ASSET MANAGEMENT CORP,,,,,,,212-581-4030,914-723-6459,,,,,,,Approved,7/14/1998,3/1/2010,Y,WWW.HARTLANDASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,1.TRANSACTION FEES; 2. % OF INVESTED ASSETS,Y,"55,000,000.00",0,"55,000,000.00",1,0,1,N,N,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108677,801-47555,IFG RUSSELL ADVISORS INC,IFG RUSSELL ADVISORS INC,1205 WESTLAKES DRIVE,SUITE 365,BERWYN,PA,USA,19312,610-640-7640,610-560-0771,,,,,,,Approved,10/24/1994,2/9/2010,Y,AFGIFG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,824,Up to 10 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"208,059,161.00",0,"208,059,161.00",824,0,824,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106665,801-43526,D.A. HUDSON & ASSOCIATES,D.A. HUDSON & ASSOCIATES,6133 ROCKSIDE ROAD,"ROCKSIDE SQUARE II, SUITE 303",INDEPENDCE,OH,UNITED STATES,44131,216-573-1199,216-573-9950,,,,,,,Approved,3/16/1993,2/9/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,122137,801-67673,"KAIZEN MANAGED ASSETS, INC.","KAIZEN MANAGED ASSETS, INC.",,,,,,,727-461-9506,727-461-9506,,,,,,,Approved,3/23/2007,2/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"44,346,000.00",0,"44,346,000.00",81,0,81,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,106232,801-19735,DELTA ASSOCIATES INC,DELTA ASSOCIATES INC DBA D.R.G. INVESTMENT MANAGEMENT,,,,,,,941 383 0373,941 383 5045,,,,,,,Approved,9/19/1983,2/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"33,475,000.00",0,"33,475,000.00",13,0,13,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109584,801-57427,CORWELL ASSET MANAGEMENT INC,CORWELL ASSET MANAGEMENT INC,,,,,,,707-544-6632,707-542-2679,,,,,,,Approved,4/13/2000,2/9/2010,Y,NONE,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"33,068,000.00",0,"33,068,000.00",162,0,162,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,141413,801-68010,BROOKSTONE CAPITAL MANAGEMENT LLC,BROOKSTONE CAPITAL MANAGEMENT LLC,1751 S. NAPERVILLE ROAD,SUITE 208,WHEATON,IL,UNITED STATES,60189-5896,630-653-1400,630-653-4925,,,,,,,Approved,6/20/2007,2/9/2010,Y,WWW.BROOKSTONECM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,51-250,0,51-250,0,Nov-50,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"111,593,040.00",0,"111,593,040.00","2,565",0,"2,565",Y,Y,N,N,N,N,N,N,N,Y,EDUCATIONAL SEMINARS FOR A FEE,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
ARO,132949,801-63784,"HARMONY INVESTMENT MANAGEMENT, INC.","HARMONY INVESTMENT MANAGEMENT, INC.",103 CONTINENTAL PLACE,SUITE 100,BRENTWOOD,TN,USA,37027-1042,615-577-1031,615-577-1034,,,,,,,Approved,1/3/2005,2/9/2010,Y,WWW.HARMONYIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"56,819,238.00",0,"56,819,238.00",41,0,41,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,123652,801-61699,"VALLEY FORGE CAPITAL ADVISORS, INC.","VALLEY FORGE CAPITAL ADVISORS, INC.",11 GENERAL WARREN BLVD.,SUITE ONE,MALVERN,PA,USA,19355,610-232-1778,610-232-1779,,,,,,,Approved,1/9/2003,2/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"384,092,991.00",0,"384,092,991.00",37,0,37,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT RESEARCH TO 3RD PARTIES,,,N,Y,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,140866,801-67053,"RETIREMENT ASSET MANAGEMENT, LLC","RETIREMENT ASSET MANAGEMENT, LLC",10655 NE 4TH STREET,SUITE 508,BELLEVUE,WA,UNITED STATES,98004,425-467-1011,425-455-5076,,,,,,,Approved,8/4/2006,2/9/2010,Y,WWW.RETIREMENTASSETMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"151,650,152.00",0,"151,650,152.00",691,0,691,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,118737,801-66325,"DOUGLAS PLATT INVESTMENT COUNSEL, LLC.","DOUGLAS PLATT INVESTMENT COUNSEL, LLC.",,,,,,,952-942-5602,952-914-9534,,,,,,,Approved,3/8/2006,2/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"52,547,944.00",0,"52,547,944.00",242,0,242,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123802,801-67028,ESTATE & TRUST ADVISORS,"ESTATE & TRUST ADVISORS, INC.",TWO NORTHFIELD PLAZA,SUITE 250,NORTHFIELD,IL,UNITED STATES,60093,847-441-4600,847-441-4605,,,,,,,Approved,7/21/2006,2/9/2010,Y,WWW.ETAADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,COMPENSATION FROM THIRD PARTIES,Y,"44,000,000.00",0,"44,000,000.00",40,0,40,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,136315,801-64643,"ENR ASSET MANAGEMENT, INCORPORATED","ENR ASSET MANAGEMENT, INCORPORATED",1 WESTMOUNT SQUARE,SUITE 1125,"WESTMOUNT, QUEBEC",,CANADA,H3Z 2P9,514-989-8027,514-989-7060,,,,,,,Approved,9/19/2005,9/7/2005,Y,HTTP://WWW.ENRASSETMANAGEMENT.CA,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,"EUROPEAN PRIVATE BANKS, INSURANCE COMPANIES.",Y,N,N,N,N,N,N,,Y,"38,600,000.00","12,400,000.00","51,000,000.00",67,3,70,N,Y,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,Y,ONLINE INVESTMENT ADVISORY SERVICES ON STOCKS,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107216,801-39912,"WHELAN CAPITAL MANAGEMENT, INC.","WHELAN CAPITAL MANAGEMENT, INC.",261 HAMILTON AVENUE,SUITE 200,PALO ALTO,CA,UNITED STATES,94301,650-833-7880,650-833-7888,,,,,,,Approved,10/16/1991,2/9/2010,Y,WWW.WGCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"41,646,543.00",0,"41,646,543.00",17,0,17,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,152838,801-71078,MIRAE ASSET GLOBAL INVESTIMENTOS (BRASIL) GESTAO DE RECURSOS LTD,MIRAE ASSET GLOBAL INVESTIMENTOS (BRASIL) GESTAO DE RECURSOS LTD,AV. PRESIDENTE JUSCELINO KUBITSCHEK,N1455 - 12TH FLOOR,SAO PAULO,,BRAZIL,04543-011,55-11-2608-8500,55-11-2608-8552,,,,,,,Approved,2/18/2010,2/9/2010,Y,WWW.MIRAEASSET.COM.BR,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,BRAZIL,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,INVESTMENT TRUST,Y,N,N,N,N,N,N,,Y,"1,329,165,994.00",0,"1,329,165,994.00",17,0,17,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139639,801-66237,"BUCEPHALE ASSET MANAGEMENT, LTD","BUCEPHALE ASSET MANAGEMENT, LTD",35 RUE DES BAINS,,CH-1205 GENEVA,,SWITZERLAND,,41 22-809-07-66,41 22-809-07-65,,,,,,,Approved,3/23/2006,3/14/2006,Y,HTTP://WWW.BUCEPHALE.COM,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,,10-Jun,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,11-25 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"150,000,000.00",0,"150,000,000.00",14,0,14,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,144245,801-68348,"LEONARD ASSET MANAGEMENT, INC.","LEONARD ASSET MANAGEMENT, INC.",1450 W. LONG LAKE RD. STE 150,,TROY,MI,UNITED STATES,48098,248-952-5858,248-952-0147,,,,,,,Approved,10/15/2007,3/11/2010,Y,LEONARDASSETMANAGEMENT.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"6,073,191.00",0,"6,073,191.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111436,801-69566,"LEGACY CAPITAL GROUP CALIFORNIA, INC.","LEGACY CAPITAL GROUP CALIFORNIA, INC.",459 MONTEREY AVENUE,SUITE 100,LOS GATOS,CA,USA,95030,408-399-6330,408-399-6333,,,,,,,Approved,9/10/2008,3/17/2010,Y,WWW.LCGCA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,REFERRAL FEES,Y,0,"235,571,457.00","235,571,457.00",0,683,683,Y,N,N,N,Y,Y,N,N,N,N,,51-100,,N,N,N,Y,N,Y,Y,N,N,,Y,Y,Y,Y,N,Y,N,N,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,106130,801-31473,CAMPBELL CAPITAL MANAGEMENT INC,CAMPBELL CAPITAL MANAGEMENT INC,9400 S DADELAND BLVD,STE 111,MIAMI,FL,UNITED STATES,33156-2811,305-670-3140,305-670-3142,,,,,,,Approved,4/1/1988,3/17/2010,Y,WWW.CAMCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"73,400,000.00",0,"73,400,000.00",101,0,101,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,108831,801-55243,SAWGRASS ASSET MANAGEMENT LLC,SAWGRASS ASSET MANAGEMENT LLC,1579 THE GREENS WAY,SUITE 20,JACKSONVILLE,FL,USA,32250,(904) 493-5500,(904) 493-5524,,,,,,,Approved,2/13/1998,3/17/2010,Y,WWW.SAW-GRASS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,51-75 percent,0 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"2,641,884,701.00","43,224,239.00","2,685,108,940.00",199,2,201,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,105720,801-32146,RESOURCE CONSULTING GROUP,RESOURCE CONSULTING GROUP INC,"301 E. PINE STREET, SUITE 300",,ORLANDO,FL,USA,32801,407-422-0252,407-649-8795,P. O. BOX 4930,,ORLANDO,FL,USA,32802-4930,Approved,6/2/1988,3/17/2010,Y,WWW.RESOURCECONSULTING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"750,664,567.00","18,993,521.00","769,658,088.00","1,325",112,"1,437",Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151638,801-70647,"ALTAI CAPITAL MANAGEMENT, L.P.","ALTAI CAPITAL MANAGEMENT, L.P.",152 WEST 57TH STREET,10TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-201-5763,212-209-3301,,,,,,,Approved,9/30/2009,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"171,000,000.00",0,"171,000,000.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVICE TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105244,801-33743,OLD DOMINION CAPITAL MANAGEMENT INC.,OLD DOMINION CAPITAL MANAGEMENT INC.,815 E. JEFFERSON STREET,,CHARLOTTESVILLE,VA,USA,22902-5131,434-977-1550,434-977-8431,,,,,,,Approved,1/3/1989,3/17/2010,Y,ODCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"232,700,000.00",0,"232,700,000.00",850,0,850,N,Y,N,Y,N,N,N,N,N,Y,PENSION & PROFIT SHARING PLANS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,148768,801-69731,"GUIDANCE POINT ADVISORS, LLC","GUIDANCE POINT ADVISORS, LLC",,,,,,,617-869-6653,888-691-2306,,,,,,,Approved,11/26/2008,3/17/2010,Y,WWW.GUIDANCEPOINTLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"45,000,000.00",0,"45,000,000.00",35,0,35,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147477,801-69406,"INDEX INVESTORS, INC","INDEX INVESTORS, INC",9561 DREGERS WAY,,VERONA,WI,USA,53593,608-345-6151,608-848-5965,,,,,,,120-Day Approval,7/16/2008,4/30/2009,Y,WWW.INDEXINVESTORSINC.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,WI,UNITED STATES,5-Jan,0,0,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,119050,801-63437,ASPEN CAPITAL MANAGEMENT,ASPEN CAPITAL MANAGEMENT,802 W. BANNOCK ST.,SUITE 207,BOISE,ID,USA,83702,208-345-0174,208-955-1945,,,,,,,Approved,8/19/2004,3/17/2010,Y,WWW.ASPENCAPITALMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,ID,UNITED STATES,5-Jan,0,0,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"130,129,000.00","130,129,000.00",0,303,303,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,107344,801-34570,TRENT CAPITAL MANAGEMENT INC,TRENT CAPITAL MANAGEMENT INC,"3150 NORTH ELM ST,STE 204",,GREENSBORO,NC,UNITED STATES,27408,336-282-9302,336-282-8272,,,,,,,Approved,7/7/1989,3/17/2010,Y,WWW.TRENTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,Up to 10 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,QUALIFIED RETIREMENT PLANS,Y,N,N,N,N,N,N,,Y,"134,019,825.00","330,587.00","134,350,412.00",244,1,245,N,Y,N,N,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,139564,801-70289,"COASTWISE CAPITAL GROUP, LLC","COASTWISE CAPITAL GROUP, LLC",888 PROSPECT STREET,SUITE 201,LA JOLLA,CA,UNITED STATES,92037,858-454-6670,858-454-6695,,,,,,,Approved,6/15/2009,3/17/2010,Y,WWW.COASTWISEGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"33,314,482.00",0,"33,314,482.00",110,0,110,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109022,801-56257,"FELDSTEIN, STEVEN DBA STEVEN FELDSTEIN & ASSOCIATES","FELDSTEIN, STEVEN DBA STEVEN FELDSTEIN & ASSOCIATES",45 SEMINARY AVENUE,,CHESTER,NJ,UNITED STATES,7930,908-879-9559,908-879-2552,,,,,,,Approved,2/1/1999,3/17/2010,Y,FINANCIAL-ADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,825,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"61,024.00","72,233,817.00","72,294,841.00",1,824,825,Y,Y,N,Y,N,N,N,N,N,N,,More than 500,825,N,N,N,Y,N,N,Y,N,Y,CERTIFIED FINANCIAL PLANNER,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137036,801-64940,"ELCO MANAGEMENT COMPANY, LLC","ELCO MANAGEMENT CO., LLC",1325 AVENUE OF THE AMERICAS,26TH FLOOR,NEW YORK,NY,USA,10019,212-603-7582,212-333-9645,,,,,,,Approved,12/8/2005,3/17/2010,Y,WWW.ELCOMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"40,837,286.00",0,"40,837,286.00",7,0,7,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,118234,801-67982,"RAVEN'SWING ASSET MANAGEMENT, INC.","RAVEN'SWING ASSET MANAGEMENT, INC.",214 MCKENZIE STREET,,SANTA FE,NM,UNITED STATES,87501,(505) 988-4022,(505) 992-0299,,,,,,,Approved,6/12/2007,3/17/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,NM,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,PARTNERSHIP,Y,N,N,N,N,N,N,,Y,"20,000,000.00",0,"20,000,000.00",12,0,12,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105462,801-26535,NEW AMSTERDAM PARTNERS LLC,NEW AMSTERDAM PARTNERS LLC,475 PARK AVE SOUTH,20TH FLOOR,NEW YORK,NY,UNITED STATES,10016-6901,212-689-1500,212-689-3504,,,,,,,Approved,3/11/1986,3/17/2010,Y,WWW.NAPLLC.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,500,0 percent,Up to 10 percent,0 percent,11-25 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,863,698,204.00",0,"2,863,698,204.00",677,0,677,N,Y,Y,Y,N,N,N,N,N,Y,"WE PROVIDE AN ASSET ALLOCATION MODEL TO FOUR CLIENTS (APPX. $100 MILLION IN TOTAL), WHO HAVE FULL DISCRETION TO INVEST ASSETS.",0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,112369,801-42907,"ABRAMS, FACTOR & ASSOCIATES","NANCY ABRAMS & ASSOCIATES, INC.","9465 WILSHIRE BLVD., SUITE 450",,BEVERLY HILLS,CA,UNITED STATES,90212,310-385-7706,310-385-7703,,,,,,,Approved,12/30/1992,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"128,967,898.00","707,101.00","129,674,999.00",254,4,258,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,149436,801-69927,ENVOI LLC,ENVOI LLC,4350 BAKER ROAD,SUITE 220,MINNETONKA,MN,UNITED STATES,55343,952-358-6260,952-358-6299,,,,,,,Approved,12/31/2008,3/17/2010,Y,WWW.ENVOILLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"237,054,948.00",0,"237,054,948.00",254,0,254,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,115684,801-67984,MINDFUL INVESTMENT MANAGEMENT COMPANY,MINDFUL INVESTMENT MANAGEMENT COMPANY,214 MCKENZIE STREET,,SANTA FE,NM,UNITED STATES,87501,(505) 988-3889,(505) 992-0299,,,,,,,Approved,6/13/2007,3/17/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,NM,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"6,816,535.00",0,"6,816,535.00",39,0,39,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108070,801-57059,"BACK BAY FINANCIAL GROUP, INC.","BACK BAY FINANCIAL GROUP, INC.",535 BOYLSTON STREET,SUITE 300,BOSTON,MA,UNITED STATES,2116,617-247-0518,617-247-0098,,,,,,,Approved,12/14/1999,3/17/2010,Y,WWW.BACKBAYFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"341,939,453.00","7,642,576.00","349,582,029.00","1,324",24,"1,348",Y,Y,N,N,Y,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,122997,801-67980,"LONGVIEW ASSET MANAGEMENT, LLC","LONGVIEW ASSET MANAGEMENT, LLC",214 MCKENZIE STREET,,SANTA FE,NM,UNITED STATES,87501,505-988-9555,505-992-0299,,,,,,,Approved,6/15/2007,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NM,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"38,027,867.00",0,"38,027,867.00",87,0,87,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,117750,801-68147,"SQUIRE INVESTMENT MANAGEMENT COMPANY, LLC","SQUIRE INVESTMENT MANAGEMENT COMPANY, LLC",1329 SOUTH 800 EAST,,OREM,UT,UNITED STATES,84097,801.226.7722,801.226.7739,,,,,,,Approved,8/7/2007,3/17/2010,Y,WWW.SQUIREINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"38,272,332.00","249,069.00","38,521,401.00",253,1,254,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,122021,801-61596,PROCTOR FINANCIAL,"PROCTOR FINANCIAL, INC.",66 CENTRAL STREET,,WELLESLEY,MA,USA,2482,781-235-0405,781-235-0610,,,,,,,Approved,11/13/2002,3/17/2010,Y,WWW.PROCTORFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,TUITION FEES,Y,"147,757,526.00","11,470,848.00","159,228,374.00",214,1,215,Y,Y,N,N,Y,N,N,N,N,Y,RETIREMENT PLANNING COURSES; TAX PREPARATION,101-250,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,127485,801-68069,"REA CAPITAL MANAGEMENT, LLC","REA CAPITAL MANAGEMENT, LLC","4703-B BOARDWALK DRIVE,SUITE 1",,FORT COLLINS,CO,UNITED STATES,80525,970-223-0907,970-223-2615,,,,,,,Approved,6/21/2007,3/17/2010,Y,HTTP://WWW.REAGROUP.US,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"61,425,085.00",0,"61,425,085.00",516,0,516,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,24153,801-37558,CNBS,"CNBS, LLC",7200 WEST 132ND STREET,SUITE 240,OVERLAND PARK,KS,UNITED STATES,66213,913-402-2627,913-402-2635,,,,,,,Approved,10/15/1990,3/17/2010,Y,WWW.CNBSNET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,FEDERAL & STATE-CHARTERED CREDIT UNIONS,Y,Y,N,Y,N,N,N,,Y,0,"1,902,658,256.00","1,902,658,256.00",0,20,20,N,N,N,Y,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,140045,801-66479,RED GRANITE ADVISORS LLC,RED GRANITE ADVISORS LLC,100 E. WISCONSIN AVE.,SUITE 2700,MILWAUKEE,WI,USA,53202,414-326-3200,414-326-3201,,,,,,,Approved,4/6/2006,3/17/2010,Y,WWW.REDGRANITE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,0 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,11-25 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"220,006,880.00","2,040,612.00","222,047,492.00",333,5,338,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,115472,801-62918,"HENDERSHOT INVESTMENTS, INC.","HENDERSHOT INVESTMENTS, INC.",,,,,,,703-361-6130,703-361-0125,,,,,,,Approved,4/6/2004,3/17/2010,Y,WWW.HENDERSHOTINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,Y,Y,N,N,N,,Y,"101,017,144.00","2,690,647.00","103,707,791.00",383,5,388,N,Y,N,Y,Y,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,119376,801-61254,PIERMONT WEALTH MANAGEMENT INC.,PIERMONT WEALTH MANAGEMENT INC.,135 CROSSWAYS PARK DRIVE,SUITE 102,WOODBURY,NY,USA,11797,516-496-7800,516-496-7803,,,,,,,Approved,6/13/2002,3/17/2010,Y,WWW.PIERMONTWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"113,308,894.00","5,778,452.00","119,087,346.00",350,11,361,Y,Y,N,Y,Y,Y,Y,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137666,801-65552,"ROYAL CAPITAL MANAGEMENT, LLC","ROYAL CAPITAL MANAGEMENT, LLC","623 FIFTH AVENUE, 24TH FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-920-3400,212-920-3419,,,,,,,Approved,1/27/2006,3/17/2010,Y,WWW.ROYALCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,582,045,982.00",0,"1,582,045,982.00",8,0,8,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE POOLED INVESTMENT VEHICLES.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,113883,801-71257,J.W. ADVISORS INC.,J.W. ADVISORS INC.,1 E. CAMELBACK RD. SUITE 550,,PHOENIX,AZ,UNITED STATES,85012,602-216-6788,602-216-2950,,,,,,,Approved,4/6/2010,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"34,900,000.00","1,900,000.00","36,800,000.00",295,20,315,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,143110,801-67899,GFS ADVISORS LLC,GFS ADVISORS LLC,"1330 POST OAK BLVD., SUITE 2100",,HOUSTON,TX,UNITED STATES,77056,713-968-0400,713-968-0499,,,,,,,Approved,5/21/2007,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,Y,Y,N,,Y,"255,151,631.00",0,"255,151,631.00",24,0,24,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
CHRO,111594,801-57905,"DWM FINANCIAL GROUP, INC.","DWM FINANCIAL GROUP, INC.",220 N. SMITH STREET,SUITE 410,PALATINE,IL,USA,60067-2477,847-934-6262,847-934-5495,,,,,,,Approved,8/23/2000,4/6/2010,Y,WWW.DWMFNCLGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,Nov-50,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"74,154,000.00","17,511,000.00","91,665,000.00",704,251,955,Y,Y,N,Y,Y,Y,Y,N,Y,N,,26-50,,Y,Y,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,128590,801-62557,ABACUS WEALTH PARTNERS,"ABACUS WEALTH PARTNERS, LLC","1818 MARKET STREET, SUITE 3740",,PHILADELPHIA,PA,UNITED STATES,19103,215-656-4280,215-656-4281,,,,,,,Approved,1/2/2004,4/6/2010,Y,WWW.ABACUSWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,600,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,Y,PERCENTAGE OF NET WORTH,Y,"597,733,512.00","11,535,486.00","609,268,998.00","1,817",36,"1,853",Y,Y,N,Y,N,N,N,N,N,Y,GP OF PRIVATE INVESTMENT FUND,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,N,N,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106017,801-41892,"LASECKE WEIL WEALTH ADVISORY GROUP, LLC","LASECKE WEIL WEALTH ADVISORY GROUP, LLC",624 UNIVERSITY AVENUE,,PALO ALTO,CA,USA,94301-2019,650-323-3700,650-323-3790,,,,,,,Approved,7/7/1992,4/6/2010,Y,WWW.LASECKEWEIL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"170,508,920.00","1,165,533.00","171,674,453.00",532,104,636,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,136622,801-70626,"RAIT SECURITIES, LLC","RAIT SECURITIES, LLC",2929 ARCH STREET,,PHILADELPHIA,PA,UNITED STATES,19104,215-243-9000,215-243-9039,,,,,,,Approved,10/8/2009,4/6/2010,Y,WWW.RAITFT.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,0,0,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,Y,Y,N,Y,N,,Y,0,0,0,0,0,0,Y,N,Y,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,112131,801-60327,D/B/A BURNS ADVISORY,"EDWARD ELLIOTT BURNS, JR",,,,,,,207-439-1423,207-439-5003,,,,,,,Approved,6/12/2001,2/9/2006,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Sole Proprietorship,,ME,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,595,957.00","13,807,267.00","17,403,224.00",18,14,32,Y,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT TRUSTS,10-Jan,,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISOR,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,122941,801-62844,"SEBOLD CAPITAL MANAGEMENT, INC","SEBOLD CAPITAL MANAGEMENT, INC",1979 N. MILL STREET,STE 107,NAPERVILLE,IL,UNITED STATES,60563,630-548-9700,630-566-5155,,,,,,,Approved,2/26/2004,4/6/2010,Y,WWW.SEBOLDCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"53,343,174.00","915,372.00","54,258,546.00",289,32,321,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,112955,801-62984,RICHARD LEHMANN & ASSOCIATES INC.,RICHARD LEHMANN & ASSOCIATES INC.,6175 NW 153 ST,SUITE 201,MIAMI LAKES,FL,UNITED STATES,33014,305-557-1832,305-557-1454,6175 NW 153 ST. SUITE 201,,MIAMI LAKES,FL,UNITED STATES,33014,Approved,3/3/2005,4/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"49,000,000.00","12,000,000.00","61,000,000.00",54,3,57,N,Y,N,N,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,NEWSLETTER PUBLISHER,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138309,801-65521,"BROWNSTONE ASSET MANAGEMENT, L.P.","BROWNSTONE ASSET MANAGEMENT, L.P.",100 PARK AVENUE,32ND FLOOR,NEW YORK,NY,UNITED STATES,10017,212-351-3333,212-351-3351,,,,,,,Approved,1/26/2006,4/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP (LP),DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"646,000,000.00",0,"646,000,000.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,17128,801-21607,"FIRST LONG ISLAND INVESTORS, LLC","FIRST LONG ISLAND INVESTORS, LLC",ONE JERICHO PLAZA,SUITE 201,JERICHO,NY,UNITED STATES,11753-1673,516-935-1200,516-935-1274,,,,,,,Approved,7/13/1984,4/6/2010,Y,WWW.FLIINVESTORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"469,857,000.00",0,"469,857,000.00",201,0,201,Y,Y,N,Y,N,N,N,N,N,Y,ADVICE TO PRIVATE INVESTMENT PARTNERSHIPS,25-Nov,,N,N,Y,N,N,Y,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,115987,801-60906,"ADVANTAGE ADVISERS, L.L.C.","ADVANTAGE ADVISERS, L.L.C.",200 PARK AVENUE,24TH FLOOR,NEW YORK,NY,USA,10166,212-667-4225,212-667-4949,,,,,,,Approved,2/8/2002,4/6/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"80,000.00",0,"80,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,Y,N,N,N,N
NYRO,108180,801-55640,"ADVANTAGE ADVISERS MANAGEMENT, LLC","ADVANTAGE ADVISERS MANAGEMENT, LLC",200 PARK AVENUE,24TH FLOOR,NEW YORK,NY,UNITED STATES,10166,212-667-4225,212-667-4975,,,,,,,Approved,7/31/1998,4/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,278,136,970.00",0,"1,278,136,970.00",4,0,4,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,Y,Y,N,N,N,Y,N,N,N,N
NYRO,108178,801-57013,"ADVANTAGE ADVISERS MULTI-MANAGER, L.L.C.","ADVANTAGE ADVISERS MULTI-MANAGER, L.L.C.",200 PARK AVENUE,24TH FLOOR,NEW YORK,NY,UNITED STATES,10166,212-667-4225,212-667-4975,,,,,,,Approved,12/1/1999,4/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"146,858,666.00",0,"146,858,666.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES TO PRIVATE FUNDS.,0,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,Y,Y,N,N,N,Y,N,N,N,N
NYRO,107959,801-5608,JENNISON ASSOCIATES LLC,JENNISON ASSOCIATES LLC,466 LEXINGTON AVENUE,,NEW YORK,NY,UNITED STATES,10017,212-421-1000,212-682-9831,,,,,,,Approved,4/16/1969,4/6/2010,Y,WWW.JENNISON.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,0,0,More than 500,"4,000",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,WELFARE PLANS,Y,N,N,Y,N,Y,N,,Y,"93,316,000,000.00",0,"93,316,000,000.00","4,376",0,"4,376",N,Y,Y,Y,N,N,N,N,N,Y,NON-DISCRETIONARY INVESTMENT ADVICE,,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
NYRO,108181,801-56217,ADVANTAGE ADVISERS PRIVATE EQUITY MANAGEMENT LLC,ADVANTAGE ADVISERS PRIVATE EQUITY MANAGEMENT LLC,200 PARK AVENUE,24TH FLOOR,NEW YORK,NY,UNITED STATES,10166,212-667-4225,212-667-4975,,,,,,,Approved,2/25/1999,4/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,PRIVATE EQUITY UNREGISTERED FUND OF FUNDS,Y,N,N,N,N,Y,N,,Y,"36,642,647.00",0,"36,642,647.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PRIVATE EQUITY UNREGISTERED FUNDS OF FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,Y,Y,N,N,N,Y,N,N,N,N
NYRO,133251,801-64778,"SAM ADVISORS, LLC","SAM ADVISORS, LLC",111 BROADWAY,SUITE 808,NEW YORK,NY,UNITED STATES,10006,212-812-9330,212-812-9336,,,,,,,Approved,10/24/2005,4/6/2010,Y,WWW.SAMADVISORSLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"42,262,000.00",0,"42,262,000.00",204,0,204,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105456,801-36734,OPPENHEIMER CATALYST MANAGEMENT LP,OPPENHEIMER CATALYST MANAGEMENT LP,200 PARK AVENUE,24TH FLOOR,NEW YORK,NY,UNITED STATES,10166,212-667-4225,212-667-4975,,,,,,,Approved,8/30/1990,4/6/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"18,933,691.00",0,"18,933,691.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,Y,Y,N,N,N,Y,N,N,N,N
LARO,104760,801-20139,TOP FUND MANAGEMENT INC,TOP FUND MANAGEMENT INC,1819 S DOBSON RD STE 207,,MESA,AZ,UNITED STATES,85202,480-897-6214,480-345-9227,,,,,,,Approved,12/28/1983,4/6/2010,Y,WWW.Z7SEVEN.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,201,365.00",0,"3,201,365.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111944,801-57589,"THE CAMPBELL GROUP, LLC","THE CAMPBELL GROUP, LLC",ONE SW COLUMBIA STE 1700,,PORTLAND,OR,UNITED STATES,97258,503-275-9675,503-275-9667,,,,,,,Approved,7/17/2000,4/6/2010,Y,WWW.OLDMUTUALUS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,251-500,0,Nov-50,0,0,0,0,0,26-100,0,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,FOREIGN PENSIONS AND FUND OF FUNDS,Y,Y,N,Y,N,Y,Y,FEES BASED ON THE LAND BASE UNDER MANAGEMENT (FEE PER ACRE),Y,"5,492,925,653.00","69,224,930.00","5,562,150,583.00",74,1,75,N,N,N,N,N,N,N,N,N,Y,TIMBERLAND INVESTMENT MANAGEMENT,0,,N,N,N,N,N,N,N,N,Y,TIMBERLAND INVESTMENT MANAGEMENT,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,104779,801-11301,ZISKIN ASSET MANAGEMENT INC,ZISKIN ASSET MANAGEMENT INC,1819 S. DOBSON ROAD,SUITE 207,MESA,AZ,UNITED STATES,85202,480-897-6214,480-345-9227,,,,,,,Approved,1/30/1976,4/6/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"838,796.00",0,"838,796.00",1,0,1,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,142685,801-71277,"CARUSO AND COMPANY, P.A.","CARUSO AND COMPANY, P.A.",629 E. HILLSBORO BLVD,,DEERFIELD BEACH,FL,UNITED STATES,33441,954-571-2020,954-571-2005,,,,,,,Approved,4/8/2010,4/6/2010,Y,WWW.CARUSOANDCOMPANY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"29,417,541.00",0,"29,417,541.00",99,0,99,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,2826,801-68720,EMPIRE SECURITIES CORPORATION,EMPIRE SECURITIES CORPORATION,1960 E GRAND AVE.,SUITE 555,EL SEGUNDO,CA,UNITED STATES,90245,310-640-8902,310-640-8905,,,,,,,Approved,1/14/2008,4/6/2010,Y,WWW.EMPIRESECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"35,385,112.00",0,"35,385,112.00",157,0,157,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N
DRO,137068,801-65068,"MOUNT YALE INVESTMENT ADVISORS, LLC","MOUNT YALE INVESTMENT ADVISORS, LLC",1125 SEVENTEENTH STREET,SUITE 1400,DENVER,CO,USA,80202,303-382-2880,303-382-2888,,,,,,,Approved,1/3/2006,4/6/2010,Y,WWW.MTYALE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,Nov-50,0,251-500,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"636,328,695.00",0,"636,328,695.00",497,0,497,N,N,N,N,Y,N,N,N,N,Y,"RECOMMENDATION OF OTHER INVESTMENT ADVISERS, ASSET ALLOCATION RECOMMENDATION, MONITORING OF OTHER INVESTMENT ADVISERS",,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,6857,801-10669,"TWEEDY, BROWNE COMPANY LLC","TWEEDY, BROWNE COMPANY LLC",350 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10022,(212)916-0600,(212)916-0649,,,,,,,Approved,3/25/1975,3/9/2010,Y,HTTP://WWW.TWEEDY.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,251-500,0,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,LIMITED PARTNERSHIPS;OFFSHORE FUNDS; FOREIGN GOVERNMENT ENTITIES; AND OTHER POOLED VEHICLES,Y,N,N,N,N,Y,N,,Y,"10,776,621,745.00",0,"10,776,621,745.00",484,0,484,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N
PLRO,130287,801-71227,ROGERS FINANCIAL,"ROGERS FINANCIAL GROUP, INC.",2262 BLUE STONE HILLS DRIVE,SUITE B,HARRISONBURG,VA,UNITED STATES,22801,540-442-6426,540-442-6598,,,,,,,Approved,3/15/2010,3/9/2010,Y,WWW.ROGERSFINANCIALGRP.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,N,N,N,Y,N,N,Y,PERCENTAGE OF THE OVERALL ASSETS OF THE QUALIFIED PLAN,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,137963,801-64903,"PACIFIC COAST INVESTMENT ADVISORS, LLC","PACIFIC COAST INVESTMENT ADVISORS, LLC",5285 SW MEADOWS ROAD,SUITE 330,LAKE OSWEGO,OR,UNITED STATES,97035,503-968-2500,503-968-2100,,,,,,,Approved,4/3/2006,3/9/2010,Y,WWW.PACIFICCOASTIA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"46,000,000.00","3,000,000.00","49,000,000.00",252,5,257,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,139309,801-66360,"STRATEGIC GLOBAL ADVISORS, LLC","STRATEGIC GLOBAL ADVISORS, LLC","100 BAYVIEW CIRCLE, SUITE 500",,NEWPORT BEACH,CA,USA,92660,949-706-2640,949-737-7703,,,,,,,Approved,3/9/2006,3/9/2010,Y,WWW.SGADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"144,898,211.00",0,"144,898,211.00",16,0,16,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,117599,801-64109,"HOPKINS FINANCIAL ADVISORS, LLC","HOPKINS FINANCIAL ADVISORS, LLC",33 TENTH AVENUE SOUTH,SUITE 340,HOPKINS,MN,UNITED STATES,55343,952-253-1099,952-224-9578,,,,,,,Approved,3/25/2005,3/9/2010,Y,WWW.HOPKINSFINANCIALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"48,691,650.00",0,"48,691,650.00",432,0,432,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109511,801-57548,CHAPEL HILL INVESTMENT ANALYSTS INC,CHAPEL HILL INVESTMENT ANALYSTS INC,"126 MATHEWS STREET, SUITE 2100",,GREENSBURG,PA,UNITED STATES,15601-6913,(724)830-2600,(724)830-2795,,,,,,,Approved,6/6/2000,3/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,More than 500,550,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"71,306,124.00",0,"71,306,124.00","1,510",0,"1,510",Y,Y,N,N,N,Y,N,N,N,N,,More than 500,550,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,128373,801-67485,"MAINSAIL ASSET MANAGEMENT, LLC","MAINSAIL ASSET MANAGEMENT, LLC",304 SOUTH MARKET STREET,SUITE 230,SCOTTSBORO,AL,UNITED STATES,35768,256-575-0110,866-542-0388,,,,,,,Approved,1/12/2007,3/9/2010,Y,WWW.MNSAIL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"57,200,000.00","13,800,000.00","71,000,000.00",253,68,321,Y,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING SERVICES,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,109359,801-57128,ML&R WEALTH MANAGEMENT LLC,ML & R WEALTH MANAGEMENT LLC,401 CONGRESS AVENUE,SUITE 1100,AUSTIN,TX,UNITED STATES,78701,512-370-3200,512-370-3250,,,,,,,Approved,1/14/2000,3/9/2010,Y,WWW.MLRWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"273,026,027.00","2,969,628.00","275,995,655.00",459,55,514,N,Y,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,129614,801-62538,"SMITH, SALLEY & ASSOCIATES, LLC","SMITH, SALLEY & ASSOCIATES, LLC",300 EAST WENDOVER AVENUE,SUITE 301,GREENSBORO,NC,UNITED STATES,27401,336-379-7556,336-379-8606,,,,,,,Approved,12/18/2003,3/9/2010,Y,WWW.SMITH-SALLEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"161,322,554.00",0,"161,322,554.00",233,0,233,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,142903,801-67790,"GEBHARDT GROUP, INC","GEBHARDT GROUP, INC",3620 HAPPY VALLEY ROAD,SUITE 204,LAFAYETTE,CA,USA,94549,925-283-9150,925-283-9155,,,,,,,Approved,5/4/2007,3/9/2010,Y,WWW.GEBHARDTGROUPINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"31,762,000.00","36,238,000.00","68,000,000.00",230,264,494,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,136335,801-64521,"HUNTER CAPITAL ADVISORS, INC.","HUNTER CAPITAL ADVISORS, INC.",1000 FARMINGTON AVE,SUITE 103,WEST HARTFORD,CT,UNITED STATES,6107,860-236-8500,860-236-8700,,,,,,,Approved,7/20/2005,3/9/2010,Y,WWW.HUNTERADV.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"88,066.00",0,"88,066.00",3,0,3,N,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104619,801-34480,THE JUNK INVESTMENT GROUP,JUNK IVAN RICHARD,4 NORTH PARK DRIVE,SUITE 510,HUNT VALLEY,MD,USA,21030-1810,410-584-8100,410-584-8590,,,,,,,Approved,5/19/1989,3/9/2010,Y,WWW.JUNKINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MD,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"139,159,824.00","139,159,824.00",0,232,232,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,116421,801-60656,FOX ASSET MANAGEMENT LLC,FOX ASSET MANAGEMENT LLC,331 NEWMAN SPRINGS ROAD,SUITE 122,RED BANK,NJ,USA,7701,732-747-6345,732-747-9143,,,,,,,Approved,10/31/2001,3/9/2010,Y,WWW.FOXASSET.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,101-250,0,0 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,WRAP PROGRAMS,Y,N,N,N,N,Y,N,,Y,"2,152,023,085.00","2,739,324.00","2,154,762,409.00","3,470",3,"3,473",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107295,801-49238,NORTHSTAR INVESTMENT ADVISORS LLC,NORTHSTAR INVESTMENT ADVISORS LLC,700 SEVENTEENTH STREET,SUITE 2350,DENVER,CO,UNITED STATES,80202,303-832-2300,303-832-0034,,,,,,,Approved,5/23/1995,3/9/2010,Y,WWW.NORTHSTARINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,51-75 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"270,312,121.00","19,342,796.00","289,654,917.00",512,15,527,N,Y,N,N,N,N,N,N,N,Y,A) FUND. EVAL. SVCS. W/ RESPECT TO THE FIXED INC. ACCTS OF THE TRUST DEPT. OF A BANK; B) PORTFOLIO & RETIREMENT CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,116866,801-65268,"GRYPHON MANAGEMENT PARTNERS, L.P.","GRYPHON MANAGEMENT PARTNERS, L.P.",1700 PACIFIC AVENUE,SUITE 2660,DALLAS,TX,UNITED STATES,75201,214-871-6700,214-871-6711,,,,,,,Approved,1/30/2006,3/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"40,000,000.00",0,"40,000,000.00",6,0,6,N,N,N,N,N,N,N,N,N,Y,"OTHER POOLED INVESTMENT VEHICLES, EG., HEDGE FUND",0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y
NYRO,148499,801-69896,INTEGRATED WEALTH MANAGEMENT,INTEGRATED WEALTH MANAGEMENT,1 CORPORATE PLACE SOUTH,SUITE 130,PISCATAWAY,NJ,UNITED STATES,8854,732-510-1610,732-510-1613,,,,,,,Approved,2/27/2009,3/9/2010,Y,WWW.IWMCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,0,"30,000,000.00","30,000,000.00",0,100,100,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,125868,801-64123,HERITAGE HOUSE ASSET MANAGEMENT,AQUILINO  MICHAEL DOMENIC,50 CONGRESS STREET,SUITE 300,BOSTON,MA,USA,2109,617-482-8877,,,,,,,,Approved,3/15/2005,3/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"36,122,406.00",0,"36,122,406.00",64,0,64,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108093,801-57002,KEIDAN FINANCIAL CONSULTANTS LLC,KEIDAN FINANCIAL CONSULTANTS LLC,400 SOUTH 5TH STREET,SUITE 100,COLUMBUS,OH,UNITED STATES,43215,614-469-5003,614-469-4723,,,,,,,Approved,11/29/1999,3/9/2010,Y,WWW.KEIDANFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"146,892,007.00","146,892,007.00",0,327,327,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,108648,801-56677,THE LUBITZ FINANCIAL GROUP,LUBITZ LINDA S CFP PA,9130 S. DADELAND BLVD.,SUITE 1625,MIAMI,FL,UNITED STATES,33156,305-670-4440,305-670-4448,,,,,,,Approved,7/16/1999,4/30/2010,Y,WWW.LUBITZFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"127,472,000.00",0,"127,472,000.00",439,0,439,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,136485,801-65940,TRIPPON WEALTH MANAGEMENT GROUP LLC,TRIPPON WEALTH MANAGEMENT GROUP LLC,8955 KATY FREEWAY,SUITE 310,HOUSTON,TX,UNITED STATES,77024,713-661-1040,713-669-0503,,,,,,,Approved,1/31/2006,4/30/2010,Y,WWW.FINANCIALADVISORHOUSTON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"49,436,908.00","6,731,339.00","56,168,247.00",284,26,310,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105666,801-25587,"BALDWIN & CLARKE ADVISORY SERVICES, INC.","BALDWIN & CLARKE ADVISORY SERVICES, INC.",116B SOUTH RIVER ROAD,,BEDFORD,NH,UNITED STATES,3110,603-668-4353,603-622-1107,,,,,,,Approved,10/25/1985,4/30/2010,Y,WWW.BALDWINCLARKE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,25-Nov,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"52,262,835.00","52,262,835.00",0,26,26,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,Y,PENSION CONSULTANT,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
BRO,124801,801-64598,"PATHWAY FINANCIAL ADVISORS, LLC","PATHWAY FINANCIAL ADVISORS, LLC",110 MAIN STREET,SUITE 401,BURLINGTON,VT,USA,5401,802-660-7086,802-304-9153,,,,,,,Approved,8/15/2005,4/30/2010,Y,WWW.PATHWAYADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"106,073,549.00",0,"106,073,549.00",246,0,246,Y,Y,N,Y,N,Y,N,N,N,Y,BUSINESS CONSULTING SERVICES ON MATTERS NOT INVOLVING SECURITIES,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147854,801-69430,"IMPERIUM INVESTMENT ADVISORS, LLC","IMPERIUM INVESTMENT ADVISORS, LLC",18877 WEST TEN MILE ROAD,SUITE 106,SOUTHFIELD,MI,UNITED STATES,48075-2634,248-443-1225,248-443-1236,,,,,,,Approved,8/11/2008,4/22/2009,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"15,600,000.00","15,600,000.00",0,1,1,N,N,N,Y,N,N,N,N,N,Y,TRUSTEE SERVICES,10-Jan,,N,N,N,Y,N,N,N,N,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,146260,801-68825,"AMERICAN PORTFOLIO MANAGEMENT, INC.","AMERICAN PORTFOLIO MANAGEMENT, INC.",2420 ENTERPRISE ROAD,SUITE 103,CLEARWATER,FL,USA,33763,727-725-9922,727-725-9970,,,,,,,Approved,2/5/2008,4/22/2009,Y,WWW.JEFFJANKOWSKI.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,THIRD PARTY REFERRAL FEES,Y,0,0,0,0,0,0,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107548,801-44699,SFMG WEALTH ADVISORS,"SFMG, LLC.",2500 DALLAS PARKWAY,SUITE 214,PLANO,TX,UNITED STATES,75093,972-960-6460,972-960-6455,,,,,,,Approved,8/11/1993,5/1/2010,Y,WWW.SFMG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"393,127,166.00",0,"393,127,166.00","1,557",0,"1,557",Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,144849,801-68297,"FRONT RANGE CAPITAL MANAGEMENT, LLC","FRONT RANGE CAPITAL MANAGEMENT, LLC",10200B E. GIRARD AVENUE,SUITE 330,DENVER,CO,UNITED STATES,80231-5509,720-747-7100 X104,720-747-7103,,,,,,,Approved,9/11/2007,5/1/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,0,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HEDGE FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,133855,801-63890,"CLAYBORNE GROUP, LLC","CLAYBORNE GROUP, LLC",100 MILL PLAIN ROAD,,DANBURY,CT,USA,6811,845-797-7773,845-896-6506,,,,,,,Approved,2/4/2005,5/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"132,000,000.00",0,"132,000,000.00",36,0,36,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153112,801-71169,BRIGHTON FINANCIAL PLANNING,MIDDLETON FINANICAL MANAGEMENT LLC,1728 RT 31,,CLINTON,NJ,UNITED STATES,8809,908-730-7000,908-730-6754,,,,,,,Approved,3/2/2010,5/3/2010,Y,WWW.BRIGHTONFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"51,674,333.00","622,515.00","52,296,848.00",181,45,226,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,129410,801-62504,FAIRFIELD GREENWICH ADVISORS LLC,FAIRFIELD GREENWICH ADVISORS LLC,575 MADISON AVENUE,8TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-319-6060,212-319-0450,,,,,,,Approved,11/17/2003,5/3/2010,Y,WWW.FGGUS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,018,428,643.00",0,"1,018,428,643.00",10,0,10,N,N,N,N,N,N,N,N,N,Y,"HEDGE FUNDS PORTFOLIO MANAGEMENT: SERVES AS GENERAL PARTNER, MANAGER, OR INVESTMENT MANAGER TO VARIOUS PRIVATE FUNDS.",0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
BRO,140508,801-66663,"ALEXANDER CAPITAL ADVISORS, LLC","ALEXANDER CAPITAL ADVISORS, LLC",111 ELM STREET,,NEW CANAAN,CT,UNITED STATES,6840,203-966-7707,203-966-7711,,,,,,,Approved,5/1/2006,5/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"85,096,000.00",0,"85,096,000.00",325,0,325,N,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104662,801-31572,DILLON & ASSOCIATES INC,DILLON & ASSOCIATES INC,2585 SPRING ARBOR ROAD,,JACKSON,MI,USA,49203,517-796-7090,517-796-7093,P.O. BOX 1347,,JACKSON,MI,USA,49204,Approved,3/4/1988,5/3/2010,Y,WWW.DILLON-ASSOC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"2,985,348.00","156,396,801.00","159,382,149.00",8,342,350,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105527,801-33204,INVESTMENT PERFORMANCE SERVICES LLC,INVESTMENT PERFORMANCE SERVICES LLC,"7402 HODGSON MEMORIAL DRIVE, STE 100",,SAVANNAH,GA,USA,31406,912-352-2862,912-355-6866,,,,,,,Approved,11/3/1988,5/3/2010,Y,WWW.IPS-NET.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,Y,PERCENTAGE OF ASSETS AS TO WHICH IPS PROVIDES INVESTMENT ADVICE,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,152220,801-70810,"STRONG INVESTMENT MANAGEMENT, LLC","STRONG INVESTMENT MANAGEMENT, LLC",610 NEWPORT CENTER DRIVE,SUITE 220,NEWPORT BEACH,CA,UNITED STATES,92660,949-759-9686,949-759-9687,,,,,,,Approved,11/25/2009,5/3/2010,Y,HTTP://WWW.STRONG.US.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"26,249,968.00",0,"26,249,968.00",3,0,3,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109151,801-12562,"DARRELL & KING, INVESTMENT COUNSEL, LLC","DARRELL & KING, INVESTMENT COUNSEL, LLC",410 WHITE GABLES LN.,,CHARLOTTESVILLE,VA,UNITED STATES,22903-4994,434-977-7010,434-977-6313,,,,,,,Approved,2/18/1997,5/3/2010,Y,WWW.DARRELLANDKING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"475,825,011.00",0,"475,825,011.00",168,0,168,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,113968,801-71373,SCOTT DAHL ANDREIKO,SCOTT DAHL ANDREIKO,,,,,,,760-633-4609,760-633-4626,,,,,,,Approved,4/26/2010,5/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,184,000.00",0,"34,184,000.00",32,0,32,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,130777,801-67470,"MOCKINGBIRD HOLDINGS, LLC","MOCKINGBIRD HOLDINGS, LLC",16800 IMPERIAL VALLEY DRIVE,SUITE 499,HOUSTON,TX,UNITED STATES,77060,(281) 618-1375,(281) 448-4474,,,,,,,Approved,1/18/2007,5/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"14,875,121.00","19,993,352.00","34,868,473.00",2,4,6,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,152280,801-70824,"MARRS WEALTH MANAGEMENT, LLC","MARRS WEALTH MANAGEMENT, LLC",208 MAIN STREET,,AMES,IA,UNITED STATES,50010,515-233-0307,515-233-0308,,,,,,,Approved,12/4/2009,5/3/2010,Y,WWW.MARRSWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"50,000,000.00",0,"50,000,000.00",110,0,110,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,134227,801-63933,"GLAXIS CAPITAL MANAGEMENT, LLC","GLAXIS CAPITAL MANAGEMENT, LLC",330 SOUTH PINEAPPLE AVENUE,SUITE 203,SARASOTA,FL,UNITED STATES,34236,(941) 556 5333,(941) 556 5330,,,,,,,Approved,3/4/2005,5/3/2010,Y,WWW.GLAXISLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"90,138,000.00",0,"90,138,000.00",11,0,11,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,125533,801-61965,"PERSONAL FINANCIAL ADVISORS, LLC","PERSONAL FINANCIAL ADVISORS, LLC",191 POST ROAD WEST,,WESTPORT,CT,UNITED STATES,6880,203-221-2648,203-221-2647,,,,,,,Approved,4/7/2003,5/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"47,603,545.00","47,603,545.00",0,173,173,Y,Y,N,N,Y,N,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107609,801-52144,STURNIOLO JOSEPH S & ASSOCIATES INC,STURNIOLO JOSEPH S & ASSOCIATES INC,7535 EAST HAMPDEN,SUITE 501,DENVER,CO,UNITED STATES,80231,303-695-4363,303-695-0654,,,,,,,Approved,6/7/1996,5/3/2010,Y,WWW.JSTURNIOLO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,PLAN PREPARATION FEES,Y,"10,103,223.00","44,283,215.00","54,386,438.00",181,161,342,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
SFRO,147512,801-69352,FLUENT WEALTH PARTNERS,"FLUENT WEALTH PARTNERS, LLC",1530 THE ALAMEDA,SUITE 115,SAN JOSE,CA,UNITED STATES,95126,408-217-2000,408-217-2011,,,,,,,Approved,7/9/2008,3/24/2010,Y,WWW.FLUENTWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"87,660,000.00","87,660,000.00",0,366,366,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N
LARO,111938,801-60348,"CAMDEN FINANCIAL MANAGEMENT, INC.","CAMDEN FINANCIAL MANAGEMENT, INC.",6619 N. SCOTTSDALE RD.,,SCOTTSDALE,AZ,UNITED STATES,85250,480-998-7786,480-452-1943,,,,,,,Approved,6/18/2001,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"125,739,037.00",0,"125,739,037.00",211,0,211,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,138347,801-65858,"SPECTRUM STRATEGIC CAPITAL MANAGEMENT, LLC","SPECTRUM STRATEGIC CAPITAL MANAGEMENT, LLC",2358 NW KINGS BLVD.,SUITE 200,CORVALLIS,OR,UNITED STATES,97330-3925,541-752-4556,541-752-1796,P.O. BOX 905,,CORVALLIS,OR,UNITED STATES,97339-0905,Approved,2/1/2006,3/24/2010,Y,WWW.SSCAPM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"83,574,973.00",0,"83,574,973.00",503,0,503,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105389,801-21646,ALBANY FINANCIAL PLANNERS INC,ALBANY FINANCIAL PLANNERS INC,3 ATRIUM DRIVE,SUITE 265,ALBANY,NY,UNITED STATES,12205,518-482-5777,518-453-6085,,,,,,,Approved,6/27/1984,3/25/2010,Y,ALBANYFP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"187,107,000.00",0,"187,107,000.00",482,0,482,Y,Y,N,N,Y,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105811,801-18094,"CIGNA INVESTMENTS, INC.","CIGNA INVESTMENTS, INC.",900 COTTAGE GROVE ROAD,A5LGL,BLOOMFIELD,CT,UNITED STATES,6002,860-226-8935,860-226-8942,900 COTTAGE GROVE ROAD,A5LGL,HARTFORD,CT,UNITED STATES,6152,Approved,12/14/1982,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"18,447,000,000.00",0,"18,447,000,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,131854,801-63226,"HUNDREDFOLD ADVISORS, LLC","HUNDREDFOLD ADVISORS, LLC",2940 N. LYNNHAVEN RD,SUITE 210A,VIRGINIA BEACH,VA,USA,23452,757-463-7797,,,,,,,,Approved,6/30/2004,3/25/2010,Y,WWW.HUNDREDFOLDADVISORS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"110,808,589.00",0,"110,808,589.00",3,0,3,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,132780,801-63514,NEPHILA CAPITAL LTD.,NEPHILA CAPITAL LTD.,VICTORIA PLACE,31 VICTORIA STREET,HAMILTON,,BERMUDA,HM 10,441-296-4684,441-296-3648,,,,,,,Approved,9/24/2004,3/25/2010,Y,HTTP://WWW.NEPHILACAPITAL.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,BERMUDA,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"2,558,060,012.00","18,206,923.00","2,576,266,935.00",16,2,18,N,N,N,N,N,N,N,N,N,Y,ADVISORY SERVICES FOR POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,126679,801-62098,"GRANVILLE CAPITAL, INC.","GRANVILLE CAPITAL, INC.",300 NORTH GREENE STREET,SUITE 1750,GREENSBORO,NC,UNITED STATES,27401,336-273-8544,336-217-4128,,,,,,,Approved,5/30/2003,3/25/2010,Y,WWW.GRANVILLECAPITALINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"275,000,000.00","182,000,000.00","457,000,000.00",5,3,8,N,N,N,N,N,Y,N,N,N,Y,SELECTION OF HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105902,801-40745,THOR INVESTMENT MANAGEMENT INC,THOR INVESTMENT MANAGEMENT INC,7346 BEECHMONT AVE.,,CINCINNATI,OH,USA,45230,513-271-6777,513-271-5401,,,,,,,Approved,2/13/1992,3/25/2010,Y,WWW.THORINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"228,188,000.00",0,"228,188,000.00","1,358",0,"1,358",Y,Y,N,Y,N,N,Y,N,N,Y,"TAX PLANNING, RETIREMENT PLANNING, ESTATE PLANNING",0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112801,801-56438,ALCATEL-LUCENT INVESTMENT MANAGEMENT CORPORATION,ALCATEL-LUCENT INVESTMENT MANAGEMENT CORPORATION,"600 MOUNTAIN AVENUE, 2C-427",,MURRAY HILL,NJ,UNITED STATES,7974,908-582-1342,908-582-5151,,,,,,,Approved,5/7/1999,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,DEFINED CONTRIBUTION PLANS AND OPEBS,N,N,N,N,N,N,Y,REIMBURSEMENT FOR ACTUAL COSTS INCURRED,Y,"38,383,826,790.00",0,"38,383,826,790.00",8,0,8,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N
LARO,133950,801-68357,"REED & BALL, INC.","REED & BALL, INC.",1000 NEWBURY ROAD,SUITE 205,THOUSAND OAKS,CA,USA,91320,805-376-2779,805-435-3710,,,,,,,Approved,9/19/2007,3/25/2010,Y,WWW.REEDBALL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"64,226,760.00",0,"64,226,760.00",397,0,397,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,128132,801-62330,"BLUEMOUNTAIN CAPITAL MANAGEMENT, LLC","BLUEMOUNTAIN CAPITAL MANAGEMENT, LLC","280 PARK AVENUE, 5TH FLOOR EAST",,NEW YORK,NY,UNITED STATES,10017,212-905-3900,212-905-1251,,,,,,,Approved,9/5/2003,3/25/2010,Y,WWW.BLUEMOUNTAINCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,11-25 percent,TRUSTS,Y,N,N,N,N,Y,N,,Y,"5,258,901,435.00",0,"5,258,901,435.00",22,0,22,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,144695,801-68185,"AURORA ASSET MANAGEMENT, L.L.C.","AURORA ASSET MANAGEMENT, L.L.C.",,,,,,,901-758-1590,901-758-3339,,,,,,,Approved,7/26/2007,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"19,214,093.00","8,667,864.00","27,881,957.00",18,2,20,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,126847,801-66217,BLANKINSHIP CORPORATION,BLANKINSHIP CORPORATION,,,,,,,703-356-6121,703-448-0173,,,,,,,Approved,8/10/2006,3/25/2010,Y,WWW.BLANKINSHIP.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"785,339.00",0,"785,339.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,Y,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107110,801-49508,HANSEATIC MANAGEMENT SERVICES INC,HANSEATIC MANAGEMENT SERVICES INC,5600 WYOMING NE,SUITE 220,ALBUQUERQUE,NM,UNITED STATES,87109,505-828-2824,505-828-2825,,,,,,,Approved,6/27/1995,3/25/2010,Y,WWW.HANSEATICGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NM,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"183,839,326.00","88,873,053.00","272,712,379.00",8,8,16,N,Y,N,Y,N,N,N,N,Y,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123326,801-70546,"TEMPO INVESTMENT ADVISORS, INC.","TEMPO INVESTMENT ADVISORS, INC.",,,,,,,989-832-3148,989-832-3148,,,,,,,Approved,9/3/2009,3/25/2010,Y,HTTP://WWW.TEMPO-INVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"38,760,536.00",0,"38,760,536.00",314,0,314,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,128043,801-62390,"LIEBAU ASSET MANAGEMENT CO., LLC","LIEBAU ASSET MANAGEMENT CO., LLC","301 E. COLORADO BLVD,SUITE 810",,PASADENA,CA,USA,91101-1901,626-795-5200,626-795-5205,P.O. BOX 2200,,PASADENA,CA,USA,91102-2200,Approved,10/14/2003,3/25/2010,Y,WWW.LIEBAUASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"142,319,029.00","25,932,712.00","168,251,741.00",101,15,116,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109493,801-58024,"OTTO & ASSOCIATES, INC.","OTTO & ASSOCIATES, INC.",200 KATONAH AVE,,KATONAH,NY,UNITED STATES,10536,914-232-5379,914-232-5378,,,,,,,Approved,11/24/2000,3/25/2010,Y,OTTOANDASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"80,664,683.00",0,"80,664,683.00",446,0,446,Y,Y,N,Y,Y,N,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137692,801-64851,HORIZON GLOBAL ADVISERS LLC,HORIZON GLOBAL ADVISERS LLC,411 THEDORE FREMD AVENUE,SUITE 206 SOUTH,RYE,NY,UNITED STATES,10580,914-925-3417,914-925-3434,,,,,,,Approved,11/4/2005,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,10-Jun,0,25-Nov,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"201,000,000.00",0,"201,000,000.00",18,0,18,N,Y,N,Y,N,N,N,N,N,Y,POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108736,801-56326,MCGOWAN & CO LLP,MCGOWAN & CO LLP,937 GLENBROOK AVE,,BRYN MAWR,PA,UNITED STATES,19010,610-520-2400,610-520-2181,937 GLENBROOK AVE,PO BOX 1180,BRYN MAWR,PA,UNITED STATES,19010,Approved,4/8/1999,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"241,916.00","139,222,949.00","139,464,865.00",1,179,180,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109162,801-56038,DIVELEY LIND & ASSOCIATES LLC,DIVELEY LIND & ASSOCIATES LLC,,,,,,,540-248-2275,540-242-3198,P.O. BOX 128,,FT. DEFIANCE,VA,USA,24437-0128,Approved,11/17/1998,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,NEGOTIATED PROJECT FEES,Y,"53,297,234.00","6,962,284.00","60,259,518.00",208,2,210,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,139137,801-66097,GREENWAY TRADING LLC,GREENWAY TRADING LLC,7 NORTH BROAD STREET #204,,RIDGEWOOD,NJ,USA,07450-3801,201-447-2300,201-447-6113,,,,,,,Approved,1/27/2006,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"91,841,877.00",0,"91,841,877.00",5,0,5,N,N,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,105028,801-22888,PERKINS CAPITAL MANAGEMENT INC,PERKINS CAPITAL MANAGEMENT INC,730 EAST LAKE STREET,,WAYZATA,MN,UNITED STATES,55391-1769,952-473-8367,952-473-4702,,,,,,,Approved,12/5/1984,3/25/2010,Y,HTTP://WWW.PERKINSCAP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,10-Jun,0,251-500,0,51-75 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"167,829,103.00",0,"167,829,103.00",333,0,333,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,136274,801-64609,PRUDENTIAL INTERNATIONAL INVESTMENTS ADVISERS,"PRUDENTIAL INTERNATIONAL INVESTMENTS ADVISERS, LLC",100 MULBERRY STREET,"GATEWAY CENTER THREE, 4TH FLOOR",NEWARK,NJ,UNITED STATES,07102-4061,973-802-3381,973-367-8560,,,,,,,Approved,8/16/2005,3/25/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,26-50 percent,OFFSHORE FUNDS,Y,N,N,N,N,N,Y,FEES BASED ON % OF ASSETS COVERED BY SUGGESTED MODEL PORTFOLIO.,Y,"149,614,822.00","405,337,207.00","554,952,029.00",6,5,11,N,N,N,Y,N,Y,Y,N,N,Y,NON-DISCRETIONARY AND GENERAL SECURITIES MARKET ADVICE AND ANALYSIS.,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
BRO,109390,801-66638,"PRI FINANCIAL ADVISORS, INC.","PRI FINANCIAL ADVISORS, INC.","479 WASHINGTON ST., SUITE 4",,HOLLISTON,MA,USA,01746-1828,508-429-0975,508-429-0940,,,,,,,Approved,4/3/2006,3/25/2010,Y,WWW.PRIADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"38,530,465.00",0,"38,530,465.00",341,0,341,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,146308,801-68899,"CAMBRIDGE FINANCIAL SERVICES GROUP, INC","CAMBRIDGE FINANCIAL SERVICES GROUP, INC",83 MASON STREET,,GREENWICH,CT,USA,6830,203-869-0033 X301,203-869-7711,,,,,,,Approved,3/11/2008,3/25/2010,Y,WWW.CAMBRIDGEGROUP.NET,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"1,833,860,000.00","1,833,860,000.00",0,2,2,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,EMPLOYEE BENEFIT CONSULTING,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,117935,801-62965,"KEB ASSET MANAGEMENT, LLC","KEB ASSET MANAGEMENT, LLC",1000 MYERS BUILDING,,SPRINGFIELD,IL,UNITED STATES,62701,217-789-0960,217-789-2822,,,,,,,Approved,4/7/2004,4/6/2010,Y,WWW.KAMADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"48,173,864.00","105,114,922.00","153,288,786.00",208,487,695,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106966,801-36824,CAPITAL INVESTMENT COUNSEL INC,CAPITAL INVESTMENT COUNSEL INC,"210 UNIVERSITY BLVD., SUITE 550",,DENVER,CO,USA,80206,303-329-9000,303-329-9666,,,,,,,Approved,5/1/1990,4/6/2010,Y,WWW.CICINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,Nov-50,0,Nov-50,0,0,0,Nov-50,0,More than 500,"2,500",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,622,031,029.00",0,"1,622,031,029.00","3,409",0,"3,409",Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
NYRO,136464,801-65846,"MILLBROOK INVESTMENT MANAGEMENT COMPANY, LLC","MILLBROOK INVESTMENT MANAGEMENT COMPANY, LLC",95 FOREST AVENUE,,LOCUST VALLEY,NY,UNITED STATES,11560,212-542-3600,212-542-3609,,,,,,,Approved,1/24/2006,4/6/2010,Y,WWW.MILLBROOKLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,INSURANCE COMPANY,Y,N,N,N,N,Y,N,,Y,"50,918,769.00","69,593,305.00","120,512,074.00",3,1,4,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HEDGE FUND OF FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,152325,801-70858,"COLLAR CAPITAL MANAGEMENT, LLC","COLLAR CAPITAL MANAGEMENT, LLC",,,,,,,920-830-1556,920-273-2712,,,,,,,Approved,12/10/2009,4/6/2010,Y,WWW.COLLARCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"19,406,305.00","7,314,128.00","26,720,433.00",118,12,130,N,Y,N,N,Y,N,Y,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,115357,801-60976,"AMERICAN MONEY MANAGEMENT, LLC","AMERICAN MONEY MANAGEMENT, LLC",14249 RANCHO SANTA FE FARMS ROAD,,RANCHO SANTA FE,CA,UNITED STATES,92067,858-755-0909,858-259-6906,P.O. BOX 675203,,RANCHO SANTA FE,CA,UNITED STATES,92067,Approved,3/4/2002,4/6/2010,Y,WWW.AMMINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,10-Jun,0,More than 500,500,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,Y,N,N,Y,N,,Y,"148,442,274.00","947,722.00","149,389,996.00","1,072",2,"1,074",Y,Y,Y,Y,N,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110379,801-17703,GREENWOOD GEARHART INC.,GREENWOOD GEARHART INC.,26 E CENTER ST,,FAYETTEVILLE,AR,UNITED STATES,72701,479-521-5353,479-521-5300,POST OFFICE BOX 4278,,FAYETTEVILLE,AR,UNITED STATES,72702,Approved,9/30/1982,4/6/2010,Y,WWW.MAGREENWOOD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AR,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,FINANCIAL AND ECONOMIC CONSULTING AT $200.00 PER WORK HOUR.,Y,"155,656,966.00",0,"155,656,966.00",646,0,646,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,123869,801-67944,FLORIAN FINANCIAL GROUP LLC,FLORIAN FINANCIAL GROUP LLC,2430 NORTH FOREST ROAD,SUITE 140,GETZVILLE,NY,UNITED STATES,14068-9917,716-213-0546,716-213-0558,,,,,,,Approved,6/6/2007,4/6/2010,Y,WWW.FLORIANFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"45,491,947.00",0,"45,491,947.00",375,0,375,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,112504,801-63213,"EPLAN ADVISORS, LLC","EPLAN ADVISORS, LLC",4949 S. SYRACUSE ST.,SUITE 550,DENVER,CO,UNITED STATES,80237,303-567-8900,303-567-8901,700 N. COLORADO BLVD,SUITE 288,DENVER,CO,UNITED STATES,80206,Approved,6/29/2004,4/6/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,More than 1000,"1,000",More than 500,"3,500",0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,119377,801-70302,COMPASS ADVISORY PARTNERS LLC,COMPASS ADVISORY PARTNERS LLC,213 OVERLOOK CIRCLE,SUITE A-1,BRENTWOOD,TN,UNITED STATES,37027,615-661-9622,615-661-6640,,,,,,,Approved,6/16/2009,4/6/2010,Y,WWW.COMPASSADVISORYPARTNERSLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"46,651,541.00",0,"46,651,541.00",741,0,741,Y,Y,N,N,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109778,801-29108,"LAFLEUR & GODFREY, INC. INVESTMENT COUNSEL","LAFLEUR & GODFREY, INC.","2900 CHARLEVOIX DRIVE, SE",SUITE 302,GRAND RAPIDS,MI,UNITED STATES,49546,616-942-1580,616-942-6852,,,,,,,Approved,3/27/1987,4/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"411,450,499.00",0,"411,450,499.00",524,0,524,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,119210,801-70342,"PROFITSCORE CAPITAL MANAGEMENT, INC.","PROFITSCORE CAPITAL MANAGEMENT, INC.",439 E. SHORE DRIVE,SUITE 200,EAGLE,ID,USA,83616,208-472-8849,208-248-2228,,,,,,,Approved,7/1/2009,4/6/2010,Y,WWW.PROFITSCORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,ID,UNITED STATES,10-Jun,0,5-Jan,0,0,0,10-Jun,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"26,547,993.00",0,"26,547,993.00",132,0,132,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,139874,801-66418,CAPITAL ADVISORY GROUP,"CAPITAL ADVISORY GROUP, LLC",7100 FOREST AVE.,SUITE 301,RICHMOND,VA,UNITED STATES,23226,804-648-3500,804-648-3523,,,,,,,Approved,3/20/2006,4/6/2010,Y,WWW.THECAPGROUP.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"240,924,560.00","747,088,233.00","988,012,793.00",315,16,331,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,Y,N,Y,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147597,801-69649,"PROMUS CAPITAL, LLC","PROMUS CAPITAL, LLC",10 SOUTH WACKER DRIVE,SUITE 2250,CHICAGO,IL,UNITED STATES,60606,312-784-3990,312-784-3991,,,,,,,Approved,10/15/2008,4/6/2010,Y,WWW.PROMUSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"12,082,384.00","118,486,916.00","130,569,300.00",86,29,115,Y,Y,N,N,N,Y,N,N,N,Y,FAMILY OFFICE SERVICES; CONSULTING SERVICES; MANAGER TO SPECIAL PURPOSE VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,115865,801-67342,THE HEDRICK CO.,THE HEDRICK CO.,,,,,,,206-232-8807,206-232-6477,,,,,,,Approved,12/6/2006,4/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"27,891,722.00",0,"27,891,722.00",278,0,278,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144368,801-14146,KAHN BROTHERS ADVISORS LLC,KAHN BROTHERS ADVISORS LLC,555 MADISON AVE,,NEW YORK,NY,USA,10022,212-980-5050,212-755-5330,,,,,,,Approved,10/17/1978,3/25/2010,Y,WWW.KAHNBROTHERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"503,156,581.00","28,445,869.00","531,602,450.00",460,15,475,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108508,801-20170,BIRMINGHAM CAPITAL MANAGEMENT CO INC,BIRMINGHAM CAPITAL MANAGEMENT CO INC,2 PERIMETER PARK SOUTH,SUITE 235-EAST,BIRMINGHAM,AL,UNITED STATES,35243-3253,205-967-7062,205-967-7013,,,,,,,Approved,11/22/1983,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"173,349,611.00",0,"173,349,611.00",188,0,188,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105834,801-15323,KENNEDY CAPITAL MANAGEMENT,"KENNEDY CAPITAL MANAGEMENT, INC.",10829 OLIVE BLVD,,ST LOUIS,MO,UNITED STATES,63141-7739,314-432-0400,314-432-8536,,,,,,,Approved,7/17/1980,3/25/2010,Y,WWW.KENNEDYCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,995,088,046.00",0,"2,995,088,046.00",210,0,210,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,138560,801-65907,"BANYAN EQUITY MANAGEMENT, LLC","BANYAN EQUITY MANAGEMENT, LLC","7284 WEST PALMETTO PARK ROAD, SUITE 310",,BOCA RATON,FL,USA,33433,561-338-8711,561-338-3961,,,,,,,Approved,1/25/2006,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,SEPARATELY MANAGED ACCOUNTS FOR INSTITUTIONAL CLIENTS,Y,N,N,N,N,Y,N,,Y,"708,133,830.00",0,"708,133,830.00",9,0,9,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT MANAGER TO POOLED PRIVATE INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105163,801-22071,RODNEY SQUARE MANAGEMENT CORP,RODNEY SQUARE MANAGEMENT CORP,1100 NORTH MARKET STREET,,WILMINGTON,DE,USA,19890-0001,302-651-8512,302-427-4828,,,,,,,Approved,9/17/1984,3/25/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"6,418,387,261.00",0,"6,418,387,261.00",12,0,12,N,N,Y,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,108466,801-56416,INTERNATIONAL CAPITAL MANAGEMENT CORP,INTERNATIONAL CAPITAL MANAGEMENT CORP,12001 N. CENTRAL EXPRESSWAY,SUITE 1000,DALLAS,TX,USA,75243,972-387-0660,972-387-8036,,,,,,,Approved,4/23/1999,3/25/2010,Y,WWW.ICMC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,Y,FEES FOR ORGANIZATION COSTS THAT MAY EXCEED ACTUAL.,Y,"49,171,688.00","30,626,092.00","79,797,780.00",230,9,239,Y,Y,N,N,N,N,N,N,N,Y,CASH MANAGEMENT,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,14268,801-14051,E. MAGNUS OPPENHEIM & CO. INC.,E. MAGNUS OPPENHEIM & CO. INC.,14 EAST 38TH STREET / 7TH FLOOR,,NEW YORK,NY,UNITED STATES,10016-0005,212-983-1818,,,,,,,,Approved,8/30/1978,3/25/2010,Y,WWW.EMAGNUS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"50,000,000.00",0,"50,000,000.00",92,0,92,Y,Y,N,Y,N,N,N,N,N,Y,GENERAL INVESTMENT AND FINANCIAL ADVICE,10-Jan,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
LARO,108010,801-57540,"NATIONAL FIDUCIARY ADVISORS, INC.","NATIONAL FIDUCIARY ADVISORS, INC.","11845 W OLYMPIC BLVD, SUITE 735",,LOS ANGELES,CA,USA,90064,310-444-5220,310-444-5202,,,,,,,Approved,5/4/2000,4/5/2006,Y,HTTP://WWW.NFA-ONLINE.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,INVESTMENT MANAGERS,Y,N,N,Y,Y,Y,Y,"PERCENTAGE OF PLAN ASSETS WE PROVIDE ""CONSULTING"" SERVICES TO",N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,Y,PERFORMANCE MEASUREMENT SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108931,801-56927,"MCCARTHY GRITTINGER WEIL FINANCIAL GROUP, LLC","MCCARTHY GRITTINGER WEIL FINANCIAL GROUP, LLC",125 SOUTH 84TH STREET,SUITE 130,MILWAUKEE,WI,USA,53214-1498,414-475-1369,414-475-0613,,,,,,,Approved,10/27/1999,3/25/2010,Y,WWW.MGFIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"183,958,696.00","183,958,696.00",0,783,783,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,17530,801-53600,"BOSC, INC.","BOSC, INC.",ONE WILLIAMS CENTER,PLAZA SOUTHEAST,TULSA,OK,UNITED STATES,74172,918-588-8283,918-295-0503,,,,,,,Approved,1/28/1997,3/25/2010,Y,WWW.BOSCINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,0,"42,672,943.00","42,672,943.00",0,189,189,N,N,N,N,N,Y,N,N,N,Y,FURNISHES ADVICE ABOUT SECURITIES IN ANY MANNER NOT DESCRIBED ABOVE.,,,N,N,Y,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,Y,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,106792,801-44672,"WNA WEALTH ADVISORS, INC.","WNA WEALTH ADVISORS, INC.",120 E OGDEN AVE,STE 130,HINSDALE,IL,UNITED STATES,60521,630-455-0600,630-455-0917,,,,,,,Approved,9/3/1993,3/25/2010,Y,WWW.WNAWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"144,413,341.00","20,864,612.00","165,277,953.00",196,18,214,Y,Y,N,Y,Y,N,N,N,N,Y,MANAGEMENT OF PRIVATE EQUITY FUNDS,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,120838,801-61338,"FIDUCIARY CAPITAL MANAGEMENT, INC.","FIDUCIARY CAPITAL MANAGERS, INC.",11845 W. OLYMPIC BLVD.,#735,LOS ANGELES,CA,USA,90064,888-767-6653,310-444-5202,,,,,,,Approved,7/29/2002,4/5/2006,Y,HTTP://WWW.FCM-ONLINE.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,N,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,146086,801-70075,"SILVERLEAF CAPITAL ADVISORS, LLC","SILVERLEAF CAPITAL ADVISORS, LLC",ONE NORTH FRANKLIN STREET,SUITE 2750,CHICAGO,IL,UNITED STATES,60606,(312) 948-5100,(312) 932-0220,,,,,,,Approved,4/30/2009,3/25/2010,Y,WWW.SILVERLEAFCAPITALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"166,716,283.00",0,"166,716,283.00",19,0,19,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123283,801-65824,"DBS INVESTMENT ADVISERS, LLC","DBS INVESTMENT ADVISERS, LLC",6006 WEST SIDE SAGINAW ROAD,,BAY CITY,MI,UNITED STATES,48706,989-686-6222,989-686-5380,PO BOX 280,,BAY CITY,MI,UNITED STATES,48707,Approved,1/30/2006,3/25/2010,Y,WWW.DENTALBUSINESSSUCCESS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"50,220,352.00",0,"50,220,352.00",433,0,433,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,118846,801-60867,BEECHER INVESTMENT MANAGEMENT,BEECHER INVESTMENT MANAGEMENT,34805 MISSION HILLS DRIVE,,RANCHO MIRAGE,CA,UNITED STATES,92270,760-321-8585,760-321-8666,,,,,,,Approved,1/23/2002,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"42,395,417.00",0,"42,395,417.00",43,0,43,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,120458,801-62184,"JOHN D. DOVICH & ASSOCIATES, LLC","JOHN D. DOVICH & ASSOCIATES, LLC",625 EDEN PARK DRIVE,SUITE  310,CINCINNATI,OH,UNITED STATES,45202,513-579-9400,513-579-9444,,,,,,,Approved,7/1/2003,3/25/2010,Y,WWW.JDOVICH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"171,554,163.00","171,554,163.00",0,196,196,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108054,801-56289,BOURGEON CAPITAL MANAGEMENT LLC,BOURGEON CAPITAL MANAGEMENT LLC,777 POST ROAD,,DARIEN,CT,UNITED STATES,6820,203-280-1170,203-662-1100,,,,,,,Approved,2/23/1999,3/25/2010,Y,HTTP:\\WWW.BOURGEONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,INCENTIVE ALLOCATION,Y,"269,320,960.00",0,"269,320,960.00",273,0,273,N,Y,N,Y,N,N,N,N,N,Y,"BOURGEON PARTNERS, LP :A PRIVATE INVESTMENT PARTNERSHIP",0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115439,801-60559,PREMIER ASSET MANAGEMENT LLC,PREMIER ASSET MANAGEMENT LLC,111 S. WACKER STE 4940,,CHICAGO,IL,UNITED STATES,60606,312-727-0273,312 727 0823,,,,,,,Approved,9/10/2001,3/25/2010,Y,PREMIERASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"402,000,000.00",0,"402,000,000.00",205,0,205,N,Y,N,Y,N,Y,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,114057,801-60837,"ROUMELL ASSET MANAGEMENT, LLC","ROUMELL ASSET MANAGEMENT, LLC",2 WISCONSIN CIRCLE,SUITE 660,CHEVY CHASE,MD,UNITED STATES,20815,301-656-8500,301-656-8501,,,,,,,Approved,1/10/2002,3/25/2010,Y,WWW.ROUMELLASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,10-Jun,0,More than 500,500,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"248,613,270.00",0,"248,613,270.00",656,0,656,N,Y,N,N,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,144554,801-68151,"COUNTRY FUND MANAGEMENT, A DEPARTMENT OF COUNTRY TRUST BANK",COUNTRY TRUST BANK,1705 N. TOWANDA AVENUE,,BLOOMINGTON,IL,UNITED STATES,61702-2020,800-422-8261,309-821-6177,ADMINISTRATIVE SERVICES BLDG,1711 GE ROAD,BLOOMINGTON,IL,UNITED STATES,61704,Approved,7/20/2007,3/25/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),SID OF COUNTRY TRUST BANK A FEDERAL SAVINGS BANK,IL,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"408,587,306.00",0,"408,587,306.00",4,0,4,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,Y,N,,N,,N,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,147917,801-69591,"TRIANGLE PEAK PARTNERS, LP","TRIANGLE PEAK PARTNERS, LP","CARMEL PLAZA, SUITE 305",,CARMEL,CA,UNITED STATES,93921,831-998-9540,831-622-0435,PO BOX 3788,,CARMEL,CA,UNITED STATES,93921,Approved,9/29/2008,3/25/2010,Y,WWW.TRIANGLEPEAKPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"294,698,935.00",0,"294,698,935.00",3,0,3,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106493,801-47434,PLANMEMBER ADVISORS CORPORATION,PLANMEMBER ADVISORS CORPORATION,6187 CARPINTERIA AVENUE,,CARPINTERIA,CA,UNITED STATES,93013,805-684-1199,805-684-4865,,,,,,,Approved,9/26/1994,3/25/2010,Y,HTTP://WWW.PLANMEMBER.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,Up to 10 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"64,770,000.00","64,770,000.00",0,3,3,N,Y,N,Y,N,N,N,N,N,Y,PROVIDES INVESTMENT SUPERVISORY SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,144401,801-70818,"OAK HILL INVESTMENT MANAGEMENT, L.P.","OAK HILL INVESTMENT MANAGEMENT, L.P.",201 MAIN STREET,SUITE 1000,FORT WORTH,TX,UNITED STATES,76102,817-339-7560,817-887-5766,,,,,,,Approved,12/4/2009,3/25/2010,Y,WWW.OAKHILLINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,PRIVATE CLIENT INVESTMENT VEHICLES,Y,N,N,N,N,Y,Y,COMPENSATION FOR CERTAIN COSTS AND EXPENSES,Y,"7,800,000,000.00","3,900,000,000.00","11,700,000,000.00",13,6,19,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,116011,801-69130,"PORTFOLIO ADVISORY GROUP, INC.","PORTFOLIO ADVISORY GROUP, INC.",5425 DUKE STREET,,ALEXANDRIA,VA,USA,22304,703-461-9193,703-823-0834,,,,,,,Approved,5/12/2008,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"25,660,768.00","4,655,509.00","30,316,277.00",58,12,70,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,148518,801-70004,CAMDEN WEALTH ADVISORS LLC,CAMDEN WEALTH ADVISORS LLC,"1400 POST OAK BLVD., SUITE 1111",,HOUSTON,TX,UNITED STATES,77056,713-341-5310,832-830-8040,,,,,,,Approved,3/9/2009,3/25/2010,Y,WWW.CAMDENWEALTHADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"73,050,000.00","5,900,000.00","78,950,000.00",177,1,178,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
MIRO,141079,801-67934,CAPITAL WEALTH ADVISORS,"CAPITAL CONSULTING GROUP, LLC",787 FIFTH AVENUE SOUTH,,NAPLES,FL,UNITED STATES,34102,239-434-7434,239-434-7494,,,,,,,Approved,5/17/2007,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,REFERRAL FEE,Y,"38,711,794.00","296,460.00","39,008,254.00",56,2,58,N,Y,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,109796,801-19282,FINANCIAL ADVISORY SERVICE INC,FINANCIAL ADVISORY SERVICE INC,4747 WEST 135TH STREET,SUITE 100,LEAWOOD,KS,USA,66224,913-239-2300,913-239-2301,,,,,,,Approved,7/21/1983,3/25/2010,Y,FASKC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,More than 500,500,Up to 10 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"439,063,912.00","37,151,819.00","476,215,731.00",574,119,693,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,Y,"MARKET 3RD PARTY CREDIT CARDS, MORTG., INSURANCE",N,N,Y,Y,N,Y,N,N,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,124822,801-62442,BREEN INVESTORS LP,BREEN INVESTORS LP,4400 POST OAK PARKWAY,SUITE 2200,HOUSTON,TX,UNITED STATES,77027,713-223-9300,713-223-0773,,,,,,,Approved,10/23/2003,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"63,554,248.00","23,266,308.00","86,820,556.00",25,8,33,N,Y,N,Y,N,N,N,N,N,Y,LIMITED PARTNERSHIPS,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,135916,801-64575,ARQUE & CO INCORORATED,ARQUE & CO INCORORATED,1960 EAST GRAND AVENUE,SUITE 555,EL SEGUNDO,CA,UNITED STATES,90245,310-968-3288,,,,,,,,Approved,9/19/2005,3/31/2010,Y,WWW.ARQUECO.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"10,110,145.00","1,477,445.00","11,587,590.00",8,29,37,N,Y,N,Y,N,Y,N,N,N,N,,,,Y,Y,N,Y,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,145593,801-68547,"LJCOOPER CAPITAL MANAGEMENT, LLC","LJCOOPER CAPITAL MANAGEMENT, LLC",499 SOUTH OREM BOULEVARD,,OREM,UT,USA,84058,801-221-2939,801-221-4654,,,,,,,Approved,12/17/2007,3/31/2010,Y,WWW.LJCOOPER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"66,435,324.00","66,435,324.00",0,483,483,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,133949,801-64028,"STONE INVESTMENT ADVISORY SERVICES, INC.","STONE INVESTMENT ADVISORY SERVICES, INC.",502 EAST JOHN STREET,,CARSON CITY,NV,USA,89706,(775)882-3072,(775) 882-3354,6325-9 FALLS OF NEUSE ROAD PMB #268,,RALEIGH,NC,USA,27615-6809,Approved,3/28/2005,3/18/2005,Y,WWW.STATISTICALTRADING.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,0,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,Y,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,Y,N,Y,Y,PORTFOLIO RECOMMENDATIONS TO CLIENT,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,150189,801-70144,FORECASTATION LLC,FORECASTATION LLC,,,,,,,7023474844,,7582 S LAS VEGAS BLVD,UNIT 109,LAS VEGAS,NV,UNITED STATES,89123,Approved,5/4/2009,3/31/2010,Y,WWW.FINANCIALREPORT.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Partnership,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,Y,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,Y,Y,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107112,801-47616,"WALSTAD INVESTMENT COUNSEL, INC.",WALSTAD INVESTMENT COUNSEL INC,19 EAST CANON PERDIDO,SUITE C,SANTA BARBARA,CA,UNITED STATES,93101-2213,805-963-7500,805-963-4300,,,,,,,Approved,10/6/1994,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"38,316,942.00",0,"38,316,942.00",23,0,23,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126487,801-62150,"PINNACLE ASSET MANAGEMENT, L.P.","PINNACLE ASSET MANAGEMENT, L.P.",712 FIFTH AVENUE,29TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-750-1778,212-750-1825,,,,,,,Approved,6/20/2003,3/31/2010,Y,WWW.PINNACLE-LP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,845,880,000.00",0,"1,845,880,000.00",11,0,11,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR UNREGISTERED INVESTMENT COMPANIES,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,146386,801-68943,"VICTORIA 1522 INVESTMENTS, LP","VICTORIA 1522 INVESTMENTS, LP",244 CALIFORNIA STREET,SUITE 610,SAN FRANCISCO,CA,UNITED STATES,94111-4351,415-362-1522,(415) 228-3260,,,,,,,Approved,3/19/2008,3/31/2010,Y,WWW.VICTORIA1522.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP (LP),DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"55,063,440.00",0,"55,063,440.00",3,0,3,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,119584,801-69207,"HILLTOP ADVISORS, LLC","HILLTOP ADVISORS, LLC",250 MONTGOMERY STREET,SUITE 1200,SAN FRANCISCO,CA,USA,94104,415-781-4500,415-781-4501,,,,,,,Approved,5/22/2008,3/31/2010,Y,WWW.HILLTOPLLC.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"24,163,000.00","24,163,000.00",0,14,14,Y,Y,N,N,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,125376,801-63063,"AEGIS CAPITAL, LLC","AEGIS CAPITAL, LLC",1310 SOUTH TRYON STREET,SUITE 105,CHARLOTTE,NC,UNITED STATES,28203,704-895-6133,704-372-2366,,,,,,,Approved,5/14/2004,3/31/2010,Y,WWW.CAPITALL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"164,994,972.00",0,"164,994,972.00","1,540",0,"1,540",N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N
HQ,140373,801-66802,CREVELING & CREVELING PRIVATE WEALTH ADVISORY,CREVELING & CREVELING FINANCIAL PLANNING LIMITED,,,,,,,+66 2 661-2716,+66 2 661-2724,,,,,,,Approved,6/5/2006,3/31/2010,Y,WWW.CREVELINGANDCREVELING.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),THAI LIMITED COMPANY,,THAILAND,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106071,801-37370,MANCHESTER FINANCIAL INC,MANCHESTER FINANCIAL INC,2815 TOWNSGATE ROAD SUITE 100,,WESTLAKE VILLAGE,CA,USA,91361,805-495-4405,805-495-4445,,,,,,,Approved,9/14/1990,3/31/2010,Y,WWW.MFINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"241,191,000.00",0,"241,191,000.00",453,0,453,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,150508,801-70282,"SAN ANTONIO CAPITAL MANAGEMENT, LLC","SAN ANTONIO CAPITAL MANAGEMENT, LLC",8000 IH-10 WEST,SUITE 100,SAN ANTONIO,TX,UNITED STATES,78230,210-233-6065,210-893-0491,,,,,,,Approved,9/1/2009,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"2,031,634.00","35,855,050.00","37,886,684.00",54,3,57,Y,Y,N,Y,N,N,N,N,N,Y,CONSULTING SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138245,801-66129,GOTTEX FUND MANAGEMENT SARL,GOTTEX FUND MANAGEMENT SARL,48 AVENUE DE RHODANIE,,LAUSANNE 1007,,SWITZERLAND,,41-21-617-1550,41-21-617-3380,,,,,,,Approved,1/31/2006,3/31/2010,Y,WWW.GOTTEXFUNDS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),SWISS LIMITED LIABILITY COMPANY,,SWITZERLAND,51-250,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"7,394,386,562.00",0,"7,394,386,562.00",19,0,19,N,N,N,N,N,N,N,N,N,Y,"PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES (E.G., FUND OF HEDGE FUNDS)",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,139588,801-66230,"GOTTEX FUND MANAGEMENT, LTD.","GOTTEX FUND MANAGEMENT, LTD.",28 STATE STREET,40TH FLOOR,BOSTON,MA,USA,2109,617-532-0200,617-532-0219,,,,,,,Approved,3/13/2006,3/31/2010,Y,WWW.GOTTEXFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,"129,756,540.00","129,756,540.00",0,1,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,136311,801-64596,"GLOBAL SECURITIES ADVISORS, LLC","GLOBAL SECURITIES ADVISORS, LLC",405 LEXINGTON AVENUE,41ST FLOOR,NEW YORK,NY,UNITED STATES,10174,2129054927,2129054930,,,,,,,Approved,9/8/2005,3/31/2010,Y,WWW.GSADVISORS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"59,081,493.00",0,"59,081,493.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,152023,801-70841,GLADIUS CAPITAL MANAGEMENT LP,GLADIUS CAPITAL MANAGEMENT LP,ONE NORTH WACKER DRIVE,SUITE 4700,CHICAGO,IL,UNITED STATES,60606,312-348-5900,312-348-5850,,,,,,,Approved,12/7/2009,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"86,796,241.00",0,"86,796,241.00",5,0,5,N,N,N,Y,N,N,N,N,N,Y,POOLED INVESTMENT VEHICLES,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109508,801-63058,TWO RIVERS CAPITAL MANAGEMENT AT KINGSMILL INC,TWO RIVERS CAPITAL MANAGEMENT AT KINGSMILL INC,161A JOHN JEFFERSON RD,SUITE 1,WILLIAMSBURG,VA,UNITED STATES,23185,804-814-6825,804-379-4794,,,,,,,Approved,4/23/2004,3/31/2010,Y,WWW.2RIVERSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"52,986,480.00",0,"52,986,480.00",333,0,333,N,Y,Y,Y,N,N,N,N,N,Y,ASSET AND STYLE ALLOCATION CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,113650,801-67948,"MADISON WEALTH MANAGEMENT SERVICES, INC.","MADISON WEALTH MANAGEMENT SERVICES, INC.","579 D'ONOFRIO DR., SUITE 207",,MADISON,WI,USA,53719,(608)833-9393,(608)833-1080,,,,,,,Approved,5/22/2007,6/27/2007,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"31,950,000.00",0,"31,950,000.00",110,0,110,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,152043,801-70980,BARBER FINANCIAL GROUP,BARBER FINANCIAL GROUP,13550 W 95TH ST,,LENEXA,KS,UNITED STATES,66215,913-393-1000,913-825-5951,,,,,,,120-Day Approval,1/8/2010,8/18/2010,Y,WWW.BARBERFINANCIALGROUP.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,KS,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,More than 500,"1,000",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,154900,801-71781,SIGDESTAD FINANCIAL,"SIGDESTAD, ERIC, ALLEN",9666 BUSINESSPARK AVE,SUITE #111,SAN DIEGO,CA,UNITED STATES,92131,877-692-6800,877-692-9700,,,,,,,120-Day Approval,8/23/2010,8/18/2010,Y,WWW.RETIREMEASAP.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,146673,801-69937,"F-SQUARED INVESTMENTS, INC","F-SQUARED INVESTMENTS, INC",16 LAUREL AVE.  SUITE 200,,WELLESLEY,MA,UNITED STATES,2481,781-235-9055,781-235-9155,,,,,,,Approved,3/3/2009,8/19/2010,Y,WWW.F-SQUAREDINVESTMENTS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,Nov-50,0,26-100,0,Up to 10 percent,Up to 10 percent,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"503,186,892.00","177,772,825.00","680,959,717.00",13,46,59,N,Y,Y,Y,N,N,N,N,N,Y,INDEX PROVIDER,,,N,N,N,N,N,N,N,N,Y,INDEX PROVIDER,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,129243,801-67682,ABRAMS FINANCIAL MANAGEMENT,"ABRAMS FINANCIAL MANAGEMENT, INC.","148 LINDEN STREET, SUITE 6",,WELLESLEY,MA,USA,02482-7900,781-237-7111,781-239-1155,,,,,,,Approved,3/17/2007,8/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,IRREVOCABLE TRUSTS FOR DECEDANT'S ESTATES,Y,Y,N,Y,N,N,N,,Y,"28,212,778.00",0,"28,212,778.00",202,0,202,Y,Y,N,N,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,3215,801-27061,ROMANO BROTHERS AND COMPANY,ROMANO BROTHERS AND COMPANY,1560 SHERMAN AVENUE,STE 1300,EVANSTON,IL,UNITED STATES,60201,847-866-7700,847-866-7054,,,,,,,Approved,5/23/1986,8/18/2010,Y,WWW.ROMANOBROTHERS.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,More than 500,"1,000",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"478,270,900.00",0,"478,270,900.00","1,095",0,"1,095",Y,Y,N,N,N,N,N,N,N,N,,26-50,,Y,Y,Y,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,39806,801-62940,"EQUITAS AMERICA, LLC","EQUITAS AMERICA, LLC",38505 COUNTRY CLUB DRIVE,SUITE 110,FARMINGTON HILLS,MI,USA,48331,248-848-7500,248-848-7510,,,,,,,Approved,4/19/2004,8/19/2010,Y,WWW.EQUITASUSA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"45,195,002.00","95,850,154.00","141,045,156.00",296,672,968,Y,Y,N,N,Y,Y,N,N,N,N,,25-Nov,,N,N,Y,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
BRO,117831,801-69199,"GIBSON FINANCIAL SOLUTIONS, L.L.C.","GIBSON FINANCIAL SOLUTIONS, L.L.C.",67 FRANKLIN STREET,,ELLSWORTH,ME,UNITED STATES,4605,207-667-9993,207-667-9999,PO BOX 1093,,ELLSWORTH,ME,UNITED STATES,4605,Approved,6/9/2008,8/19/2010,Y,WWW.GIBSONFINANCIALSOLUTIONS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,ME,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,QUARTERLY RETAINER FEES,Y,"36,858,799.00","6,480,846.00","43,339,645.00",239,60,299,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,151053,801-70432,DREXEL MORGAN & CO.,DREXEL MORGAN & CO.,THREE RADNOR CORPORATE CENTER,SUITE 450,RADNOR,PA,UNITED STATES,19087,(610) 293-7202,(610) 293-7203,,,,,,,Approved,7/23/2009,8/19/2010,Y,WWW.DREXELMORGAN.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,Y,N,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,154582,801-71719,RETIREMENT WEALTH STRATEGIES,"RETIREMENT WEALTH STRATEGIES, LLC",2200 E. CAMELBACK ROAD,SUITE #207,PHOENIX,AZ,UNITED STATES,85016-2601,602-391-4192,,,,,,,,120-Day Approval,8/13/2010,8/19/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,122545,801-68215,"ALPHA FINANCIAL ADVISORS, LLC","ALPHA FINANCIAL ADVISORS, LLC",13925 BALLANTYNE CORPORATE PL.,SUITE #280,CHARLOTTE,NC,UNITED STATES,28277-2704,704-716-1100,704-716-1101,,,,,,,Approved,8/2/2007,1/12/2010,Y,WWW.ALPHAFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"40,857,117.00","5,077,735.00","45,934,852.00",146,8,154,Y,Y,N,N,N,N,N,N,N,Y,"INSURANCE, ESTATE PLANNING, EDUCATION FUNDING, TAXATION, EMPLOYEE BENEFITS PLANNING",25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,119982,801-69809,"THE STONEHARBOR GROUP, LLC","THE STONEHARBOR GROUP, LLC",433 PASEO DE PERALTA,,SANTA FE,NM,UNITED STATES,87501,505-984-2000,505-984-2003,,,,,,,Approved,1/15/2009,8/19/2010,Y,WWW.STONEHARBORGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"48,600,000.00",0,"48,600,000.00",24,0,24,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,117531,801-69573,INVESTMENT ADVISORS CORP,INVESTMENT ADVISORS CORP,8800 NW 62ND AVENUE,PO BOX 6240,JOHNSTON,IA,UNITED STATES,50131-6240,515-727-6700,515-727-6790,,,,,,,Approved,9/10/2008,8/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,"1,000",51-75 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"14,921,682.00","120,335,744.00","135,257,426.00",45,712,757,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,Y,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,154425,801-71791,HARVEST FUND ADVISORS LLC,HARVEST FUND ADVISORS LLC,485 DEVON PARK DRIVE,SUITE 110,WAYNE,PA,UNITED STATES,19087,610-341-9700,610-995-9775,,,,,,,Approved,8/31/2010,8/19/2010,Y,HTTP://WWW.HARVESTMLP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,26-50 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"365,000,000.00",0,"365,000,000.00",11,0,11,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,142661,801-67494,"CENTRAL PARK PARA MANAGEMENT, LLC","CENTRAL PARK PARA MANAGEMENT, LLC","805 THIRD AVENUE, 18TH FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-317-9200,212-813-1543,,,,,,,Approved,2/21/2007,8/19/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,Nov-50,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,"58,235,005.00",0,"58,235,005.00",1,0,1,N,Y,Y,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108803,801-16611,"ING CLARION PARTNERS, LLC","ING CLARION PARTNERS, LLC",230 PARK AVENUE,12TH FLOOR,NEW YORK,NY,UNITED STATES,10169,212.883.2500,212.883.2700,,,,,,,Approved,12/1/1981,8/19/2010,Y,WWW.INGCLARION.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,251-500,0,51-250,0,10-Jun,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,FOREIGN GOVERNMENT ENTITY,Y,N,N,Y,N,Y,Y,A PERCENTAGE OF NOI (NET OPERATING INCOME),Y,"12,341,643,162.00","9,162,307,257.00","21,503,950,419.00",14,11,25,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,132307,801-64161,"CLEVELAND HAUSWIRTH INVESTMENT MANAGEMENT, INC.","CLEVELAND HAUSWIRTH INVESTMENT MANAGEMENT, INC.",243 E. BUFFALO STREET,,MILWAUKEE,WI,UNITED STATES,53202,414-431-6491,414-431-6492,,,,,,,Approved,4/1/2005,1/12/2010,Y,WWW.CLEVELANDHAUSWIRTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"56,799,756.00","71,752,659.00","128,552,415.00",112,8,120,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,Y,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,141805,801-67480,"CENTRAL PARK ADVISERS, LLC","CENTRAL PARK ADVISERS, LLC","805 THIRD AVENUE, 18TH FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-317-9200,212-813-1543,,,,,,,Approved,2/7/2007,8/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,10-Jun,0,10-Jan,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"350,531,721.00",0,"350,531,721.00",9,0,9,N,Y,Y,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,138046,801-65220,"SAN JUAN ASSET MANAGEMENT, INC.","SAN JUAN ASSET MANAGEMENT, INC.",1519 PONCE DE LEON AVENUE SUITE 1501,FIRST BANK BUILDING,SAN JUAN,PR,UNITED STATES,00909-1724,787-721-2483,787-724-1554,PO BOX 9986,,SAN JUAN,PR,UNITED STATES,908,Approved,2/1/2006,8/19/2010,Y,WWW.SJASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"97,000,000.00","10,000,000.00","107,000,000.00",7,5,12,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105473,801-15011,WESTLAKE CAPITAL INC,WESTLAKE CAPITAL INC,1800 BRIDGEGATE STREET,STE 106,WESTLAKE VILLAGE,CA,UNITED STATES,91361,818-991-0278,805-497-3390,,,,,,,Approved,1/25/1980,1/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,341,789.00","18,532,151.00","43,873,940.00",6,20,26,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,139789,801-71014,"OCTAVIAN ADVISORS, LP","OCTAVIAN ADVISORS, LP",650 MADISON AVENUE,,NEW YORK,NY,UNITED STATES,10022,212-224-9500,212-224-9600,,,,,,,Approved,1/19/2010,1/12/2010,Y,WWW.OCTAVIAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"850,000,000.00",0,"850,000,000.00",8,0,8,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,128962,801-62652,ALJEN ASSET MANAGEMENT LLC,ALJEN ASSET MANAGEMENT LLC,1140 PARSIPPANY BLVD,SUITE 103,PARSIPPANY,NJ,UNITED STATES,7054,973-316-1212,973-316-0020,,,,,,,Approved,1/6/2004,1/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"45,000,000.00","45,000,000.00",0,"1,500","1,500",Y,Y,N,Y,Y,N,N,N,N,Y,THIRD PARTY ADMINISTRATION FOR RETIREMENT PLANS,25-Nov,,N,N,N,Y,N,N,Y,N,Y,THIRD PARTY ADMINISTRATION,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,154382,801-71646,"FSC WEALTH ADVISORS, LLC","FSC WEALTH ADVISORS, LLC",766 OLD ROUTE 9 NORTH,,WAPPINGERS FALLS,NY,UNITED STATES,12590,845-297-0300,845-297-0572,PO BOX 1635,,WAPPINGERS FALLS,NY,UNITED STATES,12590,120-Day Approval,8/11/2010,8/19/2010,Y,WWW.FACULTYSERVICES.NET,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,152095,801-70952,KORVING & COMPANY LLC,KORVING & COMPANY LLC,,,,,,,757-638-5490,N/A,,,,,,,Approved,1/12/2010,4/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"32,150,000.00","11,869,000.00","44,019,000.00",234,54,288,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,INSURANCE & ANNUITIES,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,142622,801-67394,MERITAGE GROUP LP,MERITAGE GROUP LP,"PIER 5, THE EMBARCADERO",SUITE 101,SAN FRANCISCO,CA,USA,94111,(415) 399-5330,(415) 591-0850,,,,,,,Approved,1/3/2007,4/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"7,391,546,938.00",0,"7,391,546,938.00",5,0,5,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,134099,801-65497,"FERMAT CAPITAL MANAGEMENT, LLC","FERMAT CAPITAL MANAGEMENT, LLC",2 RAILROAD PLACE,,WESTPORT,CT,UNITED STATES,06880-5910,203-227-9333,203-227-9509,,,,,,,Approved,1/27/2006,4/13/2010,Y,WWW.FERMATCAPITAL.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,092,211,291.00",0,"2,092,211,291.00",5,0,5,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108573,801-58036,GRUSS ASSET MANAGEMENT L.P.,GRUSS ASSET MANAGEMENT L.P.,667 MADISON AVENUE,3RD FLOOR,NEW YORK,NY,UNITED STATES,10065,212-688-1500,212-688-2138,,,,,,,Approved,10/23/2000,4/13/2010,Y,WWW.GRUSS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,211,139,337.00",0,"2,211,139,337.00",6,0,6,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108961,801-55917,MH INVESTMENT MANAGEMENT INC,MH INVESTMENT MANAGEMENT INC,,,,,,,732-382-4145,732-382-1084,,,,,,,Approved,10/5/1998,4/13/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"12,632,113.00",0,"12,632,113.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,Y,Y,N,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,133813,801-70326,WEST BRANCH CAPITAL LLC,WEST BRANCH CAPITAL LLC,ONE CRANBERRY HILL,FIRST FLOOR,LEXINGTON,MA,UNITED STATES,2421,781-860-0353,781-861-3719,,,,,,,Approved,7/9/2009,4/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"34,115,639.00","20,975,736.00","55,091,375.00",82,71,153,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,105578,801-38077,GUARDIAN BAILLIE GIFFORD LIMITED,GUARDIAN BAILLIE GIFFORD LIMITED,CALTON SQUARE,1 GREENSIDE ROW,EDINBURGH,,UNITED KINGDOM,EH1 3AN,+44 131 275 2000,+44 131 275 3999,,,,,,,Approved,1/7/1991,4/14/2010,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,722,006,230.00",0,"1,722,006,230.00",4,0,4,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,113224,801-57862,"SATUIT CAPITAL MANAGEMENT, LLC","SATUIT CAPITAL MANAGEMENT, LLC",,,,,,,843-557-1300,843-557-1008,,,,,,,Approved,8/16/2000,4/14/2010,Y,WWW.SATUITCAPITAL.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"73,550,200.00",0,"73,550,200.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110277,801-39487,REVIEW SERVICES INC,REVIEW SERVICES INC,13255 WEST BLUEMOUND ROAD,SUITE 205,BROOKFIELD,WI,USA,53005,262-784-9690,262-784-3751,,,,,,,Approved,7/15/1991,4/14/2010,Y,WWW.REVIEWSERVICESINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"89,739,257.00","89,739,257.00",0,171,171,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110394,801-53829,"WISCONSIN CAPITAL MANAGEMENT, LLC","WISCONSIN CAPITAL MANAGEMENT, LLC",1200 JOHN Q. HAMMONS DRIVE,2ND FLOOR,MADISON,WI,USA,53717,608-824-8800,608-824-2101,P. O. BOX 1788,,MADISON,WI,USA,53701,Approved,1/29/1997,4/14/2010,Y,WWW.WISCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,11-25 percent,0 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"419,473,013.00","255,703.00","419,728,716.00",174,1,175,N,Y,Y,Y,Y,Y,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,152468,801-70926,"GLS INVESTMENT MANAGEMENT, LLC","GLS INVESTMENT MANAGEMENT, LLC",115 EAST PUTNAM AVENUE,THIRD FLOOR,GREENWICH,CT,UNITED STATES,6830,203-661-6200,203-302-3211,,,,,,,Approved,1/8/2010,4/14/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,N,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106521,801-44115,WEALTH MANAGEMENT ADVISORS INC,WEALTH MANAGEMENT ADVISORS INC,"4000 W. 114TH ST., STE. 160",,LEAWOOD,KS,USA,66211,913-661-1650,913-661-1654,,,,,,,Approved,6/11/1993,4/14/2010,Y,HTTP://WWW.WEALTHMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"374,193,761.00","19,882,780.00","394,076,541.00",359,108,467,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,143017,801-67684,NEPTUNE INVESTMENT MANAGEMENT LIMITED,NEPTUNE INVESTMENT MANAGEMENT LIMITED,3 SHORTLANDS,,LONDON,,UNITED KINGDOM,W6 8DA,020 3249 0100,020 3249 0123,,,,,,,Approved,3/23/2007,4/14/2010,Y,NEPTUNEFUNDS.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,,UNITED KINGDOM,51-250,0,Nov-50,0,10-Jun,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"8,901,571,340.00",0,"8,901,571,340.00",44,0,44,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111452,801-60176,"HUNTINGTON ASSET ADVISORS, INC.","HUNTINGTON ASSET ADVISORS, INC.","HUNTINGTON CENTER, 5TH FLOOR",41 SOUTH HIGH STREET,COLUMBUS,OH,UNITED STATES,43287,614-480-8300,614-480-3612,,,,,,,Approved,4/18/2001,4/14/2010,Y,WWW.HUNTINGTON.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,170,000,000.00",0,"3,170,000,000.00",2,0,2,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N
FWRO,114560,801-62727,"TRENT CAPITAL MANAGEMENT, INC.","TRENT CAPITAL MANAGEMENT, INC.",15800 CANTRELL ROAD,,LITTLE ROCK,AR,UNITED STATES,72223,501-868-7772,501-868-9107,,,,,,,Approved,1/16/2004,4/14/2010,Y,WWW.TRENTCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AR,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"79,067,864.00",0,"79,067,864.00",473,0,473,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,152560,801-70950,"GREENWICH LIFE SETTLEMENTS, INC","GREENWICH LIFE SETTLEMENTS, INC",115 EAST PUTNAM AVENUE,THIRD FLOOR,GREENWICH,CT,UNITED STATES,6830,203-302-3225,203-302-3211,,,,,,,Approved,1/7/2010,4/14/2010,Y,WWW.GREENWICHSETTLEMENTS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,TO BE DETERMINED,N,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,Y,N,N,Y,Y,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109975,801-44955,POLESTAR MANAGEMENT COMPANY,POLESTAR MANAGEMENT CO.,,,,,,,610-651-0460,610-651-0469,,,,,,,Approved,10/14/1993,1/26/2005,Y,SORR@NOAHFUND.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,0,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"10,000,000.00",0,"10,000,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150300,801-70204,"HEDGEABLE, INC.","HEDGEABLE, INC.",,,,,,,800-785-7914,800-785-7914,,,,,,,Approved,6/4/2009,3/9/2010,Y,HTTP://WWW.HEDGEABLE.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,Y,N,N,N,N,,Y,0,"15,000,000.00","15,000,000.00",0,52,52,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,133939,801-66199,"STEPHEN JONES CAPITAL MANAGEMENT, INC.","STEPHEN JONES CAPITAL MANAGEMENT, INC.",805 LAS CIMAS PARKWAY,SUITE 125,AUSTIN,TX,USA,78746,512-494-1174,512-494-1324,,,,,,,Approved,2/1/2006,3/9/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,525,858.00","7,457,664.00","8,983,522.00",18,20,38,N,Y,N,N,N,Y,N,N,N,Y,CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137883,801-65665,HILLSDALE INVESTMENT MANAGEMENT INC.,HILLSDALE INVESTMENT MANAGEMENT INC.,"100 WELLINGTON STREET W., SUITE 2100",TD CENTRE,TORONTO,,CANADA,M5K 1J3,416-913-3900,416-913-3901,,,,,,,Approved,1/27/2006,3/9/2010,Y,WWW.HILLSDALEINV.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,INCENTIVE FEES,Y,"472,060,000.00",0,"472,060,000.00",78,0,78,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS AND OTHER MANAGED ACCOUNTS,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,148380,801-69757,"MERGANSER CAPITAL MANAGEMENT, INC.","MERGANSER CAPITAL MANAGEMENT, INC.",99 HIGH STREET,28TH FLOOR,BOSTON,MA,UNITED STATES,02110-2320,617-494-1000,617-528-4824,,,,,,,Approved,10/31/2008,3/9/2010,Y,WWW.MERGANSER.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,51-75 percent,Up to 10 percent,11-25 percent,"NATIVE AMERICAN NATION, INSURANCE CO.",Y,N,N,N,N,Y,N,,Y,"5,533,000,000.00",0,"5,533,000,000.00",67,0,67,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107853,801-38824,"THE ROOSEVELT INVESTMENT GROUP, INC","THE ROOSEVELT INVESTMENT GROUP, INC","317 MADISON AVENUE, STE 1004",,NEW YORK,NY,UNITED STATES,10017,646-452-6700,212-599-1916,,,,,,,Approved,5/17/1991,3/9/2010,Y,WWW.ROOSEVELTINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,10-Jun,0,More than 500,"11,500",Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,Y,SHARE IN THE  FEES OF AN INVESTMENT COMPANY,Y,"3,606,193,430.00","87,906,087.00","3,694,099,517.00","11,420",29,"11,449",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,133077,801-63742,"PERGAMON OFFSHORE ADVISORS, L.P.","PERGAMON OFFSHORE ADVISORS, L.P.",590 MADISON AVENUE,30TH FLOOR,NEW YORK,NY,USA,10022,212-838-7000,212-838-7954,,,,,,,Approved,1/3/2005,3/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"107,893,095.00",0,"107,893,095.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,127293,801-67231,"ALLEGIANCE FINANCIAL ADVISORS, INC.","ALLEGIANCE FINANCIAL ADVISORS, INC.",3112 ST. JOHNS BLUFF ROAD SOUTH,,JACKSONVILLE,FL,UNITED STATES,32246,904-642-4401,904-680-5035,,,,,,,Approved,10/16/2006,3/9/2010,Y,WWW.ALLEGIANCEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"29,369,281.00","29,369,281.00",0,211,211,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,130996,801-65244,"DUNLAP EQUITY MANAGEMENT, LLC.","DUNLAP EQUITY MANAGEMENT, LLC.",199 FREMONT STREET,SUITE 1110,SAN FRANCISCO,CA,UNITED STATES,94105-6641,415-568-9600,415-568-9601,,,,,,,Approved,2/1/2006,3/9/2010,Y,DUNLAPEQUITY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"56,218,176.00",0,"56,218,176.00",2,0,2,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106364,801-43355,PROTECTED CAPITAL MANAGEMENT,SMITH RICHARD DELOY,"6225 N. MEEKER PLACE, SUITE 120",,BOISE,ID,UNITED STATES,83713,208-378-1304,208-378-1479,,,,,,,Approved,1/19/1993,3/9/2010,Y,WWW.PCMVALUE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,ID,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"31,157,759.00",0,"31,157,759.00",184,0,184,Y,Y,N,N,N,N,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,145777,801-68951,"MOZAIC, LLC","MOZAIC, LLC","9401 WILSHIRE BOULEVARD, SUITE 735",,BEVERLY HILLS,CA,UNITED STATES,90212,310-247-9657,310-247-9658,,,,,,,Approved,3/18/2008,3/9/2010,Y,WWW.MOZAIC-LLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"1,200,000,000.00","1,200,000,000.00",0,16,16,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,114862,801-60830,"MORRIS FINANCIAL CONCEPTS, INC.","MORRIS FINANCIAL CONCEPTS, INC.",107 PITT STREET,,MOUNT PLEASANT,SC,USA,29464-5318,843-884-6192,888-957-0896,,,,,,,Approved,1/11/2002,3/9/2010,Y,WWW.MFCPLANNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,SC,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"106,601,998.00",0,"106,601,998.00",621,0,621,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107097,801-50636,"STEELE CAPITAL MANAGEMENT, INC.","STEELE CAPITAL MANAGEMENT, INC.",788 MAIN ST,,DUBUQUE,IA,USA,52001,563-588-2097,563-588-0970,,,,,,,Approved,11/17/1995,3/9/2010,Y,WWW.STEELECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,Nov-50,0,More than 500,"1,000",26-50 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"693,856,504.00","178,049,913.00","871,906,417.00","2,780",280,"3,060",Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,145396,801-68926,LASAIR CAPITAL LLC,LASAIR CAPITAL LLC,400 MADISON AVE,SUITE 7D,NEW YORK,NY,UNITED STATES,10017,212-883-6650,212-883-6651,,,,,,,Approved,3/12/2008,3/9/2010,Y,WWW.LASAIRCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"211,100,000.00",0,"211,100,000.00",2,0,2,N,N,N,Y,N,Y,N,N,N,Y,PROVIDE DISCRETIONARY ADVISORY SERVICES TO PRIVATE INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108705,801-55956,RETIREMENT PLANNING CO OF NEW ENGLAND INC,RETIREMENT PLANNING CO OF NEW ENGLAND INC,1287 POST ROAD,,WARWICK,RI,UNITED STATES,2888,401-453-5558,401-421-1451,,,,,,,Approved,10/13/1998,3/9/2010,Y,100SHARES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,RI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,NON-PROFIT,Y,Y,N,Y,Y,N,N,,Y,"78,720,410.00","24,322,295.00","103,042,705.00",383,236,619,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,113091,801-60325,SUMMA CORP.,SUMMA CORP.,10077 GROGANS MILL,SUITE 455,THE WOODLANDS,TX,UNITED STATES,77380,281-362-9977,281-292-4460,,,,,,,Approved,6/1/2001,3/9/2010,Y,WWW.SUMMAHOLDINGS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"63,861,212.00","4,090,293.00","67,951,505.00",21,1,22,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES,0,,N,N,N,Y,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,113665,801-64163,"WRWCO, LLC","WRWCO, LLC",,,,,,,713-681-9305,713-688-0847,P O BOX 925798,,HOUSTON,TX,UNITED STATES,77292-5798,Approved,4/22/2005,3/9/2010,Y,WWW.WRWCO.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"60,000,000.00",0,"60,000,000.00",102,0,102,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,22471,801-32522,"LAFAYETTE INVESTMENTS, INC.","LAFAYETTE INVESTMENTS, INC.",17830 NEW HAMPSHIRE AVENUE,SUITE 201,ASHTON,MD,UNITED STATES,20861,301-570-2959,301-570-1263,,,,,,,Approved,7/13/1988,3/9/2010,Y,WWW.LAFAYETTEINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"260,761,861.00",0,"260,761,861.00",430,0,430,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,127852,801-69165,"W & S MANAGEMENT SERVICES, INC.","W & S MANAGEMENT SERVICES, INC.",470 LONG POND ROAD SUITE 210,,ROCHESTER,NY,UNITED STATES,14612,585-720-9971,585-720-9972,,,,,,,Approved,5/21/2008,3/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"33,500,000.00",0,"33,500,000.00",173,0,173,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,148186,801-69563,"ENERGY OPPORTUNITIES CAPITAL MANAGEMENT, LLC","ENERGY OPPORTUNITIES CAPITAL MANAGEMENT, LLC",6300 BEE CAVES RD,"BUILDING TWO, SUITE 430",AUSTIN,TX,UNITED STATES,78746,512-477-0900,512-477-0902,,,,,,,Approved,10/6/2008,3/9/2010,Y,ENERGYOCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"370,279,698.00",0,"370,279,698.00",20,0,20,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,132393,801-65270,"GSSF MANAGEMENT PARTNERS, LP","CSSF MANAGEMENT PARTNERS, LP",100 CRESCENT COURT,SUITE 475,DALLAS,TX,USA,75201,214-871-6767,214-871-6711,,,,,,,Approved,1/30/2006,3/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"42,000,000.00",0,"42,000,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,"OTHER POOLED INVESTMENT VEHICLES, EG. HEDGE FUND",0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y
DRO,150087,801-71229,"BILL OPP FIXED INCOME ADVISORY SERVICE, LLC","BILL OPP FIXED INCOME ADVISORY SERVICE, LLC",,,,,,,303-279-1445,720-746-5974,,,,,,,Approved,3/15/2010,3/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,"125,168,369.00","125,168,369.00",0,2,2,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135693,801-64402,"SOUTHPAW ASSET MANAGEMENT, LP","SOUTHPAW ASSET MANAGEMENT, LP",2 WEST GREENWICH OFFICE PARK,,GREENWICH,CT,UNITED STATES,6831,203-862-6200,203-862-6201,,,,,,,Approved,7/7/2005,3/9/2010,Y,WWW.SOUTHPAWASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"677,000,000.00",0,"677,000,000.00",6,0,6,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138901,801-65726,ALPINE ASSOCIATES MANAGEMENT INC.,ALPINE ASSOCIATES MANAGEMENT INC.,100 UNION AVENUE,,CRESSKILL,NJ,UNITED STATES,7626,201-871-0866,201-894-5400,,,,,,,Approved,1/30/2006,5/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,10-Jun,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,Y,"ALSO RECEIVES $50,000 YEARLY FROM EACH OF 2 FUNDS",Y,"1,598,136,374.00",0,"1,598,136,374.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,ALPINE ASSOCIATES MANAGEMENT INC. MANAGES THE INVESTMENT ACTIVITIES OF HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
PLRO,106403,801-13803,THE PETTYJOHN COMPANY,PETTYJOHN CO,1925 ATHERHOLT ROAD,,LYNCHBURG,VA,UNITED STATES,24501,434-845-1266,434-845-2904,P. O. BOX 310,,LYNCHBURG,VA,UNITED STATES,24505,Approved,5/10/1978,5/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"216,017,051.00",0,"216,017,051.00",501,0,501,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,148241,801-69544,"APELLES INVESTMENT MANAGEMENT, LP","APELLES INVESTMENT MANAGEMENT, LP",767 THIRD AVENUE,11TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-888-5280,212-888-5286,,,,,,,Approved,8/27/2008,3/30/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,51-75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"26,500,000.00",0,"26,500,000.00",19,0,19,N,N,N,N,N,N,N,N,N,Y,PRIVATE INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,109806,801-56058,MANAGED FINANCIAL SERVICES CORP INC,MANAGED FINANCIAL SERVICES CORP INC,14505 TORREY CHASE BLVD,SUITE 110,HOUSTON,TX,UNITED STATES,77014,281-880-7200,281-880-7277,,,,,,,Approved,11/25/1998,5/6/2010,Y,WWW.MANAGEDFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,10-Jun,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"51,000,000.00",0,"51,000,000.00",240,0,240,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,149255,801-70772,"HUDOCK MOYER WEALTH RESOURCES, LLC","HUDOCK MOYER WEALTH RESOURCES, LLC",400 MARKET STREET,SUITE 200,WILLIAMSPORT,PA,UNITED STATES,17701,570-326-9500,570-326-9577,,,,,,,Approved,11/19/2009,5/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"25,843,914.00",0,"25,843,914.00",40,0,40,Y,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,153069,801-71136,"PPCA, INC.","PPCA, INC.",78 MARBELLA,,SAN CLEMENTE,CA,UNITED STATES,92673,949-488-8339,949-488-0224,,,,,,,Approved,2/26/2010,5/6/2010,Y,WWW.TARGETDATESOLUTIONS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,POOLED INVESSTMENT TRUST,Y,Y,N,Y,N,N,N,,Y,"40,000,000.00",0,"40,000,000.00",1,0,1,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,131843,801-68958,"STRONGWATER SCHOTT, LTD.","STRONGWATER SCHOTT, LTD.",4643 SOUTH ULSTER STREET,SUITE 800,DENVER,CO,UNITED STATES,80237,303-225-5355,303-416-8993,,,,,,,Approved,3/24/2008,5/6/2010,Y,WWW.STRONGWATERSCHOTT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,REFERRAL FEES,Y,"42,151,000.00",0,"42,151,000.00",72,0,72,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,125446,801-61964,"FTJ FUNDCHOICE, LLC","FTJ FUNDCHOICE, LLC",2300 LITTON LANE,SUITE 102,HEBRON,KY,UNITED STATES,41048,859-426-2000,859-426-2050,,,,,,,Approved,4/13/2004,5/6/2010,Y,WWW.FTJFUNDCHOICE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,More than 500,"21,029",More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,ADMINISTRATIVE FEES,Y,"6,553,509.00","710,982,783.00","717,536,292.00",37,"27,671","27,708",N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,Y,ASSET ALLOCATION ADMINISTRATION AND RECORDKEEPING,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104622,801-19122,AUFMAN ASSOCIATES INC,AUFMAN ASSOCIATES INC,2200 GEORGETOWN DRIVE,SUITE 401,SEWICKLEY,PA,UNITED STATES,15143,724-934-5600,724-934-5622,,,,,,,Approved,6/21/1983,5/6/2010,Y,AUFMAN.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"459,241,278.00","11,358,223.00","470,599,501.00",127,1,128,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,112528,801-60282,"TRIBUTARY CAPITAL MANAGEMENT, LLC","TRIBUTARY CAPITAL MANAGEMENT, LLC",1620 DODGE STREET,STOP 1075,OMAHA,NE,UNITED STATES,68197,402-602-7409,402-602-3340,,,,,,,Approved,5/23/2001,5/6/2010,Y,WWW.TRIBUTARYCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,WRAP FEE PROGRAMS,Y,N,N,N,N,N,N,,Y,"1,164,437,332.00",0,"1,164,437,332.00",223,0,223,N,Y,Y,Y,N,N,N,N,N,Y,ADVISER MAY CONTRACT ON A SUB ADVISORY BASIS TO PROVIDE INVESTMENT MANAGEMENT SERVICES TO INVESTMENT COMPANY CLIENT.,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153684,801-71441,ALTA INVESTORS LLC,ALTA INVESTORS LLC,515 MADISON AVE,,NEW YORK,NY,UNITED STATES,10022,646-315-5393,646-710-3901,,,,,,,120-Day Approval,5/14/2010,5/6/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,150283,801-70161,WATERWORTH FINANCIAL GROUP INC,WATERWORTH FINANCIAL GROUP INC,,,,,,,850-450-2875,,,,,,,,Approved,5/26/2009,5/6/2010,Y,WWW.WATERWORTHFINANCIALGROUP.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,Y,N,,N,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,MORTGAGE BROKER,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106257,801-44325,SAN FRANCISCO SENTRY INVESTMENT GROUP,SAN FRANCISCO SENTRY INVESTMENT GROUP,100 PINE STREET,SUITE 2700,SAN FRANCISCO,CA,UNITED STATES,94111,415-229-9000,415-434-8043,,,,,,,Approved,7/15/1993,5/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"293,535,025.00","677,771.00","294,212,796.00",138,1,139,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
NYRO,151318,801-70627,JANA PARTNERS LLC,JANA PARTNERS LLC,767 FIFTH AVENUE,8TH FLOOR,NEW YORK,NY,UNITED STATES,10153,212-455-0900,212-455-0901,,,,,,,Approved,10/8/2009,5/6/2010,Y,WWW.JANAPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,844,787,171.00",0,"2,844,787,171.00",14,0,14,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,115185,801-71442,HURST CAPITAL MANAGEMENT,"HURST CAPITAL MANAGEMENT, LLC","1307 RIO GRANDE BLVD. NW,",SUITE 10,ALBUQUERQUE,NM,UNITED STATES,87104,505-243-7696,505-243-7696,,,,,,,Approved,5/25/2010,5/6/2010,Y,WWW.HURSTCAPITAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NM,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"29,000,000.00",0,"29,000,000.00",130,0,130,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,113722,801-60412,REGENT WEALTH MANAGEMENT GROUP,"REGENT WEALTH MANAGEMENT GROUP, INC.",ONE BRADLEY ROAD,SUITE 902,WOODBRIDGE,CT,UNITED STATES,06525-9875,203-387-7887,203-387-7478,,,,,,,Approved,7/11/2001,5/6/2010,Y,WWW.REGENTWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"199,214,109.00","13,087,662.00","212,301,771.00",541,52,593,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109866,801-21231,VANTAGE POINT ADVISORS INC.,VANTAGE POINT ADVISORS INC.,1029 N. BETHLEHEM PIKE,,LOWER GWYNEDD,PA,UNITED STATES,19002,215-643-5600,215-643-5601,,,,,,,Approved,5/14/1984,5/6/2010,Y,WWW.VANTAGEPOINTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"143,701,044.00","15,945,749.00","159,646,793.00",522,59,581,Y,Y,N,Y,Y,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137441,801-65532,BULL PATH CAPITAL MANAGEMENT LLC,BULL PATH CAPITAL MANAGEMENT LLC,150 EAST 52ND STREET,31ST FLOOR,NEW YORK,NY,UNITED STATES,10022,212-520-2555,212-520-2556,,,,,,,Approved,1/27/2006,5/7/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"39,954,948.00",0,"39,954,948.00",6,0,6,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,144603,801-68252,PRUDENTIAL ASSET MANAGEMENT (SINGAPORE) LIMITED,PRUDENTIAL ASSET MANAGEMENT (SINGAPORE) LIMITED,30 CECIL STREET,#20-01 PRUDENTIAL TOWER,SINGAPORE,,SINGAPORE,49712,(65) 63179688,(65) 63278275,,,,,,,Approved,8/17/2007,5/6/2010,Y,WWW.PRUFUNDS.COM.SG,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,SINGAPORE,51-250,0,51-250,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,51-75 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"32,663,860,902.00","987,276,155.00","33,651,137,057.00",183,14,197,N,N,Y,Y,N,N,Y,N,N,Y,PORTFOLIO MANAGEMENT / ADVISORY FOR FOREIGN POOLED PRODUCTS AND INVESTMENT CONSULTANCY FOR INSTITUTIONAL CLIENTS,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,N,N,N,Y,N,N,Y,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110128,801-57491,"VANTAGE INVESTMENT ADVISORS, LLC","VANTAGE INVESTMENT ADVISORS, LLC",1276 NORTH ATHERTON STREET,,STATE COLLEGE,PA,UNITED STATES,16803,814-867-2050,814-867-2063,,,,,,,Approved,4/14/2000,5/7/2010,Y,WWW.VANTAGEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,51-250,0,More than 500,"1,700",51-75 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"429,975,609.00","24,673,645.00","454,649,254.00","3,287",109,"3,396",Y,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,117836,801-66369,"CONCORDE FINANCIAL RESOURCES, LLC","CONCORDE FINANCIAL RESOURCES, LLC",1728 WINKLER STREET,,WILKESBORO,NC,USA,28697,336-838-4100,336-838-3033,,,,,,,Approved,3/16/2006,5/7/2010,Y,WWW.CONCORDEPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"36,663,008.00","36,663,008.00",0,162,162,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,137756,801-65282,GREEN EAGLE CAPITAL LLC,GREEN EAGLE CAPITAL LLC,250 EAST ILLINOIS ROAD,SUITE 200,LAKE FOREST,IL,UNITED STATES,60045,847-482-1100,847-482-1105,,,,,,,Approved,1/23/2006,5/7/2010,Y,WWW.GREENEAGLECAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,ADVISORY ACTIVITIES,Y,N,N,Y,N,Y,N,,Y,"141,890,047.00",2,"141,890,049.00",6,1,7,N,N,Y,Y,N,N,N,N,N,Y,RESEARCH CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,143030,801-67561,"VISTA RESEARCH AND MANAGEMENT, LLC","VISTA RESEARCH AND MANAGEMENT, LLC",,,,,,,914-238-1191,914-238-1191,,,,,,,Approved,3/2/2007,5/7/2010,Y,WWW.VRMFUNDS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,10-Jun,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"13,620,102.00",0,"13,620,102.00",1,0,1,N,N,Y,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,145051,801-68333,"JFS WEALTH ADVISORS, LLC","JFS WEALTH ADVISORS, LLC",1479 N. HERMITAGE RD.,,HERMITAGE,PA,USA,16148,724-962-3200,724-962-4611,,,,,,,Approved,10/2/2007,5/7/2010,Y,WWW.JFSWA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,10-Jun,0,More than 500,500,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"501,808,595.00","245,651,747.00","747,460,342.00","2,256",107,"2,363",Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,Y,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,121258,801-69362,"ATLANTIC FINANCIAL SERVICES, INC.","ATLANTIC FINANCIAL SERVICES, INC.",920 PROVIDENCE ROAD,#201,TOWSON,MD,UNITED STATES,21286-2986,410-296-0470,410-296-0475,,,,,,,Approved,7/1/2008,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,TRUSTS,Y,N,N,Y,N,N,N,,Y,0,"67,057,981.00","67,057,981.00",0,733,733,N,Y,N,N,N,N,N,N,N,Y,PROVIDE INVESTMENT ADVICE THROUGH CONSULTATIONS NOT INCLUDED ABOVE,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,133550,801-64078,EVERGREEN INVESTMENT ADVISORS,EVERGREEN INVESTMENT ADVISORS LLC,233 SOUTH WACKER DRIVE,SUITE 5200,CHICAGO,IL,UNITED STATES,60606,312-499-8500,312-499-8585,,,,,,,Approved,4/7/2005,3/23/2010,Y,WWW.M3CP.COM/SERVICES/PRINCIPALINVESTING,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,"730,790,554.00","730,790,554.00",0,3,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,133613,801-67122,ALBRIGHT CAPITAL MANAGEMENT LLC,ALBRIGHT CAPITAL MANAGEMENT LLC,"1101 NEW YORK AVENUE, NW",SUITE 900,WASHINGTON,DC,UNITED STATES,20005-4213,202-370-3500,202-370-3555,,,,,,,Approved,8/31/2006,3/23/2010,Y,WWW.ALBRIGHTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"355,000,000.00",0,"355,000,000.00",1,0,1,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147461,801-69327,"STRATEGIC EDGE WEALTH MANAGEMENT, LLC","STRATEGIC EDGE WEALTH MANAGEMENT, LLC",1500 SKOKIE BLVD.,SUITE 312,NORTHBROOK,IL,USA,60062,(847) 849-5550,(847) 849-5580,,,,,,,Approved,6/27/2008,3/23/2010,Y,WWW.STRATEGICEDGEWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,Y,N,,Y,"32,497,523.00","8,349,833.00","40,847,356.00",115,7,122,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105206,801-28022,DAVIDSON & GARRARD INC,DAVIDSON & GARRARD INC,810 MAIN ST,,LYNCHBURG,VA,UNITED STATES,24504,434-847-6600,434-847-0248,P. O. BOX 939,,LYNCHBURG,VA,UNITED STATES,24505,Approved,10/10/1986,3/23/2010,Y,DG-G.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"375,792,616.00",0,"375,792,616.00",798,0,798,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,136188,801-64535,"EKLEKTIKOS CAPITAL MANAGEMENT, LP","EKLEKTIKOS CAPITAL MANAGEMENT, LP",100 CONGRESS AVENUE,SUITE 1400,AUSTIN,TX,UNITED STATES,78701,512-493-3500,512-493-3501,,,,,,,Approved,7/28/2005,3/23/2010,Y,WWW.EKLEKTIKOSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"28,579,091.00",0,"28,579,091.00",4,0,4,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,Y,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106387,801-39247,FEDERAL STREET ADVISORS INC,FEDERAL STREET ADVISORS INC,50 FEDERAL ST,,BOSTON,MA,UNITED STATES,2110,617-350-8999,617-350-8902,,,,,,,Approved,6/26/1991,3/23/2010,Y,FEDERALSTREET.ORG (RESERVED),N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"3,250,736,402.00","3,250,736,402.00",0,"1,585","1,585",Y,Y,N,Y,Y,Y,N,N,N,Y,MANAGER RESEARCH AND DUE DILIGENCE PROVIDED TO AFFILIATES,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,112897,801-57054,"FRAZIER FINANCIAL CONSULTANTS, LLC","FRAZIER, DEBORAH JANE",109 CONNER DRIVE,SUITE 205,CHAPEL HILL,NC,UNITED STATES,27514,919-929-6940,919-967-1190,,,,,,,Approved,12/9/1999,3/23/2010,Y,FRAZIERFINANCIALCONSULTANTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"67,051,617.00","67,051,617.00",0,74,74,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105795,801-21845,WESTPORT ASSET MANAGEMENT INC,WESTPORT ASSET MANAGEMENT INC,253 RIVERSIDE AVENUE,,WESTPORT,CT,UNITED STATES,6880,203-227-3601,203-226-6306,,,,,,,Approved,7/20/1984,3/23/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"775,569,824.00",0,"775,569,824.00",21,0,21,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110600,801-21123,"NBS FINANCIAL SERVICES, INC.",NBS FINANCIAL & INSURANCE SERVICES INC,340 N WESTLAKE BLVD,STE 112,WESTLAKE VILLAGE,CA,UNITED STATES,91362,805.497.2497,805.497.3383,,,,,,,Approved,4/25/1984,3/23/2010,Y,WWW.NBSCOMPANIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"174,345,337.00","4,395,042.00","178,740,379.00",461,14,475,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,Y,N,N,Y,N,Y,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111867,801-57780,CASCADIA FINANCIAL ADVISORS LLC,CASCADIA FINANCIAL ADVISORS LLC,,,,,,,206-342-9298,206-622-2688,,,,,,,Approved,7/24/2000,3/30/2006,Y,HTTP://WWW.CASCADIAFINANCIALADVISORS.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110370,801-58251,"FIDUCIARY ANALYTICS, LLC","FIDUCIARY ANALYTICS, LLC",ABELE OFFICE PARK,"10 EMERSON LANE, SUITE 801",BRIDGEVILLE,PA,UNITED STATES,15017,412-221-0292,412-221-8954,,,,,,,Approved,1/11/2001,3/23/2010,Y,WWW.FI360.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,PA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,More than 500,"1,500",0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,,N,Y,Y,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,Y,FIDUCIARY CONSULTING,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107151,801-40535,RHUMBLINE ADVISERS,RHUMBLINE ADVISERS LTD PARTNERSHIP,30 ROWES WHARF SUITE 420,,BOSTON,MA,UNITED STATES,2110,617-345-0434,617-345-0675,,,,,,,Approved,1/15/1992,3/23/2010,Y,WWW.RHUMBLINEADVISERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,MA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"19,458,084,434.00",0,"19,458,084,434.00",288,0,288,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107529,801-37341,FMA ADVISORY INC,FMA ADVISORY INC,1631 NORTH FRONT STREET,,HARRISBURG,PA,USA,17102,717-232-8850,717-232-7737,,,,,,,Approved,9/14/1990,3/23/2010,Y,WWW.FMA-ADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,More than 500,500,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"383,646,505.00","91,327,889.00","474,974,394.00","1,836",407,"2,243",Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,128549,801-67602,"WEALTH ENGINEERING, LLC","WEALTH ENGINEERING, LLC",6619 N. SCOTTSDALE RD.,,SCOTTSDALE,AZ,UNITED STATES,85250,480-296-2042,480-907-1742,,,,,,,Approved,3/8/2007,3/23/2010,Y,WWW.WEALTH-ENGINEERING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"46,745,633.00",0,"46,745,633.00",141,0,141,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,121712,801-61335,"LOWERY ASSET CONSULTING, LLC","LOWERY ASSET CONSULTING, LLC",20 NORTH WACKER DRIVE,SUITE 1475,CHICAGO,IL,UNITED STATES,60606,(312) 759-2314,(312) 759-2324,,,,,,,Approved,8/6/2002,3/23/2010,Y,WWW.LAC-CHICAGO.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,0 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,26-50 percent,11-25 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE OF ADVISED ASSETS,Y,0,"318,841,893.00","318,841,893.00",0,232,232,N,Y,N,Y,Y,Y,N,N,N,Y,MONEY MANAGER REVIEW,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,145566,801-68850,"LUMINOUS CAPITAL, LLC","LUMINOUS CAPITAL, LLC",2049 CENTURY PARK EAST,SUITE 320,LOS ANGELES,CA,USA,90067,(888) 201-3726,(424) 204-0932,,,,,,,Approved,2/15/2008,3/23/2010,Y,LUMINOUSCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,251-500,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"2,818,715,955.00","326,527,322.00","3,145,243,277.00","1,417",261,"1,678",Y,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,110325,801-28113,MAKROD INVESTMENT ASSOCIATES INC,MAKROD INVESTMENT ASSOCIATES INC,,,,,,,973-239-1033,973-239-8179,,,,,,,Approved,11/6/1986,3/23/2010,Y,WWW.MAKROD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"288,485,044.00","288,485,044.00",0,337,337,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104984,801-28820,BARD ASSOCIATES INC,BARD ASSOCIATES INC,135 S LASALLE ST STE 3700,,CHICAGO,IL,UNITED STATES,60603,312-782-9600,312-782-3785,,,,,,,Approved,2/6/1987,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"167,037,080.00","7,158,291.00","174,195,371.00",170,2,172,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,141773,801-67176,"HELM INVESTMENT MANAGEMENT, LLC","HELM INVESTMENT MANAGEMENT, LLC",1600 BROADWAY,SUITE 930,DENVER,CO,USA,80202-4911,303-861-4835,303-813-1561,,,,,,,Approved,10/6/2006,3/23/2010,Y,WWW.HELMINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"85,000,000.00",0,"85,000,000.00",68,0,68,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,137786,801-65301,KILIMANJARO ADVISORS LLC,KILIMANJARO ADVISORS LLC,18 MARSHALL STREET,SUITE 112,NORWALK,CT,UNITED STATES,6854,203-956-6556,203-956-6546,,,,,,,Approved,1/13/2006,3/23/2010,Y,WWW.KAFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"105,100,000.00",0,"105,100,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGER FOR POOLED INVESTMENT VEHICLE,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105799,801-18407,SCHAFER CULLEN CAPITAL MANAGEMENT INC,SCHAFER CULLEN CAPITAL MANAGEMENT INC,645 5TH AVE,7TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-644-1800,212-593-4275,,,,,,,Approved,1/31/1983,3/23/2010,Y,WWW.SCHAFER-CULLEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,10-Jun,0,More than 500,"8,500",0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"4,334,557,616.00",0,"4,334,557,616.00","8,515",0,"8,515",N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124609,801-69094,"HALL & ROMKEMA FINANCIAL SERVICES, L.L.C.","HALL & ROMKEMA FINANCIAL SERVICES, L.L.C.",3495 COOLIDGE,,EAST LANSING,MI,USA,48823,517-337-8900,517-337-8906,,,,,,,Approved,4/25/2008,3/23/2010,Y,WWW.HARFS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"36,046,350.00","36,046,350.00",0,97,97,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,Y,Y,N,Y,N,N,N,N,Y,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,113128,801-57576,"CULLEN CAPITAL MANAGEMENT, LLC","CULLEN CAPITAL MANAGEMENT, LLC",645 FIFTH AVENUE,7TH FLOOR,NEW YORK,NY,USA,10022,212-644-1800,212-593-4275,,,,,,,Approved,5/31/2000,3/23/2010,Y,WWW.CULLENFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"5,594,699,720.00",0,"5,594,699,720.00",5,0,5,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,132955,801-68982,"TAYLOR WEALTH MANAGEMENT, LLC","TAYLOR WEALTH MANAGEMENT, LLC",3655 TORRANCE BLVD.,SUITE 347,TORRANCE,CA,UNITED STATES,90503,310-540-8000,310-540-8475,,,,,,,Approved,3/31/2008,3/23/2010,Y,WWW.TAYLORWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"3,829,645.00","42,797,469.00","46,627,114.00",2,31,33,Y,Y,N,Y,Y,Y,N,N,N,Y,INVESTMENT CONSULTING,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,18313,801-28827,"SUSSEX FINANCIAL GROUP, INC","SUSSEX FINANCIAL GROUP, INC.",155 N. PFINGSTEN ROAD,STE 370,DEERFIELD,IL,USA,60015,847-498-5722,847-498-6960,,,,,,,Approved,2/20/1987,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,Up to 10 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"33,653,007.00",0,"33,653,007.00",160,0,160,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104701,801-16815,"P. J. SCHMIDT INVESTMENT MANAGEMENT, INC","P. J. SCHMIDT INVESTMENT MANAGEMENT, INC",W62 N570 WASHINGTON AVENUE,,CEDARBURG,WI,UNITED STATES,53012,262-377-0484,262-375-9250,POB 148,,CEDARBURG,WI,UNITED STATES,53012,Approved,1/20/1982,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"360,910,711.00","18,448,912.00","379,359,623.00",185,10,195,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,124152,801-68983,"MOSELEY INVESTMENT MANAGEMENT, INC.","MOSELEY INVESTMENT MANAGEMENT, INC.",1724 MANATEE AVENUE W,,BRADENTION,FL,UNITED STATES,34205,941-745-2799,941-746-1424,,,,,,,Approved,4/1/2008,3/23/2010,Y,WWW.MOSELEYINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"10,000,000.00","21,000,000.00","31,000,000.00",36,196,232,Y,Y,N,N,N,Y,N,N,N,Y,ESTATE PLANNING REVIEW,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,149870,801-70092,"SCOTTWOOD CAPITAL MANAGEMENT ADVISORS, L.P.","SCOTTWOOD CAPITAL MANAGEMENT ADVISORS, L.P.",33 BENEDICT PLACE,,GREENWICH,CT,UNITED STATES,6830,203-302-2444,203-302-2440,,,,,,,Approved,5/4/2009,3/23/2010,Y,WWW.SCOTTWOOD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"678,088,337.00",0,"678,088,337.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114680,801-60471,"PLACEMARK INVESTMENTS, INC.","PLACEMARK INVESTMENTS, INC.",16633 DALLAS PARKWAY,SUITE 700,ADDISON,TX,UNITED STATES,75001,972-404-8100,972-404-9134,,,,,,,Approved,8/10/2001,3/23/2010,Y,WWW.PLACEMARK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,Nov-50,0,More than 500,"11,000",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"4,294,039,447.00",0,"4,294,039,447.00","11,000",0,"11,000",N,Y,N,Y,N,Y,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108189,801-35646,HOMRICH BERG,HOMRICH & BERG INC,"ONE BUCKHEAD PLAZA, SUITE 830","3060 PEACHTREE ROAD, NW",ATLANTA,GA,UNITED STATES,30305-2240,404-264-1400,404-237-5114,,,,,,,Approved,11/22/1989,5/28/2010,Y,WWW.HOMRICH-BERG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,More than 500,500,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,609,411,624.00","270,941,852.00","1,880,353,476.00","2,894",151,"3,045",Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105432,801-28444,GENEVA CAPITAL MANAGEMENT LTD,GENEVA CAPITAL MANAGEMENT LTD,"250 E WISCONSIN AVENUE, SUITE 1050",,MILWAUKEE,WI,UNITED STATES,53202,414-224-6002,414-224-9503,,,,,,,Approved,12/4/1986,5/28/2010,Y,WWW.GCMLTD.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,500,51-75 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,FINANCIAL FIRMS,Y,N,N,N,N,N,Y,FEES ARE BASED ON UNDERLYING CLIENT ASSETS UNDER MANAGEMENT.,Y,"1,393,430,000.00",0,"1,393,430,000.00",384,0,384,N,Y,Y,Y,N,N,N,N,N,Y,PROVIDE MODEL PORTFOLIO SERVICES TO FINANCIAL FIRMS.,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138025,801-64951,AKINA LIMITED,AKINA LIMITED,SIHLSTRASSE 20,,ZURICH,,SWITZERLAND,8021,41 44 214 1380,41 44 214 1350,,,,,,,Approved,11/29/2005,5/28/2010,Y,WWW.AKINAPARTNERS.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SWITZERLAND,Nov-50,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,807,311,551.00",0,"1,807,311,551.00",8,0,8,N,N,N,Y,N,N,N,N,N,Y,MANAGE PRIVATE EQUITY LIMITED PARTNERSHIPS,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,153667,801-71529,"DUNMOYLE CAPITAL ADVISORS, LLC","DUNMOYLE CAPITAL ADVISORS, LLC",1201 SOUTH BRADDOCK AVENUE,,PITTSBURGH,PA,UNITED STATES,15218,412-265-4545,,,,,,,,120-Day Approval,6/21/2010,5/28/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,0,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
NYRO,110789,801-29080,"BAMCO, INC.","BAMCO, INC.",767 5TH AVE,49TH FLOOR,NEW YORK,NY,UNITED STATES,10153,212-583-2000,212-583-2014,,,,,,,Approved,3/6/1987,5/28/2010,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"16,046,103,839.00",0,"16,046,103,839.00",18,0,18,N,N,Y,N,N,N,N,N,N,Y,POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
NYRO,110791,801-18656,"BARON CAPITAL MANAGEMENT, INC.","BARON CAPITAL MANAGEMENT, INC.",767 FIFTH AVENUE,49TH FLOOR,NEW YORK,NY,UNITED STATES,10153,212-583-2000,212-583-2014,,,,,,,Approved,4/15/1983,5/28/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,26-100,0,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,26-50 percent,26-50 percent,0 percent,Up to 10 percent,SOVEREIGN NATION,Y,N,N,N,N,Y,N,,Y,"766,610,823.00",0,"766,610,823.00",63,0,63,N,Y,N,Y,N,N,N,N,N,Y,POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
CHRO,122704,801-69320,WILDWOOD WEALTH MANAGEMENT,"WILDWOOD WEALTH MANAGEMENT, LLC",7650 EDINBOROUGH WAY,SUITE 770,EDINA,MN,UNITED STATES,55435,612-338-0677,612-338-0798,,,,,,,Approved,7/8/2008,5/28/2010,Y,WWW.WILDWOODWEALTHMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"39,765,714.00","39,765,714.00",0,44,44,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107675,801-17037,SMITH AFFILIATED CAPITAL CORP.,SMITH AFFILIATED CAPITAL CORP,800 3RD AVENUE,12TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-644-9440,212-644-1979,,,,,,,Approved,4/1/1982,6/1/2009,Y,WWW.SMITHCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,0 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,"WRAP, HEALTHCARE, HOSPITAL, INSURANCE",Y,N,N,Y,N,N,N,,Y,"1,993,115,889.00",0,"1,993,115,889.00",192,0,192,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,122482,801-61440,GLADSTONE MANAGEMENT CORPORATION,GLADSTONE MANAGEMENT CORPORATION,1521 WESTBRANCH DRIVE,SUITE 200,MCLEAN,VA,UNITED STATES,22102,703-287-5800,703-287-5901,,,,,,,Approved,9/13/2002,5/28/2010,Y,WWW.GLADSTONEMANAGEMENT.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,REAL ESTATE INVESTMENT TRUSTS,Y,N,N,N,N,Y,Y,ALLOCATION OF EXPENSES,Y,"1,015,352,295.00",0,"1,015,352,295.00",5,0,5,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,152414,801-70915,"DISCERN INVESTMENT ANALYTICS, INC.","DISCERN INVESTMENT ANALYTICS, INC.",ONE MARKET PLAZA,"SPEAR TOWER, SUITE 3605",SAN FRANCISCO,CA,UNITED STATES,94105-1120,(415) 645-6526,(415) 762-5315,2443 FILLMORE STREET,# 452,SAN FRANCISCO,CA,UNITED STATES,94115-1814,Approved,1/14/2010,5/28/2010,Y,WWW.DISCERN.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,Y,Y,N,N,Y,COMMISSION SHARING ARRANGEMENTS WITH 3RD PARTY BROKER-DEALERS,N,0,0,0,0,0,0,N,N,Y,Y,N,N,Y,N,Y,Y,INVESTMENT RESEARCH,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105900,801-22445,"GENERAL RE-NEW ENGLAND ASSET MANAGEMENT, INC.",GENERAL RE NEW ENGLAND ASSET MANAGEMENT INC,76 BATTERSON PARK RD.,POND VIEW CORPORATE CENTER,FARMINGTON,CT,USA,6032,860-676-8722,860-676-8712,,,,,,,Approved,10/24/1984,5/28/2010,Y,GRNEAM.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,101-250,0,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"53,616,706,827.00","22,642,552,065.00","76,259,258,892.00",106,14,120,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y
BRO,135902,801-70586,MARSHALL WACE NORTH AMERICA L.P.,MARSHALL WACE NORTH AMERICA L.P.,3 RIVER ROAD,,COS COB,CT,UNITED STATES,06807-2717,203-625-3200,203-625-3299/3298,,,,,,,Approved,9/22/2009,5/28/2010,Y,WWW.MWAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,148,000,000.00",0,"1,148,000,000.00",25,0,25,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,143594,801-69041,"VIRGINIA GLOBAL ASSET MANAGEMENT, LLC","VIRGINIA GLOBAL ASSET MANAGEMENT, LLC",409 YARMOUTH STREET,,NORFOLK,VA,UNITED STATES,23510,757-962-7976,757-962-9054,,,,,,,Approved,4/14/2008,5/28/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"36,929,000.00",0,"36,929,000.00",87,0,87,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,153837,801-71506,"TRUVIEW ADVISORS, LLC","TRUVIEW ADVISORS, LLC",1590 POST OAK COURT,,PROSPER,TX,UNITED STATES,75078,972-346-4278,972-346-4278,1590 POST OAK COURT,,PROSPER,TX,UNITED STATES,75078,Approved,6/17/2010,5/28/2010,Y,WWW.TRUVIEWADVISORS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,Y,ANNUAL RETAINER,N,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,139528,801-66210,TRENDZ ADVISORS,"TRENDZ ADVISORS, INC.",265 BROOKVIEW CENTRE WAY,SUITE 504,KNOXVILLE,TN,UNITED STATES,37919,865-583-7390 X22,865-583-7398,,,,,,,Approved,2/1/2006,5/28/2010,Y,WWW.TRENDZADVISORS.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,TN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"24,500,000.00",0,"24,500,000.00",200,0,200,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,Y,Y,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,119670,801-61015,"PROFESSIONAL ASSET STRATEGIES, LLC","PROFESSIONAL ASSET STRATEGIES, LLC",3500 BLUE LAKE DRIVE,SUITE 155,BIRMINGHAM,AL,UNITED STATES,35243,205-298-1234,205-298-1230,,,,,,,Approved,3/21/2002,5/28/2010,Y,WWW.PROASSETSLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"106,124,775.00",0,"106,124,775.00",481,0,481,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,149832,801-70022,CHITWOOD-LINDBERG WEALTH MANAGEMENT,CHITWOOD-LINDBERG WEALTH MANAGEMENT,4956 VALLEYDALE ROAD,SUITE 203,BIRMINGHAM,AL,UNITED STATES,35242,205-980-8113,205-981-7441,,,,,,,Approved,3/20/2009,5/28/2010,Y,WWW.CLWMCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"35,712,822.00","77,159,961.00","112,872,783.00",318,108,426,Y,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,113896,801-66454,"TMD & ASSOCIATES, INC.","TMD & ASSOCIATES, INC.",3800 N. CENTRAL AVENUE,SUITE 860,PHOENIX,AZ,UNITED STATES,85012,602-279-2020,602-279-4774,,,,,,,Approved,4/4/2006,5/28/2010,Y,WWW.TMD-ASSOCIATESONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"90,681,300.00","10,129,500.00","100,810,800.00",391,20,411,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,136005,801-67100,"RICHEY ADVISORS, INC.","RICHEY ADVISORS, INC.",110 E. WILSHIRE AVE.,STE. 307,FULLERTON,CA,UNITED STATES,92832-1959,714-449-9696,714-449-0602,,,,,,,Approved,8/29/2006,5/20/2010,Y,HTTP://WWW.RICHEYADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"37,984,403.00",0,"37,984,403.00",363,0,363,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,Y,Y,N,N,Y,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,154022,801-71492,"IDL ADVISORS, INC.","IDL ADVISORS, INC.",1830 S. PLATE ST.,,KOKOMO,IN,UNITED STATES,46902,765-459-4111,765-454-7589,P.O. BOX 2229,,KOKOMO,IN,UNITED STATES,46904-2229,120-Day Approval,6/15/2010,5/21/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"70,000,000.00",0,"70,000,000.00",150,0,150,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,153020,801-71493,"FABCO INVESTMENT ADVISORS, LLC","FABCO INVESTMENT ADVISORS, LLC",,,,,,,978-475-0307,978-474-1978,,,,,,,Approved,6/3/2010,5/21/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,TAX PREPARATION FEES,Y,0,0,0,0,0,0,Y,Y,N,N,N,N,N,N,N,Y,TAX PREPARATION SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108972,801-57187,MCBREARTY CAPITAL MANAGEMENT INC,MCBREARTY CAPITAL MANAGEMENT INC,8901 SONY LANE,,KNOXVILLE,TN,UNITED STATES,37923,865-693-5300,865-693-0311,,,,,,,Approved,1/21/2000,5/21/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"89,728,270.00","89,728,270.00",0,667,667,N,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,139246,801-68247,KEEL ASSET MANAGEMENT LLC,KEEL ASSET MANAGEMENT LLC,30 SOUTH WACKER DRIVE,"CHICAGO MERCANTILE EXCHANGE CENTER, SUITE 2200",CHICAGO,IL,UNITED STATES,60606,312-466-7550,312-466-7543,,,,,,,Approved,8/9/2007,5/21/2010,Y,WWW.KEELASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,26-50 percent,FUNDS-OF-FUNDS,Y,N,N,Y,N,N,N,,Y,"25,236,606.00",0,"25,236,606.00",9,0,9,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT/FINANCIAL ADVISORY CONSULTING FOR NON-PROFITS,,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,112000,801-60262,"CAPITAL ADVISORS GROUP, INC","CAPITAL ADVISORS GROUP, INC",29 CRAFTS STREET,SUITE 270,NEWTON,MA,USA,2458,617-630-8100,617-630-0023,,,,,,,Approved,5/24/2001,5/21/2010,Y,WWW.CAPITALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,251-500,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,A MINIMUM FEE OF UP TO $625.00 PER QUARTER MAY BE CHARGED.,Y,"7,554,938,322.00","32,672,983.00","7,587,611,305.00",330,1,331,N,N,N,Y,N,N,Y,N,N,Y,AUCTION RATE SECURITIES  AND MONEY MARKET FUND CONSULTING,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,132500,801-71494,"ST. NICHOLAS PRIVATE ASSET MANAGEMENT, INC.","ST. NICHOLAS PRIVATE ASSET MANAGEMENT, INC.",6817 SOUTHPOINT PARKWAY,SUITE 1204,JACKSONVILLE,FL,UNITED STATES,32216,904-470-0102,904-470-0106,,,,,,,Approved,5/28/2010,5/21/2010,Y,WWW.STNICHOLASPAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"45,622,700.00",0,"45,622,700.00",97,0,97,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110699,801-39656,EVANS CAPITAL MANAGEMENT ASSOCIATES,R.L. EVANS CO. INC.,3535 FACTORIA BLVD SE,SUITE 120,BELLEVUE,WA,UNITED STATES,98006,425-455-0501,,,,,,,,Approved,8/23/1991,5/21/2010,Y,WWW.RLEVANSCO.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"60,000,000.00","60,000,000.00",0,300,300,Y,Y,N,N,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,144883,801-68508,"IPRO ONE MANAGEMENT, INC.","IPRO ONE MANAGEMENT, INC.",8010 SUMMERLIN LAKES DRIVE,,FORT MYERS,FL,UNITED STATES,33907,561-602-5575,,,,,,,,Approved,11/2/2007,5/21/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"12,000,000.00","12,000,000.00",0,73,73,N,Y,N,Y,N,Y,N,N,N,Y,CONSULTING SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,153125,801-71414,GRYPHON INVESTMENT COUNSEL INC.,GRYPHON INVESTMENT COUNSEL INC.,20 BAY STREET,SUITE 1905,"TORONTO, ONTARIO",,CANADA,M5J 2N8,416-364-2299,416-362-5552,,,,,,,Approved,5/12/2010,5/21/2010,Y,WWW.GRYPHON.CA,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,020,405,449.00",0,"1,020,405,449.00",37,0,37,N,N,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110369,801-54184,"THE DELANCEY CAPITAL GROUP, LP","THE DELANCEY CAPITAL GROUP, LP",TWO COMMERCE SQUARE,"2001 MARKET STREET, SUITE 3420",PHILADELPHIA,PA,UNITED STATES,19103,215-568-2508,215-568-9786,,,,,,,Approved,4/10/1997,3/31/2009,Y,WWW.PGCORBIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,PA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"42,050,762.00",0,"42,050,762.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,127401,801-63408,STRAIGHTLINE,"STRAIGHTLINE GROUP, LLC",165 KIRTS BLVD.,STE 600,TROY,MI,USA,48084,248-269-8366,248-269-8390,,,,,,,Approved,8/11/2004,5/21/2010,Y,WWW.STRAIGHTLINEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,More than 500,"2,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"346,785,958.00","10,539,000.00","357,324,958.00","2,364",80,"2,444",N,Y,N,N,N,N,N,N,N,Y,CONSULTATIONS,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
CHRO,127987,801-63505,"ANNEX WEALTH MANAGEMENT, LLC","ANNEX ADVISORY SERVICES, LLC",18650 W. CORPORATED DRIVE,SUITE 300,BROOKFIELD,WI,USA,53151,262-786-6363,262-792-8930,,,,,,,Approved,9/24/2004,5/21/2010,Y,WWW.ANNEXADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"119,718,363.00","5,355,921.00","125,074,284.00","1,119",21,"1,140",Y,Y,N,Y,Y,Y,Y,N,N,Y,CONSULTATION FOR A FEE,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N
MIRO,142356,801-68022,"KEY FINANCIAL GROUP OF JACKSONVILLE, INC.","KEY FINANCIAL GROUP OF JACKSONVILLE, INC.",6271 DUPONT STATION COURT,,JACKSONVILLE,FL,USA,32217,904-443-7996,904-443-7082,,,,,,,Approved,6/13/2007,5/21/2010,Y,WWW.KEYFINANCIALGROUP.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"72,375,067.00","10,425,000.00","82,800,067.00",677,370,"1,047",Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,107616,801-42685,"VARN INVESTMENT COUNSEL, INC",VARN INVESTMENT COUNSEL INC,3715 NORTHSIDE PARKWAY,"BUILDING 300, SUITE 660",ATLANTA,GA,USA,30327,404-495-4717,404-495-4718,,,,,,,Approved,11/23/1992,3/31/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,WE USE (1) WITH A MIN. FEE,Y,"34,227,500.00",0,"34,227,500.00",46,0,46,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,121802,801-61479,BAKER ELLIS ASSET MANAGEMENT LLC,BAKER ELLIS ASSET MANAGEMENT LLC,1211 S.W. FIFTH AVE. SUITE 2910,,PORTLAND,OR,USA,97204,503-227-5778,503-227-5820,,,,,,,Approved,9/20/2002,5/21/2010,Y,WWW.BAKERELLISLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"293,000,000.00","8,000,000.00","301,000,000.00",401,12,413,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,153364,801-71306,HERMES BPK PARTNERS LLP,HERMES BPK PARTNERS LLP,LLOYDS CHAMBERS,1 PORTSOKEN STREET,LONDON,,UNITED KINGDOM,E1 8HZ,+44 207 702 0888,+44 207 702 9452,,,,,,,Approved,5/14/2010,5/21/2010,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,IRISH QIF FUNDS,Y,N,N,Y,N,Y,N,,Y,"1,482,377,936.00",0,"1,482,377,936.00",2,0,2,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR IRISH QIF FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,142276,801-67463,"SLOAN WEALTH MANAGEMENT, L.L.C.","SLOAN WEALTH MANAGEMENT, L.L.C.",100 CRESCENT COURT,SUITE 1130,DALLAS,TX,UNITED STATES,75201,214-720-7500,214-720-7501,,,,,,,Approved,2/15/2007,5/21/2010,Y,WWW.SLOANWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"246,888,068.00","717,251.00","247,605,319.00",407,5,412,Y,Y,N,Y,N,N,N,N,N,Y,INVESTMENT CONSULTING,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,126983,801-65548,"NETWORTH ADVISORY GROUP, LLC","NETWORTH ADVISORY GROUP, LLC",9980 SO. 300 W.,SUITE 110,SANDY,UT,UNITED STATES,84070,801-566-6639,801-566-6688,,,,,,,Approved,3/6/2006,5/21/2010,Y,WWW.NETWORTHADVICE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"39,572,268.00","53,474,409.00","93,046,677.00",150,60,210,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,138077,801-64925,QUADRANT REAL ESTATE ADVISORS LLC,QUADRANT REAL ESTATE ADVISORS LLC,12735 MORRIS ROAD; SUITE 100,,ALPHARETTA,GA,UNITED STATES,30004,770 752 6711,770 752 6731,,,,,,,Approved,11/25/2005,5/21/2010,Y,QUADRANTREALESTATEADVISORS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,LIFE INSURANCE COMPANIES; TAFT HARTLEY PLANS; SOVEREIGN WEALTH FUNDS,Y,N,N,Y,N,Y,Y,ACQ/ORIG FEES APPROX 40-60BP; DEBT ADVIS FEES APPROX 15-50BP,Y,"598,351,381.00","4,467,291,645.00","5,065,643,026.00",19,6,25,N,N,N,Y,N,N,N,N,N,Y,"MANAGEMENT SERVICES RELATED TO THE ACQUISITION, DISPOSITION, AND FINANCING OF REAL ESTATE-RELATED ASSETS & INCIDENTAL CASH MGMT",0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,137539,801-64790,"CAPITAL MAX, INC.","CAPITAL MAX, INC.",,,,,,,561-493-7077,561-493-7077,,,,,,,Approved,10/27/2005,5/21/2010,Y,WWW.CAPMAX.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,51-75 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,"3,541,000.00","24,793,000.00","28,334,000.00",5,1,6,N,Y,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138378,801-65623,PIONEER ALTERNATIVE INVESTMENTS,PIONEER ALTERNATIVE INVESTMENT MANAGEMENT LIMITED,"6TH FLOOR, 1 GEORGE'S QUAY PLAZA, GEORGE'S QUAY",,DUBLIN 2,,IRELAND,,+353 1 4802700,+353 1 4495700,,,,,,,Approved,2/1/2006,5/21/2010,Y,WWW.PIONEERALTINVEST.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,IRELAND ,51-250,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,435,724,639.00",0,"3,435,724,639.00",31,0,31,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
BRO,152158,801-71436,"GRADUATE LEVERAGE INVESTMENT ADVISORY SERVICES, LLC","GRADUATE LEVERAGE INVESTMENT ADVISORY SERVICES, LLC",400 FIFTH AVE.,SUITE 205,WALTHAM,MA,UNITED STATES,2451,781-547-4137,813-249-9039,,,,,,,120-Day Approval,5/27/2010,5/21/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,152506,801-71005,"TADDEI, LUDWIG & ASSOCIATES, INC.","TADDEI, LUDWIG & ASSOCIATES, INC.","999 FIFTH AVE., SUITE 230",,SAN RAFAEL,CA,UNITED STATES,94901,415-482-1561,415-456-2935,,,,,,,Approved,1/21/2010,5/21/2010,Y,WWW.TLAFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"39,500,000.00","39,500,000.00",0,380,380,Y,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,135616,801-66614,TRUNORTH,TNJOURNEY LLC,1099 HELMO AVE.NORTH,SUITE 230,OAKDALE,MN,USA,55128,651-735-5878,651-735-5881,,,,,,,Approved,5/15/2006,5/21/2010,Y,WWW.TNJOURNEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"134,254,661.00","3,319,677.00","137,574,338.00",431,36,467,Y,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT CONSULTING,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105100,801-25958,SASCO CAPITAL INC,SASCO CAPITAL INC,10 SASCO HILL ROAD,,FAIRFIELD,CT,UNITED STATES,6824,203-254-6800,203-259-3842,,,,,,,Approved,12/13/1985,3/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,11-25 percent,0 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,747,000,000.00",0,"3,747,000,000.00",31,0,31,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114381,801-61853,"WJ INTERESTS, LLC","WJ INTERESTS, LLC",2333 TOWN CENTER DRIVE,SUITE 100,SUGAR LAND,TX,UNITED STATES,77478,281-634-9400,281-634-9406,,,,,,,Approved,2/28/2003,3/4/2010,Y,WWW.WJINTERESTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"130,709,000.00",0,"130,709,000.00",507,0,507,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,149101,801-70802,"LAUREN TEMPLETON CAPITAL MANAGEMENT, LLC","LAUREN TEMPLETON CAPITAL MANAGEMENT, LLC",1208 POINTE CENTRE DRIVE,SUITE 210,CHATTANOOGA,TN,UNITED STATES,37421,423-826-0944,423-826-0949,,,,,,,Approved,11/25/2009,3/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"101,383,103.00",0,"101,383,103.00",8,0,8,N,Y,N,N,N,N,N,N,N,Y,PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111225,801-62926,PASSANTE ASSOCIATES LLC,PASSANTE ASSOCIATES LLC,216 ROUTE 299,,HIGHLAND,NY,USA,12528,845-691-4035,845-691-4037,,,,,,,Approved,3/16/2004,3/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"124,562,977.00","10,176,913.00","134,739,890.00",986,36,"1,022",Y,Y,N,N,N,Y,Y,N,N,N,,10-Jan,,N,Y,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,148401,801-69605,MICOUD INVESTMENTS LIMITED,MICOUD INVESTMENTS LIMITED,,,,,,,758-484-9006,758-458-0904,,,,,,,Approved,10/8/2008,3/4/2010,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),INTERNATIONAL BUSINESS COMPANY,,BRITISH VIRGIN ISLANDS,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137452,801-64892,ENHANCED INVESTMENT PRODUCTS LIMITED,ENHANCED INVESTMENT PRODUCTS ( CAYMAN) LIMITED,C/O WALKERS SPV LIMITED,87 MARY STREET,"GEORGE TOWN, GRAND CAYMAN",,CAYMAN ISLANDS,,1 345 949 0100,1 345 949 7886,"1601 ONE EXCHANGE SQUARE, CENTRAL",,HONG KONG S.A.R.,,CHINA,,Approved,5/20/2006,3/27/2007,Y,WWW.EIP.COM.HK,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CAYMAN ISLANDS,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"156,000,000.00",0,"156,000,000.00",10,0,10,N,N,Y,Y,N,Y,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,130397,801-64468,FINANCIAL SOLUTIONS ASSOCIATES,"GOVERMAN, BARNET",990 WASHINGTON STREET,,DEDHAM,MA,UNITED STATES,2026,781-251-0505,781-461-2969,,,,,,,Approved,7/25/2005,3/4/2010,Y,WWW.FINANCIALSOLUTIONS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"51,094,200.00",0,"51,094,200.00",182,0,182,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106858,801-41651,"VAN SANT & MEWSHAW, INC","VAN SANT & MEWSHAW, INC",THE FOXLEIGH BLDG,"2330 W JOPPA ROAD, SUITE 201",LUTHERVILLE,MD,USA,21093,410-825-8844,410-825-8520,P.O. BOX 687,,BROOKLANDVILLE,MD,USA,21022-0687,Approved,6/5/1992,3/4/2010,Y,VS-M.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"177,794,065.00",0,"177,794,065.00",998,0,998,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115693,801-69804,CAPITAL STRATEGIES FINANCIAL CORPORATION,CAPITAL STRATEGIES FINANCIAL CORPORATION,,,,,,,952-926-3000,815-717-7326,,,,,,,Approved,1/5/2009,3/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"80,215,146.00",0,"80,215,146.00",109,0,109,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,133164,801-66132,"NEW WEALTH ADVISORS, LLC","NEW WEALTH ADVISORS, LLC",1 HIGHWOOD OFFICE PARK,,TEWKSBURY,MA,UNITED STATES,1876,978-687-5869,978-685-2333,,,,,,,Approved,1/26/2006,3/4/2010,Y,WWW.NEWWEALTHADVISORS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"16,998,961.00","30,598,615.00","47,597,576.00",71,27,98,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108253,801-56832,CLEARBROOK INVESTMENT CONSULTING LLC,CLEARBROOK INVESTMENT CONSULTING LLC,4 HIGH RIDGE PARK,SUITE 101,STAMFORD,CT,UNITED STATES,6905,203-355-0990,203-355-0997,,,,,,,Approved,9/10/1999,3/4/2010,Y,CLEARBROOKIC.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"25,056,845.00",0,"25,056,845.00",4,0,4,N,Y,N,N,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,144174,801-67965,RON BEATON'S MONEY MATTERS,"BEATON, RONALD, RAY",,,,,,,270-443-8711,270-443-3074,,,,,,,Approved,5/29/2007,3/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,KY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"38,486,051.00","742,848.00","39,228,899.00",56,9,65,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,125791,801-61958,"HOOKER & HOLCOMBE INVESTMENT ADVISORS, INC.","HOOKER & HOLCOMBE INVESTMENT ADVISORS, INC.",65 LASALLE ROAD,,WEST HARTFORD,CT,USA,6107,860-521-8400,860-521-3742,,,,,,,Approved,4/4/2003,3/4/2010,Y,WWW.HHCONSULTANTS.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"149,626,381.00","149,626,381.00",0,20,20,N,N,N,Y,Y,Y,N,N,N,Y,RFP AND AUDITING SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,136015,801-66654,MAXIMUM 401K.COM,MAXIMUM 401K.COM,10707 TAVERNAY PKWY,,CHARLOTTE,NC,USA,28262,704-650-3179,707-924-2900,,,,,,,Approved,4/28/2006,4/19/2006,Y,WWW.MAXIMUM401K.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,0,0,0,0,5-Jan,0,10-Jan,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,Y,N,N,N,N,,N,0,0,0,0,0,0,N,Y,N,N,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,131149,801-65085,"POST ROAD CAPITAL MANAGEMENT, LLC","POST ROAD CAPITAL MANAGEMENT, LLC",5 RUSTIC LANE,,WESTPORT,CT,UNITED STATES,6880,203-254-1248,203-286-1866,,,,,,,Approved,1/3/2006,3/4/2010,Y,WWW.POSTROADCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,500,000.00",0,"25,500,000.00",5,0,5,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,104721,801-34436,CATHOLIC FOUNDATION,THE CATHOLIC FOUNDATION,"5310 HARVEST HILL RD., STE 248",,DALLAS,TX,UNITED STATES,75230,972-661-9792,972-661-0140,,,,,,,Approved,6/22/1989,3/4/2010,Y,CATHOLICFOUNDATION.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"11,416,748.00","21,066,975.00","32,483,723.00",18,66,84,N,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR CHARITABLE & EDUCATIONAL ORGANIZATIONS,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,151581,801-70724,INVESTMENT & RETIREMENT SOLUTIONS LLC,INVESTMENT & RETIREMENT SOLUTIONS LLC,747 W. 1ST STREET,SUITE C,CASPER,WY,UNITED STATES,82601,307-234-1200,307-235-0700,,,,,,,Approved,11/17/2009,3/4/2010,Y,WWW.INVESTADV.NET,N,N,Y,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"3,000,155.00","3,090,466.00","6,090,621.00",10,13,23,Y,Y,N,N,N,Y,N,N,N,N,,0,,Y,Y,N,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,136334,801-64509,MILLAR FINANCIAL,"MILLAR, TIMOTHY, PATRICK","39560 STEVENSON PLACE, SUITE 115",,FREMONT,CA,UNITED STATES,94539-3074,510-792-9395,510-745-9268,,,,,,,Approved,7/20/2005,3/4/2010,Y,WWW.MILLARFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"49,074,338.00","49,074,338.00",0,206,206,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,141799,801-67169,"PRINTZ CAPITAL MANAGEMENT, LLC","PRINTZ CAPITAL MANAGEMENT, LLC",401 S. 2ND STREET,SUITE 205,PHILADELPHIA,PA,USA,19147,215-925-7445,215-689-2932,P.O. BOX 63927,,PHILADELPHIA,PA,USA,19147,Approved,9/19/2006,3/4/2010,Y,WWW.PRINTZCAPITAL.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"5,000,000.00","5,000,000.00",0,20,20,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108003,801-55334,OAKBROOK INVESTMENTS,OAKBROOK INVESTMENTS LLC,2300 CABOT DRIVE,SUITE 300,LISLE,IL,UNITED STATES,60532-4616,630-271-0100,630-271-0150,,,,,,,Approved,3/27/1998,3/4/2010,Y,WWW.OAKBROOKINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,791,310,840.00",0,"1,791,310,840.00",89,0,89,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,149616,801-69976,"FREEMAN INVESTMENT MANAGEMENT CO., LLC","FREEMAN INVESTMENT MANAGEMENT CO., LLC",12255 EL CAMINO REAL,SUITE 200,SAN DIEGO,CA,UNITED STATES,92130,858-779-9800,858-779-9801,,,,,,,Approved,2/18/2009,3/4/2010,Y,WWW.FREEMANINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,11-25 percent,0 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"387,410,000.00",0,"387,410,000.00",13,0,13,N,Y,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT TO PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105671,801-22733,D.B. FITZPATRICK & CO.,"D.B. FITZPATRICK & CO., INC.",225 N 9TH STREET,SUITE 810,BOISE,ID,UNITED STATES,83702-5778,208-342-2280,208-342-2448,,,,,,,Approved,11/15/1984,3/4/2010,Y,WWW.DBFITZPATRICK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,ID,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,NOT FOR PROFIT UNIVERSITIES,Y,N,N,N,N,N,N,,Y,"894,148,315.00",0,"894,148,315.00",169,0,169,N,Y,N,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,"COMMERCIAL MORTGAGE LENDING, AND LOAN SERVICING",N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123526,801-68259,LANDMARK CAPITAL INC.,LANDMARK CAPITAL INC.,1000 JORIE BLVD. SUITE 140,,OAK BROOK,IL,UNITED STATES,60523,630-990-1800,630-990-1801,,,,,,,Approved,8/20/2007,3/4/2010,Y,WWW.LANDMARKCPI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"13,611,661.00","19,597,792.00","33,209,453.00",28,23,51,Y,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT PERFORMANCE/POSITION REPORTS,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109592,801-57954,"PALLAS INVESTMENT PARTNERS, L.P.","PALLAS INVESTMENT PARTNERS, L.P.",555 MISSION STREET,SUITE 1700,SAN FRANCISCO,CA,UNITED STATES,94105,415-954-5400,415-954-8200,,,,,,,Approved,10/4/2000,3/4/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"8,714,933.00",0,"8,714,933.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,125219,801-64544,"FRONT STREET INVESTMENT MANAGEMENT, LLC","FRONT STREET INVESTMENT MANAGEMENT, LLC",400 W. FRONT STREET SUITE 206,,TRAVERSE CITY,MI,UNITED STATES,49684,231-947-3775,231-947-3799,,,,,,,Approved,8/17/2005,3/4/2010,Y,WWW.FRONTSTREET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"66,973,183.00",0,"66,973,183.00",172,0,172,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,129266,801-67908,"MARTINELLI DISCENZA INVESTMENT COUNSEL, INC.","MARTINELLI DISCENZA INVESTMENT COUNSEL, INC.",138 LONGMEADOW STREET,,LONGMEADOW,MA,USA,1106,413-567-8411,413-567-8414,,,,,,,Approved,5/11/2007,3/4/2010,Y,WWW.MARTINELLIDISCENZA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"36,904,247.00",0,"36,904,247.00",144,0,144,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,128362,801-67730,"EXECUTIVE MONEY MANAGERS, INC.","EXECUTIVE MONEY MANAGERS, INC.",,,,,,,770-953-1135,770-953-1136,,,,,,,Approved,5/2/2007,2/1/2010,Y,WWW.EXECUTIVEMONEYMANAGERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"40,825,064.00",0,"40,825,064.00",406,0,406,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109303,801-55988,LASALLE INVESTMENT & BUSINESS MANAGEMENT SERVICES INC,LASALLE INVESTMENT & BUSINESS MANAGEMENT SERVICES INC,1620 SILVERNAIL ROAD,,PEWAUKEE,WI,USA,53072,262-650-1099,262-650-1098,,,,,,,Approved,11/20/1998,2/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"46,000,000.00",0,"46,000,000.00",182,0,182,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108326,801-47981,LYNCH & ASSOCIATES,LYNCH & ASSOCIATES INC,10644 NEWBURGH RD,SR 662,NEWBURGH,IN,USA,47630,812-853-0878,812-853-0798,P.O. BOX 5585,,EVANSVILLE,IN,USA,47716,Approved,12/5/1994,2/1/2010,Y,WWW.LNAONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"165,244,479.00","29,735,807.00","194,980,286.00","1,226",105,"1,331",N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,151691,801-70800,"LAGUNA FINANCIAL GROUP, INC.","LAGUNA FINANCIAL GROUP, INC.",332 FOREST AVE,STE 24,LAGUNA BEACH,CA,UNITED STATES,92652,949-715-7675,949-715-7674,PO BOX 1047,,LAGUNA BEACH,CA,UNITED STATES,92652,Approved,11/25/2009,2/1/2010,Y,LAGUNAFINANCIAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"64,801,531.00",0,"64,801,531.00",246,0,246,Y,Y,N,Y,N,N,Y,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107645,801-43846,GRIFFIN PORTFOLIO MANAGEMENT CORP,GRIFFIN PORTFOLIO MANAGEMENT CORP,"32255 NORTHWESTERN HWY,STE 226",,FARMINGTON HILLS,MI,UNITED STATES,48334,248-865-0518,248-865-0662,,,,,,,Approved,5/5/1993,2/1/2010,Y,WWW.GRIFPORT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"84,377,726.00",0,"84,377,726.00",504,0,504,N,Y,N,N,N,N,N,N,N,Y,FURNISHES INVESTMENT ADVICE THROUGH CONSULTATIONS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,152748,801-71042,"ACUMEN FINANCIAL ADVISORS, LLC","ACUMEN FINANCIAL ADVISORS, LLC",8500 NORMANDALE LAKE BLVD.,SUITE 510,BLOOMINGTON,MN,UNITED STATES,55437-3818,952-897-5777,952-897-5775,,,,,,,Approved,1/25/2010,2/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"64,288,489.00","64,288,489.00",0,209,209,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,134149,801-68483,"NEW CENTURY CAPITAL MANAGEMENT, LLC","NEW CENTURY CAPITAL MANAGEMENT, LLC",36 SOUTH WASHINGTON STREET,,HINSDALE,IL,USA,60521-4155,630-789-0001,630-789-0014,,,,,,,Approved,11/7/2007,2/1/2010,Y,WWW.NCCAPITALMANAGEMENT.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,A PORTION OF THE MUTUAL FUND MANAGEMENT FEE (BASED ON ASSET SIZE,Y,"40,831,210.00","514,858.00","41,346,068.00",24,1,25,N,Y,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT SYSTEM FOR USE BY OTHER ADVISERS AND FINANCIAL INSTITUTIONS,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107956,801-57098,ROCHESTER FINANCIAL SERVICES,FELDMAN JEFFREY MARK,,,,,,,585-442-7580,585-473-9947,,,,,,,Approved,12/23/1999,2/1/2010,Y,HTTP://WWW.ROCHESTERFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"82,993,733.00",0,"82,993,733.00",241,0,241,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115050,801-60925,"VON HOLT FINANCIAL ADVISORS, INC.","VON HOLT FINANCIAL ADVISORS, INC.",4801 EMERSON AVENUE,SUITE 102,PALATINE,IL,UNITED STATES,60067,847-303-6050,847-303-6060,,,,,,,Approved,2/15/2002,2/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"54,000,000.00",0,"54,000,000.00",125,0,125,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,126453,801-64447,"PROFESSIONAL ADVISORY GROUP, INC.","PROFESSIONAL ADVISORY GROUP, INC.","500 COLONIAL CENTER PARKWAY,",SUITE 600,ROSWELL,GA,USA,30076,770-998-8721,770-992-4733,,,,,,,Approved,7/28/2005,2/1/2010,Y,WWW.PPAADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"20,550,000.00","17,254,000.00","37,804,000.00",100,84,184,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108145,801-55835,BARNES INVESTMENT ADVISORY INC,BARNES INVESTMENT ADVISORY INC,7250 NORTH 16TH STREET,STE 412,PHOENIX,AZ,USA,85020-5264,602-248-9099,602-248-8862,,,,,,,Approved,8/1/1998,2/1/2010,Y,WWW.BARNESINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"118,800,918.00",0,"118,800,918.00",135,0,135,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,119314,801-64247,"ROSENBERG FINANCIAL GROUP, INC.","ROSENBERG FINANCIAL GROUP, INC.",2517 MOODY ROAD,,WARNER ROBINS,GA,USA,31088,478-922-8100,478-922-3090,,,,,,,Approved,5/6/2005,2/1/2010,Y,WWW.ROSENBERGFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,"INDIVIDUAL 401K; PSP, PP",Y,Y,N,Y,N,N,N,,Y,"76,474,991.00",0,"76,474,991.00",435,0,435,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106063,801-42852,LIBERTY CAPITAL MANAGEMENT INC,LIBERTY CAPITAL MANAGEMENT INC,401 S OLD WOODWARD AVENUE,STE 430,BIRMINGHAM,MI,UNITED STATES,48009,248 258-9290,248 258-9292,,,,,,,Approved,12/8/1992,2/1/2010,Y,LCMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"146,573,876.00",0,"146,573,876.00",229,0,229,N,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106581,801-7153,SPAR INVESTMENT COUNSEL INC,SPAR INVESTMENT COUNSEL INC,1201 ELM ST,STE 4480 LOCK BOX #52,DALLAS,TX,UNITED STATES,75270-2035,214-748-2111,214-748-4883,,,,,,,Approved,12/31/1970,2/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"17,164,000.00","37,143,000.00","54,307,000.00",11,14,25,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,115969,801-67510,"BBJS FINANCIAL ADVISORS, LLC","BBJS FINANCIAL ADVISORS, LLC","1501 FOURTH AVENUE, SUITE 2880",,SEATTLE,WA,USA,98101,206-682-4840,206-447-1581,,,,,,,Approved,1/24/2007,2/1/2010,Y,WWW.BBJSADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"42,738,000.00",0,"42,738,000.00",50,0,50,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107643,801-39603,"BOSTON RESEARCH AND MANAGEMENT, INC.","BOSTON RESEARCH AND MANAGEMENT, INC.",40 BEACH STREET,SUITE 200,MANCHESTER,MA,UNITED STATES,1944,(978) 526-9700,(978) 526-1804,,,,,,,Approved,7/31/1991,2/1/2010,Y,WWW.BOSTONRM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"220,044,324.00",0,"220,044,324.00",386,0,386,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153276,801-71202,"TIBURON CAPITAL MANAGEMENT, LLC","TIBURON CAPITAL MANAGEMENT, LLC",527 MADISON AVENUE,6TH FLOOR,NEW YORK,NY,UNITED STATES,10022,(646) 840-4928,(646) 840-4924,,,,,,,Approved,3/23/2010,7/23/2010,Y,HTTP://TIBURONHOLDINGS.NET/,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"19,000,000.00",0,"19,000,000.00",8,0,8,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105403,801-32688,"HIRTLE, CALLAGHAN & CO., LLC","HIRTLE, CALLAGHAN & CO., LLC","FIVE TOWER BRIDGE, 300 BARR HARBOR DRIVE",SUITE 500,WEST CONSHOHOCKEN,PA,UNITED STATES,19428-2998,610-828-7200,610-828-7425,,,,,,,Approved,8/19/1988,7/23/2010,Y,WWW.HIRTLECALLAGHAN.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,251-500,0,11-25 percent,26-50 percent,Up to 10 percent,26-50 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,11-25 percent,"ENDOWMENTS, EDUCATIONAL INSTITUTIONS",Y,N,N,N,N,N,N,,Y,"16,518,750,000.00","1,381,250,000.00","17,900,000,000.00","3,994",31,"4,025",N,Y,Y,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123955,801-62084,"COX FINANCIAL GROUP, LTD.","COX FINANCIAL GROUP, LTD.",1051 PERIMETER DRIVE,SUITE 550,SCHAUMBURG,IL,UNITED STATES,60173-5807,847.240.0022 X 12,847.240.0042,,,,,,,Approved,5/30/2003,7/23/2010,Y,WWW.COXFIN.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"32,649,071.00",0,"32,649,071.00",35,0,35,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,129562,801-65021,"PACIFIC FINANCIAL ADVISORS, INC.","PACIFIC FINANCIAL ADVISORS, INC.",32451 GOLDEN LANTERN,SUITE 307,LAGUNA NIGUEL,CA,UNITED STATES,92677,949-489-0900,949-489-0800,,,,,,,Approved,1/3/2006,5/21/2009,Y,WWW.PFADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"85,000,000.00",0,"85,000,000.00",60,0,60,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110988,801-9326,BENIN MANAGEMENT CORP,BENIN MANAGEMENT CORP,,,,,,,203-762-3295,203-762-5629,,,,,,,Approved,6/4/1973,7/26/2010,Y,WWW.BENINMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,NEGOTIATE FEES,Y,"204,354,458.00",0,"204,354,458.00",590,0,590,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,132191,801-66513,THAYER | HIDDEN CREEK,"THAYER | HIDDEN CREEK MANAGEMENT, L.P.","1455 PENNSYLVANIA AVE., NW",SUITE 350,WASHINGTON,DC,UNITED STATES,20004,202-371-0150,202-371-0391,,,,,,,Approved,4/26/2006,7/23/2010,Y,WWW.THAYERHIDDENCREEK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"639,183,147.00",0,"639,183,147.00",6,0,6,N,N,N,N,N,N,N,N,N,Y,INVESTMENT MANAGER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,131758,801-66515,THAYER | HIDDEN CREEK,"TC EQUITY PARTNERS IV, L.L.C.","1455 PENNSYLVANIA AVE, NW",SUITE 350,WASHINGTON,DC,UNITED STATES,20004,202-371-0150,202-371-0391,,,,,,,Approved,7/28/2006,7/23/2010,Y,WWW.THAYERHIDDENCREEK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"272,583,642.00",0,"272,583,642.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,INVESTMENT MANAGER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,131760,801-66514,THAYER | HIDDEN CREEK,"TC EQUITY PARTNERS V, L.L.C.","1455 PENNSYLVANIA AVE, NW",SUITE 350,WASHINGTON,DC,UNITED STATES,20004,202-371-0150,202-371-0391,,,,,,,Approved,7/28/2006,7/23/2010,Y,WWW.THAYERHIDDENCREEK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"277,914,181.00",0,"277,914,181.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,INVESTMENT MANAGER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,145935,801-68748,THAYER | HIDDEN CREEK,"THCP MANAGEMENT II, L.P.",1455 PENNSYLVANIA AVENUE,SUITE 350,WASHINGTON,DC,UNITED STATES,20004,202-371-0150,202-371-0391,,,,,,,Approved,2/6/2008,7/23/2010,Y,WWW.THAYERHIDDENCREEK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"85,367,188.00",0,"85,367,188.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,INVESTMENT MANAGER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,153668,801-71440,"MCLAUGHLIN RYDER ADVISORY SERVICES, LLC","MCLAUGHLIN RYDER ADVISORY SERVICES, LLC",1421 PRINCE STREET,SUITE 400,ALEXANDRIA,VA,UNITED STATES,22314,703-684-9222,703-684-9224,,,,,,,Approved,5/20/2010,7/24/2010,Y,WWW.MCLAUGHLINRYDER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,0,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"52,600,000.00","52,600,000.00",0,300,300,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
CHRO,105245,801-29095,TEALWOOD MANAGEMENT INC,TEALWOOD ASSET MANAGEMENT INC,1225 IDS CENTER,80 SO. EIGHTH STREET,MINNEAPOLIS,MN,USA,55402,612-340-0181,612-341-9363,,,,,,,Approved,3/18/1987,7/26/2010,Y,WWW.TEALWOOD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,10-Jun,0,10-Jun,0,0,0,10-Jun,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"312,706,148.00","2,591,716.00","315,297,864.00",814,4,818,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,148532,801-70391,"VALUES FIRST ADVISORS, INC.","VALUES FIRST ADVISORS, INC.",101 OLD GRAY STATION ROAD,,GRAY,TN,UNITED STATES,37615,877-832-3847,866-255-9868,,,,,,,Approved,7/24/2009,7/26/2010,Y,WWW.VALUESFIRSTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"55,207,721.00",0,"55,207,721.00",776,0,776,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,11173,801-69260,"NATIONWIDE SECURITIES, LLC","NATIONWIDE SECURITIES, LLC",5100 RINGS ROAD,MAIL CODE: RR1-05-D6,DUBLIN,OH,UNITED STATES,43017,888-753-7364,614-249-3812,ONE NATIONWIDE PLAZA,MAIL CODE: 01-33-401,COLUMBUS,OH,UNITED STATES,43215,Approved,7/9/2008,7/26/2010,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,Limited Liability Company,,DE,UNITED STATES,251-500,0,251-500,0,251-500,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"329,645.00","329,645.00",0,1,1,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
MIRO,125112,801-69511,INDEPENDENT FINANCIAL PARTNERS,"WILLIAM E. HAMM & ASSOCIATES,INC",3030 NORTH ROCKY POINT DR. WEST,SUITE 150,TAMPA,FL,UNITED STATES,33607,813-341-0960,813-288-0701,,,,,,,Approved,9/19/2008,7/26/2010,Y,WWW.IFPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,51-250,0,51-250,0,51-250,0,10-Jun,0,More than 500,"1,000",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,TRUST ACCOUNTS,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISORY FEES,Y,"275,000,000.00","25,000,000.00","300,000,000.00",650,100,750,Y,Y,N,Y,N,Y,N,N,N,Y,DIVORCE PLANNING SERVICES,25-Nov,,Y,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110956,801-20826,CAPITAL STRATEGY GROUP LTD,CAPITAL STRATEGY GROUP LTD,110 W. FAYETTTE STREET,,SYRACUSE,NY,UNITED STATES,13202-2507,315-471-1547,315-234-0404,,,,,,,Approved,3/2/1984,7/26/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"29,640,478.00",0,"29,640,478.00",99,0,99,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,146549,801-68977,"TOWER WEALTH MANAGEMENT, LLC","TOWER WEALTH MANAGEMENT, LLC",SUITE 803,20600 CHAGRIN BOULEVARD,CLEVELAND,OH,UNITED STATES,44122,216-295-2400,216-295-2410,,,,,,,Approved,3/26/2008,7/26/2010,Y,WWW.TOWERWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"162,737,106.00","10,359,992.00","173,097,098.00",366,11,377,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,103705,801-71181,"CITY NATIONAL SECURITIES, INC.","CITY NATIONAL SECURITIES, INC.","400 N. ROXBURY DRIVE,7TH FLOOR",,BEVERLY HILLS,CA,UNITED STATES,90210,310-888-6393,310-888-6388,,,,,,,Approved,3/22/2010,7/26/2010,Y,WWW.CNB.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,CA,UNITED STATES,51-250,0,0,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,MUTUAL FUND FEES,Y,0,0,0,0,0,0,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
BRO,105129,801-35875,"BRIDGEWATER ASSOCIATES, LP","BRIDGEWATER ASSOCIATES, LP",ONE GLENDINNING PLACE,,WESTPORT,CT,UNITED STATES,6880,203-226-3030,203-291-7300,,,,,,,Approved,1/12/1990,7/26/2010,Y,WWW.BWATER.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,501-1000,0,51-250,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,11-25 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,FOREIGN GOVERNMENTS & SUPRANATIONALS,Y,N,N,Y,N,Y,N,,Y,"73,286,358,869.00",0,"73,286,358,869.00",98,0,98,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,144133,801-68005,"LOCKTON INVESTMENT ADVISORS, LLC","LOCKTON INVESTMENT ADVISORS, LLC",444 W 47TH STREET,SUITE 900,KANSAS CITY,MO,UNITED STATES,64112,816-960-9000,,,,,,,,Approved,6/18/2007,7/26/2010,Y,WWW.LOCKTON.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109422,801-57807,BROADMARK ASSET MANAGEMENT LLC,BROADMARK ASSET MANAGEMENT LLC,12 EAST 52ND STREET,3RD FLOOR,NEW YORK,NY,UNITED STATES,10022,212-586-6566,212-586-7573,,,,,,,Approved,9/7/2000,7/26/2010,Y,WWW.BROADMARKASSET.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,11-25 percent,0 percent,11-25 percent,0 percent,26-50 percent,MODEL PORTFOLIOS FOR WRAP ACCOUNT SPONSORS,Y,N,N,N,N,Y,N,,Y,"1,501,390,448.00",0,"1,501,390,448.00",16,0,16,N,Y,Y,Y,N,N,N,N,N,Y,MODEL PORTFOLIOS FOR WRAP ACCOUNT SPONSORS,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,104842,801-8762,HIGHLAND CAPITAL MANAGEMENT CORP,HIGHLAND CAPITAL MANAGEMENT CORP,6077 PRIMACY PKWY,SUITE 228,MEMPHIS,TN,UNITED STATES,38119,901-761-9500,901-761-5631,,,,,,,Approved,7/21/1972,3/31/2010,Y,WWW.HIGHLANDCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,553,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,014,306,000.00","727,007.00","1,015,033,007.00",552,1,553,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,137453,801-67786,"BULL & BEAR CAPITAL ADVISORS, LLC","BULL & BEAR CAPITAL ADVISORS, LLC",6817 SOUTHPOINT PARKWAY,SUITE 1003,JACKSONVILLE,FL,UNITED STATES,32216,904-363-3600,904-224-0441,,,,,,,Approved,4/16/2007,3/31/2010,Y,WWW.BULLBEARCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"41,453,390.00","41,453,390.00",0,239,239,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,142725,801-67453,"COLUMBIA PACIFIC ADVISORS, LLC","COLUMBIA PACIFIC ADVISORS, LLC",1910 FAIRVIEW AVE EAST,SUITE 500,SEATTLE,WA,UNITED STATES,98102-3698,206-728-9063,206-694-2705,,,,,,,Approved,1/10/2007,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"318,933,427.00",0,"318,933,427.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,151743,801-70659,NY LEGACY VC MANAGEMENT LLC,NY LEGACY VC MANAGEMENT LLC,75 ISHAM ROAD,SUITE 200,WEST HARTFORD,CT,UNITED STATES,6107,860-674-8066,860-678-5108,,,,,,,Approved,10/14/2009,3/31/2010,Y,FAIRVIEWCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,FUND-OF FUNDS,Y,N,N,N,N,Y,N,,Y,"502,500,000.00",0,"502,500,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138686,801-65354,"LATIGO PARTNERS, L.P.","LATIGO PARTNERS, L.P.",590 MADISON AVENUE 9TH FLOOR,,NEW YORK,NY,UNITED STATES,10022,212-754-1610,212-826-5280,,,,,,,Approved,1/26/2006,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"130,203,989.00",0,"130,203,989.00",11,0,11,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,117676,801-66830,"ROBINSON, TIGUE, SPONCIL & ASSOCIATES, LLC","ROBINSON, TIGUE, SPONCIL & ASSOCIATES, LLC",2425 E. CAMELBACK ROAD,SUITE 620,PHOENIX,AZ,UNITED STATES,85016,602-224-7850,602-224-7860,,,,,,,Approved,6/26/2006,3/31/2010,Y,WWW.RTSADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"103,000,000.00","16,000,000.00","119,000,000.00",300,86,386,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,Y,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112329,801-56886,FIG ADVISORS LLC,FIG ADVISORS LLC,1345 AVENUE OF THE AMERICAS,46TH FLOOR,NEW YORK,NY,UNITED STATES,10105,212-798-6100,917-591-8633,,,,,,,Approved,1/20/2000,3/31/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,51-75 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"45,675,107.00",0,"45,675,107.00",3,0,3,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
HQ,106843,801-51087,BLACKROCK INTERNATIONAL LIMITED,BLACKROCK INTERNATIONAL LIMITED,40 TORPHICHEN STREET,,EDINBURGH,,UNITED KINGDOM,EH3 8JB,011-44-131-472-7200,011-44-131-472-7203,,,,,,,Approved,1/26/1996,3/31/2010,Y,HTTP://WWW.BLACKROCK.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,Up to 10 percent,26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"26,292,360,014.00",0,"26,292,360,014.00",73,0,73,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,6905,801-68779,FELTL AND COMPANY,FELTL & COMPANY,225 SOUTH SIXTH STREET,SUITE 4200,MINNEAPOLIS,MN,UNITED STATES,55402,612-492-8800,612-492-8898,,,,,,,Approved,2/6/2008,3/31/2010,Y,WWW.FELTL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,PERCENTAGE OF ASSETS UNDER OUTSIDE MANAGEMENT,Y,0,"90,358,676.00","90,358,676.00",0,477,477,Y,Y,N,N,N,Y,N,N,N,Y,WRAP ACCOUNTS THROUGH NON-AFFILIATED PROVIDERS,0,,Y,Y,Y,N,N,N,N,N,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,108905,801-49682,TGM ASSOCIATES L.P.,TGM ASSOCIATES L.P.,"650 FIFTH AVENUE, 28TH FL",,NEW YORK,NY,UNITED STATES,10019-6149,212-830-9300,646-452-1250,,,,,,,Approved,7/17/1995,3/31/2010,Y,WWW.TGMASSOCIATES.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,NY,UNITED STATES,251-500,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,Y,ADVISORY FEE CALCULATED AS A PERCENT OF INVESTED CAPITAL,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,Y,PORTFOLIO MGR-POOLED INVESTMENT VEHICLE,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108069,801-57038,"BLACKROCK CAPITAL MANAGEMENT, INC.","BLACKROCK CAPITAL MANAGEMENT, INC.",100 BELLEVUE PARKWAY,,WILMINGTON,DE,UNITED STATES,19809,302-797-2000,302-797-2473,,,,,,,Approved,12/13/1999,3/31/2010,Y,WWW.BLACKROCK.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,251-500,0,51-250,0,Nov-50,0,5-Jan,0,101-250,0,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,11-25 percent,SECURITIES LENDING PROGRAMS,Y,N,N,N,N,Y,N,,Y,"23,481,248,829.00",0,"23,481,248,829.00",168,0,168,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,149294,801-70028,"HANCOCK INSTITUTIONAL ADVISORS, LLC","HANCOCK INSTITUTIONAL ADVISORS, LLC",383 MARSHALL AVENUE,,ST. LOUIS,MO,UNITED STATES,63119-1831,314-997-3191,314-997-3358,,,,,,,Approved,4/14/2009,3/31/2010,Y,WWW.HANCOCKINVESTMENTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,25-Nov,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"6,521,049,255.00","6,521,049,255.00",0,11,11,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
SFRO,104596,801-1895,DODGE & COX,DODGE & COX,555 CALIFORNIA STREET,40TH FLOOR,SAN FRANCISCO,CA,UNITED STATES,94104,415-981-1710,415-986-1192,,,,,,,Approved,3/14/1959,3/31/2010,Y,WWW.DODGEANDCOX.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,51-250,0,51-250,0,0,0,0,0,More than 500,500,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,UNION/TAFT-HARTLEY,Y,N,N,Y,N,N,N,,Y,"171,287,780,000.00","1,173,471,000.00","172,461,251,000.00",916,3,919,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124674,801-61770,ANCORA ADVISORS LLC,ANCORA ADVISORS LLC,2000 AUBURN DRIVE,SUITE 300,BEACHWOOD,OH,USA,44122,216-825-4000,216-825-4001,,,,,,,Approved,1/30/2003,3/31/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,251-500,0,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,UNION,Y,N,N,N,N,N,N,,Y,"1,506,312,104.00","983,140,604.00","2,489,452,708.00",398,27,425,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,148181,801-70155,H/N MANAGEMENT,"H/N MANAGEMENT, LLC",505 20TH STREET NORTH,SUITE 1015,BIRMINGHAM,AL,UNITED STATES,35203,205-328-3120,205-326-0528,,,,,,,Approved,5/4/2009,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,"PRIVATE EQUITY PTRSHIPS, FUND OF HEDGE FUNDS, AND/OR REAL ESTATE PTRSHIPS",N,N,N,Y,N,Y,N,,Y,"44,293,335.00",0,"44,293,335.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107807,801-57520,OFI PRIVATE INVESTMENTS INC,OFI PRIVATE INVESTMENTS INC,2 WORLD FINANCIAL CENTER,225 LIBERTY STREET,NEW YORK,NY,USA,10281-1008,212-323-0200,212-323-4071,,,,,,,Approved,5/12/2000,3/31/2010,Y,WWW.OFIPRIVATEINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"3,500",0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,353,091,706.00","3,612,342,741.00","5,965,434,447.00","1,763",11,"1,774",N,Y,N,Y,N,Y,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N
NYRO,104979,801-27136,HARBOURVIEW ASSET MANAGEMENT CORPORATION,HARBOURVIEW ASSET MANAGEMENT CORPORATION,"2 WORLD FINANCIAL CENTER, 225 LIBERTY STREET",11TH FLOOR,NEW YORK,NY,USA,10281-1008,212-323-0200,212-323-4071,,,,,,,Approved,7/11/1986,3/31/2010,Y,WWW.HARBOURVIEWASSETS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,MGMNT FEE = RESIDUAL INTEREST &/OR INCENTIVE FEE,Y,"2,952,500,000.00",0,"2,952,500,000.00",11,0,11,N,N,N,Y,N,N,N,N,N,Y,PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N
MIRO,111846,801-57175,"CONSULTIVA INTERNACIONAL, INC.",CONSULTIVA INTERNACIONAL INC,273 PONCE DE LEON AVE.,SUITE 1201,SAN JUAN,PR,UNITED STATES,00917-1923,787-763-5868,787-763-5397,,,,,,,Approved,2/8/2000,3/31/2010,Y,WWW.CONSULTIVA.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,PR,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"2,134,034,260.00","2,134,034,260.00",0,150,150,Y,Y,N,Y,Y,Y,N,N,N,Y,PROVIDE QUARTERLY REPORTS,10-Jan,,N,N,N,Y,N,N,Y,N,Y,FINANCIAL PLANNING,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104967,801-11312,"OFI INSTITUTIONAL ASSET MANAGEMENT, INC.",TRINITY INVESTMENT MANAGEMENT CORPORATION,301 NORTH SPRING ST,,BELLEFONTE,PA,USA,16823,814-355-1000,814-355-1372,,,,,,,Approved,2/5/1976,3/31/2010,Y,WWW.OFII.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,25-Nov,0,0 percent,Up to 10 percent,11-25 percent,0 percent,11-25 percent,0 percent,11-25 percent,0 percent,26-50 percent,0 percent,,Y,N,Y,N,N,Y,N,,Y,"308,780,183.00",0,"308,780,183.00",12,0,12,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N
PLRO,106991,801-51725,WALSKY INVESTMENT MANAGEMENT INC,WALSKY INVESTMENT MANAGEMENT INC,2650 WESTVIEW DRIVE,,WYOMISSING,PA,UNITED STATES,19610-1187,610-670-6918,610-670-6937,,,,,,,Approved,4/17/1996,3/31/2010,Y,WWW.WALSKY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"50,500,889.00",0,"50,500,889.00",119,0,119,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112331,801-57084,FORTRESS FUND MM LLC,FORTRESS FUND MM LLC,1345 AVE OF THE AMERICAS,46TH FLOOR,NEW YORK,NY,UNITED STATES,10105,212-798-6100,917-591-8633,,,,,,,Approved,1/20/2000,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"185,505,000.00",0,"185,505,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,104983,801-8253,OPPENHEIMERFUNDS INC,OPPENHEIMERFUNDS INC,TWO WORLD FINANCIAL CENTER,225 LIBERTY STREET,NEW YORK,NY,UNITED STATES,10281-1008,212-323-0200,212-323-4070,,,,,,,Approved,12/13/1971,3/31/2010,Y,WWW.OPPENHEIMERFUNDS.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,More than 1000,"2,000",Nov-50,0,501-1000,0,0,0,101-250,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"156,162,549,175.00",0,"156,162,549,175.00",106,0,106,N,N,Y,Y,N,N,N,N,N,Y,PRIVATE FUNDS,,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N
NYRO,131940,801-34300,"ANGELO, GORDON & CO., L.P.","ANGELO, GORDON & CO., L.P.",245 PARK AVENUE,26TH FLOOR,NEW YORK,NY,UNITED STATES,10167,212.692.2000,212.338.9611,,,,,,,Approved,5/26/1989,3/31/2010,Y,HTTP://WWW.ANGELOGORDON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"18,241,100,000.00",0,"18,241,100,000.00",111,0,111,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104981,801-34455,OPPENHEIMER REAL ASSET MANAGEMENT INC,OPPENHEIMER REAL ASSET MANAGEMENT INC,"2 WORLD FINANCIAL CENTER, 225 LIBERTY STREET",,NEW YORK,NY,USA,10281-1008,212-323-0200,212-323-4071,,,,,,,Approved,6/29/1989,3/31/2010,N,,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"295,585,726.00",0,"295,585,726.00",8,0,8,N,N,Y,Y,N,N,N,N,N,Y,PRIVATE FUNDS,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N
NYRO,135051,801-64260,BLACKROCK  KELSO CAPITAL ADVISORS LLC,BLACKROCK  KELSO CAPITAL ADVISORS LLC,40 EAST 52ND STREET,21ST FLOOR,NEW YORK,NY,UNITED STATES,10022,212.810.5800,212.810.5801,,,,,,,Approved,5/19/2005,3/31/2010,Y,WWW.BLACKROCKKELSO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,ADVOSIRY SERVICES TOA BUSINESS DEVELOPEMENT COMPANY,Y,N,N,N,N,Y,N,,Y,"879,526,479.00",0,"879,526,479.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,ADVISORY SERVICES TO A BUSINESS DEVELOPMENT COMPANY,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,111363,801-36259,"STRATFORD INVESTMENT ADVISORY GROUP, INC.",STRATFORD INVESTMENT ADVISORY GROUP INC.,200 E. EVERGREEN AVE.,SUITE 114,MT. PROSPECT,IL,UNITED STATES,60056,847-577-7003,847-577-8181,,,,,,,Approved,3/9/2000,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"46,633,684.00","75,061,271.00","121,694,955.00",39,37,76,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105390,801-32108,DELAWARE MANAGEMENT BUSINESS TRUST,DELAWARE MANAGEMENT BUSINESS TRUST,2005 MARKET STREET,,PHILADELPHIA,PA,UNITED STATES,19103-7098,215-255-2300,215-255-2194,,,,,,,Approved,5/31/1988,3/31/2010,Y,HTTP://WWW.DELAWAREINVESTMENTS.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),STATUTORY TRUST,DE,UNITED STATES,251-500,0,51-250,0,51-250,0,10-Jun,0,251-500,0,Up to 10 percent,11-25 percent,0 percent,26-50 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,INSURANCE COMPANY ACCOUNTS,Y,N,N,N,N,Y,N,,Y,"133,314,053,533.00",0,"133,314,053,533.00",288,0,288,N,Y,Y,Y,N,Y,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137887,801-66149,CORSAIR CAPITAL LLC,CORSAIR CAPITAL LLC,717 FIFTH AVENUE,24TH FLOOR,NEW YORK,NY,USA,10022,212-224-9400,212-224-9445,,,,,,,Approved,2/8/2006,3/31/2010,Y,WWW.CORSAIR-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,MANAGEMENT FEES; ADVISORY AND OTHER TRANSACTION-RELATED FEES,Y,"1,214,516,364.00","112,359,562.00","1,326,875,926.00",6,2,8,N,N,N,N,N,N,N,N,N,Y,INVESTMENT MANAGEMENT FOR PRIVATE EQUITY VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,147427,801-69274,"HAYMAN WOODS, LLC","HAYMAN WOODS, LLC",2101 CEDAR SPRINGS ROAD,SUITE 1400,DALLAS,TX,UNITED STATES,75201,214-302-0080,214-347-8051,,,,,,,Approved,6/16/2008,3/31/2010,Y,WWW.CAPITALANALYTICS.COM/CARL,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"34,653,221.00",0,"34,653,221.00",6,0,6,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110363,801-60027,"OFI INSTITUTIONAL ASSET MANAGEMENT, INC.","OFI INSTITUTIONAL ASSET MANAGEMENT, INC.",2 WORLD FINANCIAL CENTER,"225 LIBERTY STREET, 11TH FLOOR",NEW YORK,NY,USA,10281-1008,212-323-0200,212-323-4071,,,,,,,Approved,2/16/2001,3/31/2010,Y,WWW.OFII.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,26-100,0,0 percent,0 percent,Up to 10 percent,11-25 percent,11-25 percent,26-50 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"7,317,392,566.00",0,"7,317,392,566.00",64,0,64,N,Y,Y,Y,N,N,N,N,N,Y,PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N
SFRO,125678,801-62043,"RB CAPITAL MANAGEMENT, LLC","RB CAPITAL MANAGEMENT, LLC",2273 E. BEECHWOOD AVENUE,SUITE 105,FRESNO,CA,USA,93720,(559) 299-6209,(559) 299-6256,,,,,,,Approved,5/9/2003,3/31/2010,Y,WWW.RBCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,Nov-50,0,More than 500,600,11-25 percent,More than 75 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"173,261,311.00",0,"173,261,311.00",630,0,630,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,127140,801-62081,"ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C.","ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C.",4645 SWEETWATER BLVD.,SUITE 850,SUGAR LAND,TX,UNITED STATES,77479,281-313-9100,281-313-9710,,,,,,,Approved,5/21/2003,3/31/2010,Y,WWW.RMPWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"121,357,334.00",0,"121,357,334.00",47,0,47,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,7536,801-22046,H. G. WELLINGTON & CO. INC. CAPITAL MANAGEMENT DIVISION,"H. G. WELLINGTON & CO., INC.",140 BROADWAY,44TH FLOOR,NEW YORK,NY,UNITED STATES,10005,212-732-6800,212-406-2193,,,,,,,Approved,8/21/1984,3/31/2010,Y,HGWELLINGTON.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,Y,N,,Y,"310,020,696.00","8,990,761.00","319,011,457.00",312,12,324,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109457,801-54217,BLACKROCK REALTY ADVISORS INC,BLACKROCK REALTY ADVISORS INC,300 CAMPUS DRIVE,3RD FLOOR,FLORHAM PARK,NJ,UNITED STATES,07932-2346,973-264-2700,973-264-2800,,,,,,,Approved,4/10/1997,3/31/2010,Y,WWW.BLACKROCK.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,10-Jun,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,26-50 percent,0 percent,11-25 percent,11-25 percent,0 percent,,Y,N,N,Y,N,Y,Y,SEE MISC. SECTION OF SCHEDULE D,N,0,0,0,0,0,0,N,N,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,16443,801-56410,"INVESTMENT CENTERS OF AMERICA, INC.","INVESTMENT CENTERS OF AMERICA, INC.",5555 GRANDE MARKET DRIVE,,APPLETON,WI,UNITED STATES,54913,866-275-4422,920-954-2778,,,,,,,Approved,4/26/1999,3/31/2010,Y,HTTP://WWW.INVESTMENTCENTERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,ND,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"5,500",51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"300,751,737.00","376,391,710.00","677,143,447.00","1,528","2,149","3,677",Y,Y,N,Y,Y,Y,Y,N,Y,Y,SEMINARS,251-500,,N,N,Y,N,N,N,Y,N,N,,N,,Y,Y,Y,Y,N,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
NYRO,147283,801-69281,HERITAGE CAPITAL MANAGEMENT CO. LIMITED,HERITAGE CAPITAL MANAGEMENT CO. LIMITED,400 PARK AVENUE,SUITE 810,NEW YORK,NY,USA,10022,646-278-1357,212-867-4525,,,,,,,Approved,6/17/2008,3/31/2010,Y,WWW.HCIFUND.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),MAURITIUS PRIVATE LIMITED LIABILITY COMPANY,,MAURITIUS,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"45,700,000.00",0,"45,700,000.00",8,0,8,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,127015,801-62063,ATLANTIC ADVISORS LLC,ATLANTIC ADVISORS LLC,1560 N. ORANGE AVENUE,SUITE 150,WINTER PARK,FL,UNITED STATES,32789,407-998-8788,407-998-8790,,,,,,,Approved,5/16/2003,3/31/2010,Y,WWW.ATLANTICADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,More than 75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"116,000,000.00",0,"116,000,000.00",83,0,83,N,Y,N,N,N,N,Y,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112456,801-51728,WILSON DONALD J ASSOCIATES,WILSON DONALD JOHN,,,,,,,847-516-3699,847-516-2653,,,,,,,Approved,4/19/1996,3/31/2010,Y,DONWILSON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"30,929,419.00",0,"30,929,419.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,STABLE VALUE PORTFOLIO MANAGER,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104552,801-18538,STATE STREET RESEARCH & MANAGEMENT COMPANY,STATE STREET RESEARCH & MANAGEMENT COMPANY,ONE FINANCIAL CENTER,,BOSTON,MA,USA,2111,617-357-1200,617-261-7785,,,,,,,Approved,3/21/1983,3/31/2010,Y,WWW.BLACKROCK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,10-Jun,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,11-25 percent,26-50 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,Y,MINIMUM DOLLAR FEE ON SOME ACCOUNTS,Y,"20,588,207,707.00",0,"20,588,207,707.00",77,0,77,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
MIRO,120957,801-61272,"SOVEREIGN INTERNATIONAL ASSET MANAGEMENT, INC.","SOVEREIGN INTERNATIONAL ASSET MANAGEMENT, INC.",1312 ALTERNATE 19,,PALM HARBOR,FL,UNITED STATES,34683,727-784-4841,727-784-6181,,,,,,,Approved,6/21/2002,3/31/2010,Y,WWW.WORLDWIDEPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,REFERRAL FEES FOR SELECTION OF OTHER ADVISORS,Y,"57,264,988.00","11,724,784.00","68,989,772.00",636,56,692,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,153039,801-71338,ARTEMIS INVESTMENT MANAGEMENT LIMITED,ARTEMIS INVESTMENT MANAGEMENT LIMITED,5 HAZELTON AVENUE,SUITE 200,"TORONTO, ONTARIO",,CANADA,M5R 2E1,416-934-7455,416-934-7459,,,,,,,Approved,4/15/2010,4/20/2010,Y,WWW.ARTEMISFUNDS.CA,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,PRIVATE FUNDS,Y,N,N,N,N,Y,N,,Y,"106,863,326.00","136,000,000.00","242,863,326.00",7,1,8,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111016,801-20003,AMERICAN FINANCIAL MANAGEMENT LTD,AMERICAN FINANCIAL MANAGEMENT LTD,6003 UNIVERSITY AVENUE,AFM PLAZA,CEDAR FALLS,IA,UNITED STATES,50613,319-277-3553,319-277-0798,,,,,,,Approved,10/26/1983,4/20/2010,Y,WWW.AFM-INVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,51-250,0,More than 500,"1,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"79,471,661.00",0,"79,471,661.00","1,540",0,"1,540",N,Y,N,Y,N,N,N,N,N,Y,MARKET SIGNALS TO OTHER INVESTMENT ADVISORS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,119487,801-67773,"NORTH SHORE ASSET MANAGEMENT, LLC","NORTH SHORE ASSET MANAGEMENT, LLC",,,,,,,212-757-7777,631-549-6747,,,,,,,Approved,4/23/2007,4/20/2010,Y,WWW.NORTHSHOREASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"30,376,588.00",0,"30,376,588.00",61,0,61,N,Y,N,Y,N,N,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,46600,801-64015,"CULLUM & BURKS SECURITIES, INC.","CULLUM & BURKS SECURITIES, INC.","13355 NOEL ROAD, SUITE 1300",ONE GALLERIA TOWER,DALLAS,TX,USA,75240,972-755-0270,972-755-0271,,,,,,,Approved,3/15/2005,4/20/2010,Y,WWW.CBSFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"31,376,000.00",0,"31,376,000.00","1,121",0,"1,121",Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N
NYRO,144858,801-68370,"PENSION MAXIMA INVESTMENT ADVISORY, INC.","PENSION MAXIMA INVESTMENT ADVISORY, INC.",,,,,,,914-574-5023,,,,,,,,Approved,9/19/2007,4/20/2010,Y,HTTP://WWW.PENSIONMAXIMA.COM/,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE OF PLAN ASSETS,Y,0,0,0,0,0,0,N,Y,N,Y,Y,N,N,N,N,Y,PORTFOLIO MONITORING / CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,130679,801-71389,"KROUSE KERN WEALTH MANAGEMENT, INC.","KROUSE KERN WEALTH MANAGEMENT, INC.",6509 MUTUAL DRIVE,,FORT WAYNE,IN,UNITED STATES,46825,260-484-9977,260-496-8187,,,,,,,Approved,4/26/2010,4/20/2010,Y,WWW.KKWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,ORGANIZED LABOR ORG. - LOCAL UNION,Y,Y,N,N,N,N,N,,Y,"31,324,522.00",0,"31,324,522.00",115,0,115,N,Y,N,Y,Y,N,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,140183,801-66911,VICTORIA CAPITAL (UK) LTD,VICTORIA CAPITAL (UK) LTD,3RD FLOOR,32 OLD BURLINGTON STREET,LONDON,,UNITED KINGDOM,W1S 3AT,+44 20 7734 2007,+44 20 7494 2115,,,,,,,Approved,6/26/2006,4/21/2010,Y,WWW.VICTORIA-CAPITAL.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,26-50 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"24,000,000.00","24,000,000.00","48,000,000.00",10,10,20,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107225,801-53320,FBR FUND ADVISERS INC,FBR FUND ADVISERS INC,1001 19TH STREET NORTH,,ARLINGTON,VA,UNITED STATES,22209,703-312-9500,703-312-9701,,,,,,,Approved,11/19/1996,4/21/2010,Y,WWW.FBRFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,497,261,000.00",0,"1,497,261,000.00",11,0,11,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107997,801-54732,MID-CONTINENT CAPITAL LLC,MID-CONTINENT CAPITAL LLC,150 SOUTH WACKER,SUITE 400,CHICAGO,IL,UNITED STATES,60606-4101,312-551-8200,312-551-8781,,,,,,,Approved,7/10/1997,4/21/2010,Y,WWW.MCCLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,195,018,273.00","136,208,482.00","1,331,226,755.00",791,110,901,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107978,801-46741,"HOWARD FINANCIAL SERVICES, LTD.","HOWARD FINANCIAL SERVICES, LTD.","8350 MEADOW ROAD, SUITE 181",,DALLAS,TX,UNITED STATES,75231,214-346-0785,214-346-0794,,,,,,,Approved,6/23/1994,4/21/2010,Y,WWW.HOWARDFS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"475,947,622.00","311,018,240.00","786,965,862.00",227,94,321,Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,125012,801-61776,WESTWOOD GLOBAL INVESTMENTS,WESTWOOD GLOBAL INVESTMENTS LLC,99 SUMMER ST,SUITE 1130,BOSTON,MA,UNITED STATES,2110,617-428-4040,617-428-4069,,,,,,,Approved,1/31/2003,4/21/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,11-25 percent,Up to 10 percent,Up to 10 percent,SOVEREIGN WEALTH FUND,Y,N,N,N,N,N,N,,Y,"3,860,383,595.00",0,"3,860,383,595.00",15,0,15,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,149487,801-69951,"LAND & BUILDINGS INVESTMENT MANAGEMENT, LLC","LAND & BUILDINGS INVESTMENT MANAGEMENT, LLC",3 PICKWICK PLAZA,,GREENWICH,CT,UNITED STATES,6830,203-987-5830,203-422-6789,,,,,,,Approved,3/4/2009,4/21/2010,Y,HTTP://WWW.LANDANDBUILDINGS.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"57,000,000.00",0,"57,000,000.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,POOLED INVESTMENT VEHICLE,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108883,801-54830,"FBR INVESTMENT MANAGEMENT, INC.","FBR INVESTMENT MANAGEMENT, INC.",1001 19TH STREET NORTH,POTOMAC TOWER,ARLINGTON,VA,UNITED STATES,22209-1732,703-312-9500,703-312-9701,,,,,,,Approved,8/22/1997,4/21/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"9,251,000.00",0,"9,251,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,127672,801-62209,KIBBLE & PRENTICE HOLDING COMPANY,KIBBLE & PRENTICE HOLDING COMPANY,"601 UNION STREET, SUITE 1000",,SEATTLE,WA,UNITED STATES,98101-4064,206-441-6300,877-678-5844,,,,,,,Approved,7/1/2003,4/21/2010,Y,WWW.KPCOM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,251-500,0,Nov-50,0,10-Jun,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,REFERRAL FEE,Y,0,"2,549,176,917.00","2,549,176,917.00",0,492,492,N,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,Y,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,Y
SFRO,152374,801-70921,"VANTAGE WEALTH MANAGEMENT, LLC","VANTAGE WEALTH MANAGEMENT, LLC",1 WATERS PARK DR.,STE. 210,SAN MATEO,CA,UNITED STATES,94403,650-638-9600,650-638-9604,,,,,,,Approved,1/4/2010,4/21/2010,Y,WWW.VANTAGEWEALTHMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"89,268,620.00","405,408.00","89,674,028.00",421,1,422,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,110624,801-27087,"SOCIAL RESPONSIBILITY INVESTMENT GROUP, INC.","SOCIAL RESPONSIBILITY INVESTMENT GROUP, INC.","898 BRIARCLIFF ROAD, N. E.",,ATLANTA,GA,UNITED STATES,30306,404-815-7977,404-815-7885,,,,,,,Approved,5/29/1986,4/21/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"31,402,204.00",0,"31,402,204.00",40,0,40,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,129428,801-63363,"WEALTHSTREAM ADVISORS, INC.","WEALTHSTREAM ADVISORS, INC.",500 5TH AVENUE,SUITE 810,NEW YORK,NY,USA,10110,212-971-9241,212-868-3140,,,,,,,Approved,7/16/2004,2/11/2010,Y,WWW.WEALTHSTREAMADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"170,313,125.00","2,302,445.00","172,615,570.00",443,7,450,Y,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT CONSULTING,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107314,801-38364,PREMIER FINANCIAL GROUP INC,PREMIER FINANCIAL GROUP INC,725 SIXTH STREET,,EUREKA,CA,UNITED STATES,95501-1103,707-443-2741,707-443-9411,,,,,,,Approved,1/10/1991,2/13/2009,Y,HTTP://WWW.PREMIERADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"175,643,027.00","51,081,987.00","226,725,014.00",702,31,733,Y,Y,N,N,Y,N,N,N,N,N,,251-500,,N,N,N,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,117295,801-60709,TW ADVISORS,"TILLAR-WENSTRUP ADVISORS, LLC",92 E. FRANKLIN STREET,,CENTERVILLE,OH,UNITED STATES,45459,937-428-9700,937-436-7504,,,,,,,Approved,11/23/2001,2/11/2010,Y,WWW.TWADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"71,345,118.00",0,"71,345,118.00",327,0,327,N,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,117307,801-60710,WHITNEY & COMPANY,"W.G.SHAHEEN & ASSOCIATES,LTD.",311 ALEXANDER STREET,SUITE 200,ROCHESTER,NY,UNITED STATES,14604,585-232-6200,585-232-5698,,,,,,,Approved,10/15/2001,2/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"138,045,663.00","2,354,148.00","140,399,811.00",249,11,260,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,117085,801-63891,"SHARP INVESTMENTS, INC.","SHARP INVESTMENTS, INC.",,,,,,,503-520-5000,503-520-5000,,,,,,,Approved,3/10/2005,2/11/2010,Y,WWW.SHARPINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"26,500,000.00",0,"26,500,000.00",336,0,336,N,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111336,801-66376,"INTEGRIS WEALTH MANAGEMENT, LLC","INTEGRIS WEALTH MANAGEMENT, LLC","4TH AVENUE, BETWEEN MISSION AND SAN CARLOS",SUITE 2,CARMEL,CA,UNITED STATES,93921,831-620-1717,831-620-1715,PO BOX 6322,,CARMEL,CA,UNITED STATES,93921,Approved,3/13/2006,2/11/2010,Y,WWW.INTEGRISWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"108,000,000.00",0,"108,000,000.00",249,0,249,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,136596,801-64775,"LD LOWE SR., FINANCIAL ADVISORY","LD LOWE SR., LLP",4809 COLE AVE. #330,,DALLAS,TX,UNITED STATES,75205,972-335-2523,972-335-6335,,,,,,,Approved,10/7/2005,2/11/2010,Y,WWW.LDLOWEPLAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,Y,SHARING THIRD PARTY FEES,Y,"100,000,000.00",0,"100,000,000.00",280,0,280,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,111283,801-56888,ENTRUST INVESTMENT MANAGEMENT LLC,ENTRUST INVESTMENT MANAGEMENT LLC,2401 TOWER DRIVE,,MONROE,LA,UNITED STATES,71201,318-322-7157,318-325-2067,P.O. BOX 14096,,MONROE,LA,UNITED STATES,71207,Approved,9/28/1999,2/11/2010,Y,ENTRUSTINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"23,260,182.00","3,047,734.00","26,307,916.00",51,15,66,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,108489,801-44517,FINANCIAL MOUNTAIN INC,FINANCIAL MOUNTAIN INC,SALINA STAR ROUTE (1719 DEER TRAIL),,BOULDER,CO,UNITED STATES,80306-1236,303-351-1517,303-484-7084,PO BOX E,,BOULDER,CO,UNITED STATES,80306-1236,Approved,9/13/1993,2/11/2010,Y,WWW.FINANCIALMOUNTAINONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"50,169,492.00","5,500,000.00","55,669,492.00",587,11,598,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,149097,801-69841,"RG INVESTMENT PARTNER AG, INC.","RG INVESTMENT PARTNER AG, INC.",MUENSTERHOF 18,,ZURICH,,SWITZERLAND,8022,011-41-43-888-6460,011-41-43-888-6469,MUENSTERHOF 18,PO BOX 3060,ZUERICH,,SWITZERLAND,8022,Approved,1/7/2009,2/11/2010,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SWITZERLAND,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"21,615,602.00","40,410,688.00","62,026,290.00",7,4,11,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,114167,801-62947,"STRATEGIC WEALTH ADVISORS, LLC","STRATEGIC WEALTH ADVISORS, LLC",,,,,,,480-998-1798,480-522-1798,8426 E. SHEA BLVD,,SCOTTSDALE,AZ,UNITED STATES,85260,Approved,3/26/2004,2/11/2010,Y,WWW.XPERTADVICE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"75,000,000.00","62,000,000.00","137,000,000.00",131,3,134,Y,Y,N,Y,N,Y,N,N,N,Y,GENERAL FINANCIAL CONSULTING,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,116316,801-64936,SEATTLE PORTFOLIO COMPANY,SEATTLE PORTFOLIO COMPANY LLC,1127 10TH AVE E.,#2,SEATTLE,WA,USA,98102,206-323-3700,,,,,,,,Approved,1/11/2006,3/24/2010,Y,HTTP://WWW.BEEZER.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"28,922,672.00","28,922,672.00",0,55,55,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,120541,801-63521,"CRITERION CAPITAL MANAGEMENT, LLC","CRITERION CAPITAL MANAGEMENT,LLC",4 EMBARCADERO CENTER,34TH FLOOR,SAN FRANCISCO,CA,UNITED STATES,94111,415-834-3500,415-249-1299,,,,,,,Approved,9/20/2004,3/24/2010,Y,WWW.CRITERIONMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,MANAGED ACCOUNT FOR INSTITUTION,Y,N,N,N,N,Y,N,,Y,"619,534,215.00",0,"619,534,215.00",7,0,7,N,N,N,N,N,N,N,N,N,Y,ADVISER TO PRIVATE POOLED INVESTMENT VEHICLES AND A MANAGED ACCOUNT,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,148865,801-69783,ARCODA CAPITAL MANAGEMENT LP,ARCODA CAPITAL MANAGEMENT LP,529 FIFTH AVENUE,8TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-954-0781,212-954-0779,,,,,,,Approved,1/2/2009,3/24/2010,Y,WWW.ARCODACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"82,351,600.00",0,"82,351,600.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR INVESTMENT COMPANIES EXEMPT FROM REGISTRATION UNDER THE INVESTMENT COMPANY ACT OF 1940,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,114076,801-60474,"SEEL & WRIGHT, LLC","SEEL & WRIGHT, LLC","395 TAYLOR BLVD,",SUITE 107,PLEASANT HILL,CA,UNITED STATES,94523,925-246-7982,925-246-7984,,,,,,,Approved,8/16/2001,3/24/2010,Y,WWW.SEELANDWRIGHT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,0,"53,500,000.00","53,500,000.00",0,235,235,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,Y,"NOTARY PUBLIC, TAX PREPARATION,TRUST PLANNING",N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,125336,801-61836,GRUBER & MCBAINE,"GRUBER & MCBAINE CAPITAL MANAGEMENT, LLC","50 OSGOOD PLACE,",PENTHOUSE,SAN FRANCISCO,CA,UNITED STATES,94133-4644,415-981-2101,415-956-7858,,,,,,,Approved,2/25/2003,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"433,545,058.00",0,"433,545,058.00",5,0,5,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,132840,801-63591,SANTA FE PARTNERS LLC,SANTA FE PARTNERS LLC,1512 PACHECO STREET SUITE D202,,SANTA FE,NM,UNITED STATES,87505,505-989-8180,505-989-8185,,,,,,,Approved,10/29/2004,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NM,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,FUND OF MANAGED ACCOUNTS,Y,N,N,N,N,Y,N,,Y,"51,892,487.00",0,"51,892,487.00",4,0,4,N,N,N,Y,N,N,N,N,N,Y,PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106154,801-46755,HARTWELL J M LTD PARTNERSHIP,HARTWELL J M LTD PARTNERSHIP,515 MADISON AVE,,NEW YORK,NY,UNITED STATES,10022,212-308-3355,212-980-0376,,,,,,,Approved,9/13/1994,3/24/2010,Y,WWW.JMHARTWELL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"391,991,585.00",0,"391,991,585.00",208,0,208,N,Y,N,Y,N,N,N,N,N,Y,HEDGE FUND,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106674,801-37085,LEDONNE ADVISORY SERVICES,LEDONNE EDMOND V,"200 BUSINESS PARK DRIVE, SUITE 106",,ARMONK,NY,UNITED STATES,10504,914-730-0196,914-730-0199,,,,,,,Approved,8/3/1990,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,533,113.00","19,204,518.00","53,737,631.00",35,7,42,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109646,801-58110,"DBA, MULLEN ADVISORY","MULLEN ADVISORY, INC.",606 N. LARCHMONT BLVD,SUITE 310,LOS ANGELES,CA,USA,90004,323-469-0919,323-372-3579,,,,,,,Approved,11/9/2000,3/24/2010,Y,WWW.MULLENADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"45,756,088.00","2,124,513.00","47,880,601.00",183,19,202,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106786,801-50778,ALTA CAPITAL MANAGEMENT LLC,ALTA CAPITAL MANAGEMENT LLC,6440 SOUTH WASATCH BLVD,SUITE 260,SALT LAKE CITY,UT,USA,84121,801-274-6010,801-274-8061,,,,,,,Approved,12/11/1995,3/24/2010,Y,WWW.ALTACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,More than 500,"1,000",0 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"645,563,801.00",0,"645,563,801.00",686,0,686,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,114527,801-21981,M&G INVESTMENT MANAGEMENT LTD.,M&G INVESTMENT MANAGEMENT LTD.,GOVERNOR'S HOUSE,LAURENCE POUNTNEY HILL,"LONDON, ENGLAND",,UNITED KINGDOM,EC4R OHH,020 7626 4588,020 7548 3913,,,,,,,Approved,8/2/1984,3/24/2010,Y,HTTP://WWW.PRUMANDG.COM/,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,501-1000,0,51-250,0,0,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,INC LIFE FUNDS OF PRUDENTIAL PLC OF THE UNITED KINGDOM & SOVEREIGN WEALTH FUNDS,Y,N,N,Y,N,Y,N,,Y,"251,472,804.00",0,"251,472,804.00",101,0,101,N,N,Y,Y,N,N,N,N,N,Y,ARRANGING (BRINGING ABOUT) DEALS IN INVESTMENTS.,0,,N,N,N,N,N,N,N,N,Y,PROMOTIONOF NON-US INV'T FUNDS TO ELIGIBLE PERSONS,Y,N,Y,Y,Y,Y,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110269,801-18727,WESTWOOD MANAGEMENT CORP,WESTWOOD MANAGEMENT CORP,200 CRESCENT COURT,SUITE 1200,DALLAS,TX,UNITED STATES,75201,214-756-6900,214-756-6979,,,,,,,Approved,4/11/1983,3/24/2010,Y,WWW.WESTWOODGROUP.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,51-250,0,Nov-50,0,10-Jun,0,0,0,More than 500,500,0 percent,11-25 percent,0 percent,11-25 percent,26-50 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"9,322,581,000.00",0,"9,322,581,000.00",697,0,697,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107310,801-35684,PEKIN SINGER STRAUSS ASSET MANAGEMENT INC.,PEKIN SINGER STRAUSS ASSET MANAGEMENT INC.,"21 S CLARK STREET, SUITE 3325",,CHICAGO,IL,UNITED STATES,60603-2092,312-554-7525,312-554-7502,,,,,,,Approved,12/29/1989,3/24/2010,Y,PEKINSINGER.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,500,26-50 percent,51-75 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,INTERNET BASED MODEL PORTFOLIO,Y,N,N,Y,N,N,N,,Y,"652,071,860.00","42,256,492.00","694,328,352.00","1,488",89,"1,577",Y,Y,Y,Y,N,N,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,134720,801-66328,"MIRAMAR ASSET MANAGEMENT, LLC","MIRAMAR ASSET MANAGEMENT, LLC",101 CALIFORNIA STREET,SUITE 2940,SAN FRANCISCO,CA,UNITED STATES,94111,415-644-4880,415-956-1749,,,,,,,Approved,2/27/2006,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"391,231,983.00",0,"391,231,983.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,137886,801-64875,"YOGI ADVISORS, LLC","YOGI ADVISORS, LLC",21 DUPONT CIRCLE N.W.,SUITE 500,WASHINGTON,DC,UNITED STATES,20036,202-828-6200,202-828-6208,,,,,,,Approved,11/14/2005,3/24/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"7,441,000.00",0,"7,441,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,MANAGEMENT OF PRIVATE INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,104923,801-2820,"MILLER, FLEMING & ASSOCIATES",MILLER FLEMING & ASSOCIATES,"220 MONTGOMERY ST., STE 1069",,SAN FRANCISCO,CA,UNITED STATES,94104,415-392-8577,415-392-5436,,,,,,,Approved,1/28/1962,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"68,076,012.00",0,"68,076,012.00",27,0,27,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,133028,801-63597,"REDWOOD INVESTMENTS, LLC","REDWOOD INVESTMENTS, LLC","ONE GATEWAY CENTER, SUITE 802",,NEWTON,MA,UNITED STATES,2458,617-467-3000,617-581-6677,,,,,,,Approved,10/20/2004,3/24/2010,Y,WWW.REDWOODINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"503,184,444.00","5,510,826.00","508,695,270.00",122,1,123,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109538,801-56572,DALTON INVESTMENTS LLC,DALTON INVESTMENTS LLC,12424 WILSHIRE BOULEVARD,SUITE 600,LOS ANGELES,CA,UNITED STATES,90025,310 442 5200,310 442 5225,,,,,,,Approved,7/27/1999,3/24/2010,Y,WWW.DALTONINVESTMENTS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"727,313,473.00","311,441,155.00","1,038,754,628.00",196,4,200,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
LARO,140503,801-70829,TOTAL WEALTH MANGEMENT INC.,TOTAL WEALTH MANGEMENT INC.,8880 RIO SAN DIEGO DRIVE,SUITE 500,SAN DIEGO,CA,UNITED STATES,92108,619-704-1500,619-374-2435,,,,,,,Approved,11/25/2009,3/24/2010,Y,WWW.TOTALWEALTHMANAGEMENT.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"35,165,741.00",0,"35,165,741.00",183,0,183,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,144645,801-68199,JR MESENBURG AND ASSOCIATES,JOSEPH RAYMOND MESENBURG,96 NORTHWOODS BLVD.,,COLUMBUS,OH,UNITED STATES,43235,614-431-0431,614-431-0707,,,,,,,Approved,8/20/2007,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"54,319,895.00",0,"54,319,895.00",47,0,47,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,132961,801-64044,THIRD WAVE GLOBAL INVESTORS,"THIRD WAVE GLOBAL INVESTORS, LLC",10 GLENVILLE STREET,,GREENWICH,CT,USA,06831-3681,203-983-5387,203-532-8275,,,,,,,Approved,3/11/2005,3/19/2009,Y,WWW.THIRDWAVEGLOBAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"198,378,311.00",0,"198,378,311.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,"PORTFOLIO MANAGEMENT FOR UNREGISTERED POOLED INVESTMENT VEHICLES (I.E., HEDGE FUNDS)",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106810,801-48394,MUNDER CAPITAL MANAGEMENT,MUNDER CAPITAL MANAGEMENT,480 PIERCE STREET,,BIRMINGHAM,MI,UNITED STATES,48009,248-647-9200,248-644-6361,,,,,,,Approved,2/27/1995,3/24/2010,Y,WWW.MUNDER.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,0,0,More than 500,"1,500",26-50 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"15,584,763,008.00",0,"15,584,763,008.00","1,366",0,"1,366",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,116047,801-60687,"CHARLES D. HAINES, LLC","CHARLES D. HAINES, LLC",600 UNIVERSITY PARK PLACE,SUITE 501,BIRMINGHAM,AL,USA,35209,205-871-3334,205-879-1114,,,,,,,Approved,11/9/2001,3/24/2010,Y,WWW.CHARLESDHAINES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"405,781,449.00","29,754,833.00","435,536,282.00",250,14,264,Y,Y,N,N,Y,N,N,N,N,Y,"FAMILY WEALTH COUNSELING, BUSINESS SUCESSION PLANNING, FOUNDATION MANAGEMENT, SMALL BUSINESS CONSULTING",251-500,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,106234,801-29479,WEDGE CAPITAL MANAGEMENT LLP,WEDGE CAPITAL MANAGEMENT LLP,301 SOUTH COLLEGE STREET,SUITE 2920,CHARLOTTE,NC,UNITED STATES,28202-6002,704-334-6475,704-334-3542,,,,,,,Approved,3/31/1987,3/24/2010,Y,WWW.WEDGECAPITAL.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Partnership,,NC,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,251-500,0,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"8,631,437,976.00",0,"8,631,437,976.00",494,0,494,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,16668,801-57393,FINANCIAL WEST GROUP,"FINANCIAL WEST INVESTMENT GROUP, INC.",4510 E. THOUSAND OAKS BLVD.,,WESTLAKE VILLAGE,CA,USA,91362,805-497-9222,805-497-6699,P.O. BOX 5123,,THOUSAND OAKS,CA,USA,91361,Approved,3/16/2000,4/14/2010,Y,WWW.FWG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,51-250,0,51-250,0,51-250,0,51-250,0,More than 500,"3,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"317,850,293.00","7,495,700.00","325,345,993.00","2,804",35,"2,839",Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,Y,N,Y,Y,N,Y,Y,N,N,,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
BRO,107505,801-51357,"BOYD FINANCIAL STRATEGIES, INC.","BOYD FINANCIAL STRATEGIES, INC.",45 SOUTH QUINSIGAMOND AVE,,SHREWSBURY,MA,USA,01545-3514,508-754-3226,508-754-4908,,,,,,,Approved,2/22/1996,4/14/2010,Y,WWW.BOYDSTRATEGY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"49,761,721.00","3,656,567.00","53,418,288.00",394,109,503,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106166,801-46517,MOUNTAIN CAPITAL MANAGEMENT INC,MOUNTAIN CAPITAL MANAGEMENT INC,5 KONITTEKOCK ROAD,,GREENWICH,CT,UNITED STATES,6831,203-622-6766,203-622-6795,,,,,,,Approved,5/31/1994,4/14/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"45,975,775.00",0,"45,975,775.00",56,0,56,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137772,801-64986,VECTORS RESEARCH MANAGEMENT LLC,VECTORS RESEARCH MANAGEMENT LLC,65 BLEECKER STREET,5TH FLOOR,NEW YORK,NY,UNITED STATES,10012,212-431-0856,212-274-0545,,,,,,,Approved,12/15/2005,4/14/2010,Y,WWW.VECTORSRESEARCH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"67,068,000.00","95,404,000.00","162,472,000.00",5,3,8,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,143385,801-67660,"ALDUS CAPITAL, LLC","ALDUS CAPITAL, LLC",2651 N. HARWOOD,SUITE 210,DALLAS,TX,USA,75201,214-234-3995,214-234-3772,,,,,,,Approved,3/13/2007,3/31/2009,Y,WWW.ALDUSEQUITY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"1,522,000,000.00","2,261,000,000.00","3,783,000,000.00",12,5,17,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N
SFRO,108787,801-60095,VAN WAGONER MANAGEMENT LLC,VAN WAGONER MANAGEMENT LLC,755 SANSOME STREET,SUITE 350,SAN FRANCISCO,CA,USA,94111,415-981-9739,415-835-5050,,,,,,,Approved,3/30/2001,5/3/2005,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"44,595,381.00",0,"44,595,381.00",3,0,3,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104627,801-294,"HOWE AND RUSLING, INC.","HOWE AND RUSLING, INC.",120 EAST AVE,,ROCHESTER,NY,UNITED STATES,14604,585-325-4140,585-325-7361,,,,,,,Approved,1/3/1941,4/15/2010,Y,WWW.HOWEANDRUSLING.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,10-Jun,0,251-500,0,51-75 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"611,911,495.00","28,056,035.00","639,967,530.00",934,29,963,Y,Y,Y,Y,N,Y,Y,N,N,Y,SUB-ADVISE ON MUTUAL FUND,25-Nov,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,152705,801-70977,BECK CAPITAL MANAGEMENT LLC,BECK CAPITAL MANAGEMENT LLC,2009 S. CAPITAL OF TEXAS HWY.,SUITE 200,AUSTIN,TX,UNITED STATES,78746,512-231-0800,512-231-8880,,,,,,,Approved,1/7/2010,4/15/2010,Y,WWW.PROPLAYERINVESTING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"74,175,722.00",0,"74,175,722.00",365,0,365,Y,Y,N,Y,N,N,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,120459,801-71364,LYNX CAPITAL GROUP LTD,LYNX CAPITAL GROUP LTD,,,,,,,216-591-1309,216-464-4742,,,,,,,Approved,4/20/2010,4/15/2010,Y,WWW.LYNXCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,BASED ON CLIENT REQUIREMENTS,Y,"34,630,127.00",0,"34,630,127.00",128,0,128,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105240,801-27432,VANTAGE CONSULTING GROUP INC,VANTAGE CONSULTING GROUP INC,3500 PACIFIC AVE,,VIRGINIA BEACH,VA,UNITED STATES,23451,757-491-2998,757-422-5378,,,,,,,Approved,7/17/1986,4/15/2010,Y,WWW.VANTAGECONSULTINGGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"809,042,233.00","3,144,015,163.00","3,953,057,396.00",3,16,19,N,Y,N,Y,Y,Y,N,N,N,Y,"VCGI MAY ALSO PROVIDE ADVICE TO ENDOWMENTS, LIMITED PARTNERSHIPS, AND/OR COMMODITY POOLS.",,,N,N,N,N,Y,N,N,N,N,,N,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,147198,801-69214,"EIGHT CAPITAL MANAGEMENT, LLC","EIGHT CAPITAL MANAGEMENT, LLC",850 THIRD AVENUE,10TH FLOOR,NEW YORK,NY,UNITED STATES,10022,1-212-983-1030,1-646-786-4263,,,,,,,Approved,6/11/2008,4/15/2010,Y,WWW.EIGHTCAPITAL.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,"95,154,845.00","95,154,845.00",0,1,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,134668,801-64111,PLAINFIELD ASSET MANAGEMENT LLC,PLAINFIELD ASSET MANAGEMENT LLC,333 LUDLOW STREET,,STAMFORD,CT,UNITED STATES,6902,203-302-1700,203-302-1779,,,,,,,Approved,4/25/2005,4/15/2010,Y,WWW.PFAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,268,182,280.00",0,"3,268,182,280.00",11,0,11,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR OTHER POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,8485,801-62143,"PWMCO, LLC","PWMCO, LLC",311 S. WACKER DRIVE,SUITE 2360,CHICAGO,IL,UNITED STATES,60606,312-341-9727,312-341-9737,,,,,,,Approved,5/1/2003,4/15/2010,Y,WWW.PWMCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"370,993,370.00",0,"370,993,370.00",267,0,267,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,133959,801-63853,"PIPER JAFFRAY PRIVATE CAPITAL, LLC","PIPER JAFFRAY PRIVATE CAPITAL, LLC",800 NICOLLET MALL,MAILSTOP J13N04,MINNEAPOLIS,MN,UNITED STATES,55402,612-303-6331,612-303-1331,,,,,,,Approved,3/17/2005,4/15/2010,Y,WWW.PIPERJAFFRAY.COM/FUNDOFFUNDS,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,PRIVATE INVESTMENT FUNDS,Y,N,N,N,N,Y,N,,Y,"583,463,200.00",0,"583,463,200.00",11,0,11,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,N,Y,N,Y,N,Y,Y,Y,N,Y
NYRO,138339,801-65651,STONE TOWER DEBT ADVISORS LLC,STONE TOWER DEBT ADVISORS LLC,152 W. 57TH ST,,NEW YORK,NY,UNITED STATES,10019-3386,212-258-0940,646-349-3871,,,,,,,Approved,1/25/2006,4/15/2010,Y,WWW.STONETOWERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,MANAGED ACCOUNTS AND A CAYMAN ISLANDS TRUST COMPANY,Y,N,N,N,N,Y,N,,Y,"24,167,079,142.00",0,"24,167,079,142.00",30,0,30,N,N,N,N,N,N,N,N,N,Y,"PORTFOLIO MGMT FOR VEHICLES HOLDING PRIMARILY LOANS, STRUCTURED FINANCE & SYNTHETIC ASSETS AND FOR A SPECIALTY FINANCE HOLD. CO.",0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,134010,801-63882,INDEX RESULTS,INDEX RESULTS,16311 MIDDLEBELT,,LIVONIA,MI,USA,48154,734-422-8040,734-422-8588,,,,,,,Approved,2/4/2005,5/4/2005,Y,WWW.BILLNAGLER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,Y,Y,N,Y,N,,Y,"25,000,000.00",0,"25,000,000.00",11,0,11,Y,Y,N,N,Y,Y,Y,Y,Y,N,,10-Jan,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138340,801-65653,STONE TOWER FUND MANAGEMENT LLC,STONE TOWER FUND MANAGEMENT LLC,152 W. 57TH ST,,NEW YORK,NY,UNITED STATES,10019-3386,212-258-0940,646-349-3871,,,,,,,Approved,1/25/2006,4/15/2010,Y,WWW.STONETOWERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,MANAGED ACCOUNTS,Y,N,N,N,N,Y,N,,Y,"3,776,787,831.00",0,"3,776,787,831.00",15,0,15,N,N,N,N,N,N,N,N,N,Y,"INVESTMENT MANAGEMENT FOR HEDGE FUNDS, MANAGED ACCOUNTS AND OTHER INVESTMENT VEHICLES",0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110293,801-27099,BOLTWOOD CAPITAL MANAGEMENT,BOLTWOOD CAPITAL MANAGEMENT,220 SANSOME STREET,SUITE 600,SAN FRANCISCO,CA,UNITED STATES,94104,415-433-1550,415-433-2537,,,,,,,Approved,5/21/1986,4/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"112,160,836.00","14,908,804.00","127,069,640.00",124,7,131,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,141343,801-69148,MILLER EQUITY CAPITAL ADVISORS,MARK ANTHONY MILLER,5550 LBJ FREEWAY,SUITE 670,DALLAS,TX,USA,75240,972-490-4345,972-490-0141,,,,,,,Approved,5/21/2008,3/18/2010,Y,WWW.MECADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"39,920,108.00","5,981,492.00","45,901,600.00",7,11,18,N,Y,N,Y,N,N,N,N,N,Y,CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N
CHRO,110493,801-40822,MOLLER FINANCIAL SERVICES,"JACK MOLLER & ASSOCIATES, INC.","ONE NORTHFIELD PLAZA, SUITE 200",,NORTHFIELD,IL,UNITED STATES,60093,847-441-7575,847-441-7684,,,,,,,Approved,2/18/1992,3/18/2010,Y,WWW.MOLLERFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"209,300,000.00",0,"209,300,000.00",694,0,694,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,146144,801-69384,BELL ASSET MANAGEMENT LIMITED,BELL ASSET MANAGEMENT LIMITED,"LEVEL 29, 101 COLLINS STREET",,MELBOURNE,,AUSTRALIA,3000,613 9235 1797,613 9235 1722,,,,,,,Approved,7/10/2008,3/18/2010,Y,WWW.BELLASSET.COM.AU,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,AUSTRALIA,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,504,240,075.00",0,"2,504,240,075.00",239,0,239,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,128697,801-71236,"BULLINGTON CAPITAL MANAGEMENT, LLC","BULLINGTON CAPITAL MANAGEMENT, LLC",4000 EMBASSY PARKWAY,SUITE 110,AKRON,OH,UNITED STATES,44333,330-664-0700,330-665-3170,,,,,,,Approved,3/17/2010,3/18/2010,Y,WWW.BULLINGTONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"33,000,000.00",0,"33,000,000.00",270,0,270,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,118268,801-62924,"WEST PORTAL INVESTMENT GROUP, LLC","WEST PORTAL INVESTMENT GROUP, LLC",26 WEST PORTAL AVENUE,SUITE ONE,SAN FRANCISCO,CA,USA,94127,415-682-2266,415-682-2271,,,,,,,Approved,4/9/2004,3/18/2010,Y,WWW.WPIGADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"76,277,642.00","16,334,273.00","92,611,915.00",511,84,595,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,111164,801-48364,FOUNDERS CAPITAL MANAGEMENT INC,FOUNDERS CAPITAL MANAGEMENT INC,4400 POST OAK PARKWAY,SUITE 2150,HOUSTON,TX,USA,77027-3416,713-877-1188,713-877-1044,,,,,,,Approved,1/31/1995,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"95,739,577.00","5,851,639.00","101,591,216.00",224,37,261,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,133794,801-63826,MCCULLOUGH & ASSOCIATES LLC,MCCULLOUGH & ASSOCIATES LLC,101 CALIFORNIA STREET,SUITE 3260,SAN FRANCISCO,CA,UNITED STATES,94111-5844,415-956-8700,415-989-9459,,,,,,,Approved,1/26/2005,3/18/2010,Y,WWW.MACINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"106,269,519.00",0,"106,269,519.00",94,0,94,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,136426,801-64547,"EDGE PORTFOLIO MANAGEMENT, LLC","EDGE PORTFOLIO MANAGEMENT, LLC",1N141 COUNTY FARM ROAD,SUITE 110,WINFIELD,IL,UNITED STATES,60190,630-221-1000,,,,,,,,Approved,7/28/2005,3/18/2010,Y,WWW.EDGEPORTFOLIOMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"112,272,100.00",0,"112,272,100.00",128,0,128,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,140760,801-67181,THE MUTUAL FUND RESEARCH CENTER,"THE MUTUAL FUND RESEARCH CENTER, LLC",7301 COLLEGE BOULEVARD,SUITE 220,OVERLAND PARK,KS,USA,66210,913-319-8100,913-319-8181,,,,,,,Approved,9/22/2006,3/18/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,OTHER AFFILIATED AND NON-AFFILIATED RIA'S,N,N,N,N,N,N,Y,"SEE SCHEDULE D, MISCELLANEOUS",Y,0,0,0,0,0,0,N,N,N,N,N,Y,Y,N,N,Y,NON DISCRETIONARY INVESTMENT ADVICE TO AFFILIATED AND NON-AFFILIATED RIA'S,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110722,801-31115,HERRMANN FINANCIAL SERVICES INC,HERRMANN FINANCIAL SERVICES INC,370 DIABLO ROAD,SUITE 201,DANVILLE,CA,UNITED STATES,94526-3438,925-831-0200,925-831-8957,,,,,,,Approved,12/17/1987,3/18/2010,Y,WWW.HERRMANNFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"222,916,929.00","1,634,035.00","224,550,964.00","1,383",7,"1,390",Y,Y,N,Y,Y,N,N,N,N,N,,More than 500,500,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106766,801-40622,RESOURCES INVESTMENT ADVISORS INC,RESOURCES INVESTMENT ADVISORS INC,11300 TOMAHAWK CREEK PARKWAY,SUITE 190,LEAWOOD,KS,UNITED STATES,66211,913-338-5300,913-338-0963,,,,,,,Approved,1/22/1992,3/18/2010,Y,WWW.ORENICKCOMPANIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"96,585,206.00","34,660,564.00","131,245,770.00",340,45,385,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,128024,801-63976,THE MUTUAL FUND STORE,"TMFS-LAS VEGAS, LLC",1750 N. BUFFALO DRIVE SUITE 103,SAME,LAS VEGAS,NV,UNITED STATES,89128,702-651-6464,702-651-9015,,,,,,,Approved,6/9/2005,3/18/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"63,974,746.00",0,"63,974,746.00",964,0,964,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109105,801-57876,GLIKMAN ASSOCIATES,GLIKMAN ASSOCIATES,55 SHAVER ST,SUITE 230,SAN RAFAEL,CA,UNITED STATES,94901-2784,415-456-0448,415-456-0493,,,,,,,Approved,8/22/2000,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"58,535,079.00",0,"58,535,079.00",108,0,108,Y,Y,N,N,Y,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,112485,801-55976,MINTZ LEVIN FINANCIAL ADVISORS LLC,MINTZ LEVIN FINANCIAL ADVISORS LLC,ONE FINANCIAL CENTER,,BOSTON,MA,UNITED STATES,2111,617-542-6000 / 617-348-1737,617-542-2241,,,,,,,Approved,10/26/1998,3/18/2010,Y,HTTP://WWW.MINTZLEVINFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,FOR CUSTODIAL SUPPORT SERVICES FOR A/CS W/ FIDELITY AS CUSTODIAN,Y,"694,945,980.00","243,228,267.00","938,174,247.00",199,173,372,Y,Y,N,N,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,120225,801-62170,THE MUTUAL FUND STORE,"THE MUTUAL FUND STORE-ST. LOUIS, LLC",7301 COLLEGE BOULEVARD,SUITE 220,OVERLAND PARK,KS,USA,66210,913-319-8100,913-319-8181,,,,,,,Approved,6/20/2003,3/18/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,More than 500,"1,876",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"350,821,106.00",0,"350,821,106.00","4,560",0,"4,560",Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,153113,801-71264,"FIRST SOUTHEAST 401(K) FIDUCIARIES, INC.","FIRST SOUTHEAST 401(K) FIDUCIARIES, INC.",2430 MALL DRIVE,SUITE 360,CHARLESTON,SC,UNITED STATES,29406,843-884-3912,843-881-4051,,,,,,,Approved,4/7/2010,3/18/2010,Y,WWW.FIRSTSOUTHEAST401K.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,SC,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,148944,801-69939,"WOOD CREEK CAPITAL MANAGEMENT, LLC","WOOD CREEK CAPITAL MANAGEMENT, LLC",157 CHURCH STREET,20TH FLOOR,NEW HAVEN,CT,UNITED STATES,6510,203-401-3220,203-401-3219,,,,,,,Approved,3/2/2009,3/18/2010,Y,WWW.WOODCREEKCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"44,383,336.00","142,034,589.00","186,417,925.00",2,3,5,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT ADVISOR TO AN AFFILIATED COMPANY THAT INVESTS IN COMPANIES THAT ARE THE MANAGING MEMBER/GP FOR POOLED INV VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,147923,801-69483,NORTHWEST ASSET MANAGEMENT,"NWAM, LLC",7900 SE 28TH ST,STE 412,MERCER ISLAND,WA,UNITED STATES,98040,206-838-3680,206-838-3681,,,,,,,Approved,8/20/2008,3/18/2010,Y,WWW.NWASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"117,688,915.00","39,100,000.00","156,788,915.00",618,21,639,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,143119,801-67847,THE MUTUAL FUND STORE,"THE MUTUAL FUND STORE-DENVER, LLC",7301 COLLEGE BOULEVARD,SUITE 220,OVERLAND PARK,KS,USA,66210,913-319-8100,913-319-8181,,,,,,,Approved,5/3/2007,3/18/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"85,831,449.00",0,"85,831,449.00",969,0,969,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,121703,801-61613,ALPHA CAPITAL MANAGEMENT,"B&T CAPITAL MANAGEMENT, INCORPORATED",LAS CIMAS III,805 CIMAS PARKWAY #320,AUSTIN,TX,UNITED STATES,78746,512-322-9318,512-322-9364,,,,,,,Approved,11/21/2002,3/18/2010,Y,WWW.ALPHACAPM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"138,428,000.00","167,774,000.00","306,202,000.00",849,30,879,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,133446,801-70287,SAMEX CAPITAL ADVISORS,"SAMEX CAPITAL ADVISORS, LLC",11650 NORTH LANTERN ROAD,STE. 213,FISHERS,IN,UNITED STATES,46038,317-203-3365,317-576-8601,,,,,,,Approved,7/17/2009,3/18/2010,Y,WWW.SAMEXCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"27,000,000.00",0,"27,000,000.00",180,0,180,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,21923,801-31746,"WEDGEWOOD PARTNERS, INC.","WEDGEWOOD PARTNERS, INC.","9909 CLAYTON RD, SUITE 103",,ST LOUIS,MO,UNITED STATES,63124,314-567-6407,314-567-0104,,,,,,,Approved,4/1/1988,3/18/2010,Y,WEDGEWOODPARTNERS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,More than 500,500,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,Y,Y,PERCENTAGE OF PLAN ASSETS,Y,"482,034,615.00","1,685,169.00","483,719,784.00",742,3,745,N,Y,Y,Y,Y,N,N,N,N,N,,,,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,137830,801-64902,RBP INVESTMENT ADVISORS INC.,RBP INVESTMENT ADVISORS INC.,,,,,,,(888) 806-0604,(888) 806-0604,,,,,,,Approved,11/29/2005,3/18/2010,Y,WWW.RBPIA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"65,163,506.00",0,"65,163,506.00",281,0,281,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108666,801-55446,BELL ASSET MANAGEMENT USA INC,BELL ASSET MANAGEMENT USA INC,ONE GLENDINNING PLACE,,WESTPOINT,CT,UNITED STATES,6880,203 762 8511,,LEVEL 29 101 COLLINS STREET,,MELBOURNE,,AUSTRALIA,3000,Approved,5/12/1998,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"163,961,362.00",0,"163,961,362.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110954,801-48848,"SIERRA INVESTMENT PARTNERS, INC.","SIERRA INVESTMENT PARTNERS, INC.",101 YGNACIO VALLY ROAD,SUITE 300,WALNUT CREEK,CA,UNITED STATES,94596-4061,925-941-6300,925-941-6302,,,,,,,Approved,5/18/1995,3/18/2010,Y,SIERRAINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,557,849,655.00",0,"2,557,849,655.00",79,0,79,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,115009,801-62355,"LEE JOHNSON CAPITAL MANAGEMENT, LLC","LEE JOHNSON CAPITAL MANAGEMENT, LLC",6300 RIDGLEA PLACE,SUITE 1020,FORT WORTH,TX,UNITED STATES,76116,817-738-1451,817-738-9056,,,,,,,Approved,9/16/2003,3/18/2010,Y,WWW.LJCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"90,912,596.00",0,"90,912,596.00",898,0,898,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,138509,801-70947,"CORNERSTONE INVESTMENT ADVISOR, LLC","CORNERSTONE INVESTMENT ADVISOR, LLC","14275 GOLF COURSE DRIVE, #140",,BAXTER,MN,UNITED STATES,56425,(218) 829-2224,,,,,,,,Approved,1/7/2010,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SELECTION OF OTHER ADVISORS,Y,"46,265,690.00",0,"46,265,690.00",506,0,506,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106822,801-54107,STERLING CAPITAL MANAGEMENT INC,STERLING CAPITAL MANAGEMENT INC,1801 JENNIFER LANE,,WAUKESHA,WI,UNITED STATES,53186,262-970-9700,262-970-9740,,,,,,,Approved,3/24/1997,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,"50,036,110.00","43,382,619.00","93,418,729.00",314,39,353,Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,112296,801-60240,"FIELDSTONE FINANCIAL MANAGEMENT GROUP, LLC","FIELDSTONE FINANCIAL MANAGEMENT GROUP, LLC","101 FEDERAL STREET, SUITE 1900",,BOSTON,MA,USA,2119,800-888-5164,508-339-1941,P.O. BOX 834,,MANSFIELD,MA,USA,2048,Approved,5/23/2001,3/18/2010,Y,WWW.FIELDSTONEFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,FEDERAL EMPLOYEES,Y,Y,N,Y,N,N,N,,Y,"83,474,558.00","35,052,713.00","118,527,271.00",385,104,489,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107215,801-48864,DAVIS MICHAEL KIM,DAVIS MICHAEL KIM,9 COTTAGE STREET,,MARION,MA,UNITED STATES,2738,508-748-0709,508-748-0710,PO BOX 249,9 COTTAGE STREET,MARION,MA,UNITED STATES,2738,Approved,5/26/1995,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"80,948,830.00",0,"80,948,830.00",109,0,109,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107169,801-37267,"BIRINYI ASSOCIATES, INC.","BIRINYI ASSOCIATES, INC.",61 WILTON ROAD,,WESTPORT,CT,USA,6880,203-341-0833,203-341-0822,P.O. BOX 711,,WESTPORT,CT,USA,6881,Approved,8/30/1990,3/17/2010,Y,WWW.BIRINYI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,Y,Y,N,Y,N,,Y,"250,000,000.00",0,"250,000,000.00",159,0,159,N,Y,N,Y,N,N,Y,N,N,Y,RECOMMEND SECURITIES FOR INCLUSION IN UNIT INVESTMENT TRUSTS SPONSORED FROM TIME TO TIME BY VAN KAMPEN FUNDS INC.,,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,150618,801-70349,"ARLEN WEALTH MANAGEMENT, LLC","ARLEN WEALTH MANAGEMENT, LLC",201 PENN CENTER BLVD.,SUITE 400,PITTSBURGH,PA,UNITED STATES,15235,412-825-5168,412-963-8217,,,,,,,Approved,6/30/2009,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"32,049,255.00",0,"32,049,255.00",2,0,2,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104650,801-11184,"FIFTH THIRD ASSET MANAGEMENT, INC.","FIFTH THIRD ASSET MANAGEMENT, INC.",38 FOUNTAIN SQUARE PLAZA,MD 1090BD,CINCINNATI,OH,UNITED STATES,45263,800-786-8651,513-534-0122,,,,,,,Approved,11/28/1975,3/17/2010,Y,WWW.FTAM.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,51-250,0,51-250,0,Nov-50,0,5-Jan,0,More than 500,"1,000",51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"17,124,371,206.00","545,084,877.00","17,669,456,083.00",901,4,905,N,Y,Y,Y,N,Y,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,Y,N,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,139464,801-66594,"THE HOERNER PLANNING GROUP, LLC","THE HOERNER PLANNING GROUP, LLC",5 NORTH HAMILTON STREET,,MIDDLEBURG,VA,UNITED STATES,20117,540-687-5090,540-687-5096,P.O. BOX 1326,,MIDDLEBURG,VA,UNITED STATES,20118,Approved,4/18/2006,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"409,870,573.00",0,"409,870,573.00",678,0,678,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,251-500,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
MIRO,111800,801-56812,FIRSTRUST,FIRSTRUST LLC,1673 MASON AVE.,SUITE #100,DAYTONA BEACH,FL,UNITED STATES,32117,386-788-3737,386-788-3717,,,,,,,Approved,8/30/1999,3/17/2010,Y,WWW.FIRSTRUST.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"132,000,000.00","10,700,000.00","142,700,000.00",125,1,126,Y,Y,N,Y,Y,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR TRUSTS & FIDUCIARIES,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,133541,801-64524,"NCT FINANCIAL SERVICES, LLC","NCT FINANCIAL SERVICES, LLC",1525 INTERNATIONAL PARKWAY,SUITE 2071,LAKE MARY,FL,USA,32746,407-585-1160,407-585-1199,,,,,,,Approved,7/20/2005,3/17/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"6,549,827.00","6,549,827.00",0,1,1,N,Y,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110758,801-24081,LIBBIE AGRAN FINANCIAL SERVICES & SEMINARS,LIBBIE AGRAN FINANCIAL SERVICES & SEMINARS,2150 COLORADO AVENUE,STE 250,SANTA MONICA,CA,USA,90404,310-586-1828,310-586-1851,,,,,,,Approved,6/6/1985,3/17/2010,Y,WWW.LAFS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"513,958,790.00",0,"513,958,790.00",315,0,315,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,146615,801-68930,MAINSTREET ADVISORS,MAINSTREET INVESTMENT ADVISORS LLC,120 N. LASALLE STREET,SUITE 3750,CHICAGO,IL,UNITED STATES,60602,312-223-0270,312-223-0276,,,,,,,Approved,3/12/2008,3/17/2010,Y,WWW.MAINSTREETADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,11-25 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"12,868,109.00","1,439,730,646.00","1,452,598,755.00",9,52,61,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109563,801-57288,HALTER FERGUSON FINANCIAL INC,HALTER FERGUSON FINANCIAL INC,"7702 WOODLAND DR, SUITE 150",,INDIANAPOLIS,IN,UNITED STATES,46278,317-875-0202,317-875-0909,,,,,,,Approved,2/18/2000,3/17/2010,Y,WWW.HFFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"116,909,387.00",0,"116,909,387.00",171,0,171,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,112803,801-62964,ANDREW SOTER INVESTMENT CONSULTANTS,"ANDREW SOTER INVESTMENT CONSULTANTS, INC.",,,,,,,805-658-1730,805-658-1730,,,,,,,Approved,3/30/2004,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"18,240,000.00","14,460,000.00","32,700,000.00",26,28,54,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,124645,801-67202,"ALLISON INVESTMENT MANAGEMENT, LLC","ALLISON INVESTMENT MANAGEMENT, LLC",1201 LINCOLN STREET,SUITE 200,COLUMBIA,SC,USA,29201,803-806-8400,803-806-8119,,,,,,,Approved,9/27/2006,3/17/2010,Y,ALLINVMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,FOUNDATIONS,Y,N,N,N,N,N,N,,Y,"35,019,010.00","19,981,231.00","55,000,241.00",53,43,96,N,Y,N,N,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,131216,801-64098,"KALEEL INVESTMENT ADVISORS, LLC","KALEEL INVESTMENT ADVISORS, LLC",77 FRANKLIN STREET,SUITE 501,BOSTON,MA,UNITED STATES,2110,617-338-8747,617-338-9410,,,,,,,Approved,4/20/2005,3/17/2010,Y,WWW.KALEELCOMPANY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"53,376,196.00","53,376,196.00",0,137,137,Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,131097,801-64987,KWK MANAGEMENT LLC,KWK MANAGEMENT LLC,2301 ROSECRANS AVE.,SUITE 4195,EL SEGUNDO,CA,UNITED STATES,90245,310-536-8560,310-536-8677,,,,,,,Approved,12/8/2005,3/17/2010,Y,WWW.KWKMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"137,728,000.00",0,"137,728,000.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,124640,801-61854,THE BOGDAHN GROUP,"SENTINEL FIDUCIARY SERVICES, LLC",4901 VINELAND ROAD,SUITE 600,ORLANDO,FL,UNITED STATES,32811,863-293-8289,863-292-8717,,,,,,,Approved,3/4/2003,3/17/2010,Y,WWW.BOGDAHNCONSULTING.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,Y,INVESTMENT AND FIDUCIARY GOVERNANCE CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,115711,801-67063,"HORRELL CAPITAL MANAGEMENT, INC.","HORRELL CAPITAL MANAGEMENT, INC.",900 S. SHACKLEFORD ROAD,SUITE 200,LITTLE ROCK,AR,UNITED STATES,72211-3847,501-975-4655,501-975-4654,,,,,,,Approved,8/3/2006,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"226,766,477.00",0,"226,766,477.00",171,0,171,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105607,801-34145,"KAREL CAPITAL, INC.",KAREL CAPITAL INC,"221 N. WALL STREET, SUITE 609",,SPOKANE,WA,UNITED STATES,99201-0809,509-838-9900,509-838-9909,,,,,,,Approved,3/24/1989,3/17/2010,Y,WWW.KARELCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,PRIVATE LIMITED PARTNERSHIP,Y,Y,N,N,N,Y,N,,Y,"67,509,229.00","917,739.00","68,426,968.00",150,3,153,N,Y,N,Y,N,N,N,N,N,Y,PRIVATE LIMITED PARTNERSHIP,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,123953,801-61610,"SUNLIN CONSULTING INVESTMENT ADVISORY SERVICES, LLC","SUNLIN CONSULTING INVESTMENT ADVISORY SERVICES, LLC",,,,,,,310-455-4020,310-455-4309,P.O. BOX 83907,,LOS ANGELES,CA,USA,90083-0921,Approved,11/19/2002,3/17/2010,Y,WWW.SUNLIN.BIZ,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,Y,PERCENTAGE OF ASSETS INVESTED UNDER THE RETIREMENT PROGRAM,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,Y,"INVESTMENT STRATEGY, POLICY DEVELOPMENT, PERFORMANCE MONITORING",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,104709,801-15184,BORRIS NII VALDEZ & CO INC,BORRIS HOWARD M & CO INC,8530 WILSHIRE BLVD STE 200,,BEVERLY HILLS,CA,UNITED STATES,90211-3113,310-358-1800,310-358-1813,,,,,,,Approved,5/8/1980,3/17/2010,Y,WWW.BNVCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,5% OF PROFESSIONAL INCOME FOR BUSINESS & FAMILY MGMT SERVICE,Y,"56,956,178.00","28,932,076.00","85,888,254.00",44,40,84,Y,Y,N,N,Y,Y,N,N,N,Y,BUSINESS AND FAMILY WEALTH MANAGEMENT SERVICES,26-50,,N,Y,N,N,N,Y,N,N,N,,Y,Y,Y,Y,N,N,N,N,Y,N,Y,N,Y,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109779,801-57961,"WOODMONT INVESTMENT COUNSEL, LLC","WOODMONT INVESTMENT COUNSEL, LLC",102 WOODMONT BLVD,SUITE 350,NASHVILLE,TN,UNITED STATES,37205,615-297-6144,615-297-7048,,,,,,,Approved,9/11/2000,3/17/2010,Y,WWW.WOODMONTCOUNSEL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,NONE,Y,N,N,N,N,N,N,,Y,"265,526,502.00","27,737,545.00","293,264,047.00",322,5,327,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,121426,801-61921,"YELLOWWOOD FINANCIAL ADVISORS, INC.","YELLOWWOOD FINANCIAL ADVISORS, INC.",9841 WASHINGTONIAN BLVD,SUITE 380,GAITHERSBURG,MD,USA,20878,301-984-8437,240-465-0228,,,,,,,Approved,4/16/2003,3/17/2010,Y,YWFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"97,483,877.00","829,462.00","98,313,339.00",256,1,257,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,135434,801-65229,"VOYAGER MANAGEMENT, LLC","VOYAGER MANAGEMENT, LLC",11111 SANTA MONICA BLVD,SUITE 1800,LOS ANGELES,CA,UNITED STATES,90025,424-652-7070,424-652-7076,,,,,,,Approved,1/20/2006,3/17/2010,Y,HTTP://WWW.VOYAGERMGMT.COM/MAIN.HTML,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"209,000,000.00",0,"209,000,000.00",7,0,7,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,114238,801-60563,"ASHFORD ADVISORS, LLC","ASHFORD ADVISORS, LLC",30 B GROVE STREET,,PITTSFORD,NY,USA,14534,585-697-0362,585-697-0367,,,,,,,Approved,9/10/2001,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,Y,CARRIED INTEREST,Y,"122,375,916.00","99,126,670.00","221,502,586.00",107,63,170,Y,Y,N,N,N,Y,N,N,N,Y,CONSULTING SERVICES,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,149869,801-70057,NEOSHO ADVISORS LLC,NEOSHO ADVISORS LLC,5250 W. 94TH TERRACE,,SHAWNEE MISSION,KS,UNITED STATES,66207,913-649-8406,913-649-8131,,,,,,,Approved,4/7/2009,3/17/2010,Y,WWW.NEOSHOADVISORS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,Y,"4,000,000.00","3,000,000,000.00","3,004,000,000.00",2,18,20,N,N,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104588,801-53311,"CAROSA, STANTON & DEPAOLO ASSET MANAGEMENT, LLC","CAROSA STANTON ASSET MANAGEMENT, LLC",3909 RUSH-MENDON ROAD,,MENDON,NY,UNITED STATES,14506,(585) 624-3150,(585) 624-3650,,,,,,,Approved,11/22/1996,3/26/2010,Y,WWW.CAROSASTANTONANDDEPAOLO.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,26-50 percent,51-75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"18,146,000.00","20,341,000.00","38,487,000.00",27,2,29,N,Y,Y,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106615,801-42954,SIERRA INVESTMENT MANAGEMENT INC,SIERRA INVESTMENT MANAGEMENT INC,"3420 OCEAN PARK BLVD, STE 3060",,SANTA MONICA,CA,USA,90405,310-452-1887,310-452-2680,,,,,,,Approved,12/23/1992,3/26/2010,Y,WWW.SIERRAINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,10-Jun,0,More than 500,500,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"518,847,056.00",0,"518,847,056.00",941,0,941,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,119841,801-62831,"SCHMIDT FINANCIAL GROUP, INC.","SCHMIDT FINANCIAL GROUP, INC.",620 KIRKLAND WAY,SUITE 205,KIRKLAND,WA,UNITED STATES,98033,425-893-9195,425-893-9824,,,,,,,Approved,2/26/2004,3/26/2010,Y,WWW.SCHMIDTFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"220,000,000.00","220,000,000.00",0,174,174,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,Y,N,N,N,N,N,N,N,N,,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144790,801-68220,INDEXIQ ADVISORS LLC,INDEXIQ ADVISORS LLC,800 WESTCHESTER AVENUE,SUITE N-611,RYE BROOK,NY,UNITED STATES,10573,914-697-4946,914-697-4995,,,,,,,Approved,8/9/2007,3/26/2010,Y,WWW.INDEXIQ.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,25-Nov,0,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"232,559,094.00",0,"232,559,094.00",17,0,17,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119403,801-61460,LIFESTAGE WEALTH MANAGEMENT GROUP LLC,LIFESTAGE WEALTH MANAGEMENT GROUP LLC,123 3RD AVENUE E,STE. 200,ALEXANDRIA,MN,UNITED STATES,56308,320-762-1880,320-762-2214,123 3RD AVENUE E,STE. 200,ALEXANDRIA,MN,UNITED STATES,56308,Approved,9/27/2002,3/26/2010,Y,WWW.LIFESTAGEWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,VARYING FEES FOR EDUCATIONAL WORKSHOPS AND SEMINARS,Y,"37,908,919.00",0,"37,908,919.00",177,0,177,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,Y,N,N,N,N,N,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,132293,801-63502,"PRAESIDEO MANAGEMENT, LLC","PRAESIDEO MANAGEMENT, LLC",204 HISTORIC 25TH STREET,SUITE 200,OGDEN,UT,UNITED STATES,84401,801-866-1150,801-866-1151,,,,,,,Approved,9/15/2004,3/26/2010,Y,WWW.PRAESIDEO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,POOLED INVESTMENT VEHICLES,Y,N,N,N,N,N,N,,Y,"48,841,369.00",0,"48,841,369.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,HEDGE FUND OF FUNDS,0,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110006,801-46785,SHORR CAPITAL MANAGEMENT,SHORR ALAN LEE,,,,,,,818-501-3171,818-907-9725,26500 W. AGOURA ROAD,SUITE 102-426,CALABASAS,CA,UNITED STATES,91302,Approved,7/18/1994,3/26/2010,Y,SHORRCAP.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,"9,084,946.00",0,"9,084,946.00",26,0,26,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N
NYRO,109066,801-56468,"CURCIO WEBB, LLC",CURCIO WEBB LLC,108 STRAUBE CENTER BLVD.,BLDG. G,PENNINGTON,NJ,USA,8534,609-737-4100,609-818-9002,,,,,,,Approved,5/11/1999,3/26/2010,Y,WWW.CURCIOWEBB.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108390,801-56863,GUILD INVESTMENT MANAGEMENT INC,GUILD INVESTMENT MANAGEMENT INC,12400 WILSHIRE BLVD.,SUITE 1080,LOS ANGELES,CA,UNITED STATES,90025,310-826-8600,310-826-8611,,,,,,,Approved,9/28/1999,3/26/2010,Y,WWW.GUILDINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"145,046,114.00",0,"145,046,114.00",96,0,96,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,125669,801-63090,MAST CAPITAL MANAGEMENT LLC,"MAST CAPITAL MANAGEMENT, LLC",200 CLARENDON STREET,51ST FLOOR,BOSTON,MA,UNITED STATES,2116,617-247-7675,617-247-7985,,,,,,,Approved,4/29/2004,3/26/2010,Y,WWW.MASTCAPLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"850,621,251.00",0,"850,621,251.00",6,0,6,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,150587,801-70484,"PARAMAX CAPITAL ADVISORS, LLC","PARAMAX CAPITAL ADVISORS, LLC",860 CANAL STREET,4TH FLOOR,STAMFORD,CT,UNITED STATES,6902,203-352-6771,203-352-6774,,,,,,,Approved,8/18/2009,3/26/2010,Y,WWW.PARAMAXCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"698,591,000.00",0,"698,591,000.00",3,0,3,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS AND SEPARATE ACCOUNTS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,133229,801-63618,"VTL ASSOCIATES, LLC","VTL ASSOCIATES, LLC",2005 MARKET STREET; SUITE 2020,,PHILADELPHIA,PA,UNITED STATES,19103,(215)854-8181,(215)854-8190,,,,,,,Approved,11/5/2004,3/26/2010,Y,WWW.VTLASSOCIATES.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,51-75 percent,0 percent,,Y,N,N,Y,N,Y,Y,PLEASE SEE SCHEDULE D - MISCELLANEOUS,Y,"390,971,519.00",0,"390,971,519.00",7,0,7,N,N,Y,Y,N,Y,N,N,N,Y,PLEASE SEE SCHEDULE D - MISCELLANEOUS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,150671,801-70405,MPC WEALTH MANAGEMENT,MODERN PORTFOLIO CONSULTANTS COMPANY,8401 W. DODGE RD,STE 256,OMAHA,NE,UNITED STATES,68114,402-504-6250,402-397-8617,,,,,,,Approved,7/30/2009,3/26/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Partnership,,NE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"969,279.00",0,"969,279.00",5,0,5,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,143817,801-67921,"PATHWAYS ADVISORY GROUP, INC.","PATHWAYS ADVISORY GROUP, INC.",684 WEST CROMWELL AVENUE,SUITE 103,FRESNO,CA,UNITED STATES,93711,559-431-4700,559-431-4701,,,,,,,Approved,6/8/2007,3/26/2010,Y,WWW.PATHWAYSADVISORYGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"75,099,912.00","75,099,912.00",0,601,601,Y,Y,N,Y,N,N,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110732,801-32548,"NETTING & PACE, INCORPORATED","NETTING & PACE, INCORPORATED","7373 BROADWAY, SUITE 400",,SAN ANTONIO,TX,USA,78209-3219,210-738-3888,210-738-1010,,,,,,,Approved,9/1/1988,3/26/2010,Y,WWW.NETTINGPACE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"91,105,864.00","12,588,411.00","103,694,275.00",244,13,257,Y,Y,N,Y,Y,Y,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,140121,801-66868,CCMP CAPITAL,"CCMP CAPITAL ADVISORS, LLC","245 PARK AVENUE, 16TH FLOOR",,NEW YORK,NY,UNITED STATES,10167,212-600-9600,212-599-8294,,,,,,,Approved,6/20/2006,3/26/2010,Y,HTTP://WWW.CCMPCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"790,990,859.00","3,350,618,848.00","4,141,609,707.00",2,45,47,N,N,N,N,N,N,N,N,N,Y,"ADVISE AND MANAGE POOLED INVESTMENT VEHICLES, AND ADVISE JPMORGAN CHASE AS TO CERTAIN OF ITS PRIVATE EQUITY INVESTMENTS",,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152629,801-70981,BLACKSTONE INFRASTRUCTURE MANAGEMENT PARTNERS L.L.C,BLACKSTONE INFRASTRUCTURE MANAGEMENT PARTNERS L.L.C,345 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10154,212-583-5000,212-583-5687,,,,,,,Approved,1/8/2010,3/26/2010,Y,WWW.BLACKSTONE.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,148114,801-69529,"BELLWETHER INVESTMENT GROUP, LLC","BELLWETHER INVESTMENT GROUP, LLC",6778 EXECUTIVE OAK LANE,,CHATTANOOGA,TN,UNITED STATES,37421,423-877-6708,423-877-3881,,,,,,,Approved,8/21/2008,3/26/2010,Y,WWW.BELLWETHERINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"50,772,032.00","147,892.00","50,919,924.00",580,3,583,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109432,801-55229,"NAVPOINT FINANCIAL, INC.","NAVPOINT FINANCIAL, INC.",7900 XERXES AV. S. SUITE 500,,MINNEAPOLIS,MN,UNITED STATES,55431,952-746-1115,952-392-4605,,,,,,,Approved,1/28/1998,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"221,504,924.00","221,504,924.00",0,143,143,Y,Y,N,Y,N,N,N,N,N,Y,FINANCIAL & BUSINESS CONSULTING,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,153193,801-71254,"SUMMIT PARTNERS CREDIT GP, L.P.","SUMMIT PARTNERS CREDIT GP, L.P.",222 BERKELEY STREET,18TH FLOOR,BOSTON,MA,UNITED STATES,2116,617-824-1000,624-824-1100,,,,,,,Approved,4/7/2010,3/26/2010,Y,WWW.SUMMITPARTNERS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER TO PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,144982,801-68296,"NEW ALBANY CAPITAL PARTNERS, LLC","NEW ALBANY CAPITAL PARTNERS, LLC",4200 REGENT STREET,2ND FLOOR,COLUMBUS,OH,UNITED STATES,43054,614-944-5011,614-283-5085,,,,,,,Approved,9/5/2007,3/26/2010,Y,WWW.NEWALBANYCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,Up to 10 percent,51-75 percent,0 percent,,Y,N,N,N,N,N,Y,FINANCIAL ADVISORY SERVICES,Y,"142,315,967.00",0,"142,315,967.00",19,0,19,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,104554,801-28179,"KASPICK & COMPANY, LLC","KASPICK & COMPANY, LLC",203 REDWOOD SHORES PARKWAY,SUITE 300,REDWOOD SHORES,CA,UNITED STATES,94065-6121,650-585-4100,650-595-1400,,,,,,,Approved,10/23/1986,3/26/2010,Y,WWW.KASPICK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,10-Jun,0,0,0,5-Jan,0,More than 500,"4,500",Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"3,622,285,615.00","57,426,079.00","3,679,711,694.00","4,488",9,"4,497",N,Y,N,Y,N,N,N,N,N,Y,FINANCIAL CONSULTING,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,145236,801-68473,ADAM SMITH MANAGEMENT LLC,ADAM SMITH MANAGEMENT LLC,301 CARLSON PARKWAY,SUITE 103,MINNETONKA,MN,UNITED STATES,55305,952-893-9012,952-893-9036,,,,,,,Approved,11/1/2007,3/26/2010,Y,WWW.CHERRYTREE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"33,792,525.00",0,"33,792,525.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110046,801-56742,LIGHT GREEN ADVISORS LLC,LIGHT GREEN ADVISORS LLC,2401 ELLIOTT AVENUE,SUITE 500,SEATTLE,WA,UNITED STATES,98121,206-547-8645,206-448-7830,,,,,,,Approved,9/1/1999,3/26/2010,Y,WWW.LIGHTGREEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"45,564,120.00",0,"45,564,120.00",3,0,3,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110075,801-42152,MARK CAPITAL MANAGEMENT INC,MARK CAPITAL MANAGEMENT INC,6535 N PALM AVE,SUITE #101,FRESNO,CA,UNITED STATES,93704,559-225-5523,559-225-4873,,,,,,,Approved,9/3/1992,4/1/2010,Y,WWW.MARKCAPITAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"61,473,000.00",0,"61,473,000.00",675,0,675,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,141202,801-67074,"DUNDEEWEALTH US, LP","DUNDEEWEALTH US, LP",1160 WEST SWEDESFORD ROAD,SUITE 140,BERWYN,PA,UNITED STATES,19312,610-854-0902,610-640-2933,,,,,,,Approved,8/16/2006,4/1/2010,Y,WWW.DUNDEEWEALTHUS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"79,624,557.00",0,"79,624,557.00",9,0,9,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135269,801-64281,"SUMMIT PARTNERS SD III, LLC","SUMMIT PARTNERS SD III, LLC",222 BERKELEY STREET,,BOSTON,MA,UNITED STATES,2116,617-824-1000,617-824-1100,,,,,,,Approved,5/12/2005,4/1/2010,Y,WWW.SUMMITPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"320,124,701.00",0,"320,124,701.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135256,801-64283,"SUMMIT ACCELERATOR PARTNERS, LLC","SUMMIT ACCELERATOR PARTNERS, LLC",222 BERKELEY STREET,,BOSTON,MA,UNITED STATES,2115,617-824-1000,617-824-1100,,,,,,,Approved,5/12/2005,4/1/2010,Y,WWW.SUMMITPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"100,608,585.00",0,"100,608,585.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135263,801-64279,"SUMMIT PARTNERS VI (GP), LLC","SUMMIT PARTNERS VI (GP), LLC",222 BERKELEY STREET,,BOSTON,MA,UNITED STATES,2116,617-824-1000,617-824-1100,,,,,,,Approved,5/12/2005,4/1/2010,Y,WWW.SUMMITPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,532,700,509.00",0,"1,532,700,509.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,138472,801-65035,"COLORADO CAPITAL ADVISORS, LLC","COLORADO CAPITAL ADVISORS, LLC",,,,,,,(303) 800-4701,(303) 379-5363,,,,,,,Approved,1/3/2006,4/1/2010,Y,WWW.COLORADOCAPITALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"79,157,329.00",0,"79,157,329.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105613,801-34047,MOLUMPHY CAPITAL MANAGEMENT,MOLUMPHY CAPITAL MANAGEMENT,"332 PINE ST, STE 210",,SAN FRANCISCO,CA,USA,94104,415-421-5932,415-981-2089,,,,,,,Approved,1/1/1989,4/1/2010,Y,TJMOLUMPHY@YAHOO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"36,784,378.00","4,263,946.00","41,048,324.00",60,2,62,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135252,801-64280,"SUMMIT PARTNERS VI (GP), L.P.","SUMMIT PARTNERS VI (GP), L.P.",222 BERKELEY STREET,,BOSTON,MA,UNITED STATES,2116,617-824-1000,617-824-1100,,,,,,,Approved,5/12/2005,4/1/2010,Y,WWW.SUMMITPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,532,700,509.00",0,"1,532,700,509.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,139265,801-66453,"WATERSTONE WEALTH ADVISORS, LLC","WATERSTONE WEALTH ADVISORS, LLC",1715 AMWELL ROAD,2ND FLOOR,SOMERSET,NJ,UNITED STATES,8873,732-873-0433,732-873-2296,,,,,,,Approved,4/4/2006,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"55,600,000.00","2,400,000.00","58,000,000.00",387,1,388,Y,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT CONSULTING,51-100,,N,N,N,N,N,N,N,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,146349,801-68917,"PETERSON WEALTH ADVISORS, LLC","PETERSON WEALTH ADVISORS, LLC",360 WEST 920 NORTH,,OREM,UT,USA,84057,801-225-0000,801-226-1489,,,,,,,Approved,3/13/2008,2/18/2010,Y,WWW.PETERSONFINANCIAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"38,425,420.00",0,"38,425,420.00",211,0,211,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,128773,801-63110,J.E.B. CAPITAL MANAGEMENT LLC,J.E.B. CAPITAL MANAGEMENT LLC,18 MANOR ROAD,,SMITHTOWN,NY,UNITED STATES,11787,631-361-9100,631-361-7200,,,,,,,Approved,4/29/2004,2/18/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,804,683.00",0,"4,804,683.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,124085,801-64446,"FINANCIAL SECURITY SOLUTIONS, CORP.","FINANCIAL SECURITY SOLUTIONS, CORP.","18401 BURBANK BLVD., SUITE 209",,TARZANA,CA,UNITED STATES,91356,818-344-7177,818-344-7176,,,,,,,Approved,7/15/2005,2/18/2010,Y,WWW.FIN-SECURITY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"30,100,712.00","30,100,712.00",0,155,155,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106127,801-64096,PETERSON FINANCIAL SERVICES LLC,PETERSON FINANCIAL SERVICES LLC,1726 CLARKSON STREET,,DENVER,CO,USA,80218,303-831-4800,303-831-4802,,,,,,,Approved,2/28/2005,2/18/2010,Y,WWW.PETERSONFS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"39,555,580.00","1,581,386.00","41,136,966.00",130,15,145,Y,Y,N,Y,Y,N,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,147561,801-69424,"ROTHSCHILD CONSULTING GROUP, INC.","ROTHSCHILD CONSULTING GROUP, INC.",,,,,,,239-541-1439,239-541-1437,,,,,,,Approved,8/15/2008,2/11/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"50,000,000.00","50,000,000.00",0,17,17,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N
PLRO,107289,801-38963,TGS FINANCIAL ADVISORS,PROFESSIONAL FINANCIAL ADVISORS INC,170 N. RADNOR CHESTER ROAD,SUITE 110,RADNOR,PA,UNITED STATES,19087,610-892-9900,610-892-9830,,,,,,,Approved,6/7/1991,2/18/2010,Y,HTTP://WWW.TGSFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"192,485,152.00",0,"192,485,152.00","1,190",0,"1,190",Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,148918,801-69813,HIPPENSTIEL INVESTMENT,HIPPENSTIEL INVESTMENT COUNSEL LLC,,,,,,,281-543-1602,281-367-8547,,,,,,,Approved,1/12/2009,2/18/2010,Y,WWW.GEHIPPENSTIEL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,26-50 percent,FEDERAL GOVERNMENT ENTITIES,Y,Y,N,Y,N,N,N,,Y,0,"41,741,000.00","41,741,000.00",0,1,1,N,Y,N,Y,Y,Y,N,N,N,Y,EXPERT WITNESS CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,107390,801-39502,JARISLOWSKY FRASER LTD,"JARISLOWSKY, FRASER LIMITED",1010 SHERBROOKE STREET WEST,20TH FLOOR,MONTREAL QUEBEC,,CANADA,H3A 2R7,514-842-2727,514-842-1882,,,,,,,Approved,10/7/1991,2/18/2010,Y,WWW.JFL.CA,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,51-250,0,Nov-50,0,0,0,Nov-50,0,More than 500,"10,000",Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,CANADIAN MUTUAL FUNDS,Y,N,N,N,N,N,N,,Y,"44,447,735,520.00",0,"44,447,735,520.00","10,000",0,"10,000",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108298,801-39897,SILVER OAK ADVISORY GROUP,"SILVER OAK ADVISORY GROUP, INC.",1130 SW MORRISON ST,STE 610,PORTLAND,OR,UNITED STATES,97205-2217,503-242-1715,503-242-1808,,,,,,,Approved,9/13/1991,2/18/2010,Y,WWW.SILVEROAK.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"99,333,000.00","99,333,000.00",0,105,105,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,146626,801-69206,"NORTH COMPASS FINANCIAL ADVISORS, LLC","NORTH COMPASS FINANCIAL ADVISORS, LLC","21 NE 5TH STREET, SUITE 301",,GRAND RAPIDS,MN,USA,55744,218-326-4722,218-327-6997,,,,,,,Approved,5/29/2008,2/18/2010,Y,WWW.NORTHCOMPASSFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"45,417,945.00",0,"45,417,945.00",543,0,543,N,Y,N,N,Y,N,N,N,N,Y,INVESTMENT CONSULTATIONS,0,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,131619,801-63168,ARES CAPITAL MANAGEMENT LLC,ARES CAPITAL MANAGEMENT LLC,2000 AVENUE OF THE STARS,12TH FLOOR,LOS ANGELES,CA,USA,90067,310-201-4100,310-201-4141,,,,,,,Approved,5/18/2004,2/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,BUSINESS DEVELOPMENT COMPANY,Y,N,N,N,N,Y,N,,Y,"2,800,000,000.00",0,"2,800,000,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR BUSINESS DEVELOPMENT COMPANY,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,130074,801-63800,ARES MANAGEMENT LLC,ARES MANAGEMENT LLC,"2000 AVENUE OF THE STARS,",12TH FLOOR,LOS ANGELES,CA,USA,90067,310-201-4100,310-201-4141,,,,,,,Approved,1/31/2005,2/18/2010,Y,WWW.ARESMGMT.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"25,031,000,000.00",0,"25,031,000,000.00",42,0,42,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,144650,801-68188,"INSTITUTIONAL SERVICES GROUP, LLC","INSTITUTIONAL SERVICES GROUP, LLC",,,,,,,601-750-3170,,P.O. BOX 4654,,JACKSON,MS,UNITED STATES,39296-4654,Approved,7/30/2007,2/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"340,000,000.00",0,"340,000,000.00",2,0,2,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105396,801-13945,PETERSEN FLYNN & DINSMORE INC,PETERSEN FLYNN & DINSMORE INC,200 HOMER AVE.,,PALO ALTO,CA,UNITED STATES,94301,650-566-9650,650-566-9651,,,,,,,Approved,8/10/1978,2/18/2010,Y,WWW.PFDONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"418,801,031.00","5,734,917.00","424,535,948.00",218,2,220,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,32338,801-70540,"ASIA PACIFIC FINANCIAL MANAGEMENT GROUP, INC.","ASIA PACIFIC FINANCIAL MANAGEMENT GROUP, INC.",145 ASPINALL AVENUE,,HAGATNA,GU,UNITED STATES,96910-5156,671-472-6400,671-472-1044,,,,,,,Approved,8/25/2009,2/18/2010,Y,WWW.FMGGUAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GU,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,101-250,0,26-50 percent,51-75 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"35,000,000.00",0,"35,000,000.00",500,0,500,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,Y,N,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,141098,801-66939,1926 INVESTMENT ADVISORS,"1926 INVESTMENT ADVISORS, LLC",75 WEST LOCKWOOD AVENUE,SUITE 200,ST. LOUIS,MO,UNITED STATES,63119,314-963-1926,314-334-0947,,,,,,,Approved,6/23/2006,2/18/2010,Y,WWW.1926IA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"43,489,361.00","1,228,908.00","44,718,269.00",84,15,99,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,111432,801-60578,RETIREMENT INVESTMENT ADVISORS,"SHAW INVESTMENT ADVISORS, INC.",7700 N. KENDALL DRIVE SUITE 710,,MIAMI,FL,USA,33156,305-595-2740,305-595-2749,,,,,,,Approved,9/17/2001,2/19/2010,Y,WWW.NETRETIRE.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,Y,NONE,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,122053,801-65044,"HARRY R. HOLM, FINANCIAL ADVISORY SERVICES, L.L.C.","HARRY R. HOLM, FINANCIAL ADVISORY SERVICES, L.L.C.",ONE WEST CHESTNUT ST.,,HANOVER,PA,UNITED STATES,17331-2445,717-633-6844,717-633-6844,,,,,,,Approved,1/30/2006,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"32,334,304.00",0,"32,334,304.00",174,0,174,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,151731,801-70714,FIDUCIARY RESEARCH AND CONSULTING LLC,FIDUCIARY RESEARCH AND CONSULTING LLC,"ONE MARKET STREET, SPEAR TOWER, SUITE 4050",,SAN FRANCISCO,CA,UNITED STATES,94105,415-671-4020,415-366-2254,,,,,,,Approved,10/20/2009,3/26/2010,Y,FIDUCIARYRESEARCH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,A PERCENTAGE OF ASSETS ON WHICH WE CONSULT,Y,0,"6,437,658,000.00","6,437,658,000.00",0,10,10,N,N,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119569,801-68411,AMDG FINANCIAL,"AMDG FINANCIAL ADVISORY SERVICES, LLC",684 DEER STREET,,PLYMOUTH,MI,UNITED STATES,48170,734-737-0866,734-737-0877,,,,,,,Approved,10/1/2007,3/26/2010,Y,WWW.AMDGSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,% OF ASSETS MONITORED,Y,"25,143,207.00","1,147,450.00","26,290,657.00",340,12,352,Y,Y,N,Y,Y,N,N,N,N,Y,CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,149805,801-70115,WINDMILLS CAPITAL INC.,WINDMILLS CAPITAL INC.,1900 NW CORPORATE BOULEVARD,SUITE E205,BOCA RATON,FL,UNITED STATES,33431,561-713-2789,561-241-1599,,,,,,,Approved,5/4/2009,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"24,319,340.00","8,372,281.00","32,691,621.00",30,2,32,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,Y,MUTUAL FUNDS DISTRIBUTION AGREEMENTS WITH MFS & P2,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,148339,801-69576,"W A PROSKOW, LLC","W A PROSKOW, LLC",,,,,,,847-487-7108,847-526-6777,,,,,,,Approved,9/25/2008,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,PRIVATE FOUNDATIONS,Y,Y,N,Y,N,N,N,,Y,"41,297,938.00",0,"41,297,938.00",28,0,28,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,145228,801-68463,PARTNERS GROUP,PARTNERS GROUP (USA) INC.,450 LEXINGTON AVENUE,39TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-763-4700,212-763-4701,,,,,,,Approved,11/23/2007,3/26/2010,Y,WWW.PARTNERSGROUP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,Nov-50,0,10-Jan,0,0 percent,0 percent,0 percent,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"284,662,794.00",0,"284,662,794.00",5,0,5,N,N,Y,Y,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,Y,SEPARATE ACCOUNT AND LIMITED PARTNERSHIP INTERESTS,N,,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,105955,801-15844,"MOWELL FINANCIAL GROUP, NA",MOWELL FINANCIAL GROUP NA CORP,407 EAST 6TH AVENUE,,TALLAHASSEE,FL,USA,32303,850-386-6161,850-681-0465,,,,,,,Approved,3/16/1981,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,11-25 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"46,575,000.00","3,307,000.00","49,882,000.00",140,46,186,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
LARO,105614,801-16425,"CRITICAL CAPITAL MANAGEMENT, INC.","CRITICAL CAPITAL MANAGEMENT, INC.",23564 CALABASAS RD 206,,CALABASAS,CA,UNITED STATES,91302-1339,818-222-4773,818-591-8913,,,,,,,Approved,9/24/1981,3/26/2010,Y,WWW.CRITICALCAPITALMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"52,000,000.00",0,"52,000,000.00",42,0,42,Y,Y,N,N,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108584,801-54866,"LINDNER CAPITAL ADVISORS, INC.","LINDNER CAPITAL ADVISORS, INC.",600 VILLAGE TRACE,"BUILDING 23, SUITE 300",MARIETTA,GA,UNITED STATES,30067,770-977-7779,770-874-6113,,,,,,,Approved,9/17/1997,3/26/2010,Y,WWW.LCAUS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,Nov-50,0,More than 500,"1,000",51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"378,600,000.00","400,000.00","379,000,000.00","1,192",1,"1,193",Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105861,801-51681,SCOTT JAMES GROUP,JAMES SCOTT S CO,6700 ARLINGTON BLVD,,FALLS CHURCH,VA,UNITED STATES,22042,703-533-2500,703-533-8044,,,,,,,Approved,4/23/1996,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"57,992,346.00","35,775,077.00","93,767,423.00",260,351,611,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,Y,Y,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107553,801-52081,FARR MILLER & WASHINGTON LLC,FARR MILLER & WASHINGTON LLC,"1020 19TH STREET, NW",SUITE 200,WASHINGTON,DC,USA,20036,202-530-5600,202-530-5508,,,,,,,Approved,5/31/1996,3/26/2010,Y,FARRMILLER.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DC,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,700,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,INVESTMENT CLUB,Y,Y,N,Y,N,N,N,,Y,"654,807,193.00","7,478,475.00","662,285,668.00",745,13,758,Y,Y,Y,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,108998,801-56818,FINANCIAL TRUST ASSET MANAGEMENT CHARTERED,FINANCIAL TRUST ASSET MANAGEMENT CHARTERED,5100 TOWN CENTER CIRCLE,SUITE 150,BOCA RATON,FL,USA,33486,561-391-8188,561-391-7721,,,,,,,Approved,8/31/1999,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"44,276,624.00",0,"44,276,624.00",323,0,323,Y,Y,N,Y,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT OF PRIVATE INVESTMENT FUNDS,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108882,801-7739,"TOWNELEY CAPITAL MANAGEMENT, INC.","TOWNELEY CAPITAL MANAGEMENT, INC.",23197 LA CADENA DRIVE,SUITE 103,LAGUNA HILLS,CA,UNITED STATES,92653,800-545-4442,949-837-3604,,,,,,,Approved,9/1/1971,3/26/2010,Y,WWW.TOWNELEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,OCCASIONAL CONSULTING FOR A FEE,Y,"444,180,238.00",0,"444,180,238.00",265,0,265,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114152,801-67917,CROSS FINANCIAL SERVICES CORPORATION,CROSS FINANCIAL SERVICES CORPORATION,14607 SAN PEDRO,SUITE 190,SAN ANTONIO,TX,UNITED STATES,78232,210-821-6499,210-805-9345,,,,,,,Approved,5/11/2007,3/26/2010,Y,WWW.CROSSGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"44,138,011.00","5,694,967.00","49,832,978.00",114,31,145,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,Y,N,N,Y,N,N,Y,N,N,,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,112486,801-60648,"INVESTMENT ADVISORY SERVICES, INC","INVESTMENT ADVISORY SERVICES, INC",9303 NEW TRAILS DRIVE,SUITE 450,THE WOODLANDS,TX,UNITED STATES,77381,281-364-0606,281-298-7008,,,,,,,Approved,10/19/2001,3/26/2010,Y,WWW.IASTEXAS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"113,081,813.00",0,"113,081,813.00",329,0,329,N,Y,N,N,N,N,N,N,N,Y,INVESTMENT CONSULTATION FOR INDIVIDUALS AND/OR SMALL BUSINESSES.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,112772,801-39296,ALBRITTON CAPITAL MANAGEMENT CO,ALBRITTON CAPITAL MANAGEMENT CO,"2475 NORTHWINDS PARKWAY, #200",,ALPHARETTA,GA,USA,30004,770-753-6041,770-753-6167,P.O. BOX 1125,,ALPHARETTA,GA,USA,30009,Approved,7/10/1991,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"698,000,000.00",0,"698,000,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105103,801-20812,"HUFF, STUART & CARLTON",MONEYWISE INC,1563 CROSSINGS CENTRE DRIVE,SUITE 100,FOREST,VA,UNITED STATES,24551,434-316-9356,434-316-9357,,,,,,,Approved,3/16/1984,3/26/2010,Y,WWW.WEALTHMGT.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,RETAINER,Y,"114,548,000.00",0,"114,548,000.00",908,0,908,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107501,801-41657,AVALON CAPITAL MANAGEMENT,RAHN DAVID R & ASSOCIATES INC,495 SEAPORT COURT STE 106,,PORT OF REDWOOD CITY,CA,USA,94063-2785,650-306-1500,650-306-1499,,,,,,,Approved,6/4/1992,3/26/2010,Y,WWW.AVALONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"196,319,000.00",0,"196,319,000.00",275,0,275,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,141091,801-68901,GALLOWAY ASSET MANAGEMENT LLC,GALLOWAY ASSET MANAGEMENT LLC,1930 N. ARBOLEDA,SUITE 117,MESA,AZ,UNITED STATES,85213,480-325-8668,480-325-1664,,,,,,,Approved,3/20/2008,3/26/2010,Y,WWW.GALLOWAYLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,Y,PARTICIPATION IN 3RD PARTY ADVISOR FEES,Y,"103,868,869.00",0,"103,868,869.00",639,0,639,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,128161,801-69118,"BALANCED FINANCIAL PLANNING, INC.","BALANCED FINANCIAL PLANNING, INC.",6701 W. 64TH STREET,SUITE 100,OVERLAND PARK,KS,UNITED STATES,66202-4091,913-677-1090,877-677-3090,,,,,,,Approved,4/23/2008,3/26/2010,Y,WWW.BFPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,Y,"36,811,981.00","450,000.00","37,261,981.00",234,5,239,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126299,801-64406,"SUNBRIDGE MANAGEMENT, INC.",SUNBRIDGE MANAGEMENT INC,8899 MAIN STREET,,WILLIAMSVILLE,NY,UNITED STATES,14221,716-626-0307,716-626-1556,,,,,,,Approved,5/15/2006,4/29/2009,Y,WWW.SUNBRIDGE.BIZ,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"39,000,000.00","3,000,000.00","42,000,000.00",665,100,765,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,128483,801-62469,"CUTLER INVESTMENT COUNSEL, LLC","CUTLER INVESTMENT COUNSEL, LLC",525 BIGHAM KNOLL,,JACKSONVILLE,OR,UNITED STATES,97530,541-770-9000,541-779-0006,,,,,,,Approved,10/31/2003,3/26/2010,Y,WWW.CUTLER.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"124,679,039.00",0,"124,679,039.00",169,0,169,Y,Y,Y,Y,N,Y,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107687,801-9219,CALLAN ASSOCIATES INC.,CALLAN ASSOCIATES INC.,101 CALIFORNIA STREET,SUITE 3500,SAN FRANCISCO,CA,USA,94111-5802,415-974-5060,415-291-4014,,,,,,,Approved,4/16/1973,3/26/2010,Y,WWW.CALLAN.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,51-250,0,51-250,0,0,0,0,0,More than 500,500,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,51-75 percent,11-25 percent,Up to 10 percent,INDEPENDENT CONSULTING FIRMS,Y,Y,N,Y,N,N,Y,A PERCENTAGE OF ASSETS ON WHICH WE CONSULT,Y,"1,307,777,437.00","90,700,637.00","1,398,478,074.00",1,1,2,N,N,N,Y,Y,Y,N,N,N,Y,INVESTMENT & ASSET MANAGEMENT CONSULTING; INVESTMENT RESEARCH; INVESTMENT EDUCATION,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,134111,801-65392,MCCONNELL ASSET MANAGEMENT LLC,MCCONNELL ASSET MANAGEMENT LLC,6700 VERNON WOODS DRIVE,SUITE 100,ATLANTA,GA,UNITED STATES,30328,404-437-7420,,PO BOX 468507,,ATLANTA,GA,UNITED STATES,31146,Approved,1/26/2006,3/26/2010,Y,WWW.WORLDCOMMODITYFUNDS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,000,000.00",0,"1,000,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,127059,801-62751,HOLBROOK GLOBAL STRATEGIES,GLOBAL WEALTH STRATEGIES LLC,635 BRYANT STREET,,PALO ALTO,CA,UNITED STATES,94301,650-346-2630,650-618-2793,,,,,,,Approved,2/3/2004,3/26/2010,Y,WWW.HOLBROOKGLOBAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"100,800,000.00",0,"100,800,000.00",75,0,75,Y,Y,N,Y,N,N,N,N,N,Y,SELECTION OF OTHER MANAGERS,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109318,801-56824,DUMONT & BLAKE INVESTMENT ADVISORS LLC,DUMONT & BLAKE INVESTMENT ADVISORS LLC,731 ALEXANDER ROAD,SUITE 301,PRINCETON,NJ,UNITED STATES,8540,609-514-1899,609-514-4222,,,,,,,Approved,9/3/1999,3/26/2010,Y,WWW.DUMONTANDBLAKE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"279,731,484.00","7,633,261.00","287,364,745.00",735,80,815,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,133246,801-64073,ARCHSTONE INVESTMENT MANAGEMENT,ARCHSTONE INVESTMENT MANAGEMENT,83 GENERAL WARREN BLVD,SUITE 200,MALVERN,PA,UNITED STATES,19355,610-240-7750,610-903-4279,,,,,,,Approved,4/11/2005,3/26/2010,Y,WWW.ARCHSTONEINVESTMENTS.NET,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"840,069.00",0,"840,069.00",16,0,16,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107600,801-42564,BRICK CAPITAL MANAGEMENT INC,BRICK CAPITAL MANAGEMENT INC,"1400 ABBOTT ROAD, STE 105",,EAST LANSING,MI,UNITED STATES,48823,517-332-7700,517-332-0532,,,,,,,Approved,10/29/1992,3/26/2010,Y,BRICKINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,"911,000,000.00","911,000,000.00",0,25,25,Y,N,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,127831,801-62794,PAULSON & CO.INC.,PAULSON & CO.INC.,1251 AVENUE OF THE AMERICAS,50TH FL.,NEW YORK,NY,UNITED STATES,10020,212-956-2221,212-977-9505,,,,,,,Approved,2/26/2004,3/26/2010,Y,WWW.PAULSONCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,11-25 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"18,320,230,000.00",0,"18,320,230,000.00",19,0,19,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,152064,801-70801,"LAKSHMI WEALTH MANAGEMENT, LLC","LAKSHMI WEALTH MANAGEMENT, LLC",1267 HAMILTON LANE,,NAPERVILLE,IL,UNITED STATES,60540,630-369-0734,,,,,,,,120-Day Approval,11/25/2009,3/26/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"13,000,000.00",0,"13,000,000.00",5,0,5,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112931,801-31055,SCARBOROUGH CAPITAL CORPORATION,SCARBOROUGH CAPITAL CORPORATION,ONE BRIDGE STREET,SUITE 70,IRVINGTON,NY,UNITED STATES,10533,914-591-9200,914-591-8801,,,,,,,Approved,12/7/1987,3/26/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"19,980,915.00","19,980,915.00",0,132,132,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104819,801-13754,ARNOLD INVESTMENT COUNSEL INC,ARNOLD INVESTMENT COUNSEL INC,3960 HILLSIDE DRIVE - SUITE 204,,DELAFIELD,WI,UNITED STATES,53018-2148,262/303-4850,262/303-4970,,,,,,,Approved,4/17/1978,2/2/2010,Y,WWW.PRIMARYTRENDFUNDS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,Y,N,N,N,N,,Y,"20,096,721.00",0,"20,096,721.00",15,0,15,N,Y,Y,N,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110609,801-63852,"CULLINGTON HILL ADVISORS, INC.","CULLINGTON HILL ADVISORS, INC.",5151 SHOREHAM PLACE,SUITE 200,SAN DIEGO,CA,USA,92122,858-546-1444,858-546-1550,,,,,,,Approved,1/19/2005,3/28/2008,Y,WWW.CULLINGTONHILL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"105,646,128.00","355,468.00","106,001,596.00",655,20,675,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,139186,801-68602,"NEON LIBERTY CAPITAL MANAGEMENT, LLC","NEON LIBERTY CAPITAL MANAGEMENT, LLC",230 PARK AVENUE,SUITE 865,NEW YORK,NY,UNITED STATES,10169,212-983-1518,212-983-3273,,,,,,,Approved,1/2/2008,2/2/2010,Y,HTTP://NEONINVESTMENT.NET/,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"209,463,788.00",0,"209,463,788.00",7,0,7,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112547,801-63384,SCHULMERICH & ASSOCIATES ASSET MANAGEMENT LLC,STEPHEN CRAIG SCHULMERICH,,,,,,,503-672-7750,503-672-7699,LINCOLN CENTER,10260 SW GREENBURG RD. STE 400,PORTLAND,OR,UNITED STATES,97223,Approved,7/29/2004,2/2/2010,Y,WWW.SCHULMERICHANDASSOC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"80,000,000.00",0,"80,000,000.00","1,100",0,"1,100",Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,149476,801-70087,TAYLOR CAPITAL MANAGEMENT,"TAYLOR CAPITAL MANAGEMENT, LLC","4500 I-55 NORTH, SUITE 243",,JACKSON,MS,UNITED STATES,39211,601-981-4040,601-981-4195,,,,,,,Approved,4/23/2009,2/2/2010,Y,WWW.TAYLORCAPM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,ADMINISTRATIVE FEES,Y,"55,276,530.00","17,297,725.00","72,574,255.00",263,123,386,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,140330,801-71093,"PERSPECTIVE WEALTH PARTNERS, LLC","PERSPECTIVE WEALTH PARTNERS, LLC",,,,,,,208-429-0960,208-441-5964,1770 W. STATE STREET,,BOISE,ID,USA,83702,Approved,2/10/2010,2/2/2010,Y,WWW.PERSPECTIVEWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,ID,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"36,831,641.00","36,831,641.00",0,48,48,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,129765,801-62952,SEAMARK ASSET MANAGEMENT LTD.,SEAMARK ASSET MANAGEMENT LTD.,310 - 1801 HOLLIS STREET,,HALIFAX,,CANADA,B3J 3N4,902-423-9367,902-423-1518,,,,,,,Approved,4/8/2004,2/2/2010,Y,WWW.SEAMARK.CA,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,"ALL OF OUR CLIENTS ARE CURRENTLY CANADIAN RESIDENTS, INCLUDING HIGH NET WORTH INDIVIDUALS, PENSION PLANS, CHARITIES, ETC",Y,N,N,N,N,N,N,,Y,"2,052,930.00",0,"2,052,930.00",105,0,105,N,Y,N,Y,N,N,N,N,N,Y,CANADIAN INSTITUTIONS INCLUDING MUTUAL FUNDS AND CANADIAN WRAP FEE PROGRAMS AS PORTFOLIO MANAGER (NOT SPONSOR),,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,Y,N,N
LARO,104777,801-22365,"ALBITZ/MILOE AND ASSOCIATES, INC.","ALBITZ/MILOE AND ASSOCIATES, INC.","23133 HAWTHORNE BLVD., STE 305",,TORRANCE,CA,UNITED STATES,90505,310-373-8861,310-791-2068,,,,,,,Approved,10/19/1984,2/2/2010,Y,WWW.ALBITZMILOE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"94,160,795.00","94,160,795.00",0,274,274,Y,Y,N,N,Y,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,104959,801-26603,ECKHOUSE KULMAN & ASSOCIATES INC,ECKHOUSE KULMAN & ASSOCIATES INC,2298 NW BOCA RATON BLVD.,SUITE 18,BOCA RATON,FL,UNITED STATES,33431,(561)395-0771,(561)395-0772,,,,,,,Approved,4/24/1986,2/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"32,985,667.00",0,"32,985,667.00",38,0,38,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,111388,801-56788,FOUNDING PARTNERS CAPITAL MANAGEMENT COMPANY,FOUNDING PARTNERS CAPITAL MANAGEMENT COMPANY,"5150 NORTH TAMIAMI TRAIL, SUITE 400",NEWGATE CENTER,NAPLES,FL,UNITED STATES,34103,239-514-2900,239-514-2901,,,,,,,Approved,8/20/1999,4/7/2009,Y,WWW.FOUNDINGPARTNERSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"576,200,000.00",0,"576,200,000.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,HEDGE FUND MANAGER,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
MIRO,113636,801-61996,"MIKUS CAPITAL MANAGEMENT, INC.","MIKUS CAPITAL MANAGEMENT, INC.",125 WORTH AVENUE,SUITE 200,PALM BEACH,FL,UNITED STATES,33480,(561) 514-0975,(561) 658-2348,P.O. BOX 3428,,PALM BEACH,FL,UNITED STATES,33480,Approved,4/24/2003,2/2/2010,Y,WWW.MIKUSCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,SETUP FEE,Y,"162,726,775.00","4,970,532.00","167,697,307.00",117,1,118,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,143513,801-68837,"STEWARD FINANCIAL GROUP, LLC","STEWARD FINANCIAL GROUP, LLC",5850 COLLEYVILLE BLVD,,COLLEYVILLE,TX,USA,76034,817-290-2111,817-224-2204,,,,,,,Approved,2/15/2008,2/2/2010,Y,WWW.STEWARDFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"57,212,563.00","57,212,563.00",0,281,281,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,151881,801-70698,"CONTINUUM FINANCIAL, LLC","CONTINUUM FINANCIAL, LLC","110 S. BENDER AVENUE, SUITE 100",,HUMBLE,TX,UNITED STATES,77338,281-964-3496,281-964-2875,,,,,,,Approved,10/20/2009,2/2/2010,Y,WWW.CONTINUUMFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"19,036,482.00","24,700,970.00","43,737,452.00",61,2,63,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,145226,801-68540,"NJR INVESTMENT ADVISORY, INC.","NJR INVESTMENT ADVISORY, INC.",10927 N. 56TH STREET,,TAMPA,FL,USA,33617,813-983-0313,813-980-3078,,,,,,,Approved,11/16/2007,2/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,10-Jun,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"25,104,840.00","14,873,413.00","39,978,253.00",465,136,601,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,145940,801-69143,"THE ENDOWMENT OFFICE, INC.",THE ENDOWMENT OFFICE,6551 S. REVERE PKWY.,SUITE 137,CENTENNIAL,CO,UNITED STATES,80111,303-708-1388,303-708-8619,,,,,,,Approved,5/16/2008,2/2/2010,Y,ENDOWMENTOFFICE.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"930,000,000.00","930,000,000.00",0,3,3,N,N,N,Y,Y,Y,N,N,N,Y,SHARED INVESTMENT OFFICE,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150337,801-70278,SEAVIEW GLOBAL ADVISORS LLC,SEAVIEW GLOBAL ADVISORS LLC,,,,,,,732-768-8843,732-872-9305,,,,,,,Approved,7/1/2009,2/2/2010,Y,WWW.SEAVIEWGLOBALADVISORS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,111779,801-62962,CRIMSON MANAGEMENT,"PUTTERMAN, DEAN ELIOT","99 DETERING, SUITE 140",,HOUSTON,TX,USA,77007,713-525-1520,713-864-7044,P.O. BOX 272964,,HOUSTON,TX,UNITED STATES,77277-2964,Approved,4/8/2004,2/2/2010,Y,WWW.CRIMSONMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"56,345,988.00","175,000,000.00","231,345,988.00",33,5,38,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,145005,801-68392,"JOCELYN INVESTMENT MANAGEMENT, LLC","JOCELYN INVESTMENT MANAGEMENT, LLC",145 NORTH REDWOOD DRIVE,,SAN RAFAEL,CA,UNITED STATES,94903,415-256-1795,415-459-4090,,,,,,,Approved,10/10/2007,3/3/2010,Y,WWW.JOCELYNINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"10,003,974.00","25,723,002.00","35,726,976.00",19,9,28,N,Y,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111086,801-55971,ASSOCIATED INVESTMENT MANAGEMENT LLC,ASSOCIATED INVESTMENT MANAGEMENT LLC,200 NORTH ADAMS STREET,,GREEN BAY,WI,UNITED STATES,54301,920-433-3200,920-433-3140,1200 HANSEN ROAD,,GREEN BAY,WI,UNITED STATES,54304,Approved,10/27/1998,3/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,864,570,000.00",0,"3,864,570,000.00",1,0,1,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
MIRO,149013,801-69814,ASG CAPITAL,"ASG CAPITAL, LLC",1200 BRICKELL AVENUE,SUITE 510,MIAMI,FL,UNITED STATES,33131,305-760-6503,305-675-6253,,,,,,,Approved,1/5/2009,3/3/2010,Y,WWW.ASG-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"18,494,191.00","7,023,969.00","25,518,160.00",20,1,21,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,115696,801-68027,"GLOBESCAN CAPITAL, INC.","GLOBESCAN CAPITAL, INC.",2650 FOUNTAINVIEW DR.,SUITE 322,HOUSTON,TX,UNITED STATES,77057,713 789 2100,713 789 4121,,,,,,,Approved,7/6/2007,3/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"40,000,000.00",0,"40,000,000.00",60,0,60,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,118257,801-66994,"ARK FINANCIAL SERVICES, LLC","ARK FINANCIAL SERVICES, LLC",4905 DEL RAY AVE.,SUITE 503,BETHESDA,MD,USA,20814,301-656-4100,301-576-4472,,,,,,,Approved,7/10/2006,3/3/2010,Y,WWW.ARKFINSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"62,905,947.00","6,564,705.00","69,470,652.00",70,14,84,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110640,801-23659,QUEST INVESTMENT MANAGEMENT INC,QUEST INVESTMENT MANAGEMENT INC,"ONE SW COLUMBIA ST., SUITE 1100",,PORTLAND,OR,UNITED STATES,97258,503-221-0158,503-221-0575,,,,,,,Approved,3/12/1985,3/3/2010,Y,WWW.QUESTINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,973,297,740.00",0,"1,973,297,740.00",152,0,152,N,Y,Y,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106441,801-52806,BONUCCELLI DAVID L & ASSOCIATES INC,BONUCCELLI DAVID L & ASSOCIATES INC,"701 UNIVERSITY AVE, SUITE 210",,SACRAMENTO,CA,UNITED STATES,95825,916-567-6666,916-567-6670,,,,,,,Approved,7/31/1996,3/3/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,11-25 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,TAX EXEMPT ORGANIZATIONS AND FOUNDATIONS,Y,Y,N,Y,Y,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,REAL ESTATE AND REAL ESTATE MORTAGE INVESTMENT ADVISORY SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110266,801-55355,ENVISION CAPITAL MANAGEMENT LTD,ENVISION CAPITAL MANAGEMENT LTD,10751 NORTH FRANK LLOYD WRIGHT BOULEVARD,SUITE 201,SCOTTSDALE,AZ,UNITED STATES,85259,480-219-6240,480-219-6238,,,,,,,Approved,3/16/1998,3/3/2010,Y,WWW.VALUEADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"173,445,907.00",0,"173,445,907.00",327,0,327,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N
BRO,105640,801-22845,FINANCIAL DESIGN & MANAGEMENT INC,FINANCIAL DESIGN & MANAGEMENT INC,1595 BLACK ROCK TPKE,,FAIRFIELD,CT,UNITED STATES,6825,203-338-0120,203-338-0121,,,,,,,Approved,11/20/1984,3/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"67,803,000.00",0,"67,803,000.00",87,0,87,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,104835,801-34772,MARATHON FINANCIAL ADVISORS,JOHNSON LYNDA ANN,,,,,,,408-323-8395,408-323-8395,P.O. BOX 20517,,SAN JOSE,CA,UNITED STATES,95160,Approved,6/30/1989,3/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"47,754,639.00","47,754,639.00",0,36,36,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110024,801-29719,"LOVELESS WEALTH MANAGEMENT, LLC","LOVELESS WEALTH MANAGEMENT, LLC",2619 SAINT JOHNS AVE.,SUITE E,BILLINGS,MT,UNITED STATES,59102,406-656-9212,406-652-1065,,,,,,,Approved,6/19/1987,3/3/2010,Y,WWW.LOVELESS-WEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"47,576,910.00",0,"47,576,910.00",341,0,341,Y,Y,N,Y,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,Y,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,125643,801-62948,PRIVATE CAPITAL MANAGEMENT ASSOCIATES LLC,PRIVATE CAPITAL MANAGEMENT ASSOCIATES LLC,,,,,,,(650) 712-1000,(650) 712-0679,80 CABRILLO HIGHWAY NORTH,"SUITE Q, BOX 311",HALF MOON BAY,CA,USA,94019-1698,Approved,3/31/2004,3/3/2010,Y,WWW.PVTCAPMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"52,329,615.00","2,961,460.00","55,291,075.00",278,76,354,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,118114,801-63116,"HERBEIN WEALTH MANAGEMENT, L.L.C.","HERBEIN WEALTH MANAGEMENT, L.L.C.",2763 CENTURY BLVD.,,WYOMISSING,PA,USA,19610,610-376-8271,866-445-9070,,,,,,,Approved,5/17/2004,3/3/2010,Y,WWW.HERBEINWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"171,897,218.00","23,598,755.00","195,495,973.00",664,26,690,Y,Y,N,Y,Y,Y,N,N,N,Y,INVESTMENT CONSULTING,101-250,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
SFRO,106010,801-42200,"FINANCIAL CLARITY, INC.","FINANCIAL CLARITY, INC.",2570 WEST EL CAMINO REAL,SUITE 600,MOUNTAIN VIEW,CA,USA,94040,650-559-9900,650-559-9720,,,,,,,Approved,8/26/1992,3/3/2010,Y,WWW.FINANCIALCLARITY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"956,741,000.00","956,741,000.00",0,29,29,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,114885,801-66996,"RATHER & KITTRELL, INC.","RATHER & KITTRELL, INC.",11905 KINGSTON,,KNOXVILLE,TN,USA,37934,865-218-8400,865-218-8450,,,,,,,Approved,7/14/2006,3/3/2010,Y,WWW.RKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,10-Jan,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,REFERRAL FEE,Y,"87,233,592.00","48,719,459.00","135,953,051.00",382,259,641,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145399,801-69647,"LJI WEALTH MANAGEMENT, LLC","LJI WEALTH MANAGEMENT, LLC","902 EAST 66TH ST., STE C",,INDIANAPOLIS,IN,UNITED STATES,46220,317-466-9702,317-466-9706,,,,,,,Approved,10/6/2008,3/3/2010,Y,WWW.LJIWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"35,000,000.00","17,000,000.00","52,000,000.00",330,120,450,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,Y,MORTGAGE BROKER,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,132161,801-63361,COVINGTON CAPITAL MANAGEMENT,COVINGTON CAPITAL MANAGEMENT,601 SOUTH FIGUEROA STREET,SUITE 2000,LOS ANGELES,CA,USA,90017-5726,213 629-7500,213 629-2990,,,,,,,Approved,7/23/2004,3/3/2010,Y,WWW.COVINGTONCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,222,192,260.00","25,019,979.00","1,247,212,239.00",729,13,742,N,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106653,801-47521,WORCESTER COUNTY FIDUCIARY ADVISORS INC,WORCESTER COUNTY FIDUCIARY ADVISORS INC,11 NORWICH STREET,,WORCESTER,MA,UNITED STATES,01608-2421,508-753-7300,508-792-0753,,,,,,,Approved,10/11/1994,3/16/2010,Y,WWW.WORCESTERADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,PRE-NEED FUNERAL TRUST,Y,N,N,Y,N,N,N,,Y,"42,538,724.00","10,731,251.00","53,269,975.00",200,36,236,Y,Y,N,Y,Y,N,N,N,N,Y,INCOME AND ESTATE TAX PREPARATION FOR CLIENTS,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,107866,801-55444,HENSSLER ASSET MANAGEMENT LLC,HENSSLER ASSET MANAGEMENT LLC,3735 CHEROKEE STREET,,KENNESAW,GA,UNITED STATES,30144,770-429-9166,770-428-3852,,,,,,,Approved,4/24/1998,3/16/2010,Y,WWW.HENSSLER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"151,322,391.00","16,282,097.00","167,604,488.00",349,151,500,Y,Y,Y,Y,N,Y,Y,N,N,N,,101-250,,N,Y,N,N,N,N,N,N,N,,N,,Y,N,Y,Y,N,N,Y,Y,Y,N,N,N,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,104545,801-37240,"G. W. HENSSLER & ASSOCIATES, LTD","G. W. HENSSLER & ASSOCIATES, LTD",3735 CHEROKEE STREET,,KENNESAW,GA,USA,30144,770-429-9166,770-428-3852,,,,,,,Approved,8/24/1990,3/16/2010,Y,WWW.HENSSLER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,000",51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"670,729,025.00","161,691,189.00","832,420,214.00","2,265","1,700","3,965",Y,Y,N,Y,N,Y,Y,N,N,N,,More than 500,1000,N,N,N,N,N,N,N,N,N,,N,N,Y,N,Y,Y,N,N,Y,Y,Y,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,142202,801-67260,"DIVERSIFIED INVESTMENT STRATEGIES, LLC","DIVERSIFIED INVESTMENT STRATEGIES, LLC",11939 BRICKSOME AVE,,BATON ROUGE,LA,UNITED STATES,70816,225-292-0687,225-292-0006,,,,,,,Approved,11/13/2006,3/16/2010,Y,WWW.DISQA3.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"128,227,106.00","5,479,581.00","133,706,687.00",304,27,331,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,150308,801-70187,VIRGINIA CAPITAL STRATEGIES,VIRGINIA CAPITAL STRATEGIES INC,110 W. CHURCH AVE,SUITE 401,ROANOKE,VA,UNITED STATES,24011,540-527-3700,540-527-3702,,,,,,,Approved,5/18/2009,3/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"78,188,154.00",0,"78,188,154.00",168,0,168,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109220,801-37959,INVESTMENT ADVISORS OF INDIANAPOLIS INC,INVESTMENT ADVISORS OF INDIANAPOLIS INC,10585 NORTH MERIDIAN STREET,SUITE 303,INDIANAPOLIS,IN,UNITED STATES,46290,317-574-8005,317-574-8807,,,,,,,Approved,12/5/1990,3/16/2010,Y,WWW.INVADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,CONSULTING FEES BASED ON ASSETS AND NEGOTIATIONS,Y,"28,673,116.00",0,"28,673,116.00",139,0,139,N,Y,N,Y,Y,N,N,N,N,Y,PERFORMANCE MEASUREMENT AND PORTFOLIO ACCOUNTING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,145877,801-68683,"VERO CAPITAL MANAGEMENT, LLC","VERO CAPITAL MANAGEMENT, LLC","220 FIFTH AVENUE, 19TH FLOOR",,NEW YORK,NY,USA,10001,212-991-1300,212-991-1301,,,,,,,Approved,1/7/2008,3/16/2010,Y,WWW.VEROCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,PRIVATE FUNDS,Y,N,N,Y,N,Y,N,,Y,"7,173,480,000.00","2,874,556,000.00","10,048,036,000.00",9,1,10,N,N,N,Y,N,N,N,Y,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143965,801-68057,BILTMORE CAPITAL ADVISORS,"BILTMORE CAPITAL ADVISORS, LLC",33 WITHERSPOON ST.,,PRINCETON,NJ,UNITED STATES,8542,888-391-4563,609-688-8704,,,,,,,Approved,6/21/2007,3/16/2010,Y,WWW.BILTMORECAPITALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"95,404,800.00","8,374,700.00","103,779,500.00",259,44,303,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,134351,801-63958,"FIDUCIARYVEST, LLC","FIDUCIARYVEST, LLC",211 PERIMETER CENTER PARKWAY,SUITE 1010,ATLANTA,GA,UNITED STATES,30346-1236,404-446-1274,404-446-1271,,,,,,,Approved,2/17/2005,3/16/2010,Y,WWW.FIDUCIARYVEST.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,N,N,Y,PERCENTAGE OF ASSETS UNDER ADVISEMENT,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,Y,"CONSULTING INVOLVING INVESTMENT STRATEGIES,POLICIES, GOVERNANCE, INVESTMENT MODELS AND PROJECTIONS, INVESTMENT RESEARCH",10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,125771,801-61877,"PRIVATE CAPITAL ADVISORS, INC.","PRIVATE CAPITAL ADVISORS, INC.",570 LEXINGTON AVE.,12TH FLOOR,NEW YORK,NY,UNITED STATES,10022-6822,212-702-6670,212-702-6678,,,,,,,Approved,3/20/2003,3/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"263,716,599.00",0,"263,716,599.00",199,0,199,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106623,801-51849,"GANTZERT INVESTMENT CO., LLC","GANTZERT INVESTMENT COMPANY,L.L.C.",1000 ESSINGTON ROAD,SUITE 143,JOLIET,IL,UNITED STATES,60435,815-773-2312,815-773-0658,,,,,,,Approved,5/7/1996,3/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,N,N,N,Y,FLAT FEE (NEGOTIABLE),Y,"142,449,497.00",0,"142,449,497.00",159,0,159,N,Y,N,N,N,N,N,N,N,Y,SMALL INVESTOR SERVICE. (LIMITED BASIS ONLY),,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,115411,801-65896,"BLACKTHORN INVESTMENT GROUP, LLC","BLACKTHORN INVESTMENT GROUP, LLC",10975 GRANDVIEW DRIVE,SUITE 150,OVERLAND PARK,KS,UNITED STATES,66210,913-451-7770,913-451-7779,,,,,,,Approved,1/24/2006,3/16/2010,Y,WWW.BLACKTHORNGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"188,000,000.00",0,"188,000,000.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,13787,801-47970,"UVEST FINANCIAL SERVICES GROUP, INC.","UVEST FINANCIAL SERVICES GROUP, INC.",5 COLISEUM CENTRE,2810 COLISUEUM CENTRE DRIVE,CHARLOTTE,NC,UNITED STATES,28217,800-277-8802,704-376-4476,,,,,,,Approved,12/16/1994,3/16/2010,Y,WWW.UVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,251-500,0,51-250,0,251-500,0,0,0,More than 500,"4,000",26-50 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,PRIVATE FOUNDATIONS,Y,N,N,Y,N,N,N,,Y,"180,000,000.00","568,000,000.00","748,000,000.00","1,050","2,600","3,650",Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,Y,N,N,N,Y,N,N,,N,N,Y,Y,N,Y,Y,Y,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,Y,N,N,Y,N,N,Y,N,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
CHRO,105344,801-35591,HEXIMER INVESTMENT MANAGEMENT INC,HEXIMER INVESTMENT MANAGEMENT INC,7263 SAWMILL ROAD,,DUBLIN,OH,UNITED STATES,43016,[614] 760-9100,[614] 760-9101,,,,,,,Approved,11/27/1989,3/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"64,660,093.00",0,"64,660,093.00",93,0,93,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,150729,801-70360,"IRONBRIDGE INTERNATIONAL, LTD.","IRONBRIDGE INTERNATIONAL, LTD.",BEAUMONT HOUSE BEAUMONT MEWS,37 MARYLEBONE HIGH ST,LONDON,,UNITED KINGDOM,WIU 4QE,44 0 207 486 9704,44 0 207 486 7184,,,,,,,Approved,7/14/2009,3/16/2010,Y,WWW.IRONBRIDGE.NET,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,Other (specify),UK LIMITED COMPANY,,UNITED KINGDOM,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,"IRONBRIDGE CAPITAL MANAGEMENT, LP",N,N,N,N,N,N,Y,PERCENTAGE OF FEES RECEIVED FROM IRONBRIDGE,Y,"4,155,064,765.00",0,"4,155,064,765.00",26,0,26,N,Y,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLE,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105367,801-21477,MONETTA FINANCIAL SERVICES INC,MONETTA FINANCIAL SERVICES INC,"1776-A SOUTH NAPERVILLE ROAD, SUITE 100",,WHEATON,IL,UNITED STATES,60189-5831,630-462-9800,630-462-9332,,,,,,,Approved,6/28/1984,3/16/2010,Y,WWW.MONETTA.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"62,650,287.00",0,"62,650,287.00",4,0,4,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,112786,801-57566,"PARTNERSINWEALTH, INC","PARTNERSINWEALTH, INC",3400 BISSONNET STE 145,,HOUSTON,TX,UNITED STATES,77005-2153,713-964-4028,713-963-2977,,,,,,,Approved,5/5/2000,3/16/2010,Y,WWW.PARTNERSINWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,A PERCENTAGE OF TOTAL NET WORTH,Y,"88,085,440.00","44,231,453.00","132,316,893.00",374,167,541,Y,Y,N,N,Y,N,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,131636,801-63577,"RELATIVE VALUE PARTNERS, LLC","RELATIVE VALUE PARTNERS, LLC",1033 SKOKIE BLVD.,SUITE 470,NORTHBROOK,IL,USA,60062,847-513-6300,847-513-6306,,,,,,,Approved,10/22/2004,3/16/2010,Y,WWW.RELATIVEVALUEPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"427,242,031.00",0,"427,242,031.00",345,0,345,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,133918,801-63836,HARLOW CAPITAL MANAGEMENT LLC,HARLOW CAPITAL MANAGEMENT LLC,2305 CEDAR SPRINGS ROAD,SUITE 407,DALLAS,TX,USA,75201,214 754 0800,214 754 0801,,,,,,,Approved,1/27/2005,3/16/2010,Y,WWW.HARLOW-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,Y,N,,Y,"101,811,313.00",0,"101,811,313.00",105,0,105,N,Y,N,N,N,N,N,N,N,Y,MANAGEMENT OF POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105026,801-34820,WHEATLAND ADVISORS INC,WHEATLAND ADVISORS INC,144 EAST CHESTNUT ST,,LANCASTER,PA,UNITED STATES,17602,717-299-6090,717-299-6029,,,,,,,Approved,7/20/1989,3/16/2010,Y,WHEATLANDADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"98,342,816.00",0,"98,342,816.00",231,0,231,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,131506,801-64898,"PORTFOLIO DESIGN SERVICES, LLC","PORTFOLIO DESIGN SERVICES, LLC",,,,,,,540-400-0053,540-400-0054,P.O. BOX 20109,,ROANOKE,VA,USA,24018,Approved,11/29/2005,3/16/2010,Y,WWW.PORTFOLIODESIGNSERVICES.BIZ,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"25,595,506.00",0,"25,595,506.00",328,0,328,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106570,801-16369,SULLIVAN & ASSOCIATES,SULLIVAN PATRICK LEA,1229 LAKE PLAZA DRIVE,SUITE A,COLORADO SPRINDGS,CO,UNITED STATES,80906,719-576-4500,719-576-2302,,,,,,,Approved,9/18/1981,3/16/2010,Y,WWW.SULLIVANINTERNET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CO,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,5-Jan,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"5,840,194.00","20,128,860.00","25,969,054.00",24,69,93,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,Y,N,N,Y,N,Y,N,Y,N,N,N,Y,N,Y,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,127357,801-62197,"GRANITE GROUP ADVISORS, LLC","GRANITE GROUP ADVISORS, LLC",187 DANBURY ROAD,,WILTON,CT,UNITED STATES,6897,(203) 210-7814,(203) 210-7819,,,,,,,Approved,7/1/2003,3/16/2010,Y,WWW.GRANITEGROUPUSA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"199,606,644.00","52,000,000.00","251,606,644.00",415,8,423,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,105506,801-22557,FIG FINANCIAL ADVISORY SERVICES INC,FIG FINANCIAL ADVISORY SERVICES INC,3520 S. BOULEVARD,SUITE 100,EDMOND,OK,UNITED STATES,73013,405-844-9826,405-844-8838,,,,,,,Approved,11/9/1984,3/16/2010,Y,WWW.FIGFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"57,290,498.00",0,"57,290,498.00",218,0,218,Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124845,801-61942,"INVERNESS INVESTMENT GROUP, LLC","INVERNESS INVESTMENT GROUP, LLC","ONE CHAGRIN HIGHLANDS,",2000 AUBURN DRIVE #440,CLEVELAND,OH,UNITED STATES,44122,216-839-5130,216-839-5131,,,,,,,Approved,4/3/2003,3/16/2010,Y,WWW.INVESTINVERNESS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"127,598,834.00","21,486,411.00","149,085,245.00",123,16,139,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111058,801-53788,BLUE CHIP MONEY MANAGEMENT PC,SCOTT BASIL,14 VERVALEN STREET,,CLOSTER,NJ,UNITED STATES,7624,201-768-2300,201-768-2301,,,,,,,Approved,2/4/1997,3/16/2010,Y,BUDDSCOT@BELLATLANTIC.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),P.C.,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"1,785,073.00","34,496,915.00","36,281,988.00",17,237,254,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104955,801-21958,JSK ASSOCIATES INC.,JSK ASSOCIATES INC.,120 BLOOMINGDALE ROAD,SUITE 3400,WHITE PLAINS,NY,UNITED STATES,10605,(914)949-9183,(914)949-9781,,,,,,,Approved,11/6/1984,3/16/2010,Y,INVESTTOWIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,0,"29,000,000.00","29,000,000.00",0,170,170,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,Y,Y,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,132797,801-63724,"TPW FINANCIAL, INC.","THE PROGRAM WORKS, INC.",160 SECOND STREET,,CAMBRIDGE,MA,UNITED STATES,2142,617-492 1772,617-492 4018,,,,,,,Approved,1/3/2005,3/16/2010,Y,TPWFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"182,343,272.00",0,"182,343,272.00",282,0,282,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,132006,801-67723,"NORTHLAKE CAPITAL MANAGEMENT, LLC","NORTHLAKE CAPITAL MANAGEMENT, LLC","460 WINNETKA AVENUE, SUITE 19",,WINNETKA,IL,UNITED STATES,60093,847-226-9713,847-446-8993,460 WINNETKA AVENUE SUITE 19,,WINNETKA,IL,UNITED STATES,60093,Approved,4/4/2007,3/16/2010,Y,WWW.NORTHLAKECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,Y,Y,N,N,N,,Y,"25,603,099.00","4,462,933.00","30,066,032.00",102,2,104,Y,Y,N,N,N,N,N,N,N,Y,WEBSITE SUBSCRIPTIONS AND ONE-TIME OR OCCASSIONAL CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,143126,801-67554,"PDR ADVISORS, LLC","PDR ADVISORS, LLC",2101 SARDIS ROAD NORTH,SUITE 115,CHARLOTTE,NC,UNITED STATES,28227,704 845 2303,704 845 2305,,,,,,,Approved,2/20/2007,3/16/2010,Y,PDRADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"212,750,000.00",0,"212,750,000.00",8,0,8,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,141060,801-66929,"INVESTOR'S CAPITAL MANAGEMENT, LLC","INVESTOR'S CAPITAL MANAGEMENT, LLC","1100 ALMA STREET, SUITE 200",,MENLO PARK,CA,UNITED STATES,94025,866 966 9291,650 472 8924,,,,,,,Approved,7/21/2006,3/16/2010,Y,WWW.FEESONLY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"149,623,397.00","55,540,597.00","205,163,994.00",161,66,227,Y,Y,N,Y,Y,Y,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107524,801-52224,KM ADVISORY SERVICES,MEREDITH KATHRYN JANE,1170 PITTSFORD VICTOR ROAD,SUITE 270,PITTSFORD,NY,UNITED STATES,14534,585-381-5900,585-381-0478,,,,,,,Approved,6/24/1996,3/16/2010,Y,WWW.KMINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"49,232,118.00","772,902.00","50,005,020.00","3,334",16,"3,350",Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,111711,801-30439,CHERRY ST PARTNERS,HHM LTD,425 S CHERRY ST STE 900,,DENVER,CO,UNITED STATES,80246,303-399-9090,303-399-5811,,,,,,,Approved,10/5/1987,3/16/2010,Y,WWW.CHERRYSTREETPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"44,000,000.00","12,000,000.00","56,000,000.00",410,35,445,Y,Y,N,Y,Y,N,Y,N,N,N,,101-250,,Y,N,N,Y,N,N,Y,N,N,,Y,Y,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,139160,801-67834,HJ WEALTH MANAGEMENT LLC,HJ WEALTH MANAGEMENT LLC,"1000 GERMANTOWN PIKE,",SUITE H-1,PLYMOUTH MEETING,PA,UNITED STATES,19462,610-272-4700,610-272-6785,,,,,,,Approved,4/27/2007,2/12/2010,Y,HTTP://WWW.HJWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,Y,FROM THIRD PARTY ADVISERS,Y,"157,012,048.00","106,966,639.00","263,978,687.00",622,71,693,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,Y,Y,N,Y,N,N,Y,N,N,,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,118048,801-62198,VOISARD ASSET MANAGEMENT GROUP,"VAM GROUP, INC.",146 MONROE CENTER NW,SUITE 820,GRAND RAPIDS,MI,USA,49503,616-988-5778,616-988-5694,P.O. BOX 205,,OTSEGO,MI,USA,49078,Approved,7/3/2003,2/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"77,396,991.00","135,020.00","77,532,011.00",323,3,326,Y,Y,N,N,N,Y,Y,N,N,Y,CONSULTATION SERVICES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,131702,801-67683,"LEBER-ANDESA ADVISORS, INC.","LEBER-ANDESA ADVISORS, INC.",,,,,,,(610) 770-1534,(610) 770-9104,,,,,,,Approved,3/22/2007,2/16/2010,Y,WWW.LEBERANDESA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"38,000,000.00",0,"38,000,000.00",103,0,103,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106744,801-41983,"KUEHL SHEPHERD KOZLOWSKI & ASSOCIATES, INC.","KUEHL SHEPHERD KOZLOWSKI & ASSOCIATES, INC.",9030 STONY POINT PARKWAY,SUITE 160,RICHMOND,VA,UNITED STATES,23235,804-592-3465,804-592-3456,,,,,,,Approved,7/1/1992,2/16/2010,Y,WWW.KSKA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"286,264,174.00",0,"286,264,174.00","1,945",0,"1,945",Y,Y,N,N,N,N,N,N,N,N,,More than 500,500,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,121666,801-68023,"S.C. THOMAS & ASSOCIATES, CPA","THOMAS, SANDRA CATHERINE",805 E. WASHINGTON STREET,STE #130,MEDINA,OH,USA,44256,330-725-3162,330-723-4798,,,,,,,Approved,7/26/2007,2/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"28,633,877.00","1,137,355.00","29,771,232.00",180,51,231,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110461,801-28493,ECONOMIC CONCEPTS ADVISORY SERVICES INC,ECONOMIC CONCEPTS ADVISORY SERVICES INC,"ANNANDALE SQUARE, 67 BEAVER AVE",,ANNANDALE,NJ,UNITED STATES,08801-0584,908-735-4000,908-735-2056,PO BOX 584,67 BEAVER AVENUE ANNANDALE SQUARE,ANNANDALE,NJ,UNITED STATES,08801-0584,Approved,1/22/1987,2/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"42,039,964.00",0,"42,039,964.00",105,0,105,Y,Y,N,N,N,Y,N,N,N,Y,SOLICITOR/REFERRAL FEES,101-250,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105257,801-454,BISHOP & ASSOCIATES INC,BISHOP & ASSOCIATES INC,1617 JOHN F KENNEDY BLVD,SUITE 480,PHILADELPHIA,PA,UNITED STATES,19103,215-568-5450,215-568-1914,,,,,,,Approved,3/1/1950,2/16/2010,Y,WWW.BISHOP-ASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"78,020,000.00","11,720,000.00","89,740,000.00",66,9,75,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109557,801-56000,CANON CAPITAL INVESTMENT ADVISORY,"P. J. ROLAND, LTD.",357 MAIN STREET,,SOUDERTON,PA,UNITED STATES,18964,215-723-4881,215-723-4883,POST OFFICE BOX 64160,,SOUDERTON,PA,UNITED STATES,18964,Approved,11/2/1998,2/16/2010,Y,WWW.CANONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"68,496,991.00",0,"68,496,991.00",661,0,661,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108409,801-64474,CONNECTICUT CAPITAL MANAGEMENT GROUP L.L.C.,CONNECTICUT CAPITAL MANAGEMENT GROUP L.L.C.,67 CHERRY STREET,,MILFORD,CT,USA,6460,203-877-1520,203-877-2729,,,,,,,Approved,7/15/2005,2/16/2010,Y,WWW.CONNECTICUTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"43,810,507.00","3,417,493.00","47,228,000.00",81,2,83,Y,Y,N,Y,N,N,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES,26-50,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111998,801-14169,STUYVESANT CAPITAL MANAGEMENT CORPORATION,STUYVESANT CAPITAL MANAGEMENT CORPORATION,200 BUSINESS PARK DR.,STE. 300,ARMONK,NY,U.S.A.,10504,914-219-3010,914-219-3014,,,,,,,Approved,11/16/1978,2/16/2010,Y,WWW.STUYVESANTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"162,974,163.00",0,"162,974,163.00",77,0,77,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT ADVICE TO A POOLED INVESTMENT VEHICLE,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108199,801-24818,WOODARD & CO ASSET MANAGEMENT GROUP INC,WOODARD & CO ASSET MANAGEMENT GROUP INC,117 KINDERTON BOULEVARD,,ADVANCE,NC,USA,27006,336-998-7000,336-998-7050,,,,,,,Approved,8/1/1985,2/16/2010,Y,WWW.WCAMG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,More than 500,"1,700",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"324,652,000.00",0,"324,652,000.00","1,900",0,"1,900",N,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,104745,801-15926,"ARCHIE GRAY ALLEN, JR.",ALLEN ARCHIE GRAY JR,747 SUMMIT STREET,,WINSTON SALEM,NC,UNITED STATES,27101,336-723-1640,336-777-0558,POST OFFICE BOX 394,,PFAFFTOWN,NC,UNITED STATES,27040,Approved,3/25/1981,2/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,WITH FIXED MINIMUM FEE,Y,"37,180,277.00",0,"37,180,277.00",20,0,20,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107800,801-54871,COZAD WESTCHESTER AGRICULTURAL ASSET MANAGEMENT PARTNERSHIP,COZAD WESTCHESTER AGRICULTURAL ASSET MANAGEMENT PARTNERSHIP,2501 GALEN DR,,CHAMPAIGN,IL,USA,61821,217-356-8363,217-355-1359,P. O. BOX 3669,,CHAMPAIGN,IL,USA,61826-3669,Approved,9/12/1997,2/16/2010,Y,COZAD-WESTCHESTER.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Partnership,,IL,UNITED STATES,5-Jan,0,0,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,11-25 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,ADVISORY SERVICES RELATING TO AGRICULTURAL REAL ESTATE,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,N,N,N,N,Y,N,Y,Y,N,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,109698,801-60104,"EVENSKY & KATZ, LLC","EVENSKY & KATZ, LLC",2333 PONCE DE LEON BOULEVARD,SUITE 1100,CORAL GABLES,FL,UNITED STATES,33134,305-448-8882,305-448-1326,,,,,,,Approved,4/4/2001,2/16/2010,Y,WWW.EVENSKY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"587,000,000.00","7,500,000.00","594,500,000.00","1,078",4,"1,082",Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106546,801-29075,TCW INVESTMENT MANAGEMENT CO,TCW INVESTMENT MANAGEMENT CO,865 S FIGUEROA ST,STE 1800,LOS ANGELES,CA,USA,90017,213-244-0000,213-244-0491,,,,,,,Approved,2/18/1987,3/30/2010,Y,WWW.TCW.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,251-500,0,51-250,0,Nov-50,0,5-Jan,0,More than 500,"9,500",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,NATIVE AMERICAN TRIBES,Y,N,N,N,N,Y,N,,Y,"17,138,827,034.00","5,217,295.00","17,144,044,329.00",163,1,164,N,Y,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR WRAP FEE PROGRAMS,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,108581,801-57585,CRESTONE ASSET MANAGEMENT LLC,CRESTONE ASSET MANAGEMENT LLC,1050 WALNUT ST,SUITE 402,BOULDER,CO,UNITED STATES,80302,303-442-4447,303-442-4587,,,,,,,Approved,5/22/2000,3/30/2010,Y,WWW.CRESTONECAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"697,033,937.00","64,623,575.00","761,657,512.00",206,11,217,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109201,801-56357,"NANCY C. NELSON & ASSOCIATES, INC.",NANCY C. NELSON & ASSOCIATES INC,5326 110TH AVENUE SW,,OLYMPIA,WA,UNITED STATES,98512,360-754-2663,360-352-2017,P.O. BOX 298,,LITTLEROCK,WA,UNITED STATES,98556,Approved,1/1/1999,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"36,529,040.00",0,"36,529,040.00",173,0,173,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108637,801-41495,"MIO PARTNERS, INC.","MIO PARTNERS, INC.","55 EAST 52ND STREET, 26TH FL.",C/O MCKINSEY & COMPANY,NEW YORK,NY,UNITED STATES,10055,212-415-1601,212-891-4909,,,,,,,Approved,6/10/1992,3/30/2010,Y,WWW.MIOPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,NO FEES,Y,"5,442,583,203.00",0,"5,442,583,203.00",47,0,47,N,N,Y,Y,N,Y,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,146216,801-68765,"CARPENTER FUND MANAGER GP, LLC","CARPENTER FUND MANAGER GP, LLC",5 PARK PLAZA,SUITE 950,IRVINE,CA,UNITED STATES,92614,949-261-8888,949-261-0880,,,,,,,Approved,1/15/2008,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"107,729,824.00",0,"107,729,824.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106075,801-35973,FIRST FOUNDATION ADVISORS,FIRST FOUNDATION ADVISORS,18101 VON KARMAN AVE,SUITE 700,IRVINE,CA,UNITED STATES,92612-1051,949-476-0300,949-475-1456,,,,,,,Approved,2/28/1990,3/30/2010,Y,WWW.FIRSTFOUNDATIONADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"1,069,024,616.00","17,117,073.00","1,086,141,689.00","2,019",13,"2,032",Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,120465,801-61108,"ELIOT ROSE ASSET MANAGEMENT, LLC","ELIOT ROSE ASSET MANAGEMENT, LLC",1000 CHAPEL VIEW BLVD.,SUITE 240,CRANSTON,RI,UNITED STATES,2920,(401) 588-5100,(401) 588-5120,,,,,,,Approved,5/2/2002,3/30/2010,Y,WWW.ELIOTROSE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,RI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"76,000,000.00",0,"76,000,000.00",275,0,275,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,140792,801-66825,BRICK ASSET MANAGEMENT INC.,BRICK ASSET MANAGEMENT INC.,"1700 CALIFORNIA STREET, STE 335",,SAN FRANCISCO,CA,UNITED STATES,94109,415-749-6565,415-749-6566,,,,,,,Approved,6/26/2006,3/30/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"6,489,194.00",0,"6,489,194.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,145895,801-69967,GRAIL ADVISORS LLC,GRAIL ADVISORS LLC,"ONE FERRY BUILDING, SUITE 255",,SAN FRANCISCO,CA,UNITED STATES,94111,415-677-5870,415-677-5857,,,,,,,Approved,3/11/2009,3/30/2010,Y,WWW.GRAILADVISORS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,Y,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,112327,801-57829,"LA JOLLA ASSET MANAGEMENT, INC.","LA JOLLA ASSET MANAGEMENT, INC.","4350 EXECUTIVE DRIVE, STE. 115",,SAN DIEGO,CA,USA,92121,(858)453-9915,(858)453-9985,,,,,,,Approved,8/22/2000,3/30/2010,Y,WWW.LJAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"30,502,501.00","716,539.00","31,219,040.00",46,2,48,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110197,801-57337,BUFF CAPITAL MANAGEMENT,"BUFF, GAYLE HELENE",,,,,,,617-641-2377,888-407-7718,,,,,,,Approved,3/7/2000,3/30/2010,Y,WWW.BUFFCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"45,685,782.00",0,"45,685,782.00",50,0,50,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,134429,801-64004,AEGIS WEALTH MANAGEMENT LLC,AEGIS WEALTH MANAGEMENT LLC,TWO DEMOCRACY CENTER,"6903 ROCKLEDGE DRIVE, STE. 940",BETHESDA,MD,UNITED STATES,20817,240.482.2560,240.235.4227,,,,,,,Approved,2/28/2005,3/30/2010,Y,WWW.AEGISWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,% OF ASSETS UNDER CONSULTATION,Y,"38,422,064.00","344,732,431.00","383,154,495.00",25,279,304,Y,Y,N,Y,N,Y,N,N,N,Y,PORTFOLIO MONITORING & CONSULTING,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,145045,801-68377,"POWERS CAPITAL INVESTMENTS, INC.","POWERS CAPITAL INVESTMENTS, INC.",8141 EAST KAISER BLVD.,SUITE 300,ANAHEIM HILLS,CA,USA,92808-2241,714-282-1566,714-282-1563,,,,,,,Approved,9/25/2007,3/30/2010,Y,WWW.POWERSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"121,226,915.00","1,320,000.00","122,546,915.00",504,5,509,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,137852,801-66546,"FIRST FOUNDATION ADVISORS, LLC","FIRST FOUNDATION ADVISORS, LLC",18101 VON KARMAN AVE  STE 700,,IRVINE,CA,UNITED STATES,92612-1051,949-476-0300,949-475-1456,,,,,,,Approved,4/26/2006,3/30/2010,Y,WWW.FIRSTFOUNDATIONADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"134,114,432.00","36,591,424.00","170,705,856.00",45,1,46,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,104529,801-25217,MONEY MANAGERS INC,MONEY MANAGERS INC,7800  W INTERSTATE 10- SUITE 636,,SAN ANTONIO,TX,UNITED STATES,78230-4734,(210)349-9494,(210)349-0103,,,,,,,Approved,9/5/1985,3/30/2010,Y,WWW.MONEYMANAGERSINCTX.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,251-500,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"43,007,999.00","43,007,999.00",0,277,277,Y,Y,N,Y,Y,Y,N,N,N,Y,TRUSTS/ESTATES/CHARITABLEORGS,101-250,,N,N,N,N,N,N,N,N,Y,FINANCIAL PLANNER AND CONSULTANT,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,121473,801-63288,"PREMIER FINANCIAL PLANNING, INC.","PREMIER FINANCIAL PLANNING, INC.",711 EXECUTIVE DRIVE,,PRINCETON,NJ,UNITED STATES,8540,609-924-2424,609-924-2524,,,,,,,Approved,6/30/2004,3/30/2010,Y,WWW.PREMIERFINANCIALPLAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"59,110,441.00","1,066,309.00","60,176,750.00",327,22,349,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,131886,801-63238,CEPHUS CAPITAL MANAGEMENT LLC,CEPHUS CAPITAL MANAGEMENT LLC,,,,,,,(415) 785-3190,(415) 329-3311,P.O. BOX 1060,,LARKSPUR,CA,UNITED STATES,94977-1060,Approved,6/14/2004,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"25,705,696.00",0,"25,705,696.00",171,0,171,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y
DRO,145951,801-68670,CROSSROADS ASSET MANAGEMENT LLC,CROSSROADS ASSET MANAGEMENT LLC,,,,,,,816-868-8477,913-648-0795,,,,,,,Approved,12/20/2007,3/30/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"28,399,656.00",0,"28,399,656.00",32,0,32,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,151325,801-70790,"JUPITER GROUP CAPITAL ADVISORS, LLC","JUPITER GROUP CAPITAL ADVISORS, LLC",5400 CARILLON POINT,"BUILDING 5000, 4TH FLOOR",KIRKLAND,WA,UNITED STATES,98033,206-774-8666,808-275-3284,,,,,,,Approved,11/25/2009,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"153,000,000.00",0,"153,000,000.00",38,0,38,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139756,801-66408,VERTEX ONE ASSET MANAGEMENT INC.,VERTEX ONE ASSET MANAGEMENT INC.,1920 - 1177 WEST HASTINGS STREET,,"VANCOUVER, BRITISH COLUMBIA",,CANADA,V6E 2K3,604-681-5787,604-681-5146,,,,,,,Approved,4/12/2006,3/30/2010,Y,WWW.VERTEXONE.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"953,880,000.00",0,"953,880,000.00",15,0,15,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111586,801-56117,ARTEMIS INVESTMENT MANAGEMENT LLC,ARTEMIS INVESTMENT MANAGEMENT LLC,437 MADISON AVE,28TH FLOOR,NEW YORK,NY,USA,10022,212-207-2700,212-207-2728,,,,,,,Approved,12/28/1998,3/19/2008,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"39,921,788.00",0,"39,921,788.00",5,0,5,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,113203,801-60384,"TENNENBAUM CAPITAL PARTNERS, LLC","TENNENBAUM CAPITAL PARTNERS, LLC",2951 28TH STREET,SUITE 1000,SANTA MONICA,CA,UNITED STATES,90405,310-566-1000,310-899-4950,,,,,,,Approved,7/6/2001,3/30/2010,Y,WWW.TENNENBAUMCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,26-100,0,11-25 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,A PERCENTAGE OF COMMITTED CAPITAL,Y,"4,605,444,960.00",0,"4,605,444,960.00",55,0,55,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,132205,801-63473,"SVOF/MM, LLC","SVOF/MM, LLC",2951 28TH STREET,SUITE 1000,SANTA MONICA,CA,UNITED STATES,90405,310-566-1000,310-899-4950,,,,,,,Approved,8/27/2004,3/30/2010,Y,WWW.TENNENBAUMCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,51-75 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,"3,042,718,760.00",0,"3,042,718,760.00",5,0,5,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,120196,801-61536,"SVIM / MSM, LLC","SVIM / MSM, LLC",2951 28TH STREET,SUITE 1000,SANTA MONICA,CA,UNITED STATES,90405,310-566-1000,310-899-4950,,,,,,,Approved,10/18/2002,3/30/2010,Y,WWW.TENNENBAUMCAPITAL.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,"14,500,000.00",0,"14,500,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,MGMT. OF PRIVATE INVESTMENT FUND EXCLUDED FROM DEFINITION OF INVESTMENT COMPANY UNDER SECTION 3.A.1 OR 3.A.7 OF THE ICA OF 1940.,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,112227,801-48276,SPRINKLE FINANCIAL CONSULTANTS LLC,SPRINKLE FINANCIAL CONSULTANTS LLC,"1520 WEST CANAL COURT, SUITE 220",,LITTLETON,CO,UNITED STATES,80120,303-297-2185,303-297-2187,,,,,,,Approved,1/23/1995,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"283,676,784.00",0,"283,676,784.00",676,0,676,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,123806,801-61663,"SVAR/MM, LLC","SVAR/MM, LLC",2951 28TH STREET,SUITE 1000,SANTA MONICA,CA,UNITED STATES,90405,310-566-1000,310-899-4950,,,,,,,Approved,1/14/2003,3/30/2010,Y,WWW.TENNENBAUMCAPITAL.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,"11,526,200.00",0,"11,526,200.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,MGMT. OF PRIVATE INVESTMENT FUND EXCLUDED FROM DEFINITION OF INVESTMENT COMPANY UNDER SECTION 3.A.1 OR 3.A.7 OF THE ICA OF 1940.,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,122711,801-61607,"CRESTLINE MANAGEMENT, L.P.","CRESTLINE MANAGEMENT, L.P.",201 MAIN STREET,SUITE 1900,FORT WORTH,TX,USA,76102-3135,817-339-7600,817-339-7005,,,,,,,Approved,12/2/2002,3/30/2010,Y,WWW.CRESTLINEINVESTORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,042,380,856.00",0,"5,042,380,856.00",21,0,21,N,N,N,N,N,N,N,N,N,Y,"PORTFOLIO MANAGEMENT FOR PRIVATE POOLED INVESTMENT VEHICLES (I.E., HEDGE FUNDS).",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109620,801-56711,GOLDSTEIN MUNGER + ASSOCIATES,GOLDSTEIN MUNGER + ASSOCIATES,18 CROW CANYON COURT,SUITE 250,SAN RAMON,CA,UNITED STATES,94583-1669,925-552-1400 EXT103,925-552-8205,,,,,,,Approved,7/27/1999,3/30/2010,Y,WWW.GOLDSTEINMUNGER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"249,311,131.00","9,379,130.00","258,690,261.00",305,3,308,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,119445,801-61358,"REGAL ADVISORY SERVICES, INC.","REGAL ADVISORY SERVICES, INC.",21800 BURBANK BLVD,SUITE 325,WOODLAND HILLS,CA,USA,91367,818-610-0079,818-610-0077,,,,,,,Approved,8/2/2002,2/4/2010,Y,WWW.REGALADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY FEES,Y,"20,382,808.00","43,856,593.00","64,239,401.00",85,121,206,Y,Y,N,N,N,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,0,,N,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,125101,801-63274,JOHNSON FINANCIAL GROUP LLC,JOHNSON FINANCIAL GROUP LLC,215 UNION BLVD,SUITE 450,LAKEWOOD,CO,UNITED STATES,80228,303-838-6696,303-838-6399,,,,,,,Approved,7/6/2004,2/4/2010,Y,WWW.JOHNSONFINANCIALGROUPLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"43,996,655.00",0,"43,996,655.00",20,0,20,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,10416,801-16872,"BORTHWICK ASSOCIATES, INC.","BORTHWICK ASSOCIATES, INC.",120 S LASALLE STREET #1440,,CHICAGO,IL,USA,60603-3424,312-630-0180,312-630-0182,,,,,,,Approved,3/1/1982,2/4/2010,Y,WWW.BORTHWICKASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"48,792,712.00",0,"48,792,712.00",60,0,60,N,Y,N,N,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,131528,801-63409,CARL DOMINO INC.,CARL DOMINO INC.,251 ROYAL PALM WAY,SUITE 601,PALM BEACH,FL,USA,33480,561-833-2882,561-833-5282,,,,,,,Approved,8/6/2004,2/4/2010,Y,WWW.CARLDOMINO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,A PERCENTAGE OF ASSETS IN MODEL PORTFOLIO.,Y,"160,900,000.00","31,200,000.00","192,100,000.00",242,8,250,Y,Y,N,Y,N,Y,N,N,N,Y,MODEL PORTFOLIO SERVICES,26-50,,N,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,105372,801-30967,INTERNATIONAL RESEARCH & ASSET MANAGEMENT INC,INTERNATIONAL RESEARCH & ASSET MANAGEMENT INC,2301 CEDAR SPRINGS STE 150,,DALLAS,TX,UNITED STATES,75201-7801,[214] 754-0770,[214] 754-0771,,,,,,,Approved,11/30/1987,2/4/2010,Y,WWW.INTLRESEARCH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"270,200,000.00","270,200,000.00",0,417,417,N,Y,N,Y,Y,Y,N,N,N,Y,401K CONSULTING SERVICES,0,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,151569,801-70604,"NIKULSKI FINANCIAL, INC.","NIKULSKI FINANCIAL, INC.",5157 UTICA RIDGE ROAD,,DAVENPORT,IA,UNITED STATES,52807,563-344-0118,563-344-0120,,,,,,,Approved,9/25/2009,2/4/2010,Y,WWW.NIKULSKIFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"55,000,000.00",0,"55,000,000.00",650,0,650,Y,Y,N,N,N,N,N,N,N,N,,26-50,,Y,Y,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124228,801-66772,LORENCE & VANDER ZWART,LVZ ADVISORS,240 SOUTH RIVER AVENUE,,HOLLAND,MI,UNITED STATES,49423,616-394-4994,616-394-5986,,,,,,,Approved,5/17/2006,2/4/2010,Y,WWW.LVZADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,Nov-50,0,More than 500,635,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"90,938,864.00",0,"90,938,864.00",635,0,635,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,148262,801-69577,PINGORA PARTNERS LLC,PINGORA PARTNERS LLC,,,,,,,307-739-8686,,PO BOX 1250,,WILSON,WY,UNITED STATES,83014,Approved,10/2/2008,2/4/2010,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"23,145,190.00",0,"23,145,190.00",43,0,43,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,144820,801-68475,ACADEMY ASSET MANAGEMENT LLC,ACADEMY ASSET MANAGEMENT LLC,"123 SOUTH BROAD STREET, SUITE 1630",,PHILADELPHIA,PA,UNITED STATES,19109,215-979-3750,215-979-3759,,,,,,,Approved,10/22/2007,2/4/2010,Y,WWW.ACADEMYASSET.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"13,393,279.00",0,"13,393,279.00",8,0,8,N,Y,Y,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108962,801-56536,CASCADE INVESTMENT COUNSEL LLC,CASCADE INVESTMENT COUNSEL LLC,827 ALDER CREEK DRIVE,SUITE B,MEDFORD,OR,UNITED STATES,97504,541-857-8551,541-857-8553,,,,,,,Approved,5/19/1999,2/4/2010,Y,WWW.CASCADEINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"93,270,546.00",0,"93,270,546.00",77,0,77,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135091,801-64403,INVESTMENT STRATEGY ADVISORS INC.,INVESTMENT STRATEGY ADVISORS INC.,,,,,,,908-988-0821,908-517-5899,,,,,,,Approved,6/21/2005,2/4/2010,Y,WWW.INVESTADVISOR.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"36,000,000.00",0,"36,000,000.00",150,0,150,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,120361,801-61113,"MAIN MANAGEMENT, LLC","MAIN MANAGEMENT, LLC",601 CALIFORNIA STREET,6TH FLOOR,SAN FRANCISCO,CA,UNITED STATES,94108,415-217-5800,415-217-5803,,,,,,,Approved,4/30/2002,2/4/2010,Y,WWW.MAINMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"310,000,000.00",0,"310,000,000.00",65,0,65,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,119936,801-61030,"SCHROEDER CAPITAL MANAGEMENT, LLC","SCHROEDER CAPITAL MANAGEMENT, LLC",3620 HAPPY VALLEY ROAD,SUITE 203,LAFAYETTE,CA,UNITED STATES,94549,925-283-7913,925-283-7916,,,,,,,Approved,3/29/2002,2/4/2010,Y,WWW.SCHROEDER-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"53,582,326.00",0,"53,582,326.00",174,0,174,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,132815,801-63726,"OPENSHAW'S FAMILY FINANCIAL NETWORK, LLC","OPENSHAW'S FAMILY FINANCIAL NETWORK, LLC","9800 S. LA CIENEGA, BLVD #410",,INGLEWOOD,CA,USA,90301,877-273-2244,310-496-2773,,,,,,,Approved,1/3/2005,9/20/2005,Y,WWW.FAMILYFN.COM,N,N,N,N,N,N,N,N,N,Y,N,N,N,Limited Liability Company,,FL,UNITED STATES,Nov-50,0,10-Jun,0,0,0,10-Jun,0,0,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,N,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,124537,801-64412,"BUENA VISTA FUND MANAGEMENT, LLC.","BUENA VISTA FUND MANAGEMENT, LLC.",ONE MARITIME PLAZA,SUITE 1325,SAN FRANCISCO,CA,UNITED STATES,94111,415-433-1020,415-433-5610,,,,,,,Approved,6/14/2005,3/11/2010,Y,WWW.BUENAVISTAFUND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,"GP, ALLOCATION OF PROFITS FROM GP INTERESTS",Y,"217,000,000.00",0,"217,000,000.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,PERFORMS INV MGMT& ADVISORY FUNCTIONS AS GP &/OR INV MANAGER FOR INV LTD PARTNERSHIPS AND PRIVATE FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,118024,801-63878,PERMANENT VALUE INC.,PERMANENT VALUE INC.,2221 CAMINO DEL RIO SOUTH,#308,SAN DIEGO,CA,UNITED STATES,92108,619-682-3834,619-682-3829,,,,,,,Approved,4/15/2005,3/11/2010,Y,WWW.PERMANENTVALUE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"47,500,000.00","500,000.00","48,000,000.00",448,2,450,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,2078,801-64649,"M. GRIFFITH INVESTMENT SERVICES, INC.","M. GRIFFITH INVESTMENT SERVICES, INC.",555 FRENCH RD BLDG 2,,NEW HARTFORD,NY,USA,13413-0895,315-797-0130,315-797-1872,,,,,,,Approved,9/8/2005,3/11/2010,Y,WWW.MGRIFFITHINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,"REVENUE SHARING MARGIN INTEREST, CASH BALANCES AND HANDLING FEES",Y,"88,852,650.00","88,219,216.00","177,071,866.00",202,292,494,Y,Y,N,Y,Y,Y,Y,N,N,N,,More than 500,6000,N,N,Y,N,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,111726,801-54778,WELLS ASSET MANAGEMENT INC,WELLS ASSET MANAGEMENT INC,6200 THE CORNERS PARKWAY,,NORCROSS,GA,UNITED STATES,30092,800-448-1010,770-243-8450,P O BOX 926040,,NORCROSS,GA,UNITED STATES,30092-9209,Approved,10/23/1997,1/15/2009,Y,WWW.WELLSREF.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"170,898,649.00",0,"170,898,649.00",2,0,2,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
NYRO,139895,801-66886,CATALYST CAPITAL ADVISORS LLC,CATALYST CAPITAL ADVISORS LLC,,,,,,,631-549-1859,631-549-5995,,,,,,,Approved,6/9/2006,3/11/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"94,000,000.00",0,"94,000,000.00",4,0,4,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,127284,801-63281,"PRUDENT INVESTORS NETWORK, INC.","PRUDENT INVESTORS NETWORK, INC.",2598 FORTUNE WAY,SUITE G,VISTA,CA,USA,92081-8442,760-597-9255,760-597-9259,,,,,,,Approved,7/9/2004,3/11/2010,Y,WWW.PRUDENTNETWORK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"57,955,270.00","161,962.00","58,117,232.00",240,1,241,Y,Y,N,N,N,Y,N,N,N,Y,"FORENSIC FIDUCIARY RESEARCH, CONSULTING, INVESTMENT RISK/RETURN CHARTS",10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147284,801-69277,LIZARD INVESTORS LLC,LIZARD INVESTORS LLC,435 NORTH MICHIGAN AVENUE,SUITE 2300,CHICAGO,IL,UNITED STATES,60611,(312) 803-7300,(312) 803 -7338,,,,,,,Approved,7/11/2008,3/11/2010,Y,WWW.LIZARDINVESTORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"71,271,879.00",0,"71,271,879.00",3,0,3,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,128256,801-63566,PHILO SMITH CAPITAL CORPORATION,PHILO SMITH CAPITAL CORPORATION,695 EAST MAIN STREET,FINANCIAL CENTRE,STAMFORD,CT,USA,6901,203-348-7365,203-348-4307,,,,,,,Approved,10/14/2004,9/20/2005,Y,WWW.PHILOSMITH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"92,000,000.00",0,"92,000,000.00",5,0,5,N,Y,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PARTNERSHIPS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,126124,801-70318,"RICHARD YOUNG ASSOCIATES, LTD.","RICHARD YOUNG ASSOCIATES, LTD.",205 HUDSON TRACE,SUITE A,AUGUSTA,GA,UNITED STATES,30907,706-739-0725,706-739-0366,,,,,,,Approved,6/22/2009,3/11/2010,Y,WWW.YOUR-ADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"96,290,755.00","96,290,755.00",0,"1,253","1,253",Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,141201,801-69451,"VISION CAPITAL PARTNERS, INC.","VISION CAPITAL PARTNERS, INC.",6290 JUPITER AVENUE,SUITE B,BELMONT,MI,USA,49306,616-361-9308,616-361-9370,,,,,,,Approved,7/31/2008,7/20/2009,Y,WWW.VISIONCAPITALPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"46,209,000.00","9,580,000.00","55,789,000.00",197,19,216,Y,Y,N,N,Y,Y,N,N,N,N,,26-50,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107808,801-57468,"BOYD WATTERSON ASSET MANAGEMENT, LLC","BOYD WATTERSON ASSET MANAGEMENT, LLC",1801 EAST 9TH STREET,SUITE 1400,CLEVELAND,OH,UNITED STATES,44114,216-771-3450,216-771-4454,,,,,,,Approved,4/13/2000,3/11/2010,Y,WWW.BOYDWATTERSON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",51-75 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"3,154,708,466.00","905,774,520.00","4,060,482,986.00","1,035",72,"1,107",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,115443,801-60582,"PARK STREET CAPITAL ADVISERS, L.L.C.","PARK STREET CAPITAL ADVISERS, L.L.C.",ONE FEDERAL STREET,,BOSTON,MA,UNITED STATES,2110,617-897-9200,617-897-9201,,,,,,,Approved,9/21/2001,3/11/2010,Y,WWW.PARKSTREETCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"581,653,000.00",0,"581,653,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,16197,801-61034,MONONGAHELA CAPITAL MANAGEMENT,"RODGERS BROTHERS, INC.",800 CRANBERRY WOODS DRIVE,SUITE 200,CRANBERRY TOWNSHIP,PA,UNITED STATES,16066,724-779-2200,724-779-2208,,,,,,,Approved,4/23/2002,3/11/2010,Y,WWW.RODGERSBROTHERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,5-Jan,0,251-500,0,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"192,122,526.00",0,"192,122,526.00",390,0,390,N,Y,N,Y,N,N,N,N,N,Y,CONSULTING,0,,N,N,Y,N,N,N,N,N,N,,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106944,801-52118,PEAK ASSET MANAGEMENT LLC,PEAK ASSET MANAGEMENT LLC,1371 HECLA DRIVE,SUITE A,LOUISVILLE,CO,UNITED STATES,80027,303-926-0100,303-926-0098,,,,,,,Approved,4/22/1996,3/11/2010,Y,WWW.PEAKAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"179,480,878.00","18,634,001.00","198,114,879.00",362,12,374,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,108799,801-44576,"FINANCIAL GUIDANCE GROUP, INC.","FINANCIAL GUIDANCE GROUP, INC.",,,,,,,727-787-7526,727-789-2643,,,,,,,Approved,8/20/1993,3/11/2010,Y,WWW.FINANCIALGUIDANCEGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"68,537,224.00",0,"68,537,224.00",218,0,218,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,106741,801-41636,ASSET PRESERVATION ADVISORS INC,ASSET PRESERVATION ADVISORS INC,"3344 PEACHTREE ROAD, NE",SUITE 2050,ATLANTA,GA,UNITED STATES,30326,404-261-1333,404-261-6684,,,,,,,Approved,5/27/1992,3/11/2010,Y,WWW.ASSETPRESERVATIONADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,344,064,036.00","14,161,446.00","1,358,225,482.00",404,8,412,N,Y,N,Y,N,N,N,N,N,Y,PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,146119,801-68715,"CLEARPATH WEALTH MANAGEMENT, LLC","CLEARPATH WEALTH MANAGEMENT, LLC",170 WESTMINSTER STREET,9TH FLOOR,PROVIDENCE,RI,UNITED STATES,2903,(401) 455-3794,(866) 422-3245,,,,,,,Approved,1/3/2008,3/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,RI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"75,274,206.00",0,"75,274,206.00",247,0,247,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,109248,801-56278,"DANIEL FRISHBERG FINANCIAL SERVICES, INC.","DANIEL FRISHBERG FINANCIAL SERVICES, INC.",13750 SAN PEDRO AVENUE,SUITE 800,SAN ANTONIO,TX,UNITED STATES,78232,210-342-6999,210-342-8505,,,,,,,Approved,2/25/1999,3/31/2010,Y,WWW.THEMONEYMAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,More than 500,"1,000",51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,Y,Y,N,N,N,,Y,"175,000,000.00","30,000.00","175,030,000.00","1,465",1,"1,466",Y,Y,N,Y,N,N,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,Y
CHRO,111022,801-60525,PEPPERTREE PARTNERS,"PEPPERTREE PARTNERS, LLC",3201 ENTERPRISE PARKWAY,SUITE 430,BEACHWOOD,OH,UNITED STATES,44122,216-378-2235,513-357-4010,,,,,,,Approved,8/29/2001,5/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,0,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"183,455,000.00",0,"183,455,000.00",27,0,27,N,N,N,N,N,N,N,N,N,Y,MANAGEMENT AND INVESTMENT ADVICE TO AN INVESTMENT COMPANY EXEMPT FROM REGISTRATION UNDER THE INVESTMENT COMPANY ACT OF 1940.,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111698,801-69391,"BILTMORE INVESTMENT MANAGEMENT, LLC","BILTMORE INVESTMENT MANAGEMENT, LLC","125 S. JEFFERSON STREET, SUITE 302",,GREEN BAY,WI,USA,54301,920-435-2555,920-435-5320,,,,,,,Approved,7/10/2008,3/30/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"36,000,317.00",0,"36,000,317.00",123,0,123,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139184,801-66072,WARD FERRY MANAGEMENT LIMITED,WARD FERRY MANAGEMENT LIMITED,"2906-2907,29TH FLOOR,ONE EXCHANGE SQUARE","8 CONNAUGHT ROAD,CENTRAL",HONG KONG,,HONG KONG,,852-2581-2500,852-2581-3660,,,,,,,Approved,2/1/2006,5/24/2010,Y,HTTP://WWW.WARDFERRY.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,PLEASE SEE SCHEDULE D P.5,Y,"941,755,553.00",0,"941,755,553.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,152428,801-71434,WR PLATFORM ADVISORS LP,WR PLATFORM ADVISORS LP,48 SIGNAL ROAD,,STAMFORD,CT,UNITED STATES,6902,203-504-5080,203-504-5081,,,,,,,Approved,5/27/2010,5/24/2010,Y,WWW.WRGROUPHOLDINGS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"392,700,000.00",0,"392,700,000.00",14,0,14,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139173,801-66008,WARD FERRY MANAGEMENT (BVI) LIMITED,WARD FERRY MANAGEMENT (BVI) LIMITED,"2906-07, 29TH FLOOR, ONE EXCHANGE SQUARE","8 CONNAUGHT ROAD, CENTRAL",HONG KONG,,HONG KONG,,852-2581-2500,852-2581-3660,,,,,,,Approved,2/1/2006,5/24/2010,Y,HTTP://WWW.WARDFERRY.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,BRITISH VIRGIN ISLANDS,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"952,343,860.00",0,"952,343,860.00",6,0,6,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,152049,801-71021,SUMMIT FINANCIAL WEALTH ADVISORS,SUMMIT FINANCIAL OF LOUISIANA INC.,326 HEYMANN BLVD,,LAFAYETTE,LA,UNITED STATES,70503,337-232-1141,337-232-1137,,,,,,,Approved,1/28/2010,5/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,LA,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,0,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"50,700,000.00",0,"50,700,000.00",2,0,2,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,151409,801-71499,2100 XENON GROUP,2100 XENON GROUP LLC,430 W. ERIE,#300,CHICAGO,IL,UNITED STATES,60654,312-873-3100,312-873-3101,,,,,,,Approved,6/2/2010,5/24/2010,Y,WWW.2100XENON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"126,386,849.00",0,"126,386,849.00",24,0,24,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107729,801-48761,STW FIXED INCOME MANAGEMENT LLC,STW FIXED INCOME MANAGEMENT LLC,6185 CARPINTERIA AVENUE,,CARPINTERIA,CA,UNITED STATES,93013,805-745-2400,805-745-2401,,,,,,,Approved,3/16/1995,5/24/2010,Y,WWW.STW.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,0 percent,11-25 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,11-25 percent,ENDOWMENTS (8%) FOUNDATIONS (10%) NUCLEAR DECOMMISSIONING TRUSTS (3%),Y,N,N,N,N,N,N,,Y,"10,227,550,000.00",0,"10,227,550,000.00",181,0,181,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108306,801-56892,"SAVEDAILY.COM, INC.","SAVEDAILY.COM, INC.",3020 OLD RANCH PARKWAY,SUITE 140,SEAL BEACH,CA,USA,90740,562-795-7500,562-684-4831,,,,,,,Approved,10/8/1999,9/21/2005,Y,HTTP://WWW.SAVEDAILY.COM,N,N,N,N,N,N,N,N,N,Y,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,"3,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"260,000.00","3,200,000.00","3,460,000.00",415,"2,435","2,850",N,N,N,N,N,N,Y,N,N,Y,LOW COST SAVINGS AND INVESTMENT STRATEGIES,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137929,801-64998,FM CAPITAL MANAGEMENT,SWIFTSURE CAPITAL LIMITED,20 NEW BOND STREET,,LONDON,,ENGLAND,W1S 2RD,+020 7 355 9990,+020 7 355 9999,,,,,,,Approved,1/25/2006,1/24/2007,Y,WWW.FMCM.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"149,521,893.00",0,"149,521,893.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,148687,801-70448,GC ADVISORS LLC,GC ADVISORS LLC,150 SOUTH WACKER DRIVE,SUITE 800,CHICAGO,IL,UNITED STATES,60606,312-205-5050,312-201-9167,,,,,,,Approved,8/7/2009,5/24/2010,Y,N/A,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,SPECIAL PURPOSE LLC,Y,N,N,N,N,Y,N,,Y,"96,067,000.00","14,549,000.00","110,616,000.00",3,1,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,127017,801-63026,"WATERVILLE INVESTMENTS, INC.","WATERVILLE INVESTMENTS, INC.",443 PARK AVENUE SOUTH,SUITE 1006,NEW YORK,NY,USA,10016,212-679-0114,320-209-0995,,,,,,,Approved,4/9/2004,3/30/2009,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"23,079,994.00","23,079,994.00",0,72,72,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,104672,801-29456,"PRIVATE CAPITAL MANAGEMENT, LP","PRIVATE CAPITAL MANAGEMENT, LP","8889 PELICAN BAY BOULEVARD, SUITE 500",,NAPLES,FL,UNITED STATES,34108-7512,239-254-2500,239-254-1677,,,,,,,Approved,5/14/1987,5/24/2010,Y,WWW.PRIVATE-CAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,0,0,More than 500,600,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,THE ADVISER IS A SUB-ADVISER FOR SEVERAL OFF SHORE FUNDS AS DESCRIBED IN PART II OF THE FORM ADV.,Y,N,N,N,N,Y,N,,Y,"1,817,517,505.00",0,"1,817,517,505.00",612,0,612,N,Y,Y,Y,N,N,N,N,N,Y,SUB-ADVISORY SERVICES FOR SEVERAL OFF SHORE FUNDS THAT ARE OFFERED TO NON-US PERSONS.,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,133317,801-67504,"DOWNEY CAPITAL MANAGEMENT, INC.","DOWNEY CAPITAL MANAGEMENT, INC.",155 FEDERAL ST,,BOSTON,MA,USA,02110-1720,617-338-4866,617-338-7201,,,,,,,Approved,1/29/2007,1/24/2007,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"62,000,000.00",0,"62,000,000.00",34,0,34,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138336,801-65178,TIF FUND MANAGEMENT LLC,TIF FUND MANAGEMENT LLC,,,,,,,845-477-0200,845-477-0295,P.O. BOX 38,,GREENWOOD LAKE,NY,UNITED STATES,10925-0038,Approved,2/1/2006,3/21/2006,Y,WWW.TIFFUND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"26,000,000.00",0,"26,000,000.00",58,0,58,N,N,N,N,N,Y,N,N,N,Y,WE MANAGE A FUND.,0,,N,N,N,N,Y,N,N,N,Y,ALTERNATIVE INVESTMENT FUND.,N,,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,143622,801-68387,AVANT CAPITAL MANAGEMENT I. L.L.C.,AVANT CAPITAL MANAGEMENT I. L.L.C.,"401 E. LAS OLAS BLVD, #130",BANK OF AMERICA CENTRE,FORT LAUDERDALE,FL,UNITED STATES,33301,954-654-7825,,,,,,,,Approved,10/15/2007,5/24/2010,Y,WWW.AVANTCAPITAL.NET,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"50,000.00",0,"50,000.00",1,0,1,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,144378,801-68084,"GENDREAU & ASSOCIATES, INC.","GENDREAU & ASSOCIATES, INC.",72 RITZ COVE,,MONARCH BEACH,CA,USA,92629,949-500-3460,949-388-2013,,,,,,,Approved,7/6/2007,6/10/2008,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"50,000,000.00",0,"50,000,000.00",150,0,150,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,137406,801-64786,"PORTREAL, LLC","PORTREAL, LLC",,,,,,,804-360-2701,703-783-1429,,,,,,,Approved,10/14/2005,1/6/2010,Y,WWW.PORTREAL.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,Y,PUBLICATION SALES,N,0,0,0,0,0,0,N,N,N,N,N,N,Y,N,N,Y,PRIMARY RESEARCH AND ANALYSIS,0,,N,N,N,N,N,N,N,N,Y,SALES OF ONLINE SERVICES AND PUBLICATIONS,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,132837,801-63821,ALPHA CENTAURI WEALTH MANAGEMENT INC.,ALPHA CENTAURI WEALTH MANAGEMENT INC.,2300 E.  KATELLA AVE,SUITE 200,ANAHEIM,CA,UNITED STATES,92806,714-456-1790,714-456-1799,,,,,,,Approved,1/21/2005,1/6/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114465,801-67608,"FRANKLIN, TURNER & WELCH LLC","FRANKLIN, TURNER & WELCH LLC",15115 PARK ROW,SUITE 140,HOUSTON,TX,UNITED STATES,77084,281-599-3129,281-398-9448,,,,,,,Approved,3/29/2007,1/6/2010,Y,WWW.FTWLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,PERCENTAGE OF CLIENT NET WORTH,Y,"139,657,000.00","14,508,000.00","154,165,000.00",230,70,300,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107673,801-28874,"NEAL ALLEN PEPPER, PHD","NEAL ALLEN PEPPER, PHD",,,,,,,818-349-4777,,,,,,,,Approved,3/27/1987,1/6/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"18,285,058.00",0,"18,285,058.00",9,0,9,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111173,801-57092,TORREY ASSOCIATES LLC,TORREY ASSOCIATES LLC,45 EAST PUTNAM AVENUE,SUITE 124,GREENWICH,CT,UNITED STATES,6830,212-644-7800,212-644-8333,,,,,,,Approved,12/17/1999,1/7/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ALLOCATION OF REGISTRANT'S COMMON OVERHEAD,Y,"38,867,172.00",0,"38,867,172.00",6,0,6,N,N,Y,N,N,Y,N,N,N,Y,ADVISOR TO MULTI-MANAGER FUNDS (FUND OF FUNDS),0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,N,N,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107893,801-41991,FINANCIAL SERVICE GROUP INC,FINANCIAL SERVICE GROUP INC,4812 NORTHWESTERN AVENUE,,RACINE,WI,USA,53406,262-554-4500,262-554-1907,,,,,,,Approved,8/3/1992,3/29/2010,Y,WWW.TOYOURWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"93,095,619.00",0,"93,095,619.00",160,0,160,Y,Y,N,N,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105958,801-11953,VANGUARD GROUP INC,"THE VANGUARD GROUP, INC.",100 VANGUARD BLVD,V26,MALVERN,PA,UNITED STATES,19355,610-669-1000,610-669-6600,,,,,,,Approved,8/23/1976,3/29/2010,Y,WWW.VANGUARD.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,51-250,0,51-250,0,Nov-50,0,0,0,101-250,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,AT COST,Y,"1,385,856,561,140.00",0,"1,385,856,561,140.00",196,0,196,N,N,Y,Y,N,Y,Y,N,N,Y,PORTFOLIO MANAGEMENT FOR DOMESTIC AND FOREIGN POOLED INVESTMENT VEHICLES INCLUDING OFFSHORE FUNDS.,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
FWRO,123761,801-63159,"CORPORATE CONSULTING GROUP, INC.","CORPORATE CONSULTING GROUP, INC.",320 SOUTH BOSTON,SUITE 1130,TULSA,OK,UNITED STATES,74103,918-585-5858,918-584-6632,,,,,,,Approved,5/20/2004,3/29/2010,Y,WWW.CORP-CONSULT.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,OK,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,11-25 percent,11-25 percent,11-25 percent,11-25 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109537,801-61101,HONEYWELL CAPITAL MANAGEMENT LLC,HONEYWELL CAPITAL MANAGEMENT LLC,101 COLUMBIA ROAD,,MORRISTOWN,NJ,UNITED STATES,7962,973-455-4502,973-455-6761,,,,,,,Approved,4/24/2002,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,AT COST BASED ON DIRECT EXPENSES FOR INTERNAL MANAGEMENT,Y,"4,457,000,000.00",0,"4,457,000,000.00",13,0,13,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,145599,801-68597,"ABRIDGE PARTNERS, LLC","ABRIDGE PARTNERS, LLC",124 ONE MADISON PLAZA,SUITE 1200,MADISON,MS,UNITED STATES,39110,601-718-0000,601-718-0006,,,,,,,Approved,12/5/2007,3/29/2010,Y,WWW.ABRIDGEPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MS,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,More than 500,500,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"254,376,683.00","19,689,306.00","274,065,989.00",685,61,746,N,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,148674,801-69773,"NELSON - VAN DENBURG & ASSOCIATES, LLC","NELSON - VAN DENBURG & ASSOCIATES, LLC",14301 FIRST NATIONAL BANK PARKWAY,SUITE 304,OMAHA,NE,UNITED STATES,68154,402-218-4064,402-403-1436,,,,,,,Approved,12/4/2008,3/29/2010,Y,WWW.NELSON-VANDENBURG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"38,127,157.00","1,049,022.00","39,176,179.00",520,14,534,Y,Y,N,Y,Y,N,N,N,N,Y,INVESTMENT CONSULTING,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,131110,801-68090,CHESTNUT CREEK MANAGEMENT COMPANY LLC,CHESTNUT CREEK MANAGEMENT COMPANY LLC,719 SCOTT ST   STE 916,,WICHITA FALLS,TX,UNITED STATES,76301-2613,940-322-2984,NONE,P O BOX 8225,,WICHITA FALLS,TX,UNITED STATES,76307-8225,Approved,7/16/2007,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"29,804,000.00","6,729,000.00","36,533,000.00",21,2,23,N,Y,N,N,N,N,N,N,N,Y,ASSET ALLOCATION GUIDANCE,,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,129108,801-62702,"PRINCETON ADVISORY GROUP, INC.","PRINCETON ADVISORY GROUP, INC.",700 ALEXANDER PARK,SUITE 201,PRINCETON,NJ,USA,8540,609-514-9200,609-514-0330,,,,,,,Approved,1/23/2004,3/29/2010,Y,WWW.PRINCETONADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,SPECIAL PURPOSE VEHICLES/ENTITIES,Y,N,N,N,N,Y,N,,Y,"5,207,342,923.00",0,"5,207,342,923.00",15,0,15,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,147234,801-69182,"THE MONITOR GROUP, LLC","THE MONITOR GROUP, LLC",,,,,,,561-282-1801,703-288-0900,6231 PGA BLVD,SUITE 104-139,PALM BEACH GARDENS,FL,UNITED STATES,33418,Approved,5/21/2008,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"360,749,595.00",0,"360,749,595.00",191,0,191,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,124529,801-61681,"SARATOGA WEALTH ADVISORS, LLC","SARATOGA WEALTH ADVISORS, LLC","358 BROADWAY, SUITE 305",P.O. BOX 833,SARATOGA SPRINGS,NY,UNITED STATES,12866,518-587-7147,518-587-7914,,,,,,,Approved,1/2/2003,3/29/2010,Y,WWW.SARATOGAWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"41,902,652.00","3,415,380.00","45,318,032.00",337,14,351,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106941,801-34753,RDM CAPITAL ASSOCIATES INC,RDM CAPITAL ASSOCIATES INC,20 BINGHAM AVE,,RUMSON,NJ,UNITED STATES,7760,732-219-9399,732-219-8622,,,,,,,Approved,7/6/1989,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"28,900,000.00",0,"28,900,000.00",100,0,100,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,148502,801-69668,BISCAYNE CAPITAL,BISCAYNE CAPITAL INTERNATIONAL LLC,1548 BRICKELL AVENUE,1ST FLOOR,MIAMI,FL,UNITED STATES,33129,305-856-2525,305-856-2540,,,,,,,Approved,10/14/2008,3/29/2010,Y,WWW.BISCAYNECAPITAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"14,300,000.00","50,100,000.00","64,400,000.00",86,285,371,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,112251,801-57931,TRAVIS STREET ADVISORS,"TRAVIS STREET ADVISORS, L.L.C.",3500 OAK LAWN AVENUE,SUITE 240,DALLAS,TX,UNITED STATES,75219,214-303-1828,214-752-5431,,,,,,,Approved,9/5/2000,3/29/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"18,284,018.00","9,490,855.00","27,774,873.00",65,25,90,N,Y,N,Y,Y,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,118551,801-60870,"GERSTEIN, FISHER & ASSOCIATES, INC.","GERSTEIN, FISHER & ASSOCIATES, INC.",100 WILLIAM STREET,SUITE 1825,NEW YORK,NY,UNITED STATES,10038,212 968-0707,212-968-9133,,,,,,,Approved,1/1/2002,3/29/2010,Y,WWW.GERSTEINFISHER.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,Nov-50,0,More than 500,"1,000",Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"820,870,876.00","8,897,375.00","829,768,251.00","3,513",16,"3,529",Y,Y,Y,Y,Y,N,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,26-50,,N,N,Y,Y,N,N,Y,N,N,,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,144644,801-68202,"METHOD ADVISORS, LLC","METHOD ADVISORS, LLC",192 SOUTH STREET,6TH FLOOR,BOSTON,MA,USA,2111,617-426-4610,617-426-4614,,,,,,,Approved,8/8/2007,3/29/2010,Y,WWW.METHODADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"88,650,000.00",0,"88,650,000.00",9,0,9,N,N,N,Y,N,Y,N,N,N,Y,PRIVATE EQUITY FUND OF FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,115122,801-61925,"CORNERSTONE PROFESSIONAL ADVISOR SERVICES, LLC","CORNERSTONE PROFESSIONAL ADVISOR SERVICES, LLC",9 ENDO BLVD.,,GARDEN CITY,NY,UNITED STATES,11530,516-466-1119,516-466-8289,,,,,,,Approved,7/26/2002,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,SELECTION OF OTHER ADVISORS,Y,"32,120,498.00","38,705,039.00","70,825,537.00",564,96,660,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,123760,801-62917,"FINANCIAL SOLUTIONS, INC.","FINANCIAL SOLUTIONS, INC.",320 SOUTH BOSTON,SUITE 1130,TULSA,OK,UNITED STATES,74103,918-585-5858,918-584-6632,,,,,,,Approved,4/6/2004,3/29/2010,Y,WWW.CORP-CONSULT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"205,000,000.00","10,000,000.00","215,000,000.00",11,1,12,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151488,801-70671,"MIDOCEAN US ADVISOR, L.P.","MIDOCEAN US ADVISOR, L.P.",320 PARK AVENUE,SUITE 1700,NEW YORK,NY,UNITED STATES,10022-6924,212-497-1400,212-497-1376,,,,,,,Approved,10/14/2009,3/29/2010,Y,WWW.MIDOCEANPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"529,623,893.00",0,"529,623,893.00",12,0,12,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT MANAGER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,132628,801-67657,TMG INVESTMENT ADVISORY COMPANY,TMG INVESTMENT ADVISORY COMPANY,1430 SPRING HILL ROAD,SUITE 400,MCLEAN,VA,UNITED STATES,22102,703-288-0500,703-288-0900,,,,,,,Approved,3/29/2007,3/29/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"19,857,095.00",0,"19,857,095.00",71,0,71,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144638,801-68310,KVAM INTERNATIONAL LTD.,KVAM INTERNATIONAL LTD.,489 FIFTH AVENUE,,NEW YORK,NY,UNITED STATES,10017,212-660-5720,212-660-5721,,,,,,,Approved,9/14/2007,3/29/2010,Y,WWW.KVAMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),CAYMAN COMPANY LIMITED BY SHARES,,CAYMAN ISLANDS,Nov-50,0,10-Jun,0,0,0,Nov-50,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ALL SUCH FEES ARE PAID TO AFFILIATED COMPANIES.,Y,"64,458,178.00",0,"64,458,178.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109376,801-58087,"BAUER CAPTAIN & JOHNSON, INC.","BAUER CAPTAIN & JOHNSON, INC.",6720 NORTH SCOTTSDALE ROAD,SUITE 170,SCOTTSDALE,AZ,UNITED STATES,85253,(480) 483-1510,(480) 483-9318,,,,,,,Approved,11/15/2000,3/29/2010,Y,WWW.BAUERCAPTAIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"251,640,000.00","251,640,000.00",0,520,520,Y,Y,N,Y,N,Y,N,N,N,Y,SEMINARS,51-100,,N,N,N,N,N,N,N,N,Y,INSURANCE PRODUCTS AND TAX MANAGEMENT SERVICES,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,111077,801-58281,ARBOR INVESTMENT ADVISORS,"ARBOR INVESTMENT ADVISORS, LLC",100 NORTH CHERRY STREET,SUITE 500,WINSTON SALEM,NC,UNITED STATES,27101,336-777-1677,336-397-1513,,,,,,,Approved,1/24/2001,3/29/2010,Y,HTTP://WWW.ARBORINVEST.COM\,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"207,637,664.00","47,703,204.00","255,340,868.00",465,138,603,Y,Y,N,N,N,N,Y,N,N,Y,PORTFOLIO MANAGEMENT OF FOUNDATION AND MONEY PENSION PURCHASE PLAN; STOCK OPTION MONITORING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,139868,801-66581,"HOWARD SINGER ASSOCIATES, LLC","HOWARD SINGER ASSOCIATES, LLC",740 HIGHWAY 34,,MATAWAN,NJ,USA,7747,732-583-1214,732-583-1937,,,,,,,Approved,4/11/2006,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"45,337,082.00","45,337,082.00",0,192,192,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,112260,801-60241,"NED DAVIS RESEARCH, INC.","NED DAVIS RESEARCH, INC.","600 BIRD BAY DRIVE, WEST",,VENICE,FL,UNITED STATES,34285-8020,941-412-2300,941-412-2339,,,,,,,Approved,5/31/2001,3/29/2010,Y,WWW.NDR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,26-50 percent,11-25 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,Y,Y,Y,N,Y,N,,Y,"289,300,998.00",0,"289,300,998.00",5,0,5,N,N,N,Y,N,N,Y,N,N,Y,"ISSUES CHARTS, GRAPHS, FORMULAS OR OTHER DEVICES WHICH CLIENTS MAY USE TO EVALUATE SECURITIES",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104576,801-19222,QUANTITATIVE ADVISORS,"QUANTITATIVE INVESTMENT ADVISORS, INC.",55 OLD BEDFORD ROAD,SUITE 202,LINCOLN,MA,UNITED STATES,1773,781-259-1144,781-259-1166,,,,,,,Approved,6/13/1983,3/29/2010,Y,WWW.QUANTFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"956,918,695.00",0,"956,918,695.00",1,0,1,N,N,Y,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,Y,N,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,118851,801-60889,"HANLON INVESTMENT MANAGEMENT, INC.","HANLON INVESTMENT MANAGEMENT, INC.",3393 BARGAINTOWN ROAD,SUITE 200,EGG HARBOR TWP.,NJ,UNITED STATES,8234,609-601-1200,609-601-7171,,,,,,,Approved,2/11/2002,3/29/2010,Y,WWW.HANLONINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,51-250,0,More than 500,"11,594",More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,SUBADVISORY CLIENTS,Y,N,N,N,N,N,N,,Y,"1,400,039,649.00",0,"1,400,039,649.00","11,594",0,"11,594",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
PLRO,138706,801-65154,"REDMOND ASSET MANAGEMENT, LLC","REDMOND ASSET MANAGEMENT, LLC",8001 FRANKLIN FARMS DRIVE,SUITE 208,HENRICO,VA,UNITED STATES,23229,804-288-6080,804-288-6082,,,,,,,Approved,12/21/2005,3/29/2010,Y,HTTP://WWW.REDMONDASSETMANAGEMENT.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"50,745,745.00","28,849,544.00","79,595,289.00",102,7,109,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,125724,801-67808,"KEEBLE & PYKE FINANCIAL ADVISORS, INC.","KEEBLE & PYKE FINANCIAL ADVISORS, INC.",345 CORPORATE CENTER COURT,,STOCKBRIDGE,GA,USA,30281,770-507-0025,770-507-1764,,,,,,,Approved,4/17/2007,3/29/2010,Y,WWW.KEEBLEPYKE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"79,449,332.00","79,449,332.00",0,452,452,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106080,801-8231,AMERICAN FIDELITY ASSURANCE CO,AMERICAN FIDELITY ASSURANCE CO,2000 CLASSEN BLVD,,OKLAHOMA CITY,OK,USA,73106-6013,405-523-2000,405-416-7879,,,,,,,Approved,12/14/1971,3/29/2010,Y,WWW.AF-GROUP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,More than 1000,"1,500",Nov-50,0,251-500,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"147,268,249.00",0,"147,268,249.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,Y,N,Y,N,Y,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,138897,801-70198,DELLA PAROLA CAPITAL RESEARCH,"DELLA PAROLA CAPITAL RESEARCH, LLC",155 E. BOARDWALK DR.,SUITE 400,FORT COLLINS,CO,UNITED STATES,80525,970-232-3326,866-337-4935,,,,,,,Approved,5/13/2009,3/29/2010,Y,WWW.DELLAPAROLA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"61,257,200.00",0,"61,257,200.00",58,0,58,N,Y,N,Y,Y,Y,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,136659,801-64704,"CARDINAL WEALTH ADVISORY, LLC","CARDINAL WEALTH ADVISORY, LLC","5100 POPLAR AVENUE, SUITE 814",,MEMPHIS,TN,UNITED STATES,38137,901-767-4401,901-767-4406,,,,,,,Approved,9/16/2005,3/29/2010,Y,WWW.CARDINALWEALTHADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"43,584,500.00","6,986,728.00","50,571,228.00",136,8,144,N,Y,N,N,N,Y,N,N,N,Y,ADVISOR MAY ON OCCASION ACCEPT ASSIGNMENT TO ADVISE CLIENTS ON PRIVATE TRANSACTIONS FOR A FEE.,0,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,11723,801-4380,FOSTER DYKEMA CABOT & CO INC,"FOSTER DYKEMA CABOT & CO., INCORPORATED",101 ARCH STREET - 18TH FLOOR,,BOSTON,MA,USA,02110-1130,617-423-3900,617-482-4125,,,,,,,Approved,6/5/1967,3/29/2010,Y,WWW.FDCCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"701,780,909.00","91,297,004.00","793,077,913.00",359,33,392,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111263,801-55132,"ALTERNATIVE INVESTMENT GROUP SERVICES, L.P.","ALTERNATIVE INVESTMENT GROUP SERVICES, L.P.",2960 POST ROAD,,SOUTHPORT,CT,UNITED STATES,6890,203-256-9326,203-255-3718,,,,,,,Approved,12/22/1997,3/29/2010,Y,WWW.ALTERNATIVEINVESTMENTGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,INVESTMENT MANAGER,Y,N,N,N,N,Y,N,,Y,"1,086,803,203.00","428,721,735.00","1,515,524,938.00",6,1,7,N,N,N,N,N,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,139488,801-69056,"PELAGOS CAPITAL MANAGEMENT, LLC","PELAGOS CAPITAL MANAGEMENT, LLC",ONE INTERNATIONAL PLACE,14TH FLOOR,BOSTON,MA,UNITED STATES,2110,617-310-6530,617-310-6535,,,,,,,Approved,5/15/2008,3/29/2010,Y,WWW.PELAGOSCAPITAL.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"315,376,136.00",0,"315,376,136.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,140041,801-66757,HARDING ADVISORY LLC,HARDING ADVISORY LLC,55 MADISON AVENUE,SUITE 400,MORRISTOWN,NJ,UNITED STATES,7960,646-334-7810,973-425-8883,,,,,,,Approved,6/5/2006,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,114,463,255.00",0,"4,114,463,255.00",12,0,12,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,125212,801-61820,HIGH PERCH LLC,HIGH PERCH LLC,55 MADISON AVENUE,SUITE 400,MORRISTOWN,NJ,UNITED STATES,7960,646-334-7810,973-425-8883,,,,,,,Approved,3/12/2003,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,139,334,525.00",0,"2,139,334,525.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,128401,801-62462,"HIGHBRACE CAPITAL, LLC","HIGHBRACE CAPITAL, LLC",,,,,,,203-340-2206,203-621-3318,,,,,,,Approved,11/4/2003,3/29/2010,Y,WWW.HIGHBRACECAPITAL.COM; WWW.HIGHBRACE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"28,000,000.00","7,000,000.00","35,000,000.00",1,2,3,N,N,N,N,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR OTHER POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107122,801-47396,"MADDOCK FINANCIAL, LLC","MADDOCK FINANCIAL, LLC","8400 E PRENTICE AVE,SUITE 1360",,GREENWOOD VILLAGE,CO,UNITED STATES,80111,303-793-3700,303-793-3111,,,,,,,Approved,9/7/1994,3/29/2010,Y,MADDOCKFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"60,799,421.00","6,360,258.00","67,159,679.00",75,15,90,Y,Y,N,Y,Y,Y,Y,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,108561,801-57980,ALM FIRST FINANCIAL ADVISORS LLC,ALM FIRST FINANCIAL ADVISORS LLC,6688 N CENTRAL EXWY,SUITE 200,DALLAS,TX,UNITED STATES,75206,214-987-0860,214-987-1052,,,,,,,Approved,9/22/2000,3/29/2010,Y,WWW.ALMFIRST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"157,698,035.00","10,544,655,475.00","10,702,353,510.00",3,77,80,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,128939,801-71287,"OAKMONT CAPITAL MANAGEMENT, LLC","OAKMONT CAPITAL MANAGEMENT, LLC",215 ALLEGHENY AVENUE,SUITE 204,OAKMONT,PA,UNITED STATES,15139,(412) 828-5550,(866) 645-8396,P.O. BOX 52,,OAKMONT,PA,UNITED STATES,15139,Approved,4/6/2010,3/29/2010,Y,WWW.OAKMONTCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"43,485,000.00","1,425,000.00","44,910,000.00",158,1,159,N,Y,N,Y,Y,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE LIMITED LIABILITY PARTNERSHIPS (HEDGE FUNDS).,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111809,801-58162,"ALPHABRIDGE CAPITAL MANAGEMENT,LLC","ALPHABRIDGE CAPITAL MANAGEMENT, LLC",NINE GREENWICH OFFICE PARK,,GREENWICH,CT,UNITED STATES,6831,203-422-6610,203-422-6611,,,,,,,Approved,11/22/2000,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"217,656,184.00",0,"217,656,184.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,129852,801-62642,HAWKINS CAPITAL L.P.,HAWKINS CAPITAL L.P.,717 TEXAS AVENUE,SUITE 3000,HOUSTON,TX,USA,77002,713-238-2056,713-238-2092,717 TEXAS AVENUE,SUITE 3001,HOUSTON,TX,USA,77002,Approved,1/7/2004,3/29/2010,Y,WWW.HAWKINSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"759,163,697.00",0,"759,163,697.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150575,801-70324,16TH AMENDMENT ADVISORS LLC,16TH AMENDMENT ADVISORS LLC,30 ROCKEFELLER PLAZA,28TH FLOOR,NEW YORK,NY,UNITED STATES,10112,212-332-1600,212-332-1601,,,,,,,Approved,6/23/2009,3/29/2010,Y,WWW.16THAMEDNMENTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,10-Jan,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"26,700,000.00",0,"26,700,000.00",9,0,9,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO SUB-ADVISORY SERVICES FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,125360,801-64295,"TIEMANN INVESTMENT ADVISORS, LLC","TIEMANN INVESTMENT ADVISORS, LLC",750 MENLO AVENUE,SUITE 300,MENLO PARK,CA,UNITED STATES,94025,650-566-0200,650-566-0210,,,,,,,Approved,5/6/2005,3/29/2010,Y,WWW.TIEMANNINVESTMENTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,FEES ARE SOMETIMES NEGOTIATED,Y,"55,800,000.00","3,000,000.00","58,800,000.00",91,1,92,N,Y,N,N,N,N,Y,N,N,Y,CONSTRUCTION OF MODEL PORTFOLIOS OF SECURITIES; INVESTMENT CONSULTING,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,107935,801-56946,EMERALD ASSET ADVISORS LLC,EMERALD ASSET ADVISORS LLC,2843 EXECUTIVE PARK DRIVE,,WESTON,FL,USA,33331,954-385-9624,954-385-6764,,,,,,,Approved,9/24/2003,3/29/2010,Y,WWW.EMERALDASSETADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,CONSULTING,Y,"268,958,683.00","5,286,870.00","274,245,553.00",606,11,617,N,Y,Y,Y,N,Y,Y,N,N,Y,WE PROVIDE MODEL PORTFOLIOS TO TURN-KEY ASSET MNGMT PLATFORMS  FOR OTHER ADVISORS USE IN MANAGING THEIR CLIENT ACCOUNTS,,,N,Y,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110338,801-25226,MACKENZIE FINANCIAL CORPORATION,MACKENZIE FINANCIAL CORPORATION,180 QUEEN STREET WEST,,"TORONTO, ONTARIO",,CANADA,M5V 3K1,416-967-2170,416-922-7062,180 SIMCOE STREET,,TORONTO,,CANADA,M5T 3M2,Approved,9/3/1985,3/29/2010,Y,WWW.MACKENZIEFINANCIAL.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",501-1000,0,51-250,0,0,0,5-Jan,0,101-250,0,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"59,357,427,596.00",0,"59,357,427,596.00",229,0,229,N,N,Y,Y,N,Y,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y
CHRO,121880,801-63627,"PILLAR FINANCIAL ADVISORS, LLC","PILLAR FINANCIAL ADVISORS, LLC",4500 BOWLING BLVD.,SUITE 100,LOUISVILLE,KY,USA,40207,502-894-6035,502-894-6037,,,,,,,Approved,10/29/2004,3/13/2010,Y,HTTP://WWW.PILLAR.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"52,236,238.00","925,063.00","53,161,301.00",51,1,52,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,132959,801-63632,"PROXY GOVERNANCE, INC.","PROXY GOVERNANCE, INC.",8180 GREENSBORO  DRIVE,8TH FLOOR,MCLEAN,VA,UNITED STATES,22102,703-245-5800,703-245-4800,,,,,,,Approved,11/22/2004,3/19/2010,Y,WWW.PROXYGOVERNANCE.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,10-Jun,0,26-100,0,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,26-50 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,,N,N,Y,Y,N,N,Y,BALLOT RELATED FEES,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,"PROXY RESEARCH, VOTING ANALYSIS AND RECOMMENDATIONS",0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143358,801-67733,MARLTON CAPITAL MANAGEMENT,MARLTON CAPITAL MANAGEMENT,,,,,,,856 630-6317,856 988-8682,,,,,,,Approved,4/6/2007,3/29/2007,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,26-50 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,"26,000,000.00",0,"26,000,000.00",6,0,6,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107698,801-47248,WEBSTER PARTNERS,WEBSTER PARTNERS INC,222 SOUTH 9TH STREET,SUITE 3260,MINNEAPLOIS,MN,USA,55402-3389,612-339-3430,612-332-0884,,,,,,,Approved,8/19/1994,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"59,100,000.00","54,700,000.00","113,800,000.00",23,4,27,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,141488,801-69009,"PEAK CAPITAL MANAGEMENT, LLC","PEAK CAPITAL MANAGEMENT, LLC",1465 KELLY JOHNSON BLVD,SUITE 350,COLORADO SPRINGS,CO,USA,80920,719-528-8115,719-884-0849,,,,,,,Approved,4/9/2008,3/19/2010,Y,WWW.PEAKCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"34,445,000.00",0,"34,445,000.00",307,0,307,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109431,801-57728,CAPITAL MANAGEMENT GROUP LLC,CAPITAL MANAGEMENT GROUP LLC,1730 RHODE ISLAND AVE NW,STE 601,WASHINGTON,DC,UNITED STATES,20036,202-391-0171,202-391-0178,,,,,,,Approved,7/10/2000,3/19/2010,Y,WWW.CMG-LLC.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"145,111,942.00","1,626,335.00","146,738,277.00",140,5,145,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,120593,801-61191,"AHL INVESTMENT MANAGEMENT, INC.","AHL INVESTMENT MANAGEMENT, INC.",427 S. NEW YORK AVE SUITE 202,,WINTER PARK,FL,UNITED STATES,32789,407-740-8327,407-740-7824,PO BOX 3112,,WINTER PARK,FL,UNITED STATES,32790,Approved,5/23/2002,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"51,358,082.00","495,072.00","51,853,154.00",204,5,209,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109673,801-65944,ADVANCED CAPITAL GROUP,"ADVANCED CAPITAL GROUP, INC.",50 SOUTH SIXTH STREET,SUITE 975,MINNEAPOLIS,MN,USA,55402,612-230-3000,612-230-3019,,,,,,,Approved,1/31/2006,3/19/2010,Y,WWW.ACGBIZ.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,Up to 10 percent,26-50 percent,0 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"28,000,000.00","2,319,322,160.00","2,347,322,160.00",32,213,245,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,145830,801-68730,"WHF INVESTMENT MANAGEMENT, LLC","WHF INVESTMENT MANAGEMENT, LLC",,,,,,,203.661.3328,203.629.0558,P.O. BOX 5060,,GREENWICH,CT,USA,6831,Approved,1/23/2008,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"35,400,892.00",0,"35,400,892.00",6,0,6,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,140443,801-66922,AC INVESTMENT MANAGEMENT LLC,"AC INVESTMENT MANAGEMENT, LLC","1350 AVENUE OF THE AMERICAS, SUITE 2300",,NEW YORK,NY,UNITED STATES,10019,(212) 245-8200,(212) 245-8205,,,,,,,Approved,6/22/2006,3/19/2010,Y,ACIMFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"475,000,000.00",0,"475,000,000.00",5,0,5,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,123902,801-62087,"NBZ INVESTMENT ADVISORS, LLC","NBZ INVESTMENT ADVISORS, LLC",4110 SUTHERLAND AVENUE,,KNOXVILLE,TN,USA,37919,865.584.1184,865.558.6192,,,,,,,Approved,6/3/2003,3/19/2010,Y,WWW.NBZHOME.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"81,051,734.00","4,399,734.00","85,451,468.00",243,11,254,Y,Y,N,N,N,Y,N,N,N,Y,CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110346,801-40415,AWM INVESTMENT COMPANY INC,AWM INVESTMENT COMPANY INC,SPECIAL SITUATIONS FUND,"527 MADISON AVENUE, SUITE 2600",NEW YORK,NY,USA,10022,212-319-6670,212-319-6677,,,,,,,Approved,12/17/1991,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"874,797,017.00",0,"874,797,017.00",6,0,6,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105178,801-35692,MGP ADVISERS LIMITED PARTNERSHIP,MGP ADVISERS LIMITED PARTNERSHIP,SPECIAL SITUATIONS FUNDS,"527 MADISON AVE., SUITE 2600",NEW YORK,NY,UNITED STATES,10022,212-319-6670,212-319-6677,,,,,,,Approved,11/6/1989,3/19/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,"1,816,804.00",0,"1,816,804.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110333,801-20396,"CENTURA PERSONAL FINANCIAL SERVICES, INC.","CENTURA PERSONAL FINANCIAL SERVICES, INC.",300 GARDEN CITY PLAZA,SUITE 410,GARDEN CITY,NY,UNITED STATES,11530,516-281-7200,516-281-7403,,,,,,,Approved,12/27/1983,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"26,750,682.00",0,"26,750,682.00",109,0,109,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104068,801-58090,DELTEC ASSET MANAGEMENT LLC,DELTEC ASSET MANAGEMENT LLC,"623 FIFTH AVENUE, 28TH FLOOR",,NEW YORK,NY,UNITED STATES,10022-9129,212-546-6200,212-230-1412,,,,,,,Approved,9/29/2000,3/19/2010,Y,WWW.DELTEC-NY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,COLLATERALIZED BOND OBLIGATION,Y,N,N,N,Y,Y,Y,A PERCENTAGE OF THE PAR AMOUNT OF COLLATERAL DEBT SECURITIES.,Y,"735,975,973.00",0,"735,975,973.00",251,0,251,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,136516,801-71266,LOCH CAPITAL MANAGEMENT LLC,LOCH CAPITAL MANAGEMENT LLC,30 FEDERAL STREET,,BOSTON,MA,UNITED STATES,2110,617-289-7600,617-289-7601,,,,,,,Approved,4/12/2010,3/19/2010,Y,WWW.LOCHCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"750,600,000.00",0,"750,600,000.00",6,0,6,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,130180,801-68173,"ASHDON INVESTMENT MANAGEMENT, LLC","ASHDON INVESTMENT MANAGEMENT, LLC",214 E. GRUNDY STREET,,TULLAHOMA,TN,UNITED STATES,37388,931-461-5733,931-461-5735,,,,,,,Approved,7/23/2007,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,11-25 percent,FOUNDATIONS AND ENDOWMENTS,Y,N,N,Y,N,Y,N,,Y,"31,141,214.00",0,"31,141,214.00",1,0,1,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,128852,801-69115,"ROBERT WILLIAM SHOEMAKER,III","ROBERT WILLIAM SHOEMAKER,III",28 JUNCTION SQUARE,,CONCORD,MA,UNITED STATES,1742,978-371-2282,,P.O. BOX 1257,,CONCORD,MA,UNITED STATES,1742,Approved,5/20/2008,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"32,828,921.00","32,828,921.00",0,136,136,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N
ARO,133941,801-63881,SHAH CAPITAL MANAGEMENT,"SHAH CAPITAL MANAGEMENT, INC",8601 SIX FORKS ROAD,SUITE 630,RALEIGH,NC,USA,27615,919-719-6360,919-719-6370,,,,,,,Approved,2/4/2005,3/19/2010,Y,WWW.SHAHCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"275,876,605.00",0,"275,876,605.00",244,0,244,N,Y,N,Y,N,N,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,146655,801-68950,"LONGLEAF FINANCIAL ADVISORS, LLC","LONGLEAF FINANCIAL ADVISORS, LLC",208 NORTH WESTOVER BLVD. SUITE 201,,ALBANY,GA,USA,31707,229-439-2348,229-434-1979,PO BOX 70998,,ALBANY,GA,USA,31708,Approved,3/12/2008,3/19/2010,Y,WWW.LFA2.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SOLICITOR/REFERRAL FEES,Y,"65,238,200.00","12,168,970.00","77,407,170.00",540,11,551,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,125186,801-61941,"COMPASS FINANCIAL GROUP, INC.","COMPASS FINANCIAL GROUP, INC.",665 S.E. 10TH STREET,SUITE 202,DEERFIELD,FL,USA,33441,954-481-2607,954-481-2614,,,,,,,Approved,4/7/2003,3/19/2010,Y,HTTP://HOME.BELLSOUTH.NET/P/PWP-COMPASS,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"195,530,000.00",0,"195,530,000.00",291,0,291,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106381,801-49983,AMBS INVESTMENT COUNSEL LLC,AMBS INVESTMENT COUNSEL LLC,625 KENMOOR SE,SUITE 307,GRAND RAPIDS,MI,UNITED STATES,49546,616-949-8160,616-949-8161,,,,,,,Approved,8/29/1995,3/19/2010,Y,WWW.AMBSINVESTMENT.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,0 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"588,771,629.00",0,"588,771,629.00",286,0,286,N,Y,Y,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,149509,801-70121,"ESSENTIAL INVESTMENT PARTNERS, LLC","ESSENTIAL INVESTMENT PARTNERS, LLC","1777 S. HARRISON, SKYDECK",,DENVER,CO,UNITED STATES,80210,303-333-8498,303-333-1588,,,,,,,Approved,4/1/2009,3/19/2010,Y,WWW.ESSENTIALINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"71,050,339.00","9,599,816.00","80,650,155.00",82,2,84,Y,Y,N,Y,N,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108545,801-57317,COURT PLACE ADVISORS LLC,COURT PLACE ADVISORS LLC,10306A BALTIMORE NATIONAL PIKE,,ELLICOTT CITY,MD,USA,21042,410-465-4321,410-750-9407,,,,,,,Approved,3/6/2000,3/19/2010,Y,WWW.COURTPLACEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"105,090,250.00","7,759,165.00","112,849,415.00",178,32,210,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,112070,801-54211,DUNTON AMMON GRESHAM JR,DUNTON AMMON GRESHAM JR,678 RAPPAHANNOCK DR,,WHITE STONE,VA,UNITED STATES,22578-0005,804-435-4000,804-435-1614,PO 5,,WHITE STONE,VA,UNITED STATES,22578-0005,Approved,4/4/1997,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"73,145,432.00","66,558,422.00","139,703,854.00",24,9,33,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109075,801-60069,"RICHARD NEY & ASSOCIATES ASSET MANAGEMENT, INC.","RICHARD NEY & ASSOCIATES ASSET MANAGEMENT, INC.",,,,,,,626-441-2222,626-799-9640,P. O. BOX 92223,,PASADENA,CA,USA,91109,Approved,3/2/2001,11/20/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,249,830.00",0,"25,249,830.00",70,0,70,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,118013,801-68829,"JEMICO, INCORPORATED","JEMICO, INCORPORATED",11650 S. STATE STREET,SUITE # 315,DRAPER,UT,UNITED STATES,84020,801-567-3096,801-553-0247,,,,,,,Approved,2/15/2008,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"75,287,528.00",0,"75,287,528.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106478,801-41790,KR CAPITAL PARTNERS I LP,KR CAPITAL PARTNERS I LP,445 PARK AVE C/O KR CAPITAL ADVISORS INC,,NEW YORK,NY,UNITED STATES,10022,212-888-6300,212-751-4542,,,,,,,Approved,6/22/1992,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"108,904,318.00",0,"108,904,318.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,ADVISOR TO AN INVESTMENT LIMITED PARTNERSHIP,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,134184,801-64005,"BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC","BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC",BLUE BELL EXECUTIVE CAMPUS,"470 NORRISTOWN ROAD, SUITE 305",BLUE BELL,PA,USA,19422-2322,610-825-3540,610-825-9690,,,,,,,Approved,2/28/2005,3/19/2010,Y,WWW.US-STRUCTUREINVESTMENTS .COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"154,420,419.00","76,506,996.00","230,927,415.00",832,36,868,N,Y,Y,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105730,801-16383,POTOMAC ASSET MANAGEMENT CO INC,POTOMAC ASSET MANAGEMENT CO INC,5 SOUTH MARKET STREET,4TH FLOOR,FREDERICK,MD,USA,21701,301.695.9229,301.695.9597,,,,,,,Approved,8/21/1981,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"99,675,023.00",0,"99,675,023.00",4,0,4,N,Y,N,Y,N,N,N,N,N,Y,PRIVATE PLACEMENT MANAGEMENT,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109473,801-55565,TODD VEREDUS ASSET MANAGEMENT LLC,TODD  VEREDUS ASSET MANAGEMENT LLC,101 SOUTH 5TH STREET,SUITE 3100,LOUISVILLE,KY,UNITED STATES,40202,502-585-3121,502-585-4203,,,,,,,Approved,5/15/1998,3/19/2010,Y,WWW.VEREDUS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,KY,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,More than 500,"1,500",Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,SEP. MANAGED ACCOUNT WRAP PROGRAM,Y,N,N,Y,N,Y,N,,Y,"3,660,276,527.00",0,"3,660,276,527.00","1,541",0,"1,541",N,Y,Y,Y,N,N,Y,N,N,Y,PROVIDE AND UPDATE MODEL PORTFOLIO,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110457,801-31503,"BEECH HILL ADVISORS, INC","BEECH HILL ADVISORS, INC",880 THIRD AVE 16TH FLOOR,,NEW YORK,NY,UNITED STATES,10022,212-350-7272,212-350-7295,,,,,,,Approved,4/1/1988,3/19/2010,Y,WWW.CWWAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,Y,N,,Y,"181,267,631.00","338,073.00","181,605,704.00",601,4,605,Y,Y,N,Y,Y,N,N,N,Y,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,N,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,149387,801-71240,"ASPYRE ADVISORS, LLC","ASPYRE ADVISORS, LLC",11 W. MONUMENT AVENUE,SUITE 101,DAYTON,OH,UNITED STATES,45402,937-310-2287,937-550-1015,,,,,,,Approved,3/23/2010,3/19/2010,Y,WWW.ASPYREADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"2,000,000.00","49,000,000.00","51,000,000.00",6,56,62,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107235,801-51125,ING ALTERNATIVE ASSET MANAGEMENT LLC,ING ALTERNATIVE ASSET MANAGEMENT LLC,230 PARK AVENUE,,NEW YORK,NY,USA,10169,212-309-8200,212-309-8226,,,,,,,Approved,3/8/1996,3/19/2010,Y,WWW.INGINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,420,416,473.00",0,"4,420,416,473.00",18,0,18,N,Y,N,Y,N,N,N,N,N,Y,"PORTFOLIO MANAGEMENT FOR HEDGE FUNDS, OFFSHORE FUNDS, FUNDS-OF-HEDGE FUNDS AND COLLATERALIZED DEBT OBLIGATIONS.",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,107557,801-51069,CONNOR CLARK & LUNN INVESTMENT MANAGEMENT LTD,CONNOR CLARK & LUNN INVESTMENT MANAGEMENT LTD,2200 1111 WEST GEORGIA ST,,"VANCOUVER, BC",,CANADA,V6E 4M3,604-685-2020,604-643-2000,,,,,,,Approved,2/6/1996,3/19/2010,Y,WWW.CCLGROUP.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"BRITISH COLUMBIA, CANADA",Nov-50,0,Nov-50,0,0,0,5-Jan,0,101-250,0,0 percent,Up to 10 percent,11-25 percent,11-25 percent,51-75 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"18,833,460,500.00",0,"18,833,460,500.00",135,0,135,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104595,801-51052,COLUMBUS INVESTMENT ADVISORY INC.,COLUMBUS INVESTMENT ADVISORY INC.,68 NORTH HIGH STREET,BUILDING C,NEW ALBANY,OH,UNITED STATES,43054-7101,614-882-1418,614-882-1750,,,,,,,Approved,2/9/1996,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"160,739,644.00","20,547,746.00","181,287,390.00",98,4,102,N,Y,N,N,N,N,N,N,N,Y,PROVIDE FINANCIAL CONSULTING AND REPORTING SERVICES.,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,117713,801-60876,"IRON STREET RESEARCH, INC.","IRON STREET RESEARCH, INC.",111 SOUTH 5TH ST.,,SALINA,KS,USA,67401,785-823-3091,785-823-3091,P.O. BOX 332,,SALINA,KS,UNITED STATES,67401,Approved,2/7/2002,3/19/2010,Y,WWW.TACTICALTRADINGSIGNAL.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Corporation,,KS,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,11-25 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,Y,N,N,N,N,,N,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,Y,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N
SFRO,144377,801-68050,"ORCA INVESTMENT MANAGEMENT, LLC","ORCA INVESTMENT MANAGEMENT, LLC",738 SE KANE STREET,,ROSEBURG,OR,UNITED STATES,97470,(541) 672-3469,(541) 672-1610,,,,,,,Approved,6/25/2007,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"99,181,204.00","3,474,975.00","102,656,179.00",589,1,590,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,125829,801-65779,"SMITH CAPITAL, LLC","SMITH CAPITAL, LLC",500 WESTPARK DRIVE,SUITE 100,PEACHTREE CITY,GA,UNITED STATES,30269,770-631-0600,770-632-6576,,,,,,,Approved,1/27/2006,3/19/2010,Y,WWW.SMITHCAPITAL.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"33,920,000.00","950,000.00","34,870,000.00",260,5,265,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,108327,801-16128,LATHROP INVESTMENT MANAGEMENT CORP,LATHROP INVESTMENT MANAGEMENT CORP,10 CORPORATE HILL DRIVE,SUITE 225,LITTLE ROCK,AR,UNITED STATES,72205,501-227-4930,501-227-7630,,,,,,,Approved,6/1/1981,3/19/2010,Y,WWW.LIMC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,EMPLOYEES ACCOUNTS,Y,Y,N,Y,N,N,N,,Y,"170,859,486.00","96,022,075.00","266,881,561.00",455,6,461,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,116462,801-63995,"GOODRICH & ASSOCIATES, INC.","GOODRICH & ASSOCIATES, INC.",12 BELLWETHER WAY,SUITE 215,BELLINGHAM,WA,UNITED STATES,98225,360-671-0226,360-671-0261,,,,,,,Approved,4/13/2005,3/19/2010,Y,WWW.RAYMONDJAMES.COM/GOODRICHASSOCIATES,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,More than 500,500,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISOR / MANAGER FEES,Y,0,"68,214,684.00","68,214,684.00",0,648,648,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,149115,801-69912,"BAKER & YOEST INVESTMENT ADVISERS, INC.","BAKER & YOEST INVESTMENT ADVISERS, INC.",400 SKOKIE BLVD,SUITE 850,NORTHBROOK,IL,UNITED STATES,60062,847-504-1455,847-504-1454,,,,,,,Approved,2/17/2009,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"50,140,000.00","50,140,000.00",0,86,86,Y,Y,N,Y,N,N,N,N,N,Y,CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,147023,801-69119,"KINGSBRIDGE PRIVATE WEALTH MANAGEMENT, INC.","KINGSBRIDGE PRIVATE WEALTH MANAGEMENT, INC.",3625 S. TOWN CENTER DRIVE,SUITE #120,LAS VEGAS,NV,UNITED STATES,89135,702-947-5160,866-825-8820,,,,,,,Approved,5/5/2008,3/19/2010,Y,WWW.KINGSBRIDGEPWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"89,405,727.00","8,756,797.00","98,162,524.00",104,18,122,Y,Y,N,N,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT OF POOLED INVESTMENT VEHICLE,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106018,801-10571,"TRAIN, BABCOCK ADVISORS LLC","TRAIN, BABCOCK ADVISORS LLC",100 PARK AVENUE,27TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-451-3400,212-371-1920,,,,,,,Approved,1/27/1975,3/19/2010,Y,WWW.TRAINBABCOCK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"622,175,376.00","17,301,113.00","639,476,489.00",674,9,683,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,118034,801-63606,"RAUB/BROCK CAPITAL MANAGEMENT, INC.","RAUB/ BROCK CAPITAL MANAGEMENT, INC.",700 LARKSPUR LANDING CIRCLE,SUITE 240,LARKSPUR,CA,UNITED STATES,94939,415-927-6990,415-927-6996,,,,,,,Approved,10/29/2004,3/19/2010,Y,WWW.RAUBBROCK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"83,558,765.00","3,244,412.00","86,803,177.00",195,21,216,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111774,801-39989,"ROGERSCASEY, INC.","ROGERSCASEY, INC.",ONE PARKLANDS DRIVE,,DARIEN,CT,UNITED STATES,6820,203-656-5900,203-656-5192,,,,,,,Approved,12/5/1991,3/19/2010,Y,WWW.ROGERSCASEY.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,5-Jan,0,0,0,101-250,0,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,26-50 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,Y,Y,N,N,N,,Y,"9,623,000,000.00","254,000,000,000.00","263,623,000,000.00",8,108,116,N,N,N,Y,Y,Y,Y,N,N,Y,PERFORMANCE MEASUREMENT & INVESTMENT PRODUCT REVIEW,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,N,Y,Y,N,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,113181,801-60383,REGATTA RESEARCH & MONEY MANAGEMENT L.L.C.,REGATTA RESEARCH & MONEY MANAGEMENT L.L.C.,2121 N. CAUSEWAY BLVD.,SUITE 257,METAIRIE,LA,UNITED STATES,70001-2894,504-831-4636,504-831-8936,"11931 JUSTICE AVE., STE. D",,BATON ROUGE,LA,UNITED STATES,70816,Approved,7/3/2001,3/19/2010,Y,WWW.REGATTARESEARCH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,Nov-50,0,More than 500,900,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"131,201,416.00","7,631,998.00","138,833,414.00","1,648",70,"1,718",Y,Y,N,Y,Y,Y,Y,N,Y,Y,INVESTMENT EDUCATION COURSES,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,122309,801-61556,FMB WEALTH MANAGEMENT,FMB WEALTH MANAGEMENT,"2659 TOWNSGATE ROAD, SUITE 246",,WESTLAKE VILLAGE,CA,USA,91361,805-446-4494,805-446-4499,,,,,,,Approved,11/8/2002,3/19/2010,Y,WWW.FMBWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"96,462,000.00",0,"96,462,000.00",77,0,77,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,116802,801-65968,"CAROLINA CAPITAL CONSULTING, INC.","CAROLINA CAPITAL CONSULTING, INC.",3111 SPRINGBANK LANE,SUITE B,CHARLOTTE,NC,UNITED STATES,28226,704-541-3199,866-323-5147,,,,,,,Approved,2/1/2006,3/19/2010,Y,WWW.3CCC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"96,452,942.00","7,105,537.00","103,558,479.00",51,4,55,Y,Y,N,N,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N
FWRO,141769,801-69382,"BARDEN CAPITAL MANAGEMENT, INC.","BARDEN CAPITAL MANAGEMENT, INC.",,,,,,,512-366-8081,512-366-8082,,,,,,,Approved,7/1/2008,3/19/2010,Y,WWW.BARDENCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"61,035,512.00",0,"61,035,512.00",385,0,385,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,151828,801-70815,POLO TRAVEL AND INVESTMENTS L.L.C.,POLO TRAVEL AND INVESTMENTS L.L.C.,,,,,,,941-907-9184,941-907-9187,,,,,,,Approved,11/24/2009,3/19/2010,Y,WWW.VICTORYINVESTING.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,0,0,0,0,5-Jan,0,10-Jan,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,"20,000.00",0,"20,000.00",4,0,4,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108780,801-56890,BRAGG FINANCIAL ADVISORS INC,BRAGG FINANCIAL ADVISORS INC,1031 SOUTH CALDWELL ST,SUITE 200,CHARLOTTE,NC,UNITED STATES,28203,704-377-0261,704-334-9754,,,,,,,Approved,10/12/1999,2/25/2010,Y,WWW.BRAGGFINANCIAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,600,26-50 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"543,023,734.00",0,"543,023,734.00",644,0,644,Y,Y,Y,Y,Y,N,N,N,N,N,,More than 500,600,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,115077,801-61337,"THE COMMONWEALTH GROUP, INC","THE COMMONWEALTH GROUP, INC",551 N.W. 77TH STREET,SUITE 101,BOCA RATON,FL,UNITED STATES,33487,561-994-3212,561-994-6858,,,,,,,Approved,7/26/2002,2/25/2010,Y,WWW.COMMONWEALTHGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"110,000,000.00","15,000,000.00","125,000,000.00",90,20,110,N,Y,N,Y,Y,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109202,801-55466,STANFIELD CAPITAL PARTNERS LLC,STANFIELD CAPITAL PARTNERS LLC,430 PARK AVENUE,11TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-891-9600,212-891-9625,,,,,,,Approved,4/23/1998,2/25/2010,Y,WWW.STANFIELDCP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,247,246,025.00",0,"5,247,246,025.00",16,0,16,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145415,801-68968,"CYPRESS ASSET MANAGEMENT, INC.","CYPRESS ASSET MANAGEMENT, INC.",4814 N. PROSPECT ROAD,,PEORIA HEIGHTS,IL,USA,61616,309-679-9146,309-679-9147,,,,,,,Approved,3/17/2008,2/25/2010,Y,WWW.CYPRAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"45,215,853.00","144,341.00","45,360,194.00",112,2,114,Y,Y,N,N,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110184,801-56545,SOLIDARITY INVESTMENT CONSULTING,"SOLIDARITY INVESTMENT CONSULTING, INC",,,,,,,503-227-2895,503-227-2895,,,,,,,Approved,5/24/1999,2/25/2010,Y,WWW.TURTLERABBITINVESTING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,Y,Y,N,N,N,,Y,0,"59,646,254.00","59,646,254.00",0,1,1,N,N,N,N,Y,Y,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,143897,801-67925,WAKE ASSET MANAGEMENT S.A.,WAKE ASSET MANAGEMENT S.A.,RUE DU MONT-BLANC 3,,GENEVA,,SWITZERLAND,1201,0041-22-317-7800,0041-22-317-7809,,,,,,,Approved,6/11/2007,2/27/2008,Y,WWW.WAKEAM.COM,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,,SWITZERLAND,10-Jun,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"225,000,000.00",0,"225,000,000.00",3,0,3,N,N,Y,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,118296,801-64487,"CAPSTONE WEALTH MANAGEMENT, LLC","CAPSTONE WEALTH MANAGEMENT, LLC",204 MARINA DRIVE,SUITE 100,TUSCALOOSA,AL,UNITED STATES,35406-3237,205-349-2050,205-349-1336,,,,,,,Approved,7/15/2005,2/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"51,361,025.00",0,"51,361,025.00",119,0,119,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104716,801-9139,CORBYN INVESTMENT MANAGEMENT INC,CORBYN INVESTMENT MANAGEMENT INC,2330 W JOPPA RD STE 108,,LUTHERVILLE,MD,UNITED STATES,21093,410-832-5500,410-823-0903,,,,,,,Approved,3/9/1973,2/25/2010,Y,WWW.GREENSPRINGFUND.COM/MANAGED_ACCOUNTS.SHTML,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"770,254,615.00",0,"770,254,615.00",255,0,255,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,113934,801-65927,FINANCIAL SECURITY ADVISORS,VIDEO RECORDS INC.,8340 MISSION ROAD,SUITE 113,PRAIRIE VILLAGE,KS,UNITED STATES,66206,913-385-5523,913-385-5524,,,,,,,Approved,2/1/2006,2/25/2010,Y,WWW.FINANCIAL-SECURITY-ADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"55,900,000.00",0,"55,900,000.00",60,0,60,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,146995,801-69085,"JB INVESTMENT MANAGEMENT, LLC","JB INVESTMENT MANAGEMENT, LLC",13890 BISHOPS DRIVE,SUITE 350,BROOKFIELD,WI,UNITED STATES,53005,262.439.2100,262.439.2101,,,,,,,Approved,4/21/2008,2/25/2010,Y,WWW.JBINVESTMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"492,481,498.00",0,"492,481,498.00",150,0,150,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,130494,801-63088,"BROMAN & GREIG ASSET MANAGEMENT, LLC","BROMAN & GREIG ASSET MANAGEMENT, LLC",2811 WILSHIRE BLVD,SUITE 700,SANTA MONICA,CA,USA,90403,310-829-7654,310-829-7659,,,,,,,Approved,4/27/2004,9/28/2005,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"38,000,000.00",0,"38,000,000.00",79,0,79,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115096,801-62404,INVESTMENT CONSULTING & RESEARCH INC.,INVESTMENT CONSULTING & RESEARCH INC.,7973 WASHINGTON WOODS DR.,,CENTERVILLE,OH,USA,45459,937-433-2735,937-433-2899,,,,,,,Approved,10/1/2003,9/29/2005,Y,WWW.NWQADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"26,340,000.00","11,960,000.00","38,300,000.00",480,187,667,N,Y,N,N,N,N,N,N,Y,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122231,801-61405,"THE WEALTH ADVANTAGE GROUP, INC.","THE WEALTH ADVANTAGE GROUP, INC.",5005 HORIZONS DRIVE,SUITE 100,COLUMBUS,OH,UNITED STATES,43220,614-459-9000,614-459-9099,,,,,,,Approved,8/28/2002,2/25/2010,Y,WWW.WEALTHADVANTAGEGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"57,903,508.00","2,898,450.00","60,801,958.00",589,54,643,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112825,801-38321,STERLING ASSET MANAGEMENT CO INC,STERLING ASSET MANAGEMENT CO INC,,,,,,,518-449-8200,518-449-5514,,,,,,,Approved,2/28/1991,2/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"81,270,000.00",0,"81,270,000.00",36,0,36,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,124247,801-62051,"ONE WORLD AMS, LLC","ONE WORLD ASSET MANAGEMENT SOLUTIONS, LLC",609 E. WASHINGTON,,RIVERTON,WY,UNITED STATES,82501,307-856-2637,307-856-5991,,,,,,,Approved,5/20/2003,3/31/2010,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,Y,Y,N,N,N,,Y,"880,146.00","600,293.00","1,480,439.00",83,122,205,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,122620,801-64160,INDIANO CAPITAL MANAGEMENT,INDIANO CAPITAL MANAGEMENT INC.,1080 PITTSFORD VICTOR ROAD,SUITE 201,PITTSFORD,NY,UNITED STATES,14534,585-248-9888,585-248-9893,,,,,,,Approved,6/14/2006,3/31/2010,Y,WWW.INDIANO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"74,826,963.00","69,990,465.00","144,817,428.00",236,12,248,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,137572,801-65460,WOODBOURNE INVESTMENT MANAGEMENT LLC,WOODBOURNE INVESTMENT MANAGEMENT LLC,1919 14TH STREET,SUITE 300,BOULDER,CO,UNITED STATES,80302,303-939-8273,303-449-4253,,,,,,,Approved,1/24/2006,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,11-25 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"80,333,983.00",0,"80,333,983.00",4,0,4,N,N,N,Y,N,N,N,N,N,Y,PORT. MGMT/PRIVATE INVST FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,133427,801-66959,"VALOR REALTY ADVISORS, LLC","VALOR REALTY ADVISORS, LLC",20 SOUTH CLARK STREET,SUITE 3000,CHICAGO,IL,USA,60603-1887,312-629-3435,312-855-0445,,,,,,,Approved,7/18/2006,3/31/2008,Y,WWW.VALORREALTY.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
FWRO,144081,801-67910,JWKODAK CAPITAL MANAGEMENT LLC,JWKODAK CAPITAL MANAGEMENT LLC,3355 BEE CAVE ROAD,SUITE 607,AUSTIN,TX,USA,78746,512-328-8600,512-328-8601,,,,,,,Approved,5/16/2007,3/31/2010,Y,WWW.JWKODAK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"21,113,085.00","7,718,968.00","28,832,053.00",162,20,182,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO REVIEW SERVICES FOR INDIVIDUALS AND/OR SMALL BUSINESSES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,143980,801-68001,WOODBOURNE CAPITAL MANAGEMENT INTERNATIONAL LP,WOODBOURNE CAPITAL MANAGEMENT INTERNATIONAL LP,1919 14TH STREET,SUITE 300,BOULDER,CO,UNITED STATES,80302,303-939-8273,303-449-4253,,,,,,,Approved,6/25/2007,3/31/2010,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"261,397,848.00",0,"261,397,848.00",8,0,8,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT SERVICES FOR PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,132777,801-68880,SECURE RETIREMENT FINANCIAL & INSURANCE SERVICES CORP.,SECURE RETIREMENT FINANCIAL & INSURANCE SERVICES CORP.,18 CROW CANYON COURT,SUITE 300,SAN RAMON,CA,USA,94583,925-855-4300,925-855-4630,,,,,,,Approved,2/29/2008,3/31/2010,Y,WWW.SECURERETIRE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"53,000,000.00",0,"53,000,000.00",340,0,340,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111125,801-44866,RICH INVESTMENTS INC,RICH INVESTMENTS INC,11 EAST MARKET STREET,,YORK,PA,USA,17401,800-290-7424,717-747-0643,,,,,,,Approved,10/5/1993,3/31/2010,Y,HTTP://WWW.RICHINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"29,702,500.00",0,"29,702,500.00",235,0,235,Y,Y,N,Y,Y,N,Y,N,N,Y,EDUCATIONAL SEMINARS FOR A FEE,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,134332,801-64244,CAMPBELL & COMPANY INVESTMENT ADVISER LLC,CAMPBELL & COMPANY INVESTMENT ADVISER LLC,2850 QUARRY LAKE DRIVE,,BALTIMORE,MD,UNITED STATES,21209,410-413-2600,410-413-2574,,,,,,,Approved,5/6/2005,3/31/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,26-50 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"317,000,000.00",0,"317,000,000.00",5,0,5,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,N,Y,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,117751,801-61000,"DAVIS-ROSS INVESTMENT ADVISERS, LLC","DAVIS-ROSS INVESTMENT ADVISERS, LLC","330 W. SPRING STREET, SUITE 430",,COLUMBUS,OH,UNITED STATES,43215,614-224-1629,614-224-0275,,,,,,,Approved,3/22/2002,3/31/2010,Y,DRMM-ADVISERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"71,157,074.00",0,"71,157,074.00",297,0,297,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110615,801-42983,THE PROPER ANALYSIS CORPORATION,THE PROPER ANALYSIS CORPORATION,3201 ENTERPRISE PARKWAY,SUITE 320,BEACHWOOD,OH,UNITED STATES,44122-4640,216-595-3842,216-831-2651,,,,,,,Approved,12/24/1992,3/31/2010,Y,WWW.PROPERANALYSIS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,FIXED FEE FOR ADVISING PLAN SPONSER OF 401K,Y,"231,451,530.00","19,879,353.00","251,330,883.00",777,10,787,N,Y,N,N,N,Y,N,N,N,Y,ADVISORY SERVICES TO PLAN SPONSORS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,133892,801-66412,"FMA, LLC","FRASER MANAGEMENT ASSOCIATES, LLC",309 SOUTH WILLARD STREET,,BURLINGTON,VT,UNITED STATES,5401,802-658-0322,,PO BOX 1777,,BURLINGTON,VT,UNITED STATES,5402,Approved,2/28/2006,3/31/2010,Y,WWW.FRASER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,INVESTMENT CLUB,Y,N,Y,N,N,N,N,,Y,"34,040,355.00",0,"34,040,355.00",109,0,109,N,Y,N,N,N,N,Y,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,146486,801-68962,"SPOOR, T. RICHARD","SPOOR, T. RICHARD",184 MAIN STREET,,LAKEVILLE,CT,USA,6039,860-435-1211,860-435-1214,,,,,,,Approved,4/3/2008,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"25,000,000.00","125,000,000.00","150,000,000.00",47,88,135,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111981,801-54799,MAINSTREAM INVESTMENT ADVISERS LLC,MAINSTREAM INVESTMENT ADVISERS LLC,101 WEST SPRING STREET,4TH FLOOR,NEW ALBANY,IN,UNITED STATES,47150,812-981-8100,812-981-7069,,,,,,,Approved,9/3/1997,3/31/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,KY,UNITED STATES,Nov-50,0,5-Jan,0,0,0,Nov-50,0,101-250,0,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"471,754,917.00",0,"471,754,917.00",108,0,108,N,Y,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,142615,801-68194,"WHITE OAK FINANCIAL MANAGEMENT, INC","WHITE OAK FINANCIAL MANAGEMENT, INC",1270 HENDERSONVILLE ROAD,SUITE #4,ASHEVILLE,NC,UNITED STATES,28803,828-274-7844,828-274-7848,,,,,,,Approved,8/8/2007,3/31/2010,Y,WWW.WHITEOAKFINANCIALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"33,000,000.00",0,"33,000,000.00",600,0,600,Y,Y,N,Y,N,N,N,N,N,Y,INVESTMENT CONSULTING,251-500,,Y,Y,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,128504,801-62435,"HIM MONEGY, INC.","HIM MONEGY, INC.","302 BAY STREET, 12TH FLOOR",,TORONTO,,CANADA,M5X 1A1,416-359-4314,416-359-5155,,,,,,,Approved,10/22/2003,3/31/2010,Y,WWW.MONEGY.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,708,275,323.00",0,"1,708,275,323.00",8,0,8,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108954,801-57995,"SEIZERT CAPITAL PARTNERS, LLC","SEIZERT CAPITAL PARTNERS, LLC",185 OAKLAND,SUITE 100,BIRMINGHAM,MI,UNITED STATES,48009,248-593-1500,249-203-1225,,,,,,,Approved,9/11/2000,3/31/2010,Y,WWW.SEIZERTCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,0 percent,26-50 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,516,540,553.00",0,"1,516,540,553.00",321,0,321,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,149120,801-69868,"ARROWPOINT ASSET MANAGEMENT, LLC","ARROWPOINT ASSET MANAGEMENT, LLC",100 FILLMORE STREET,SUITE 325,DENVER,CO,UNITED STATES,80206,303-398-2929,303-322-0804,,,,,,,Approved,1/13/2009,3/31/2010,Y,WWW.ARROWPOINTPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,485,512,000.00",0,"1,485,512,000.00",33,0,33,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106466,801-35533,HARRIS INVESTMENT MANAGEMENT INC,HARRIS INVESTMENT MANAGEMENT INC,190 SOUTH LASALLE STREET,4TH FLOOR,CHICAGO,IL,UNITED STATES,60603,312-461-7699,312-461-7096,P.O. BOX 755,,CHICAGO,IL,UNITED STATES,60690-0755,Approved,11/17/1989,3/31/2010,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,0,0,5-Jan,0,More than 500,"1,000",51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,"NON-CHARITABLE ENDOWMENTS, FOUNDATIONS",Y,N,N,Y,N,N,N,,Y,"11,448,517,116.00","1,165,419,708.00","12,613,936,824.00",579,182,761,N,Y,Y,Y,N,N,N,N,N,Y,"IMPERSONAL INVESTMENT ADVISORY SERVICES, INVESTMENT ADVICE TO WRAP SPONSORS OR OTHER ADVISERS",,,N,Y,N,N,Y,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,N,N,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106639,801-49269,BULL GROUP ADVISORS LTD,BULL GROUP ADVISORS LTD,9435 WATERSTONE BOULEVARD,SUITE 120,CINCINNATI,OH,USA,45249-8227,513-573-0440,513-573-0361,,,,,,,Approved,6/2/1995,3/31/2010,Y,WWW.BULLGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"55,688,398.00","373,109.00","56,061,507.00",296,6,302,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,144012,801-68144,STEELRIVER INFRASTRUCTURE MANAGEMENT US LLC,STEELRIVER INFRASTRUCTURE MANAGEMENT US LLC,ONE LETTERMAN DRIVE,BUILDING D,SAN FRANCISCO,CA,UNITED STATES,94129,415-512-1515,415-267-1500,,,,,,,Approved,8/1/2007,5/15/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"1,913,300,000.00",0,"1,913,300,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,143875,801-68536,LONGVIEW PARTNERS (GUERNSEY) LIMITED,LONGVIEW PARTNERS (GUERNSEY) LIMITED,SARNIA HOUSE,LE TRUCHOT,ST. PETER PORT,,GUERNSEY,GY1 6JG,44-1481-712414,44-1481-713057,,,,,,,Approved,12/13/2007,3/31/2010,Y,HTTP://WWW.LONGVIEW-PARTNERS.COM/,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,GUERNSEY,5-Jan,0,0,0,0,0,5-Jan,0,26-100,0,0 percent,26-50 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,EDUCATIONAL INSTITUTION,Y,N,N,N,N,Y,N,,Y,"4,573,384,546.00","148,446,580.00","4,721,831,126.00",50,12,62,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,104849,801-15749,SLAYDEN DIEHL & COMPANY,SLAYDEN DIEHL & COMPANY,"3625 N HALL ST., SUITE 605",,DALLAS,TX,USA,75219,214-219-9701,214-219-9705,,,,,,,Approved,1/6/1981,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"45,209,013.00",0,"45,209,013.00",43,0,43,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135334,801-64301,HALBIS CAPITAL MANAGEMENT (USA) INC.,HALBIS CAPITAL MANAGEMENT (USA) INC.,452 FIFTH AVENUE,,NEW YORK,NY,UNITED STATES,10018,212-525-5000,212-525-2322,,,,,,,Approved,6/20/2005,3/31/2010,Y,WWW.HALBIS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,SUPRANATIONALS AND SOVEREIGN GOVERNMENTS,Y,N,N,Y,N,Y,N,,Y,"4,269,562,293.00","677,754,506.00","4,947,316,799.00",13,2,15,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,120829,801-61213,"CAPITAL ASSET GROUP, INC","CAPITAL ASSET GROUP, INC","2121 EAST PACIFIC COAST HIGHWAY, SUITE 210",,CORONA DEL MAR,CA,USA,92625,949-270-2740,949-270-2755,,,,,,,Approved,5/31/2002,9/29/2005,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"50,000,000.00","50,000,000.00",0,1,1,N,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,Y,Y,N,Y,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109856,801-31177,SANDLER CAPITAL MANAGEMENT,SANDLER CAPITAL MANAGEMENT,711 FIFTH AVENUE,15TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-754-8100,212-826-0280,,,,,,,Approved,1/4/1988,3/31/2010,Y,WWW.SANDLERCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,NY,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"915,120,000.00",0,"915,120,000.00",23,0,23,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT FUNDS AFFILIATED WITH APPLICANT.,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,141860,801-67224,LATTICE CAPITAL MANAGEMENT LLC,LATTICE CAPITAL MANAGEMENT LLC,1014 MARKET STREET,SUITE 100,KIRKLAND,WA,UNITED STATES,98033,425 828-4300,425 828-9700,,,,,,,Approved,10/26/2006,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"181,100,000.00",0,"181,100,000.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER TO PRIVATE POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,20291,801-36967,INSTITUTIONAL SECURITIES CORPORATION,INSTITUTIONAL SECURITIES CORPORATION,3100 MONTICELLO,SUITE 800,DALLAS,TX,USA,75205,214-520-1115,214-520-3203,,,,,,,Approved,8/23/1990,3/31/2010,Y,WWW.ISCGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,174",51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"2,237,678.00","305,707,688.00","307,945,366.00",11,"1,164","1,175",Y,Y,N,Y,Y,N,N,N,N,N,,0,,Y,Y,Y,N,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,120462,801-64519,"BROYHILL ASSET MANAGEMENT, LLC","BROYHILL ASSET MANAGEMENT, LLC",800 GOLFVIEW PARK,,LENOIR,NC,UNITED STATES,28645,828-758-6100 X 118,828-758-8919,P.O. BOX 500,,LENOIR,NC,UNITED STATES,28645,Approved,7/15/2005,3/31/2010,Y,WWW.BROYHILLASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"13,692,733.00","36,100,667.00","49,793,400.00",41,37,78,Y,Y,N,Y,N,N,N,N,Y,Y,PORTFOLIO MANAGEMENT OF PRIVATE INVESTMENT FUNDS,0,,N,N,N,Y,N,N,Y,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,109857,801-55470,REXITER CAPITAL MANAGEMENT LIMITED,REXITER CAPITAL MANAGEMENT LIMITED,80 CANNON STREET,,LONDON,,ENGLAND,EC4N 6HL,011-44-20-7698-6400,011-44-20-7698-6410,,,,,,,Approved,5/5/1998,3/31/2010,Y,WWW.REXITER.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Other (specify),UK LIMITED COMPANY,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"3,845,000,000.00",0,"3,845,000,000.00",55,0,55,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,144128,801-67957,"CENTER COAST CAPITAL ADVISORS, LP","CENTER COAST CAPITAL ADVISORS, LP",1100 LOUISIANA STREET,SUITE 4550,HOUSTON,TX,UNITED STATES,77002,(713) 759-1400,(713) 759-1401,,,,,,,Approved,5/23/2007,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"89,487,046.00",0,"89,487,046.00",1,0,1,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,151807,801-70679,BOTTY INVESTORS LLC,BOTTY INVESTORS LLC,444 N. MICHIGAN AVENUE,SUITE 3500,CHICAGO,IL,UNITED STATES,60611,312-245-2915,312-245-2916,,,,,,,Approved,10/8/2009,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"347,000,000.00","33,000,000.00","380,000,000.00",76,29,105,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137444,801-64861,ENHANCED INVESTMENT PRODUCTS LIMITED,ENHANCED INVESTMENT PRODUCTS LIMITED,"1601, 1 EXCHANGE SQUARE, CENTRAL",,HONG KONG,,CHINA,,-9858,-9356,,,,,,,Approved,5/20/2006,3/27/2007,Y,WWW.EIP.COM.HK,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"16,900,000.00",0,"16,900,000.00",1,0,1,N,N,Y,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110185,801-57991,"MILESTONE REALTY SERVICES, INC.","MILESTONE REALTY SERVICES, INC.","306 S. WASHINGTON, SUITE 300",,ROYAL OAK,MI,USA,48067,248-591-7105,248-591-7146,,,,,,,Approved,9/29/2000,3/31/2010,Y,MILESTONEREALTYSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,11-25 percent,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"86,652,688.00","86,652,688.00",0,2,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,Y,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
CHRO,138373,801-66060,CALAMOS PARTNERS LLC,CALAMOS PARTNERS LLC,2020 CALAMOS COURT,,NAPERVILLE,IL,UNITED STATES,60563-2787,630.245.7200,630.245.7511,,,,,,,Approved,2/1/2006,3/31/2010,Y,WWW.CALAMOS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"19,223,863.00",0,"19,223,863.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR NON-REGISTERED POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,108610,801-56040,AEGIS ASSET MANAGEMENT INC,AEGIS ASSET MANAGEMENT INC,"230 WESTCOTT, SUITE 200",,HOUSTON,TX,USA,77007,713-863-7000,713-863-7037,,,,,,,Approved,12/2/1998,9/29/2005,Y,WWW.AEGISLTD.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"20,000,000.00","20,000,000.00",0,1,1,Y,Y,Y,Y,Y,Y,Y,N,N,Y,INVESTMENT SUPERVISORY SERVICES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108147,801-54279,DEARBORN PARTNERS L.L.C.,DEARBORN PARTNERS L.L.C.,200 W MADISON ST,SUITE 1950,CHICAGO,IL,UNITED STATES,60606,312-795-1000,312-795-1111,,,,,,,Approved,4/24/1997,3/31/2010,Y,DEARBORNPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,599,968,829.00","193,101,234.00","1,793,070,063.00",442,12,454,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,108986,801-57036,"INSTITUTIONAL CAPITAL MANAGEMENT, INC.","INSTITUTIONAL CAPITAL MANAGEMENT, INC.",808 SOUTH PUBLIC ROAD,SUITE 101,LAFAYETTE,CO,UNITED STATES,80026,303-541-9955,303-541-0797,,,,,,,Approved,12/3/1999,3/31/2010,Y,WWW.INSTITUTIONALCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"78,000,000.00","182,000,000.00","260,000,000.00",9,8,17,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,148949,801-69821,"VARDE MANAGEMENT, L.P.","VARDE MANAGEMENT, L.P.",8500 NORMANDALE LAKE BOULEVARD,SUITE 1500,MINNEAPOLIS,MN,UNITED STATES,55437,952-893-1554,952-893-9613,,,,,,,Approved,1/2/2009,3/31/2010,Y,WWW.VARDE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,51-250,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"5,540,609,963.00",0,"5,540,609,963.00",17,0,17,N,N,N,N,N,N,N,N,N,Y,PRIVATE FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,137959,801-68611,BLUESTONE WEALTH MANAGEMENT LLC,BLUESTONE WEALTH MANAGEMENT LLC,67 WINTER STREET,,KEENE,NH,USA,3431,603-499-4737,,,,,,,,Approved,12/4/2007,3/31/2010,Y,BLUESTONENH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"50,677,207.00",0,"50,677,207.00",32,0,32,N,Y,N,N,N,N,N,N,N,Y,INVESTMENT RESEARCH SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105650,801-23685,GODSEY & GIBB ASSOCIATES,GODSEY & GIBB INC,"6806 PARAGON PL, STE 230",,RICHMOND,VA,UNITED STATES,23230,804-285-7333,804-285-9268,,,,,,,Approved,3/5/1985,3/31/2010,Y,WWW.GODSEYANDGIBB.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,FIXED FEE ACCOUNT,Y,"399,115,873.00","14,595,514.00","413,711,387.00",848,43,891,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111815,801-55098,CAPITAL FORMATION ADVISERS LLC,CAPITAL FORMATION ADVISERS LLC,155 NYAC AVE,,PELHAM,NY,UNITED STATES,10803-1905,212-922-1127,,,,,,,,Approved,12/31/1997,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"34,478,673.00","2,522,141.00","37,000,814.00",12,1,13,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107973,801-55905,"R.T. HICKMAN, REGISTERED INVESTMENT ADVISER, LLC",HICKMAN R T REGISTERED INVESTMENT ADVISER LLC,,,,,,,201-368-3412,201-845-6344,POST OFFICE LOCKBOX 280,,ROCHELLE PARK,NJ,UNITED STATES,7662,Approved,10/2/1998,3/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,PROJECT-BY-PROJECT BASIS AT MUTUALLY-AGREED PRICES.,Y,"25,390.00","34,271,913.00","34,297,303.00",2,23,25,N,Y,N,Y,N,Y,N,N,N,Y,"CTA, AS PER ITEM 6A(3)",,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,130874,801-62992,MADISON ASSET MANAGEMENT,"MADISON ASSET MANAGEMENT, LLC",550 SCIENCE DRIVE,,MADISON,WI,UNITED STATES,53711,800-767-0300,608-274-7905,,,,,,,Approved,4/27/2004,3/9/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,More than 500,"7,900",0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,"WRAP ACCOUNTS THROUGH CUNA BROKERAGE SERVICES, INC.",Y,N,N,N,N,N,Y,FULCRUM FEE (MUTUAL FUND ONLY),Y,"6,475,690,204.00","13,302,876.00","6,488,993,080.00","7,922",1,"7,923",N,Y,Y,Y,N,N,N,N,N,Y,WRAP ACCOUNT (SUBADVISORY) MANAGEMENT,,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,109558,801-54599,"THE FINANCIAL ADVISORY GROUP, INC.","THE FINANCIAL ADVISORY GROUP, INC.",5599 SAN FELIPE,SUITE 900,HOUSTON,TX,UNITED STATES,77056,713-627-7660,713-627-9828,,,,,,,Approved,6/5/1997,3/9/2010,Y,WWW.FINADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"407,000,000.00",0,"407,000,000.00","1,400",0,"1,400",Y,Y,N,Y,N,N,N,N,N,Y,TAX RETURN PREPARATION,101-250,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109599,801-65076,CENTER FOR FINANCIAL PLANNING INC,CENTER FOR FINANCIAL PLANNING INC,40 OAK HOLLOW ST,SUITE 125,SOUTHFIELD,MI,USA,48033-7470,(248)948-7900,(248)948-1008,,,,,,,Approved,1/4/2006,3/9/2010,Y,WWW.CENTERFINPLAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,More than 500,700,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISER/MANAGER FEES,Y,"69,003,494.00","152,225,520.00","221,229,014.00",169,355,524,Y,Y,N,N,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,151043,801-70472,"GARDE CAPITAL, INC.","GARDE CAPITAL, INC.",800 FIFTH AVENUE,SUITE 4100,SEATTLE,WA,UNITED STATES,98104,206-552-7900,206-552-7909,,,,,,,Approved,8/13/2009,3/9/2010,Y,WWW.GARDECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"156,730,313.00",0,"156,730,313.00",172,0,172,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,135963,801-64760,ARETHUSA ASSET MANAGEMENT LLP,ARETHUSA ASSET MANAGEMENT LLP,"BERKELEY SQUARE HOUSE, 4TH FLOOR, SUITE 2",BERKLEY SQUARE,LONDON,,UNITED KINGDOM,W1J 6BL,44 207 543 1519,44 207 543 1536,,,,,,,Approved,10/5/2005,9/30/2005,Y,WWW.ARETHUSA-AM.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"190,000,000.00",0,"190,000,000.00",4,0,4,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,147476,801-69546,"GLANZ, DANIEL","GLANZ, DANIEL",,,,,,,212-203-0026,NONE,,,,,,,Approved,9/17/2008,3/12/2009,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,,ISRAEL,5-Jan,0,5-Jan,0,0,0,0,0,0,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,118221,801-61507,CORNERSTONE PARTNERS LLC,CORNERSTONE PARTNERS LLC,675 PETER JEFFERSON PKWY.,SUITE 160,CHARLOTTESVILLE,VA,UNITED STATES,22911,434-296-2300,434-296-0922,,,,,,,Approved,10/15/2002,3/9/2010,Y,WWW.CSTONELLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"10,000,000.00","3,500,000,000.00","3,510,000,000.00",2,6,8,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106588,801-49898,"MCCABE & ASSOCIATES, INC","MCCABE & ASSOCIATES, INC","9480 ENTERPRISE DRIVE, SUITE 1",,MOKENA,IL,UNITED STATES,60448-8321,708-479-7755,708-479-7766,,,,,,,Approved,8/11/1995,3/10/2010,Y,WWW.TCMCCABE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"82,015,213.00","6,980,309.00","88,995,522.00",106,6,112,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106300,801-45852,"MANGHAM ASSOCIATES, INC.","MANGHAM ASSOCIATES, INC.",630 PETER JEFFERSON PARKWAY,SUITE 250,CHARLOTTESVILLE,VA,UNITED STATES,22911,434-973-2223,434-973-2228,,,,,,,Approved,2/25/1994,3/10/2010,Y,WWW.MANGHAMASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"626,800,000.00","1,371,200,000.00","1,998,000,000.00",14,25,39,N,N,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,151995,801-70768,WCP CAPITAL MANAGEMENT LLC,WCP CAPITAL MANAGEMENT LLC,3103 DEVINE STREET,,COLUMBIA,SC,UNITED STATES,29205,803-708-6526,803-708-6526,,,,,,,Approved,11/12/2009,3/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"28,302,623.00",0,"28,302,623.00",22,0,22,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,130239,801-67477,"TWELE CAPITAL MANAGEMENT, INC.","TWELE CAPITAL MANAGEMENT, INC.",,,,,,,952 250 1187,952 938 5934,P.O. BOX 4209,,HOPKINS,MN,UNITED STATES,55343,Approved,1/19/2007,3/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"149,425,238.00","1,558,852.00","150,984,090.00",81,3,84,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,130051,801-69269,"HURLEY CAPITAL, LLC","HURLEY CAPITAL, LLC",825 THIRD AVENUE,33RD FLOOR,NEW YORK,NY,UNITED STATES,10022,212-605-0663,212-421-1306,,,,,,,Approved,6/12/2008,3/10/2010,Y,WWW.HURLEYCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"41,200,000.00",0,"41,200,000.00",71,0,71,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT CONSULTING AND RESEARCH,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106450,801-42494,SOPHER INVESTMENT MANAGEMENT INC,SOPHER INVESTMENT MANAGEMENT INC,1233 SHELBURNE ROAD,SUITE D-6B,SOUTH BURLINGTON,VT,UNITED STATES,5403,802-658-0625,802-863-1665,,,,,,,Approved,10/8/1992,3/10/2010,Y,WWW.SOPHERINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,Y,NEGOTIATED FEE STRUCTURE,Y,"81,300,845.00","10,767,000.00","92,067,845.00",75,1,76,N,Y,N,Y,N,N,N,N,N,Y,CONSULTING-INCIDENTIAL ONLY,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,116663,801-63316,"CREEGAN & NASSOURA FINANCIAL GROUP, LLC","CREEGAN & NASSOURA FINANCIAL GROUP, LLC","117 BOW STREET, SUITE 111",,PORTSMOUTH,NH,UNITED STATES,3801,(603)778-0794,(603)772-8069,,,,,,,Approved,7/2/2004,3/10/2010,Y,WWW.CREEGANNASSOURA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,ME,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"105,521,100.00",0,"105,521,100.00",405,0,405,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,141306,801-67048,"BOSTON HILL ADVISORS, LLC","BOSTON HILL ADVISORS, LLC",100 ANDOVER BY-PASS ROAD,SUITE 301,NORTH ANDOVER,MA,USA,1845,978-686-5687,978-683-3653,,,,,,,Approved,7/25/2006,3/10/2010,Y,WWW.BOSTONHILLADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"140,514,288.00","3,571,576.00","144,085,864.00","1,078",74,"1,152",Y,Y,N,Y,N,Y,N,N,N,Y,PROVIDE EDUCATIONAL SEMINARS RELATING TO FINANCIAL PLANNING.,251-500,,Y,Y,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,120814,801-61302,"PALLADIAN RESEARCH, LLC","PALLADIAN RESEARCH, LLC",79 MADISON AVE.,,NEW YORK,NY,USA,10016,212-386-7055,212-447-7212,,,,,,,Approved,7/5/2002,9/30/2005,Y,WWW.PALLADIANRESEARCH.COM,N,N,N,N,N,N,N,N,N,Y,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,Y,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,Y,Y,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,118443,801-62698,FINANCAL SYMMETRY INC.,FINANCIAL SYMMETRY INCORPORATED,1511 SUNDAY DR,SUITE 120,RALEIGH,NC,UNITED STATES,27607,919-851-8200,919-851-8200,,,,,,,Approved,1/28/2004,3/10/2010,Y,WWW.FINANCIALSYMMETRY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"94,269,999.00","94,269,999.00",0,946,946,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,138298,801-67780,"DEETER & BODNAR ADVISORS, LLC","DEETER & BODNAR ADVISORS, LLC",5721 DRAGON WAY,,CINCINNATI,OH,USA,45227,513-271-8535,513-271-8547,,,,,,,Approved,4/23/2007,3/10/2010,Y,WWW.DEETERANDBODNAR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"24,640,548.00","50,154,768.00","74,795,316.00",32,265,297,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147930,801-69569,"PANGAEA ASSET MANAGEMENT, LLC","PANGAEA ASSET MANAGEMENT, LLC",311 S. WACKER DRIVE,SUITE 5200,CHICAGO,IL,UNITED STATES,60606-6669,312-447-6120,312-447-6199,,,,,,,Approved,9/30/2008,3/10/2010,Y,WWW.PANGAEA-AM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"852,000,000.00",0,"852,000,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,136256,801-66741,"BENNING FINANCIAL GROUP, LLC","BENNING FINANCIAL GROUP, LLC",2801 WATERMAN BLVD,STE. 270,FAIRFIELD,CA,USA,94534,707-426-3700,707-426-3794,,,,,,,Approved,5/10/2006,3/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"29,644,621.00","29,644,621.00",0,214,214,Y,Y,N,Y,Y,N,N,N,N,Y,CONSULTING,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109040,801-57167,DIVERSIFIED FINANCIAL PLANNING INC,DIVERSIFIED FINANCIAL PLANNING INC,10892 CRABAPPLE ROAD,SUITE 303,ROSWELL,GA,USA,30075,678-323-3444,678-323-3445,,,,,,,Approved,1/14/2000,3/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"109,229,945.00","11,652,171.00","120,882,116.00",592,18,610,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,47723,801-64658,RETIREMENT RESOURCES INVESTMENT CORPORATION,RETIREMENT RESOURCES INVESTMENT CORPORATION,100 CORPORATE PLACE,,PEABODY,MA,UNITED STATES,1960,978-536-9000,978-535-7777,,,,,,,Approved,9/2/2005,3/10/2010,Y,WWW.RETIREMENT-RESOURCES.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"241,892,870.00","241,892,870.00",0,58,58,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,151616,801-70623,"ALADDIN CREDIT ADVISORS, L.P.","ALADDIN CREDIT ADVISORS, L.P.",SIX LANDMARK SQUARE,,STAMFORD,CT,UNITED STATES,06901-2704,203-487-6700,203-487-6720,,,,,,,Approved,9/29/2009,3/31/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,10-Jun,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,PERCENT OF COMMITTED CAPITAL,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT OF LOANS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,17643,801-29570,"MACK INVESTMENT SECURITIES, INC.","MACK INVESTMENT SECURITIES, INC.",1939 WAUKEGAN RD,STE 300,GLENVIEW,IL,USA,60025,847-657-6600,847-657-6605,,,,,,,Approved,5/28/1987,3/31/2010,Y,WWW.MACKTRACKS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,10-Jun,0,More than 500,500,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"65,020,810.00","16,180,937.00","81,201,747.00",958,98,"1,056",Y,Y,N,N,N,Y,Y,N,Y,N,,More than 500,500,N,N,Y,Y,N,N,Y,N,N,,Y,N,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108900,801-46034,FIXED INCOME DISCOUNT ADVISORY COMPANY,FIXED INCOME DISCOUNT ADVISORY COMPANY,1211 AVENUE OF THE AMERICAS,29TH FLOOR,NEW YORK,NY,UNITED STATES,10036,212-696-0100,212-696-9809,,,,,,,Approved,4/12/1994,3/31/2010,Y,WWW.FIDACADVISORS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"75,635,481,305.00","1,066,973,997.00","76,702,455,302.00",9,1,10,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115171,801-60542,PATRICK BECKER AGENCY,PATRICK LLOYD BECKER,127 SOUTH KINGSTON STREET,,CALEDONIA,MN,UNITED STATES,55921,(507)725-5385,,,,,,,,Approved,9/5/2001,1/22/2009,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Sole Proprietorship,,MN,UNITED STATES,5-Jan,0,0,0,0,0,0,0,25-Nov,0,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,N,N,N,N,,Y,0,"2,827,422.00","2,827,422.00",0,32,32,N,Y,Y,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,124699,801-65147,"KAIZEN MANAGEMENT, LP","KAIZEN MANAGEMENT, LP",4200 MONTROSE BLVD.,SUITE 400,HOUSTON,TX,UNITED STATES,77006,713-529-3660,713-529-7510,,,,,,,Approved,1/13/2006,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"35,721,919.00",0,"35,721,919.00",73,0,73,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE POOLED INVESTMENT VEHICLES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N
HQ,110858,801-45435,TT INTERNATIONAL,TT INTERNATIONAL,"MOOR HOUSE, LEVEL 13",120 LONDON WALL,LONDON,,UNITED KINGDOM,EC2Y 5ET,011 44 20 7509 1000,011 44 20 7509 1289,,,,,,,Approved,12/20/1993,8/7/2009,Y,WWW.TTINT.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,,UNITED KINGDOM,51-250,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,26-50 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"13,847,000,000.00",0,"13,847,000,000.00",83,0,83,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,140980,801-66987,"LEVINE LEICHTMAN CAPITAL PARTNERS, INC.","LEVINE LEICHTMAN CAPITAL PARTNERS, INC.",335 N. MAPLE DRIVE,SUITE 240,BEVERLY HILLS,CA,UNITED STATES,90210,310-275-5335,310-275-1441,,,,,,,Approved,7/10/2006,3/31/2010,Y,WWW.LLCP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,059,018,529.00",0,"2,059,018,529.00",8,0,8,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,127304,801-62286,"GRT CAPITAL PARTNERS, LLC","GRT CAPITAL PARTNERS, LLC",50 MILK STREET,21ST FLOOR,BOSTON,MA,USA,2109,617-226-1700,617-695-3880,,,,,,,Approved,8/20/2003,3/31/2010,Y,GRTCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"198,907,000.00",0,"198,907,000.00",13,0,13,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109320,801-56449,GMO AUSTRALASIA LLC,GMO AUSTRALASIA LLC,40 ROWES WHARF,,BOSTON,MA,UNITED STATES,02110-3340,617-330-7500,617-330-9412,,,,,,,Approved,4/16/1999,3/31/2010,Y,WWW.GMO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,501-1000,0,51-250,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"885,262,067.00",0,"885,262,067.00",2,0,2,N,N,N,Y,N,N,N,N,N,Y,"RANGE OF ANCILLARY SERVICES (MARKETING, INFORMATION, TECHNOLOGY, ETC) TO BOTH GMO AUSTRALIA, LTD. AND GMO SINGAPORE PTE., LTD",0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,112768,801-42397,BOSTON ASSET MANAGEMENT INC,BOSTON ASSET MANAGEMENT INC,4912 CREEKSIDE DRIVE,,CLEARWATER,FL,UNITED STATES,33760,727-894-6520,727-497-4736,,,,,,,Approved,9/22/1992,3/31/2010,Y,WWW.BOSTONASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"89,524,219.00",0,"89,524,219.00","1,463",0,"1,463",N,Y,N,N,N,N,N,N,N,Y,CONSULTING AND SUPPORT SERVICES,,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107293,801-47933,DENVER INVESTMENTS,DENVER INVESTMENT ADVISORS LLC,1225 17TH ST,26TH FLOOR,DENVER,CO,UNITED STATES,80202,303-312-5000,303-312-4900,,,,,,,Approved,11/30/1994,3/31/2010,Y,WWW.DENVEST.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"1,500",26-50 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,"INSURANCE, HEALTHCARE, SUBADVISED",Y,N,N,N,N,Y,N,,Y,"7,836,546,394.00","201,402,530.00","8,037,948,924.00","1,451",12,"1,463",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105804,801-15429,VERIZON INVESTMENT MANAGEMENT CORP.,VERIZON INVESTMENT MANAGEMENT CORP.,ONE VERIZON WAY,"BUILDING 7, 1ST FLOOR SOUTH",BASKING RIDGE,NJ,UNITED STATES,7920,908-559-5890,908-630-0810,,,,,,,Approved,8/29/1980,3/31/2010,N,,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,51-75 percent,OTHER EMPLOYEE BENEFIT PLANS,N,N,N,N,N,N,Y,EXPENSE REIMBURSEMENT BY CLIENTS.,Y,"52,303,593,303.00",0,"52,303,593,303.00",20,0,20,N,N,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,140054,801-66461,"TOREADOR RESEARCH & TRADING, LLC","TOREADOR RESEARCH & TRADING, LLC",255 WEST FALLBROOK,SUITE 204,FRESNO,CA,UNITED STATES,93711,559-436-4270,559-436-0956,,,,,,,Approved,4/17/2006,3/31/2010,Y,WWW.TRTADVISORS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"28,512,000.00",0,"28,512,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,126696,801-62096,BELDEN AND ASSOCIATES,BELDEN AND ASSOCIATES,650 CALIFORNIA STREET,24TH FLOOR,SAN FRANCISCO,CA,UNITED STATES,94108-2605,415-677-1400,415-677-1401,,,,,,,Approved,5/30/2003,3/31/2010,Y,WWW.BELDENADVISERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,FAMILY PARTNERSHIPS,Y,N,N,N,N,N,N,,Y,"85,383,911.00","18,028,870.00","103,412,781.00",94,12,106,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138920,801-65683,"EMERGING SOVEREIGN GROUP, LLC","EMERGING SOVEREIGN GROUP, LLC","101 PARK AVENUE, 48TH FLOOR",,NEW YORK,NY,UNITED STATES,10178,212-984-5750,212-984-5769,,,,,,,Approved,1/27/2006,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,Y,N,,Y,"1,055,099,520.00",0,"1,055,099,520.00",15,0,15,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,119540,801-61074,LIDO ADVISORS,"LIDO ADVISORS, INC.",9100 WILSHIRE BOULEVARD,SUITE 350W,BEVERLY HILLS,CA,USA,90212,310-278-8232,310-278-8267,,,,,,,Approved,4/12/2002,3/31/2010,Y,WWW.LIDOADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"231,433,887.00","21,798,350.00","253,232,237.00",511,6,517,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104845,801-7000,AXA EQUITABLE LIFE INSURANCE COMPANY,AXA EQUITABLE LIFE INSURANCE COMPANY,1290 AVENUE OF THE AMERICAS,11TH FLOOR,NEW YORK,NY,UNITED STATES,10104,(212) 554-1234,,,,,,,,Approved,10/21/1970,3/31/2010,Y,WWW.AXA-EQUITABLE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,More than 1000,"5,000",Nov-50,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"114,530,666,206.00",0,"114,530,666,206.00",89,0,89,N,N,Y,N,N,Y,N,N,N,Y,SELECTION OF OTHER ADVISERS FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,N,Y,N,N,N,Y,N,N,N,N
NYRO,107951,801-57139,"TRILOGY GLOBAL ADVISORS, LLC","TRILOGY GLOBAL ADVISORS, LLC","1114 AVENUE OF THE AMERICAS, 28TH FLOOR",,NEW YORK,NY,UNITED STATES,10036-7701,212-703-3100,212-703-3180,,,,,,,Approved,1/7/2000,3/31/2010,Y,WWW.TRILOGYADVISORS.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,101-250,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,NON-U.S. REGISTERED FUNDS; SOVEREIGN WEALTH FUNDS,Y,N,N,Y,N,Y,N,,Y,"12,442,455,719.00",0,"12,442,455,719.00",113,0,113,N,Y,Y,Y,N,N,N,N,N,Y,SUB-ADVISORY SERVICES FOR NON-U.S. REGISTERED FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106053,801-29654,BAINCO INTERNATIONAL INVESTORS LLC,BAINCO INTERNATIONAL INVESTORS LLC,372 WASHINGTON STREET,,WELLESLEY,MA,UNITED STATES,2481,617-536-0333,781-239-3333,,,,,,,Approved,5/21/1987,3/31/2010,Y,WWW.BAINCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,FAMILY LIMITED PARTNERSHIPS,Y,N,N,N,N,N,N,,Y,"361,990,419.00","79,913,343.00","441,903,762.00",70,1,71,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144474,801-68155,OFFIT CAPITAL ADVISORS,OFFIT CAPITAL ADVISORS LLC,485 LEXINGTON AVENUE,24TH FLOOR,NEW YORK,NY,USA,10017,212-588-3240,212-292-2126,,,,,,,Approved,8/1/2007,3/31/2010,Y,WWW.OFFITCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"724,923,274.00","3,511,385,163.00","4,236,308,437.00",44,41,85,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,118369,801-66890,"HEFFERNAN INVESTMENT ADVISORS, INC.","HEFFERNAN INVESTMENT ADVISORS, INC.","120 HOWARD STREET, SUITE 550",,SAN FRANCISCO,CA,USA,94105,(415) 778-0300,(415) 778-0301,,,,,,,Approved,6/16/2006,3/31/2010,Y,WWW.HEFFGROUPFS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"95,882,046.00",0,"95,882,046.00",241,0,241,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N
NYRO,132222,801-63427,"SUORITUS PARTNERS, LLC","SUORITUS PARTNERS, LLC",156 WEST 56TH STREET,SUITE 2005,NEW YORK,NY,USA,10019,212-541-5700,212-541-4426,,,,,,,Approved,8/13/2004,10/7/2005,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,ENDOWMENT AND FOUNDATION,Y,N,N,N,N,Y,N,,Y,"31,567,500.00",0,"31,567,500.00",7,0,7,N,N,N,N,N,N,N,N,N,Y,FUND OF HEDGE FUNDS,0,,N,N,N,N,Y,N,N,N,Y,FUND OF HEDGE FUNDS,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135564,801-64302,RAMIUS STRUCTURED CREDIT GROUP LLC,RAMIUS STRUCTURED CREDIT GROUP LLC,"599 LEXINGTON AVENUE, 21ST FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-845-7900,212-845-7986,,,,,,,Approved,6/6/2005,3/31/2010,Y,WWW.RAMIUS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"555,090,734.00",0,"555,090,734.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,130819,801-63358,"CORBIN CAPITAL PARTNERS, L.P.","CORBIN CAPITAL PARTNERS, L.P.",590 MADISON AVENUE,31ST FLOOR,NEW YORK,NY,UNITED STATES,10022,(212) 634-7373,(212) 634-7399,,,,,,,Approved,7/16/2004,3/31/2010,Y,WWW.CORBINCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,10-Jun,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"2,420,611,864.00","64,476,418.00","2,485,088,282.00",14,1,15,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105143,801-19769,COORDINATED FINANCIAL PLANNING CORP,COORDINATED FINANCIAL PLANNING CORP,4555 LAKE FOREST DRIVE #560,,CINCINNATI,OH,UNITED STATES,45242,513-769-3131,513-769-5041,,,,,,,Approved,9/19/1983,3/31/2010,Y,WWW.COORDINATEDFINANCIALPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,INSURANCE COMMISSIONS USED TO OFFSET INDIVIDUAL CLIENT BALANCES.,Y,"142,996,554.00","4,938,533.00","147,935,087.00",227,33,260,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,151336,801-70535,"MONARCH VISION ADVISORS, L.L.C.","MONARCH VISION ADVISORS, L.L.C.",1445 ROSS AVENUE,SUITE 4900,DALLAS,TX,UNITED STATES,75202,214-780-0100,888-890-5823,,,,,,,Approved,9/2/2009,3/31/2010,Y,WWW.MONARCHVISIONHOLDINGS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"28,322,970.00",0,"28,322,970.00",8,0,8,Y,N,N,N,N,Y,Y,N,N,Y,OFFERS INVESTMENT ADVISORY SERVICES TO A POOLED INVESTMENT VEHICLE,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,146896,801-69019,"HAYMAN ADVISORS, L.P.","HAYMAN ADVISORS, L.P.",2101 CEDAR SPRINGS ROAD,SUITE 1400,DALLAS,TX,UNITED STATES,75201,214-347-8050,214-347-8051,,,,,,,Approved,4/10/2008,3/31/2010,Y,WWW.HAYMANADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"551,420,016.00",0,"551,420,016.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,131699,801-63209,"GRANGE CAPITAL, LLC","GRANGE CAPITAL, LLC",11850 SW 67TH AVE.,SUITE 110,PORTLAND,OR,UNITED STATES,97223,503 639-3001,503 639-3060,,,,,,,Approved,6/15/2004,3/31/2010,Y,WWW.GRANGECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"55,000,000.00",0,"55,000,000.00",350,0,350,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,112221,801-57604,MORA WEALTH MANAGEMENT LLC,MORA WEALTH MANAGEMENT LLC,"801 BRICKELL AVE, SUITE 1650",,MIAMI,FL,UNITED STATES,33131-2945,305-459-5400,305-459-5401,,,,,,,Approved,6/9/2000,3/31/2010,Y,WWW.MORA-WM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"396,957,732.00",0,"396,957,732.00",139,0,139,N,Y,N,N,N,N,N,N,N,Y,OFFSHORE FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N
PLRO,132804,801-63584,"BONTEMPO OHLY CAPITAL MANAGEMENT, LLC","BONTEMPO OHLY CAPITAL MANAGEMENT, LLC",7501 WISCONSIN AVE,SUITE 1340,BETHESDA,MD,UNITED STATES,20814,240-497-1300,240-497-1304,,,,,,,Approved,10/19/2004,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"150,000,000.00",0,"150,000,000.00",485,0,485,Y,Y,N,Y,N,N,N,N,N,Y,CONSULTING,26-50,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,132365,801-63478,GEODE CAPITAL MANAGEMENT LP,GEODE CAPITAL MANAGEMENT LP,"ONE POST OFFICE SQUARE, 28TH FLOOR",,BOSTON,MA,UNITED STATES,2109,617-392-8533,617-476-6389,,,,,,,Approved,8/31/2004,3/31/2010,Y,WWW.GEODECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"586,928,526.00",0,"586,928,526.00",3,0,3,N,N,N,Y,N,N,N,N,N,Y,ALTERNATIVE INVESTMENT PRODUCTS AND OTHER POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,104652,801-13991,JANUS,JANUS CAPITAL MANAGEMENT LLC,151 DETROIT STREET,,DENVER,CO,UNITED STATES,80206,303-333-3863,303-336-7806,,,,,,,Approved,7/1/1978,3/31/2010,Y,WWW.JANUS.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,501-1000,0,51-250,0,251-500,0,0,0,More than 500,"9,000",26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"116,674,023,483.00","350,744,676.00","117,024,768,159.00","7,355","1,645","9,000",N,Y,Y,Y,N,Y,N,N,N,Y,"PLEASE SEE SCHEDULE D, MISCELLANEOUS DISCLOSURE",0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,19935,801-31247,"CAPITAL MANAGEMENT CONSULTANTS, INC.","CAPITAL MANAGEMENT CONSULTANTS, INC.",155 N. PFINGSTEN ROAD,SUITE 325,DEERFIELD,IL,UNITED STATES,60015,847-498-8899,847-498-6089,,,,,,,Approved,1/4/1988,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,10-Jun,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"77,262,403.00",0,"77,262,403.00",237,0,237,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,145264,801-68801,RAYBURN WEST FINANCIAL SERVICES,RAYBURN WEST FINANCIAL SERVICES LLC,4117 HILLSBORO PIKE,SUITE 208,NASHVILLE,TN,USA,37215,615-386-6932,615-386-6934,,,,,,,Approved,2/7/2008,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"27,913,405.00","15,941,762.00","43,855,167.00",55,162,217,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,136656,801-64749,"OAK HILL CAPITAL MANAGEMENT, LLC","OAK HILL CAPITAL MANAGEMENT, LLC",65 EAST 55TH STREET,32ND FLOOR,NEW YORK,NY,USA,10022,212-527-8400,212-527-8450,,,,,,,Approved,10/3/2005,3/31/2010,Y,WWW.OAKHILLCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,739,940,449.00",0,"4,739,940,449.00",8,0,8,N,N,N,Y,N,N,N,N,N,Y,REGISTRANT PROVIDES INVESTMENT ADVISORY SERVICES TO PRIVATE EQUITY FUNDS EACH OF WHICH INVESTS PRIMARILY IN PRIVATE EQUITY.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,111838,801-57641,TOLLESON PRIVATE WEALTH MANAGEMENT,"TOLLESON PRIVATE WEALTH MANAGEMENT, LP",5500 PRESTON ROAD STE 250,,DALLAS,TX,UNITED STATES,75205,214-252-3263,214-252-3261,,,,,,,Approved,5/26/2000,3/31/2010,Y,WWW.TOLLESONWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,508,685,859.00","530,843,225.00","2,039,529,084.00",970,729,"1,699",Y,Y,N,Y,N,N,N,N,N,Y,INVESTMENT DUE DILIGENCE AND MONITORING,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110345,801-60079,SECTORAL ASSET MANAGEMENT INC.,SECTORAL ASSET MANAGEMENT INC.,"1000 SHERBROOKE STREET, WEST",SUITE 2120,"MONTREAL, QUEBEC",,CANADA,H3A 3G4,514-849-8777,514-849-6777,,,,,,,Approved,3/7/2001,3/31/2010,Y,WWW.SECTORAL.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,CANADA,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,Up to 10 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,500,000,000.00",0,"3,500,000,000.00",11,0,11,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,128090,801-62576,"SECTORQUANT, INC.","SECTORQUANT, INC.",425 ACOMA STREET,,DENVER,CO,UNITED STATES,80204,303-820-3000,720-570-2268,,,,,,,Approved,1/2/2004,3/31/2010,Y,WWW.SECTORQUANT.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,"STUDY COURSES, SEMINARS, WORKSHOPS FOR ATTORNEYS, CPA'S, INVESTMENT ADVISERS AND CFP'S FOR CE CREDIT",Y,N,N,N,N,N,N,,Y,"5,800,000.00",0,"5,800,000.00",20,0,20,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,118931,801-67119,RJ CAPITAL,GREGORY JOSEPH LITTS,3417-F MERCER STREET,,HOUSTON,TX,UNITED STATES,77027,713-523-1884,281-966-1653,,,,,,,Approved,8/23/2006,1/15/2010,Y,WWW.RJCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"82,000,000.00",0,"82,000,000.00",344,0,344,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,13035,801-68574,SEARLE & CO.,SEARLE & CO.,333 GREENWICH AVENUE,,GREENWICH,CT,USA,6830,203-869-4800,203-661-2310,,,,,,,Approved,11/30/2007,1/15/2010,Y,HTTP://SEARLECO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,TRUSTS,Y,N,N,Y,Y,Y,N,,Y,"50,000,000.00",0,"50,000,000.00",8,0,8,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,128276,801-65183,BENWOOD FINANCIAL GROUP,KATHLEEN R. BENJAMIN,7529 STATE ROAD,SUITE C,CINCINNATI,OH,UNITED STATES,45255,513-232-7078,513-232-7079,,,,,,,Approved,1/31/2006,1/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"35,999,615.00","35,999,615.00",0,73,73,Y,Y,N,N,Y,N,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,126456,801-61987,"FAMILY WMS, LLC","FAMILY WMS, LLC",3155 ROSWELL ROAD,SUITE 320,ATLANTA,GA,UNITED STATES,30305,404-961-1051,404-961-1054,,,,,,,Approved,4/18/2003,1/15/2010,Y,WWW.FAMILYWMS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"288,338,196.00","288,338,196.00",0,325,325,Y,Y,N,Y,Y,N,N,N,N,Y,ACCOUNTING SERVICES,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152175,801-70989,"CERBERUS CAPITAL MANAGEMENT, L.P.","CERBERUS CAPITAL MANAGEMENT, L.P.",299 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10171,212-891-2100,646-885-3451,,,,,,,Approved,1/21/2010,1/15/2010,Y,WWW.CERBERUSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,251-500,0,51-250,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"23,705,340,604.00",0,"23,705,340,604.00",18,0,18,N,N,N,N,N,N,N,N,N,Y,"INVESTMENT ADVISORY SERVICES TO HEDGE FUNDS, PRIVATE EQUITY FUNDS, A MANAGED ACCOUNT AND SINGLE INVESTMENT SPVS",0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,151428,801-70580,"GREGG HACKETHAL, INVESTMENT COUNSEL","HACKETHAL, GREGG, DESMOND",924 ANACAPA STREET,SUITE 3D,SANTA BARBARA,CA,UNITED STATES,93101-7103,805-962-5252,805-962-7575,,,,,,,Approved,9/22/2009,1/15/2010,Y,GHINVC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"47,452,326.00","2,596,853.00","50,049,179.00",84,7,91,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,131544,801-63166,"AQS ASSET MANAGEMENT, L.L.C.","AQS ASSET MANAGEMENT, L.L.C.",811 BARTON SPRINGS RD,STE 800,AUSTIN,TX,UNITED STATES,78704,512-314-0720,866 297 8247,,,,,,,Approved,5/18/2004,2/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,INSURANCE COMPANIES,Y,N,N,N,N,N,N,,Y,"924,000,000.00",0,"924,000,000.00",6,0,6,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,130951,801-64171,"WEALTH HEALTH, LLC","WEALTH HEALTH, LLC",5 BECKER FARM ROAD,,ROSELAND,NJ,USA,7068,973-535-9577,973-535-9777,,,,,,,Approved,4/8/2005,2/22/2010,Y,WWW.WEALTHHEALTHLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"94,875,322.00",0,"94,875,322.00",370,0,370,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,123748,801-61563,"ULLMANN FINANCIAL GROUP, INC.","ULLMANN FINANCIAL GROUP, INC.",5000 SAWGRASS CIRCLE,SUITE 25,PONTE VEDRA BEACH,FL,USA,32082,904-280-3700,904-280-3785,,,,,,,Approved,10/25/2002,2/22/2010,Y,WWW.ULLMANNFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"703,000.00","65,808,382.00","66,511,382.00",4,113,117,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,Y,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105052,801-33162,"PLANNED SOLUTIONS, INC.","PLANNED SOLUTIONS FINANCIAL & INSURANCE SERVICES, INC.",9833 HORN RD. STE E,,SACRAMENTO,CA,USA,95827-1945,916-361-0100,916-361-0191,,,,,,,Approved,11/25/1988,2/22/2010,Y,PLANNEDSOLUTIONS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITOR OR SUB-ADVISOR FEES,Y,"114,907,567.00","47,049,236.00","161,956,803.00",710,166,876,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,132536,801-66820,"ATTENTIVE INVESTMENT MANAGERS, INC.","ATTENTIVE INVESTMENT MANAGERS, INC.",5345 N. EL DORADO,SUITE 4,STOCKTON,CA,USA,95207,(209) 235-5200,(209) 235-5206,,,,,,,Approved,5/26/2006,2/18/2009,Y,WWW.MIKEDALTONCPA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"36,786,247.00","275,383.00","37,061,630.00",916,12,928,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,139758,801-69693,"NVEST WEALTH STRATEGIES, INC.","NVEST WEALTH STRATEGIES, INC.",,,,,,,740-917-9234,,,,,,,,Approved,10/27/2008,2/22/2010,Y,WWW.NVESTWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"41,077,628.00",0,"41,077,628.00",251,0,251,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106335,801-50509,"INTEGRATED WEALTH MANAGEMENT, INC.","INTEGRATED WEALTH MANAGEMENT, INC.",742 WASHINGTON BLVD,,MARINA DEL REY,CA,USA,90292,310-821-6563,310-861-5815,742 WASHINGTON BLVD.,,MARINA DEL REY,CA,USA,90292,Approved,11/3/1995,2/22/2010,Y,WWW.IWMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,251-500,0,26-50 percent,51-75 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"343,000,000.00",0,"343,000,000.00",890,0,890,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108564,801-56268,"KAHALA FINANCIAL ADVISORS, LLC","KAHALA FINANCIAL ADVISORS, LLC","4211 WAIALAE AVE, SUITE 407",,HONOLULU,HI,UNITED STATES,96816,808-734-7665,808-735-7110,,,,,,,Approved,2/12/1999,2/22/2010,Y,WWW.KAHALAFINANCIALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,HI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"57,034,431.00",0,"57,034,431.00",417,0,417,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,2185,801-66238,P. R. HERZIG & CO. INC.,P. R. HERZIG & CO. INC.,1 EXPRESSWAY PLAZA,SUITE 200,ROSLYN HEIGHTS,NY,USA,11577,516-621-0200,516-626-6622,,,,,,,Approved,2/17/2006,2/22/2010,Y,PRHERZIG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,Y,Y,N,N,,Y,"111,411,402.00","125,611,943.00","237,023,345.00",177,96,273,Y,Y,N,Y,N,N,Y,N,N,N,,101-250,,N,N,Y,N,N,N,N,N,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,121275,801-62954,"HOXTON FINANCIAL, INC.","HOXTON FINANCIAL, INC.",8530 SHEPHERDSTOWN PIKE,,SHEPHERDSTOWN,WV,UNITED STATES,25443,304-876-2619,304-876-1126,P.O. BOX E,,SHEPHERDSTOWN,WV,UNITED STATES,25443,Approved,4/1/2004,2/22/2010,Y,WWW.HOXTONFIANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"155,898,794.00","12,664,590.00","168,563,384.00",299,8,307,Y,Y,N,N,N,Y,N,N,N,Y,ASSET ALLOCATION SERVICES,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,113906,801-66577,STRATEGIC ADVISORS OF ILLINOIS,AMM ACCOUNTING SERVICES INC,1707 SHERMER ROAD,SUITE 126,NORTHBROOK,IL,UNITED STATES,60062,847-562-1300,847-562-1303,,,,,,,Approved,4/17/2006,2/22/2010,Y,WWW.STRATADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"75,048,667.00",0,"75,048,667.00",306,0,306,Y,Y,N,N,N,N,N,N,N,Y,SEMINARS,101-250,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,120938,801-63712,TPBS CAPITAL MANAGEMENT,TATE WEALTH MANAGEMENT,1545 RIVER PARK DRIVE,SUITE 375,SACRAMENTO,CA,UNITED STATES,95815-4614,916-436-1296,916-244-2608,,,,,,,Approved,1/3/2005,2/22/2010,Y,WWW.TPBSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"67,955,008.00",0,"67,955,008.00",253,0,253,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,148659,801-69690,"OLD NORTH STATE WEALTH MANAGEMENT, LLC","OLD NORTH STATE WEALTH MANAGEMENT, LLC",1985 EASTWOOD ROAD,SUITE 204,WILMINGTON,NC,UNITED STATES,28403,910-509-3800,910-509-3805,,,,,,,Approved,10/24/2008,2/22/2010,Y,WWW.ONSWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,THIRD PARTY REFERRAL FEES,Y,"70,000,000.00","13,900,000.00","83,900,000.00",450,100,550,Y,Y,N,Y,Y,Y,N,N,N,Y,"FAMILY OFFICE SERVICE, PENSION PLAN ADMINISTRATION SERVICES",101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,114865,801-68064,PRUDENT WEALTH MANAGEMENT LLC,PRUDENT WEALTH MANAGEMENT LLC,,,,,,,417-338-1944,417-338-1944,,,,,,,Approved,6/20/2007,2/22/2010,Y,WWW.PRUDENTWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"22,983,598.00","3,459,646.00","26,443,244.00",78,5,83,N,Y,N,Y,N,N,N,N,N,Y,FINANCIAL CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,113586,801-61148,"TYNER CAPITAL MANAGEMENT INVESTMENT COUNSEL, INC.","TYNER CAPITAL MANAGEMENT INVESTMENT COUNSEL, INC.",318 JAMES BOULEVARD,,SIGNAL MOUNTAIN,TN,UNITED STATES,37377,423-886-2625,423-886-7766,P. O. BOX 369,,SIGNAL MOUNTAIN,TN,UNITED STATES,37377,Approved,5/10/2002,2/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"89,683,514.00",0,"89,683,514.00",312,0,312,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135950,801-64417,"BENDER LANE ADVISORY, LLC","BENDER LANE ADVISORY, LLC",123 GREAT OAKS BLVD.,,ALBANY,NY,USA,12203,518-218-1218,518-218-1295,PO BOX 38016,,ALBANY,NY,USA,12203-8016,Approved,6/14/2005,2/22/2010,Y,WWW.BENDERLANEADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,Y,0,"74,137,752.00","74,137,752.00",0,75,75,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,149287,801-70386,"NOVICK & COMPANY FINANCIAL GROUP, LLC","NOVICK & COMPANY FINANCIAL GROUP, LLC",39 LOCUST AVENUE,SUITE 100,NEW CANAAN,CT,UNITED STATES,6840,203-801-0622,203-594-1313,,,,,,,Approved,7/29/2009,3/26/2010,Y,WWW.THENCFG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"101,384,374.00",0,"101,384,374.00",380,0,380,Y,Y,N,Y,N,N,N,N,N,Y,CONSULTING SERVICES,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107884,801-55214,HUNTER MICHAEL INVESTMENT ADVISORS INC,HUNTER MICHAEL INVESTMENT ADVISORS INC,1650 HUGUENOT RD,,MIDLOTHIAN,VA,UNITED STATES,23113,804-378-7640,804-378-7646,P.O. BOX 72875,,RICHMOND,VA,UNITED STATES,23235,Approved,1/30/1998,3/26/2010,Y,HUNTERMICHAEL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,11-25 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,Y,12(B)1 FEES FROM MUTUAL FUNDS,Y,0,"609,840,168.00","609,840,168.00",0,28,28,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,149472,801-69933,BARRINGTON STRATEGIC WEALTH MANAGEMENT GROUP LLC,BARRINGTON STRATEGIC WEALTH MANAGEMENT GROUP LLC,190 SOUTH LASALLE STREET,SUITE 2160,CHICAGO,IL,UNITED STATES,60603,312-870-1900,312-870-1901,,,,,,,Approved,2/10/2009,3/26/2010,Y,WWW.BSWMG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"213,651,930.00","48,331,543.00","261,983,473.00",373,50,423,N,Y,N,Y,N,Y,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138659,801-66030,PAULSON MANAGEMENT LLC,PAULSON MANAGEMENT LLC,1251 AVENUE OF THE AMERICAS,50TH FL.,NEW YORK,NY,UNITED STATES,10020,212-956-2221,212-977-9505,,,,,,,Approved,1/27/2006,3/26/2010,Y,WWW.PAULSONCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"14,028,924,000.00",0,"14,028,924,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107170,801-46277,PETER A. FARRELL INVESTMENT MANAGEMENT SERVICES,FARRELL PETER ALLAN,14 CORPORATE WOODS BLVD,,ALBANY,NY,UNITED STATES,12211,518-462-4979,518-462-5044,,,,,,,Approved,4/14/1994,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"46,686,874.00","2,080,223.00","48,767,097.00",78,2,80,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110693,801-54794,"COMMONFUND REALTY, INC.","COMMONFUND REALTY, INC.",15 OLD DANBURY RD,,WILTON,CT,USA,6897,203-563-5000,203-834-0828,15 OLD DANBURY ROAD,P.O. BOX 812,WILTON,CT,USA,06897-0812,Approved,8/14/1997,3/26/2010,Y,WWW.COMMONFUND.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"983,366,000.00",0,"983,366,000.00",2,0,2,N,N,N,N,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT OF POOLED INVESTMENT VEHICLES AND REAL ESTATE INVESTMENT TRUSTS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,140972,801-66909,BRIGHT ASSET MANAGEMENT,BRIGHT ASSET MANAGEMENT LLC,70 ESSEX RD.,,WESTBROOK,CT,UNITED STATES,6498,860-399-2886,860-399-2887,,,,,,,Approved,6/14/2006,3/26/2010,Y,WWW.BRIGHTASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"40,100,000.00","40,100,000.00",0,42,42,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105181,801-35786,MPI INVESTMENT MANAGEMENT INC,MPI INVESTMENT MANAGEMENT INC,15 SALT CREEK LANE,SUITE 404,HINSDALE,IL,UNITED STATES,60521,630-325-6900,630-325-8167,,,,,,,Approved,2/1/1990,3/26/2010,Y,WWW.MPI-INVEST.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"227,079,486.00",0,"227,079,486.00",152,0,152,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105102,801-35762,BENNICAS & ASSOCIATES,BENNICAS GEORGIA LEE,"2995 WOODSIDE RD, STE 250",,WOODSIDE,CA,UNITED STATES,94062,650-851-4601,650-851-1679,,,,,,,Approved,12/29/1989,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"218,172,245.00",0,"218,172,245.00",321,0,321,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105383,801-34934,CONSTITUTION RESEARCH & MANAGEMENT INC,CONSTITUTION RESEARCH & MANAGEMENT INC,175 FEDERAL STREET,,BOSTON,MA,UNITED STATES,2110,617-342-8150,617-342-8155,,,,,,,Approved,8/4/1989,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,"INSTITUTIONS (COLLEGES, CHURCHES, ETC.)",Y,N,N,N,N,N,N,,Y,"40,127,128.00",0,"40,127,128.00",34,0,34,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,139896,801-68673,RICHARDS CAPITAL MANAGEMENT LLC,RICHARDS CAPITAL MANAGEMENT LLC,"10250 CONSTELLATION BLVD., SUITE 2700",,LOS ANGELES,CA,UNITED STATES,90067,310-867-2916,310-557-1276,,,,,,,Approved,1/17/2008,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"95,000,000.00","95,000,000.00",0,8,8,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,144387,801-68211,"FAIRWAY  SPORTS MANAGEMENT, LLC","FAIRWAY  SPORTS MANAGEMENT, LLC",ONE CHAGRIN HIGHLANDS,2000 AUBURN DRIVE #330,CLEVELAND,OH,UNITED STATES,44122,216-916-8420,216-916-8421,,,,,,,Approved,7/30/2007,3/26/2010,Y,WWW.FSMCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,INVESTMENT ADVISER REFERRAL FEE,Y,"107,047,988.00","49,390,466.00","156,438,454.00",211,30,241,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,112282,801-50718,INDEPENDENT INVESTMENT ADVISORS INC.,INDEPENDENT INVESTMENT ADVISORS INC.,# 8 STONECREST DRIVE,,HUNTINGTON,WV,UNITED STATES,25701,304-697-5768,304-697-5704,,,,,,,Approved,12/4/1995,3/26/2010,Y,IIADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"71,774,362.00","71,774,362.00",0,166,166,Y,Y,N,Y,N,Y,N,N,N,Y,FAMILY WEALTH MANAGEMENT,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,121631,801-67729,QUANTUM FINANCIAL SERVICES INC.,QUANTUM FINANCIAL SERVICES INC.,7400 SHADELAND AVE,SUITE 220,INDIANAPOLIS,IN,USA,46250,318-845-1786,317-663-4392,,,,,,,Approved,4/16/2007,3/26/2010,Y,QUANTUMFINANCIALINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"92,214,113.00","92,214,113.00",0,312,312,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,142693,801-70864,INTEGRITY CAPITAL MANAGEMENT,INTEGRITY CAPITAL MANAGEMENT LLC,247 BROAD STREET,SUITE 302,KINGSPORT,TN,USA,37660,423-230-4500,423-230-4531,,,,,,,Approved,1/4/2010,3/26/2010,Y,WWW.INTEGRITY-CAPITAL-MGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"36,391,057.00",0,"36,391,057.00",169,0,169,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138918,801-65656,RESOLUTION PARTNERS LLC,RESOLUTION PARTNERS LLC,909 THIRD AVENUE,30TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-350-1950,212-350-5653,,,,,,,Approved,1/26/2006,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"172,000,000.00",0,"172,000,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108881,801-23411,LINCOLN INVESTMENT ADVISORS CORPORATION,LINCOLN INVESTMENT ADVISORS CORPORATION,1300 S CLINTON STREET,,FORT WAYNE,IN,UNITED STATES,46802,260-455-6536,260-455-9845,,,,,,,Approved,2/1/1985,3/26/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"15,353,541,748.00",0,"15,353,541,748.00",39,0,39,N,N,Y,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109190,801-54932,"AMB CAPITAL PARTNERS, LLC","AMB CAPITAL PARTNERS, LLC","PIER 1, BAY 1",,SAN FRANCISCO,CA,UNITED STATES,94111,415-394-9000,415-394-9001,,,,,,,Approved,10/6/1997,3/26/2010,Y,WWW.AMB.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,"1,197,208,000.00","1,197,208,000.00",0,3,3,N,N,N,N,N,N,N,N,N,Y,REAL ESTATE INVESTMENT AND MANAGEMENT SERVICES,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106417,801-45959,GLOBEFLEX CAPITAL LP,GLOBEFLEX CAPITAL LP,4365 EXECUTIVE DR. STE 720,,SAN DIEGO,CA,UNITED STATES,92121,858-658-9060,858-658-9061,,,,,,,Approved,3/8/1994,3/26/2010,Y,GLOBEFLEX.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,11-25 percent,Up to 10 percent,11-25 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,182,000,000.00",0,"4,182,000,000.00",88,0,88,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108914,801-58112,"VICKERMAN & DRISCOLL FINANCIAL ADVISORS,INC.","VICKERMAN & DRISCOLL FINANCIAL ADVISORS,INC.","108 N. WASHINGTON, SUITE 300",,SPOKANE,WA,UNITED STATES,99201,509-325-7610,509-325-7612,,,,,,,Approved,11/9/2000,3/26/2010,Y,WWW.VICKERMANDRISCOLL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,$2000/YR MIN FEE FOR CLIENTS ESTD AFTER 4/1/02.(NEGOTIABLE),Y,"110,213,649.00",0,"110,213,649.00",547,0,547,Y,Y,N,N,N,N,N,N,N,Y,TAX PREPARATION,101-250,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110575,801-57426,"QUANTITATIVE ADVANTAGE, LLC","QUANTITATIVE ADVANTAGE, LLC",10225 YELLOW CIRCLE DRIVE,SUITE 100,MINNETONKA,MN,UNITED STATES,55343,952-944-3206,952-944-5789,,,,,,,Approved,3/31/2000,3/26/2010,Y,WWW.QAGLOBAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,More than 500,"1,000",11-25 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"366,921,321.00",0,"366,921,321.00","2,368",0,"2,368",N,Y,N,Y,N,N,N,N,N,Y,ADVICE TO INDIVIDUALS REGARDING RETIREMENT PLAN INVESTMENTS,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,130482,801-70297,WILSEY ASSET MANAGEMENT,"WILSEY, BRENT, MICHAEL",,,,,,,858-546-4306,858-536-1055,,,,,,,Approved,6/25/2009,6/4/2009,Y,WWW.SMARTINVESTING2000.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SEMINAR AND SPEAKING ENGAGEMENT FEES,Y,"59,000,000.00","12,000,000.00","71,000,000.00",386,50,436,Y,Y,N,N,Y,N,N,N,N,Y,SEMINARS AND SPEAKING ENGAGEMENTS,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,133701,801-66591,"MJM401K, LLC","MJM401K, LLC",4647 N.32ND ST,SUITE 200,PHOENIX,AZ,UNITED STATES,85018-3345,(602) 224-5599,(602) 224-0405,,,,,,,Approved,3/28/2006,3/26/2010,Y,WWW.MJM401K.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,Y,QUALIFIED PLAN CONSULTING SERVICES ON MATTERS NOT INVOLVING SECURITIES,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,149033,801-69810,"MIS CAPITAL MANAGEMENT, LLC","MIS CAPITAL MANAGEMENT, LLC",16217 KITTRIDGE ST.,,VAN NUYS,CA,UNITED STATES,91406,818-902-5544,818-786-4271,,,,,,,Approved,1/2/2009,3/26/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"7,488,676.00",0,"7,488,676.00",1,0,1,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109024,801-55667,SOVEREIGN WEALTH MANAGEMENT INC,SOVEREIGN WEALTH MANAGEMENT INC,999 SOUTH SHADY GROVE ROAD,SUITE 301,MEMPHIS,TN,UNITED STATES,38120,901-685-5050,901-685-5047,,,,,,,Approved,6/23/1998,3/26/2010,Y,WWW.SOVEREIGNWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,Nov-50,0,10-Jun,0,0,0,Nov-50,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"187,853,029.00","140,745,794.00","328,598,823.00",162,63,225,Y,Y,N,Y,Y,N,Y,N,N,Y,MBJ/SOVEREIGN MEMPHIS INDEX PUBLISHED WEEKLY IN THE MEMPHIS BUSINESS JOURNAL W/ RECAP OF MEMPHIS PUBLIC STOCK MOVEMENTS AND NEWS,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131889,801-63507,"TSP CAPITAL MANAGEMENT GROUP, LLC","TSP CAPITAL MANAGEMENT GROUP, LLC",382 SPRINGFIELD AVENUE,SUITE 500,SUMMIT,NJ,USA,7901,908-273-2105,908-273-2778,,,,,,,Approved,9/10/2004,3/26/2010,Y,WWW.TSPCAPITALMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,INVESTMENT CLUB,Y,N,N,Y,N,N,N,,Y,"214,678,572.00","2,681,903.00","217,360,475.00",307,2,309,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT ADVISE TO PRIVATE INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,140815,801-66843,COEUS CAPITAL MANAGEMENT LLC,COEUS CAPITAL MANAGEMENT LLC,9 GREENWICH OFFICE PARK,,GREENWICH,CT,UNITED STATES,6831,203-542-4700,203-542-4701,,,,,,,Approved,9/28/2006,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,ENDOWMENT,Y,N,N,N,N,Y,N,,Y,"82,627,480.00",0,"82,627,480.00",5,0,5,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106452,801-37458,CHARTER RESEARCH & INVESTMENT GROUP INC,CHARTER RESEARCH & INVESTMENT GROUP INC,24 THORPE STREET,,FAIRFIELD,CT,UNITED STATES,6824,203-259-4004,203-259-6941,,,,,,,Approved,9/28/1990,3/22/2010,Y,WWW.CHARTERINVESTMENTGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"128,214,302.00","2,302,881.00","130,517,183.00",306,4,310,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,118244,801-67862,BUTLER FINANCIAL SERVICES,"BUTLER FINANCIAL SERVICES, INC.",1113 SPRUCE ST,SUITE 404 C,BOULDER,CO,UNITED STATES,80302,303-444-3380,303-381-2544,,,,,,,Approved,5/23/2007,3/22/2010,Y,WWW.BUTLER-FINANCIAL.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SELECTION OF OTHER ADVISERS,Y,"41,064,898.00","9,031,886.00","50,096,784.00",194,13,207,Y,Y,N,Y,N,Y,N,N,N,Y,WEALTH ADVISORY,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,129915,801-69364,"KEATING INVESTMENT MANAGEMENT, LLC","KEATING INVESTMENT MANAGEMENT, LLC",1501 CORPORATE DRIVE,SUITE 280,BOYNTON BEACH,FL,USA,33426-6658,561-733-8277,561-733-8285,,,,,,,Approved,7/3/2008,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"28,109,065.00",0,"28,109,065.00",105,0,105,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111191,801-60193,"BRENTWOOD ADVISORY GROUP, LLC","BRENTWOOD ADVISORY GROUP, LLC",11812 SAN VICENTE BLVD,SUITE 200,LOS ANGELES,CA,USA,90049,310-826-2261,310-820-5354,,,,,,,Approved,4/25/2001,3/22/2010,Y,WWW.BRENTWOODADVISORYGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,"TRUSTS, ESTATES",Y,Y,N,Y,N,N,N,,Y,"73,288,931.00",0,"73,288,931.00",274,0,274,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106378,801-45935,AMERITRUST CAPITAL MANAGEMENT LTD,AMERITRUST CAPITAL MANAGEMENT LTD,"3568 SAGUNTO ST, WEST WING",,SANTA YNEZ,CA,UNITED STATES,93460-1799,805-688-1001,805-686-4255,P.O. BOX 1799,,SANTA YNEZ,CA,UNITED STATES,93460-1799,Approved,2/28/1994,3/22/2010,Y,WWW.AMERITRUST.US,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"51,217,026.00","23,658,575.00","74,875,601.00",99,41,140,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,120640,801-67978,"TONER ASSET MANAGEMENT GROUP, INC.","TONER ASSET MANAGEMENT GROUP, INC.",303 34TH STREET,SUITE 4,VIRGINIA BEACH,VA,USA,23451,757-425-1977,757-965-2074,,,,,,,Approved,6/8/2007,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"26,390,181.00",0,"26,390,181.00",92,0,92,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111681,801-57843,TRINITY FINANCIAL ADVISORS LLC,TRINITY FINANCIAL ADVISORS LLC,541 NORTH FAIRBANKS COURT,SUITE 1060,CHICAGO,IL,UNITED STATES,60611-3319,312-245-1300,312-245-9009,,,,,,,Approved,8/11/2000,3/22/2010,Y,WWW.TFA-LLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"127,108,174.00",0,"127,108,174.00",550,0,550,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,109937,801-60930,"WAGNER WEALTH MANAGEMENT, LLC","WAGNER WEALTH MANAGEMENT, LLC",50 SOUTH STEELE STREET,SUITE 215,DENVER,CO,UNITED STATES,80209,303-394-9600,303-468-6141,,,,,,,Approved,2/15/2002,3/22/2010,Y,WWW.WAGNERWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"220,000,000.00",0,"220,000,000.00",800,0,800,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110005,801-52710,LITMAN GREGORY FUND ADVISORS LLC,"LITMAN/GREGORY FUND ADVISORS, LLC",100 LARKSPUR LANDING CIRCLE SUITE 204,,LARKSPUR,CA,USA,94939,415-461-8999,415-461-9099,,,,,,,Approved,8/21/1996,3/22/2010,Y,WWW.MASTERSFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,054,238,850.00",0,"2,054,238,850.00",5,0,5,N,N,Y,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104635,801-9895,DEAN INVESTMENTS,"DEAN INVESTMENT ASSOCIATES, LLC",2200 KETTERING TOWER,,DAYTON,OH,UNITED STATES,45423,937-222-9531,937-227-9315,,,,,,,Approved,1/1/1975,3/22/2010,Y,WWW.CHDEAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,More than 500,500,51-75 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,SPECIAL PROJECT FEES AS REQUESTED,Y,"343,702,611.00",0,"343,702,611.00",523,0,523,Y,Y,Y,Y,N,N,Y,N,N,N,,26-50,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111740,801-60373,"ABUNDANCE WEALTH COUNSELORS, LLC","ABUNDANCE WEALTH COUNSELORS, LLC",232 REGENT COURT,,STATE COLLEGE,PA,UNITED STATES,16801,814.861.3810,814.861.3811,,,,,,,Approved,6/25/2001,3/22/2010,Y,WWW.ABUNDANCELLC.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,FAMILY-RELATED POOLED INVESTMENT FUNDS,Y,Y,N,Y,N,N,N,,Y,"333,862,956.00","5,541,846.00","339,404,802.00",830,6,836,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,124441,801-63753,"S SQUARED TECHNOLOGY, LLC","S SQUARED TECHNOLOGY, LLC",515 MADISON AVENUE,STE 4200,NEW YORK,NY,UNITED STATES,10022-5474,212-421-2155,212-838-3783,,,,,,,Approved,12/16/2004,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"515,200,554.00",0,"515,200,554.00",11,0,11,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,111270,801-56718,"FEE-ONLY PLANNING PROFESSIONALS, LLC","FEE-ONLY PLANNING PROFESSIONALS, LLC",3940 MONTCLAIR RD,SUITE 406,BIRMINGHAM,AL,USA,35213,205-871-5805,205-423-0994,,,,,,,Approved,7/29/1999,3/22/2010,Y,WWW.FOPP.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"63,556,560.00",0,"63,556,560.00",650,0,650,Y,Y,N,N,N,Y,N,N,N,Y,"ADVICE ON MATTERS NOT INVOLVING SECURITIES.  IN ADDITION, VIA A WEB-SITE, ADVISER RESPONDS TO INVESTMENT ADVICE QUESTIONS.",101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,121495,801-69236,"TUDOR FINANCIAL, INC.","TUDOR FINANCIAL, INC.",8111 TIMBERLODGE TRAIL,,DAYTON,OH,UNITED STATES,45458-2103,937-439-9292,937-439-2929,,,,,,,Approved,6/5/2008,3/22/2010,Y,WWW.TUDORFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,"TRUSTS, ESTATES, QUALIFIED PLANS",Y,Y,N,N,N,N,N,,Y,"36,944,000.00",0,"36,944,000.00",309,0,309,Y,Y,N,Y,Y,N,Y,N,N,N,,101-250,,N,N,N,Y,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138399,801-66022,"S SQUARED TECHNOLOGY PARTNERS, L.P.","S SQUARED TECHNOLOGY PARTNERS, L.P.",515 MADISON AVENUE,SUITE 4200,NEW YORK,NY,USA,10022,212-421-2155,212-838-3783,,,,,,,Approved,2/6/2006,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"48,990,211.00",0,"48,990,211.00",1,0,1,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,133711,801-63785,"S SQUARED CAPITAL II MANAGEMENT, LLC","S SQUARED CAPITAL II MANAGEMENT, LLC",515 MADISON AVENUE,,NEW YORK,NY,UNITED STATES,10022,212-421-2155,212-838-3783,,,,,,,Approved,1/3/2005,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,UNIVERSITY ENDOWMWNT FUND,Y,N,N,N,N,Y,N,,Y,"389,469,976.00",0,"389,469,976.00",10,0,10,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,134867,801-64088,"WESTBROOK ASSET MANAGEMENT, LLC","WESTBROOK ASSET MANAGEMENT, LLC",1055 FRANKLIN AVENUE,SUITE 300,GARDEN CITY,NY,USA,11530,516-535-5784,516-535-5786,,,,,,,Approved,3/25/2005,3/28/2008,Y,WWW.WAMTPC.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"9,959,558.00",0,"9,959,558.00",1,0,1,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111885,801-54266,"GLAZE CAPITAL MANAGEMENT, INC.","GLAZE CAPITAL MANAGEMENT, INC.",4962 EL CAMINO REAL,SUITE 225,LOS ALTOS,CA,UNITED STATES,94022,650-934-0920,650-934-0924,,,,,,,Approved,4/15/1997,3/22/2010,Y,WWW.GLAZECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"90,138,519.00","1,957,949.00","92,096,468.00",171,24,195,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,132909,801-69463,"ATHENA ASSET MANAGEMENT & RESEARCH, LLC","ATHENA ASSET MANAGEMENT & RESEARCH, LLC",555 CALIFORNIA STREET,3RD FLOOR,SAN FRANCISCO,CA,UNITED STATES,94104,415-829-4333,415-829-4332,,,,,,,Approved,7/25/2008,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"22,553,061.00","4,101,200.00","26,654,261.00",38,18,56,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106593,801-51814,CYPRESS ASSET MANAGEMENT INC,CYPRESS ASSET MANAGEMENT INC,4545 POST OAK PLACE DRIVE,SUITE 205,HOUSTON,TX,UNITED STATES,77027,713-512-2100,713-512-2105,,,,,,,Approved,4/10/1996,3/22/2010,Y,WWW.CYPRESSASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"351,462,631.00","8,314,465.00","359,777,096.00",313,22,335,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106173,801-38751,"MCKINLEY CAPITAL MANAGEMENT, LLC","MCKINLEY CAPITAL MANAGEMENT, LLC",3301 C STREET,SUITE 500,ANCHORAGE,AK,UNITED STATES,99503,907-563-4488,907-563-4404,,,,,,,Approved,4/30/1991,3/22/2010,Y,WWW.MCKINLEYCAPITAL.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,TAFT HARTLEY/UNION,Y,N,N,N,N,Y,N,,Y,"12,729,179,356.00","19,572,189.00","12,748,751,545.00",727,1,728,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,127025,801-62809,"H.S. DENT INVESTMENT MANAGEMENT, LLC","H.S. DENT INVESTMENT MANAGEMENT, LLC",15310 AMBERLY DRIVE,SUITE 390,TAMPA,FL,UNITED STATES,33647,813-514-6764,214-853-4274,,,,,,,Approved,2/27/2004,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,OTHER REGISTERED INVESTMENT ADVISORS,Y,N,N,N,N,N,N,,Y,"32,000,000.00","5,000,000.00","37,000,000.00",20,1,21,N,Y,N,Y,N,N,N,N,N,Y,OTHER REGISTERED INVESTMENT ADVISORS,,,N,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,129175,801-66056,TOWER CAPITAL,TOWER CAPITAL ASSET MANAGEMENT L.P.,650 FIFTH AVENUE,18TH  FLOOR,NEW YORK,NY,UNITED STATES,10019,212-445-0530,212-445-0540,,,,,,,Approved,4/28/2006,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,10-Jun,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"322,415,000.00","74,199,000.00","396,614,000.00",8,1,9,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106807,801-49383,PARAGON ADVISORS LLC,PARAGON ADVISORS LLC,"1730 PARK STREET, SUITE 100",,NAPERVILLE,IL,USA,60563,630-357-2224,630-357-1911,,,,,,,Approved,6/12/1995,3/22/2010,Y,WWW.PARAGONADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"129,014,086.00","129,014,086.00",0,433,433,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119501,801-68948,"MILLER FINANCIAL MANAGEMENT, LLC","MILLER FINANCIAL MANAGEMENT, LLC",3000 W. WHITE RIVER BLVD.,,MUNCIE,IN,UNITED STATES,47304,765-289-9050,765-289-9057,PO BOX 1702,,MUNCIE,IN,UNITED STATES,47308-1702,Approved,3/11/2008,3/22/2010,Y,WWW.MILLER-FINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,% OF ASSETS MONITORED,Y,"52,067,391.00",0,"52,067,391.00",119,0,119,Y,Y,N,Y,Y,Y,N,N,N,Y,"CONSULTING, SEMINAR",26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107918,801-54886,"PEAK INVESTMENT MANAGEMENT, LTD. AKA ALPS FINANCIAL SERVICES","PEAK INVESTMENT MANAGEMENT, LTD.",111 NORTH HIGGINS AVENUE,SUITE 200,MISSOULA,MT,UNITED STATES,59802,406-721-7325,406-728-7416,,,,,,,Approved,9/16/1997,3/22/2010,Y,WWW.PEAKINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,Y,N,N,N,Corporation,,MT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"185,900,000.00",0,"185,900,000.00",190,0,190,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,125798,801-62005,FIDELITY FEDERAL BANK & TRUST,FIDELITY FEDERAL BANK & TRUST,218 DATURA STREET,,WEST PALM BEACH,FL,USA,33401,561-659-9965,561-659-9909,,,,,,,Approved,4/22/2003,2/8/2006,Y,WWW.FIDELITYFEDERAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"84,069,000.00","23,536,000.00","107,605,000.00",99,8,107,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,Y,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114612,801-60546,TEXAS CAPITAL MANAGEMENT,GARY WAYNE CLEMMONS,407-C WEST BAKER,,BAYTOWN,TX,UNITED STATES,77521,281-427-8000,281-428-2796,,,,,,,Approved,9/10/2001,3/22/2010,Y,WWW.TXCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"47,927,000.00",0,"47,927,000.00",200,0,200,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,148802,801-69932,NORTH CAPITAL,"NORTH CAPITAL, INC.",,,,,,,415-315-9916,415-948-2161,315 MONTGOMERY STREET,SUITE 900,SAN FRANCISCO,CA,UNITED STATES,94104,Approved,2/23/2009,3/27/2010,Y,WWW.NORTHCAPITAL.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,ADVISORY SOFTWARE SERVICE FEES,Y,"7,222,000.00","4,020,000.00","11,242,000.00",4,5,9,Y,Y,N,Y,N,Y,N,N,N,Y,ADVICE TO INDIVIDUALS ABOUT ASSET ALLOCATION AND INVESTMENT SELECTION VIA PROPRIETARY SOFTWARE.,10-Jan,,N,N,N,N,Y,N,N,N,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,124102,801-69715,MALVERN CAPITAL MANAGEMENT L.L.C.,MALVERN CAPITAL MANAGEMENT L.L.C.,,,,,,,435-656-0718,,,,,,,,Approved,11/28/2008,3/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"42,270,072.00",0,"42,270,072.00",262,0,262,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,116557,801-63131,BOGDANOVICH WEALTH MANAGEMENT PLLC,JEFFREY JAY BOGDANOVICH,9725 3RD AVENUE NE,SUITE 504,SEATTLE,WA,UNITED STATES,98115-2024,206-522-4478,206-522-6734,,,,,,,Approved,5/14/2004,3/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"79,667,660.00",0,"79,667,660.00",135,0,135,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,146856,801-69027,"PARK, MILLER, LLC","PARK, MILLER, LLC",2121 NORTH CALIFORNIA BLVD.,SUITE 290,WALNUT CREEK,CA,UNITED STATES,94596,925-974-3323,,,,,,,,Approved,4/18/2008,3/27/2010,Y,WWW.PARKMILLER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"123,460,000.00","9,000.00","123,469,000.00",114,8,122,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,136370,801-64724,"SENTINEL WEALTH ADVISORS, LLC","SENTINEL WEALTH ADVISORS, LLC",1901 WEST 47TH PLACE,SUITE 103,WESTWOOD,KS,UNITED STATES,66205,913-647-1340,913-647-1341,,,,,,,Approved,9/26/2005,3/27/2010,Y,WWW.SENTINELWEALTHADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"40,972,939.00",0,"40,972,939.00",81,0,81,Y,N,N,N,N,Y,N,N,N,Y,FAMILY OFFICE SERVICES,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107443,801-53893,"MARATHON INVESTMENT MANAGEMENT, INC.","MARATHON INVESTMENT MANAGEMENT, INC.",6565 SOUTH DAYTON,SUITE 1200,GREENWOOD VILLAGE,CO,UNITED STATES,80111,303-708-0667,303-708-1462,,,,,,,Approved,2/19/1997,3/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"39,417,005.00","9,199,790.00","48,616,795.00",484,188,672,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,113954,801-68864,PROFOCUS INCORPORATED,PROFOCUS INCORPORATED,5010 EAST WARNER ROAD,SUITE 202,PHOENIX,AZ,UNITED STATES,85044-3374,480-598-9960,480-893-1149,,,,,,,Approved,3/6/2008,3/27/2010,Y,WWW.PROFOCUS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),SUB CHAPTER S,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"33,200,000.00","4,500,000.00","37,700,000.00",214,68,282,Y,Y,N,N,N,N,N,N,N,Y,ESTATE PLANNING,51-100,,N,N,N,N,N,N,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,117064,801-62076,EAN EQUITY FINANCIAL SERVICES LLC,EAN EQUITY FINANCIAL SERVICES LLC,8370 VETERANS HIGHWAY,SUITE 202,MILLERSVILLE,MD,UNITED STATES,21108,443-274-2302,443-274-2304,,,,,,,Approved,6/6/2003,3/27/2010,Y,EANEFS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"20,732,666.00","32,782,965.00","53,515,631.00",128,140,268,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108001,801-56965,"THE L. WARNER COMPANIES, INC","THE L. WARNER COMPANIES, INC",9690 DEERECO ROAD,SUITE 650,TIMONIUM,MD,UNITED STATES,21093,410-252-0808,443-836-0507,,,,,,,Approved,9/25/1999,3/27/2010,Y,HTTP://WWW.LWARNER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,0,"248,400,663.00","248,400,663.00",0,190,190,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,129613,801-63624,WILLINGDON WEALTH MANAGEMENT INC.,WILLINGDON WEALTH MANAGEMENT INC.,10224 HICKORYWOOD HILL AVENUE,SUITE 202,HUNTERSVILLE,NC,UNITED STATES,28078,704-659-7810,704-766-0592,10224 HICKORYWOOD HILL AVENUE,SUITE 202,HUNTERSVILLE,NC,UNITED STATES,28078,Approved,10/28/2004,3/27/2010,Y,WWW.WILLINGDONWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"115,182,297.00","4,709,314.00","119,891,611.00",158,11,169,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,136167,801-64730,AMBER CAPITAL INVESTMENT MANAGEMENT,AMBER CAPITAL LP,900 THIRD AVENUE,SUITE 200,NEW YORK,NY,UNITED STATES,10022,212-340-7300,212-340-7350,,,,,,,Approved,9/19/2005,3/27/2010,Y,WWW.AMBERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"645,648,817.00",0,"645,648,817.00",9,0,9,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,131478,801-67724,"PRESTON & CLEVELAND WEALTH MANAGEMENT, LLC","PRESTON & CLEVELAND WEALTH MANAGEMENT, LLC",1611 SOUTH ZACK HINTON PKWY.,,MCDONOUGH,GA,USA,30253,770-898-4235,770-898-4979,,,,,,,Approved,4/2/2007,3/27/2010,Y,WWW.PRESTON-CLEVELAND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"45,425,131.00","3,518,473.00","48,943,604.00",86,5,91,Y,Y,N,Y,Y,N,N,N,N,Y,CONSULTATIONS; SPEAKING ENGAGEMENTS,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,117272,801-63027,"BARRETT CAPITAL MANAGEMENT,LLC","BARRETT CAPITAL MANAGEMENT,LLC",2318 ROBIOUS STATION CIRCLE,,MIDLOTHIAN,VA,USA,23113,804-419-1100,804-419-1101,,,,,,,Approved,4/13/2004,3/27/2010,Y,WWW.BARRETTCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"71,522,829.00","23,462,380.00","94,985,209.00",310,73,383,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,140123,801-66647,"FIRST HOUSTON CAPITAL, INC.","FIRST HOUSTON CAPITAL, INC.",800 GESSNER,SUITE 150,HOUSTON,TX,USA,77024,713-461-0150,713-461-0127,,,,,,,Approved,5/4/2006,3/29/2010,Y,WWW.FIRSTHOUSTONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"82,000,000.00","1,300,000.00","83,300,000.00",173,10,183,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,110332,801-23135,"BETH WRIGHT WOODSIDE, CFP","WOODSIDE, BETH WRIGHT",110 W. BROAD STREET,,GREENVILLE,SC,UNITED STATES,29601,864-232-9950,864-232-3224,110 W. BROAD STREET,,GREENVILLE,SC,UNITED STATES,29601,Approved,12/27/1984,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,SC,UNITED STATES,5-Jan,0,0,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"32,079,561.00","63,943,172.00","96,022,733.00",134,178,312,Y,Y,N,N,N,N,N,N,N,Y,TAX & ESTATE PLANNING,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,126140,801-64738,ROBERT J. REBY & COMPANY INC.,ROBERT J. REBY & COMPANY INC.,83 WOOSTER HEIGHTS,,DANBURY,CT,UNITED STATES,6810,203.790.4949,203.743.3381,,,,,,,Approved,9/28/2005,3/29/2010,Y,WWW.ROBERTREBY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"204,380,157.00",0,"204,380,157.00","1,166",0,"1,166",Y,Y,N,N,N,Y,N,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,126471,801-62413,"PROFESSIONAL PLANNING ADVISORS,LLC","PROFESSIONAL PLANNING ADVISORS, LLC",500 COLONIAL CENTER PARKWAY,SUITE 600,ROSWELL,GA,UNITED STATES,30076,770-998-8721,770-992-4733,,,,,,,Approved,10/9/2003,3/29/2010,Y,WWW.PPAADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"118,038,000.00","118,038,000.00",0,493,493,Y,Y,N,N,N,N,Y,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,147348,801-69383,"GREENWICH CREEK CAPITAL MANAGEMENT, LLC","GREENWICH CREEK CAPITAL MANAGEMENT, LLC",8 SOUND SHORE DRIVE,SUITE 210,GREENWICH,CT,UNITED STATES,6830,203-769-5300,,,,,,,,Approved,7/30/2008,3/29/2010,Y,WWW.GREENWICHCREEKCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"64,972,680.00",0,"64,972,680.00",41,0,41,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,125295,801-69371,"CAROL J. BURTON, CFP TM",CAROL JEANETTE BURTON,,,,,,,203-227-5077,203-454-8890,,,,,,,Approved,7/3/2008,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CT,UNITED STATES,5-Jan,0,0,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"17,233,468.00","27,321,311.00","44,554,779.00",21,33,54,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,148727,801-70727,"8TH STREET INVESTMENTS, LLC","8TH STREET INVESTMENTS, LLC","108 N. PAYNE STREET, 2ND FLOOR",,ALEXANDRIA,VA,UNITED STATES,22314,(703) 519-0962,(703) 519-0974,,,,,,,Approved,10/21/2009,3/29/2010,Y,8THSTREETLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"31,618,237.00",0,"31,618,237.00",56,0,56,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,149711,801-69993,BLACKFRIARS ASSET MANAGEMENT LIMITED,BLACKFRIARS ASSET MANAGEMENT LIMITED,BNY MELLON CENTRE,160 QUEEN VICTORIA STREET,LONDON,,UNITED KINGDOM,EC4V 4LA,+ 44 20 7163 4615,+ 44 20 7163 4625,,,,,,,Approved,3/5/2009,3/29/2010,Y,WWW.BLACKFRIARSAM.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),UK PRIVATE LIMITED COMPANY,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,583,643,810.00","423,457,852.00","3,007,101,662.00",28,2,30,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,142299,801-67358,ERAAM,EUROPANEL RESEARCH & ALTERNATIVE ASSET MANAGEMENT,49-51 AVENUE GEORGE V,,PARIS,,FRANCE,75008,33153432080,33153432090,,,,,,,Approved,1/18/2007,3/29/2010,Y,WWW.ERAAM.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),SOCIETE ANONYME,,FRANCE,10-Jun,0,5-Jan,0,0,0,10-Jun,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,FRENCH MUTUAL FUNDS,Y,N,N,N,N,Y,N,,Y,"511,921,074.00",0,"511,921,074.00",11,0,11,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,105643,801-30106,FINANCIAL SYNERGIES ASSET MANAGEMENT INC,FINANCIAL SYNERGIES ASSET MANAGEMENT INC,4265 SAN FELIPE,SUITE 1450,HOUSTON,TX,USA,77027,713-623-6600,713-623-6771,,,,,,,Approved,7/30/1987,3/29/2010,Y,WWW.FINSYN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"320,809,608.00",0,"320,809,608.00",810,0,810,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,126717,801-64311,FAMILY OFFICE INVESTMENT ADVISORS LLC,FAMILY OFFICE INVESTMENT ADVISORS LLC,501 BRICKELL KEY DRIVE,SUITE 400,MIAMI,FL,USA,33131,305-371-4848,305-371-5751,,,,,,,Approved,6/14/2005,3/23/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,11-25 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"78,736,265.00","78,736,265.00",0,3,3,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,141476,801-70375,QUANTUM ADVISORS PRIVATE LIMITED,QUANTUM ADVISORS PRIVATE LIMITED,"503-504, REGENT CHAMBERS",NARIMAN POINT,MUMBAI,,INDIA,400021,91-22-2283-0322,91-22-2287-5111,"503-504, REGENT CHAMBERS",NARIMAN POINT,MUMBAI,,INDIA,400021,Approved,7/30/2009,2/2/2010,Y,HTTP://WWW.QASL.COM/,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),"""COMPANY"" UNDER INDIAN COMPANIES ACT 1956",,INDIA,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,26-50 percent,UNIVERSITY ENDOWMENTS,Y,N,N,N,N,Y,N,,Y,"318,539,711.00","187,661,552.00","506,201,263.00",6,5,11,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108365,801-60251,"FEE-ONLY FINANCIAL PLANNING, L.C.","FEE-ONLY FINANCIAL PLANNING, L.C.",355 CAMPBELL AVENUE SW,,ROANOKE,VA,UNITED STATES,24016,540-342-7102,540-343-1773,P.O. BOX 12386,,ROANOKE,VA,UNITED STATES,24025,Approved,5/23/2001,2/2/2010,Y,WWW.FEEONLYROANOKE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PRO BONO,Y,"156,851,034.00",0,"156,851,034.00",581,0,581,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,123971,801-63894,"ZRC FINANCIAL SERVICES, LLC","ZRC FINANCIAL SERVICES, LLC",3510 UNOCAL PLACE,SUITE 350,SANTA ROSA,CA,UNITED STATES,95403,707-524-6131,707-525-0331,,,,,,,Approved,1/28/2005,2/2/2010,Y,WWW.ZRCFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"52,414,950.00",0,"52,414,950.00",70,0,70,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,22333,801-70703,"THORNHILL SECURITIES, INC.","THORNHILL SECURITIES, INC.",336 SOUTH CONGRESS AVE.,SUITE 200,AUSTIN,TX,UNITED STATES,78704,512-472-7171,512-478-2616,,,,,,,Approved,11/6/2009,2/2/2010,Y,WWW.THORNHILLSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"48,000,000.00","7,000,000.00","55,000,000.00",6,25,31,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,N,N,N,,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,113799,801-63744,FAMILY INVESTMENT CENTER,"FAMILY INVESTMENT CENTER, INC.",3805 BECK ROAD,,ST. JOSEPH,MO,UNITED STATES,64506,816-233-4100,816-233-3533,3805 BECK ROAD,P.O. BOX 8807,ST. JOSEPH,MO,UNITED STATES,64508-8807,Approved,1/3/2005,2/2/2010,Y,WWW.FAMILYINVESTMENTCENTER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"54,277,420.00","6,386,755.00","60,664,175.00",623,4,627,Y,Y,N,N,Y,N,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,139871,801-66370,"GLOBAL INDEX ADVISORS, INC.","GLOBAL INDEX ADVISORS, INC.",29 NORTH PARK SQUARE,SUITE 201,MARIETTA,GA,USA,30060,770-874-7042,770-874-7047,,,,,,,Approved,3/21/2006,2/2/2010,Y,WWW.GLOBALINDEXADVISORS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,LICENSEE FEES,Y,"6,083,891,263.00","1,922,730,683.00","8,006,621,946.00",2,1,3,N,N,Y,Y,N,N,N,N,N,Y,"SUB-ADVISER TO BANK COMINGLED FUNDS, LICENSE GIA METHODOLOGY TO RIAS; ASSET ALLOCATION SERVICES TO RIAS.",,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110095,801-56022,KRA CAPITAL MANAGEMENT INC,KRA CAPITAL MANAGEMENT INC,4041 UNIVERSITY DRIVE,SUITE 200,FAIRFAX,VA,UNITED STATES,22030-3410,703-691-7810,703-691-7812,,,,,,,Approved,11/25/1998,2/2/2010,Y,HTTP://WWW.KRACAPITALMANAGEMENT.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Other (specify),SUB-S CORPORATION,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,LABOR UNION,Y,N,N,N,N,N,N,,Y,"371,271,015.00",0,"371,271,015.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105192,801-33511,"THOMAS WRIGHT ASSET MANAGEMENT, INC.","THOMAS WRIGHT ASSET MANAGEMENT, INC.",782 JOHNNIE DODDS BLVD.,SUITE H-3,MT. PLEASANT,SC,USA,29464,843-971-4265,843-971-5955,,,,,,,Approved,1/12/1989,2/2/2010,Y,WWW.TWASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"68,131,902.00",0,"68,131,902.00",77,0,77,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,104855,801-14487,SALEM INVESTMENT COUNSELORS INC,SALEM INVESTMENT COUNSELORS INC,480 SHEPHERD STREET,,WINSTON SALEM,NC,UNITED STATES,27103,336-768-7230,336-760-2512,,,,,,,Approved,4/2/1979,2/2/2010,Y,WWW.SALEMINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,11-25 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,000,000,000.00",0,"1,000,000,000.00",750,0,750,Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,114505,801-67502,ALLEGIANCE FINANCIAL ADVISORS,ALLEGIANCE FINANCIAL ADVISORS INC.,,,,,,,480-443-1837,480-443-3827,,,,,,,Approved,1/22/2007,2/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"41,608,000.00",0,"41,608,000.00",26,0,26,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,130887,801-66767,VALIDEA CAPITAL MANAGEMENT LLC,VALIDEA CAPITAL MANAGEMENT LLC,,,,,,,860-656-6036,860-760-6661,,,,,,,Approved,5/31/2006,2/2/2010,Y,HTTP://WWW.VALIDEACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"48,711,987.00",0,"48,711,987.00",171,0,171,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,117098,801-66433,"KOENIG INVESTMENT ADVISORY, LLC",GREGORY ALAN KOENIG,1020 E JACKSON ST,,MEDFORD,OR,USA,97504,541-608-0551,541-608-0423,,,,,,,Approved,4/27/2006,2/2/2010,Y,WWW.KOENIGINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"54,842,700.00","498,522.00","55,341,222.00",325,3,328,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114428,801-63780,"BARES CAPITAL MANAGEMENT, INC.","BARES CAPITAL MANAGEMENT, INC.",221 W 6TH STREET,SUITE 1225,AUSTIN,TX,USA,78701,512-542-1083,512-542-1084,,,,,,,Approved,1/3/2005,2/2/2010,Y,HTTP://WWW.BARESCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"232,325,800.00","288,650.00","232,614,450.00",83,1,84,N,Y,N,Y,N,N,N,N,N,Y,CORP. RETIREMENT ADMINISTRATION,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,114691,801-60629,"THE YOUNG GROUP, INC.","THE YOUNG GROUP, INC.",4200 NORTH HIGHWAY 89-A,,SEDONA,AZ,UNITED STATES,86336-9632,928.282.4529,928.282.4528,,,,,,,Approved,10/12/2001,2/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"40,959,254.00",0,"40,959,254.00",33,0,33,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,140125,801-67084,FOUNDATION SERVICES LLC,FOUNDATION SERVICES LLC,640 WEST PUTNAM AVENUE,3RD FLOOR,GREENWICH,CT,UNITED STATES,6830,203-629-8552,203-547-6112,,,,,,,Approved,8/10/2006,2/2/2010,Y,WWW.FOUNDATIONSERVICES.CC,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,0,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"34,399,578.00","34,399,578.00",0,2,2,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,124492,801-66847,"HAWTREE ADVISORY GROUP, LLC","HAWTREE ADVISORY GROUP, LLC",6069 E. GRANT ROAD,,TUCSON,AZ,UNITED STATES,85712-2318,520-886-5161,520-886-5141,,,,,,,Approved,7/10/2006,2/1/2010,Y,WWW.HAWTREEGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"39,547,835.00","18,365.00","39,566,200.00",224,6,230,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,113075,801-60397,"W.WALL AND COMPANY, INC.","W.WALL AND COMPANY, INC.",TWO TOWN SQUARE,SUITE 310A,ASHEVILLE,NC,UNITED STATES,28803,828-651-9617,828-651-8101,,,,,,,Approved,7/6/2001,2/1/2010,Y,WALLCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"30,197,577.00",0,"30,197,577.00",345,0,345,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N
PLRO,116186,801-62957,"EHB FINANCIAL RESOURCES MANAGEMNT, INC.","EHB FINANCIAL RESOURCES MANAGEMENT, INC.",674 EXTON COMMONS,,EXTON,PA,UNITED STATES,19341,610-594-2701,610-594-2703,,,,,,,Approved,4/8/2004,2/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"47,000,000.00","47,000,000.00",0,280,280,Y,Y,N,Y,N,N,N,N,N,Y,TAX PREPARATION SERVICES,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,136089,801-64471,"PALISADE ASSET MANAGEMENT, LLC","PALISADE ASSET MANAGEMENT, LLC",333 SOUTH SEVENTH STREET,SUITE 440,MINNEAPOLIS,MN,UNITED STATES,55402,612-455-2900,612-455-2909,,,,,,,Approved,7/11/2005,2/1/2010,Y,WWW.PALISADEAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"225,779,069.00",0,"225,779,069.00",198,0,198,Y,Y,N,Y,N,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,110237,801-57008,TRADEMARK CAPITAL MANAGEMENT INC,TRADEMARK CAPITAL MANAGEMENT INC,2323 CURLEW ROAD,SUITE 6D,DUNEDIN,FL,UNITED STATES,34698,727-772-9500,727-772-9539,,,,,,,Approved,11/18/1999,2/1/2010,Y,WWW.TRADEMARKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"45,117,472.00",0,"45,117,472.00",386,0,386,Y,Y,N,Y,N,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,141605,801-67113,"DEKONING AND COMPANY, LLC","DEKONING AND COMPANY, LLC",1743 WAZEE STREET,SUITE 250,DENVER,CO,UNITED STATES,80202,303-573-1212,303-573-3885,,,,,,,Approved,8/25/2006,2/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,0,"41,000,000.00","41,000,000.00",0,4,4,N,N,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,Y,Y,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,137114,801-65004,SEVEN SUMMITS STRATEGIC INVESTMENTS,"SEVEN SUMMITS STRATEGIC INVESTMENT/SSSI, LLC",534 E. MAIN STREET,SUITE D,CHARLOTTESVILLE,VA,UNITED STATES,22902,434-293-9100,434-293-9040,,,,,,,Approved,1/9/2006,2/1/2010,Y,WWW.GO7NOW.COM,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,STOCK RATING COMPANIES,N,N,Y,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,Y,Y,N,Y,FORMULATE EQUITY OPTION STRATEGIES FOR ADVISORS AND HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,122708,801-61464,INDEX INVESTMENTS LLC,INDEX INVESTMENTS LLC,970 RITTENHOUSE RD,SUITE 300,EAGLEVILLE,PA,UNITED STATES,19403,610-666-8426,610-666-7704,,,,,,,Approved,10/4/2002,2/1/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"20,285,972.00",0,"20,285,972.00",2,0,2,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
PLRO,119130,801-62271,"PRIVATE FUND ADVISORS, INC.","PRIVATE FUND ADVISORS, INC.",523 BENFIELD ROAD,SUITE 203,SEVERNA PARK,MD,UNITED STATES,21146,410-384-9100,410-384-9117,,,,,,,Approved,8/20/2003,2/1/2010,Y,WWW.PRIVATEFUNDADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"115,000,000.00",0,"115,000,000.00",460,0,460,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,46173,801-58108,PARK AVENUE SECURITIES LLC,PARK AVENUE SECURITIES LLC,81 HIGHLAND,B-260,BETHLEHEM,PA,UNITED STATES,18017,1-800-221-3253,610-807-7700,,,,,,,Approved,11/13/2000,2/1/2010,Y,HTTP://WWW.GUARDIANLIFE.COM/SOLUTIONS/PRODUCT_PORTFOLIO/INVESTMENT_ADVISORY_SERVICES.HTML,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,More than 1000,"1,000",More than 1000,"1,100",More than 1000,"1,000",More than 1000,"1,100",More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,MISCELLANEOUS,Y,Y,N,Y,N,N,N,,Y,"10,337,956.00","2,909,111,087.00","2,919,449,043.00",116,"13,468","13,584",Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,N,N,Y,N,N,N,Y,N,N,,N,,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,Y,N,N,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,,Y,N,Y,Y,Y,N,Y,Y,Y,N,Y,Y,N,Y,Y,N,Y,N,Y,N,Y,N,N,N,N
BRO,129164,801-66355,CORNERSTONE INVESTMENT SERVICES,CORNERSTONE INVESTMENT SERVICES LLC,245 WATERMAN STREET,STE 301,PROVIDENCE,RI,USA,2906,401-453-5550,401-453-5554,,,,,,,Approved,3/17/2006,2/1/2010,Y,WWW.CORNERSTONERI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,RI,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"65,000,000.00","5,000,000.00","70,000,000.00",350,50,400,Y,Y,N,Y,N,N,Y,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,19836,801-54838,"INVESTMENTS BY PLANNERS, INC.","INVESTMENTS BY PLANNERS, INC.",2500 N. MILITARY TRAIL,SUITE 285,BOCA RATON,FL,UNITED STATES,33431,561-998-0909,561-997-2899,,,,,,,Approved,9/5/1997,2/1/2010,Y,PLANNERSINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"67,471,437.00","1,134,571.00","68,606,008.00",402,40,442,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,130934,801-62989,SIERRA FINANCIAL ADVISORY,SIERRA FINANCIAL ADVISORY INCORPORATED,202 PROVIDENCE MINE ROAD,SUITE 102,NEVADA CITY,CA,UNITED STATES,95959,530-470-8939,530-470-8749,,,,,,,Approved,3/22/2004,2/1/2010,Y,WWW.SIERRAADVISORY.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"39,710,000.00","12,184,843.00","51,894,843.00",93,181,274,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,122750,801-67547,ANDREWS & COMPANY,ANDREWS & COMPANY,"40 PEARL STREET, N.W.",SUITE 333-A   TRUST BUILDING,GRAND RAPIDS,MI,UNITED STATES,49503,616-458-3870,616-459-6069,,,,,,,Approved,2/8/2007,2/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"47,194,930.00","66,438,390.00","113,633,320.00",10,42,52,N,Y,N,N,N,N,N,N,N,Y,CONSULTATION SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146932,801-69093,GLOBAL X MANAGEMENT COMPANY LLC,GLOBAL X MANAGEMENT COMPANY LLC,410 PARK AVENUE,4TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-644-6440,646-514-5968,,,,,,,Approved,4/25/2008,2/1/2010,Y,WWW.GLOBALXFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"90,000,000.00",0,"90,000,000.00",8,0,8,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,113961,801-60743,"ASSET MANAGEMENT AND PLANNING, LLC","ASSET MANAGEMENT AND PLANNING, LLC",602 MEETING STREET SUITE C,,WEST COLUMBIA,SC,UNITED STATES,29169,803-739-6311,803-739-6318,,,,,,,Approved,12/5/2001,2/1/2010,Y,WWW.ASSETMGTPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"90,769,271.00","346,130.00","91,115,401.00",453,18,471,Y,Y,N,N,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119326,801-60957,"HOLT & SHAPARD CAPITAL MANAGEMENT, L.L.C.","HOLT & SHAPARD CAPITAL MANAGEMENT, L.L.C.",212 N. KINGSHIGHWAY BLVD. 1027,,ST. LOUIS,MO,UNITED STATES,63108,314/367-6300,314/367-6355,,,,,,,Approved,2/26/2002,2/1/2010,Y,WWW.HOLTSHAPARD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"29,755,478.00",0,"29,755,478.00",303,0,303,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,125584,801-61938,"MICHAEL J. PORRO & CO. FINANCIAL ADVISORS, LLC",MICHAEL J. PORRO & CO. FINANCIAL ADVISOR LLC,"180 OLD TAPPAN ROAD, BLDG.#5",,OLD TAPPAN,NJ,USA,07675-7052,201-768-0218,201-768-6467,,,,,,,Approved,4/2/2003,2/1/2010,Y,WWW.PORROFINANCIALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"22,092,660.00","14,425,089.00","36,517,749.00",114,124,238,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,141899,801-67995,"GRANITE STATE RETIREMENT PLANNING, INC.","GRANITE STATE RETIREMENT PLANNING, INC.",360 ROUTE 101,SUITE 1301,BEDFORD,NH,USA,3110,603-472-4447,603-472-4855,,,,,,,Approved,6/14/2007,2/1/2010,Y,WWW.GRANITESTATERETIREMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"49,500,000.00","49,500,000.00",0,488,488,Y,Y,N,Y,N,N,N,N,N,Y,SEMINARS,10-Jan,,Y,Y,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
BRO,128688,801-71041,SECHREST FINANCIAL SERVICES,SECHREST FINANCIAL SERVICES LLC,525 MAIN STREET SUITE 6,,ACTON,MA,UNITED STATES,1720,978-795-1284,978-263-3731,,,,,,,Approved,1/25/2010,2/1/2010,Y,WWW.SECHRESTFINANCIALSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,"30,766,343.00","30,766,343.00",0,127,127,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,118223,801-64483,"HOLLOWAY INVESTMENT ADVISORS, INC.","HOLLOWAY INVESTMENT ADVISORS, INC.","13221 SW 68TH PARKWAY, SUITE 420",,PORTLAND,OR,USA,97223,503.670.9086,503.670.9517,,,,,,,Approved,8/31/2005,2/1/2010,Y,WWW.HOLLOWAYADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"27,149,312.00",0,"27,149,312.00",56,0,56,N,Y,N,Y,N,N,N,N,N,Y,GENERAL CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,147220,801-69284,GLOBAL GURU CAPITAL LLC,GLOBAL GURU CAPITAL LLC,2710 THOMES AVE.,SUITE 1392,CHEYENNE,WY,UNITED STATES,82001,412-726-898,1-866-669-0227,,,,,,,Approved,6/18/2008,2/1/2010,Y,WWW.GLOBALGURUCAPITAL.COM,N,N,Y,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,969,723.00",0,"3,969,723.00",15,0,15,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,143754,801-67885,"MANAGEMY401K.COM, LLC","MANAGEMY401K.COM, LLC",2323 CURLEW ROAD,SUITE 6D,DUNEDIN,FL,UNITED STATES,34698,727-772-9530,727-772-9539,,,,,,,Approved,5/25/2007,2/1/2010,Y,WWW.MANAGEMY401K.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,Y,Y,N,N,N,,Y,"8,713,276.00",0,"8,713,276.00",39,0,39,N,Y,N,N,Y,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,133459,801-63865,TG CAPITAL MANAGEMENT LLC,TG CAPITAL MANAGEMENT LLC,1230 AVENUE OF THE AMERICAS,ROOM #744,NEW YORK,NY,UNITED STATES,10020,646-756-2833,270-716-7737,,,,,,,Approved,2/17/2005,2/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"75,000,000.00",0,"75,000,000.00",6,0,6,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT OF PRIVATE POOLED INVESTMENT VEHICLE,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,120936,801-61377,BLACKSTONE REAL ESTATE ADVISORS IV L.L.C.,BLACKSTONE REAL ESTATE ADVISORS IV L.L.C.,345 PARK AVENUE,,NEW YORK,NY,USA,10154,212-583-5000,212-583-5258,,,,,,,Approved,8/16/2002,3/29/2010,Y,WWW.BLACKSTONE.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"764,737,000.00",0,"764,737,000.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,152576,801-70940,"SAGE FUTURE FINANCIAL, LLC","SAGE FUTURE FINANCIAL, LLC","4800 JUAN TABO NE, SUITE D",,ALBUQUERQUE,NM,UNITED STATES,87111,505-298-4040,505-298-8080,,,,,,,Approved,12/18/2009,3/29/2010,Y,WWW.SAGEFUTURE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NM,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"36,735,905.00",0,"36,735,905.00",168,0,168,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,129699,801-62578,"INTEGRE ADVISORS, LLC","INTEGRE ADVISORS, LLC","277 PARK AVENUE, 49TH FLOOR",,NEW YORK,NY,UNITED STATES,10172,212-838-2300,212-812-4161,277 PARK AVENUE,49TH FLOOR,NEW YORK,NY,UNITED STATES,10172,Approved,12/12/2003,3/29/2010,Y,WWW.INTEGREADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"223,226,785.00","23,039,211.00","246,265,996.00",81,11,92,N,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106687,801-44099,EII REALTY SECURITIES INC,EII REALTY SECURITIES INC,"717 FIFTH AVENUE, 10TH FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-644-0794,212-644-0028,,,,,,,Approved,6/7/1993,3/29/2010,Y,WWW.EUROINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,26-50 percent,0 percent,26-50 percent,Up to 10 percent,FUND,Y,N,N,N,N,N,N,,Y,"2,589,779,951.00",0,"2,589,779,951.00",42,0,42,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,141395,801-67094,"CEDAR RIDGE PARTNERS, LLC","CEDAR RIDGE PARTNERS, LLC","45 E. PUTNAM AVE., SUITE 124",,GREENWICH,CT,UNITED STATES,6830,203-422-0080,203-422-0768,,,,,,,Approved,8/16/2006,3/29/2010,Y,WWW.CEDARRIDGEPARTNERS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,11-25 percent,0 percent,26-50 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"238,331,093.00",0,"238,331,093.00",19,0,19,N,Y,Y,N,N,N,N,N,N,Y,INVESTMENT MANAGEMENT FOR HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106129,801-37183,RKM ADVISORS INC,RKM ADVISORS INC,21 SOUTH HIGH STREET,STE 100,WEST CHESTER,PA,UNITED STATES,19382-3257,610-696-3689,610-696-6161,,,,,,,Approved,9/13/1990,3/29/2010,Y,WWW.RKMADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,Y,"3,150,692.00","107,149,907.00","110,300,599.00",6,89,95,Y,Y,N,Y,N,N,N,N,N,Y,TAX PREPARATION AND FINANCIAL & TAX ADVISORY SERVICES,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138208,801-64992,BLACKSTONE REAL ESTATE ADVISORS V L.P.,BLACKSTONE REAL ESTATE ADVISORS V L.P.,345 PARK AVENUE,,NEW YORK,NY,USA,10154,212-583-5000,212-583-5258,,,,,,,Approved,12/12/2005,3/29/2010,Y,WWW.BLACKSTONE.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,51-250,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,427,977,000.00",0,"3,427,977,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,138959,801-66245,"KRAL FINANCIAL ADVISORS, LLC","KRAL FINANCIAL ADVISORS, LLC",,,,,,,(734) 354-9720,(734) 354-9370,P.O. BOX 700953,,PLYMOUTH,MI,UNITED STATES,48170-0956,Approved,2/17/2006,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"58,295,000.00","20,873,000.00","79,168,000.00",222,110,332,Y,Y,N,Y,Y,N,N,N,N,Y,CONSULTATION SERVICES,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106022,801-40802,PENSION CONSULTING SERVICES INC,PENSION CONSULTING SERVICES INC,1531 BOETTLER ROAD,SUITE A,UNIONTOWN,OH,UNITED STATES,44685,330-896-2900,330-896-2910,,,,,,,Approved,2/14/1992,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"63,125,588.00",0,"63,125,588.00",278,0,278,Y,Y,N,N,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,131725,801-63301,"BREAKWATER FUND MANAGEMENT, LLC","BREAKWATER FUND MANAGEMENT, LLC",701 SANTA MONICA BOULEVARD,SUITE 350,SANTA MONICA,CA,USA,90401,310-458-4300,310-458-4378,,,,,,,Approved,6/29/2004,3/29/2007,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"11,500,000.00",0,"11,500,000.00",5,0,5,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131818,801-63443,HOTTINGER BROTHERS LLC,HOTTINGER BROTHERS LLC,1270 AVENUE OF THE AMERICAS,SUITE 400,NEW YORK,NY,USA,10020,212-332-7930,212-332-7931,,,,,,,Approved,8/18/2004,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"85,000,000.00",0,"85,000,000.00",31,0,31,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,142979,801-67509,BLACKSTONE REAL ESTATE ADVISORS VI L.P.,BLACKSTONE REAL ESTATE ADVISORS VI L.P.,345 PARK AVENUE,,NEW YORK,NY,USA,10154,212-583-5000,212-583-5258,,,,,,,Approved,1/24/2007,3/29/2010,Y,WWW.BLACKSTONE.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,51-250,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"7,906,640,000.00",0,"7,906,640,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,23224,801-69919,"MADISON AVENUE SECURITIES, INC.","MADISON AVENUE SECURITIES, INC.",15050 AVENUE OF SCIENCE,SUITE 150,SAN DIEGO,CA,UNITED STATES,92128,858-207-1300,858-271-8275,,,,,,,Approved,2/24/2009,3/29/2010,Y,WWW.MAS-BD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"111,100,000.00","111,100,000.00",0,"1,000","1,000",Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106541,801-30025,HOTTINGER CAPITAL CORP,HOTTINGER CAPITAL CORP,1270 AVENUE OF THE AMERICAS,SUITE 400,NEW YORK,NY,USA,10020,212-332-7930,212-332-7931,,,,,,,Approved,7/17/1987,3/29/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"436,000,000.00",0,"436,000,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,118181,801-68553,"COX WEALTH MANAGEMENT, LLC","COX WEALTH MANAGEMENT, LLC",6031 SHALLOWFORD ROAD,SUITE 109,CHATTANOOGA,TN,UNITED STATES,37421-1984,423-894-3882,423-899-6502,P.O. BOX 22967,,CHATTANOOGA,TN,UNITED STATES,37422-2967,Approved,11/13/2007,3/29/2010,Y,HTTP://WWW.COXFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"26,071,242.00","5,817,020.00","31,888,262.00",160,28,188,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,106552,801-40981,WEST ELLIS INVESTMENT MANAGEMENT INC,WEST ELLIS INVESTMENT MANAGEMENT INC,226 EAST MOULTON STREET,,DECATUR,AL,UNITED STATES,35601,256-353-2126,256-353-9088,P.O. BOX 2253,,DECATUR,AL,UNITED STATES,35609-2253,Approved,3/25/1992,1/14/2009,Y,WESTELLIS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"31,529,580.00",0,"31,529,580.00",81,0,81,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,136686,801-64682,"GRUBB & ELLIS ALESCO GLOBAL ADVISORS, LLC","GRUBB & ELLIS ALESCO GLOBAL ADVISORS, LLC",400 EL CAMINO REAL,SUITE 1250,SAN MATEO,CA,UNITED STATES,94402,650-653-5600,650-650-5610,,,,,,,Approved,8/30/2005,3/29/2010,Y,WWW.ALESCOGLOBAL.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"7,988,735.00",0,"7,988,735.00",5,0,5,N,N,Y,N,N,N,N,N,N,Y,GENERAL PARTNER OF HEDGE FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106382,801-14549,CSI CAPITAL MANAGEMENT INC,CSI CAPITAL MANAGEMENT INC,600 CALIFORNIA STREET,18TH FLOOR,SAN FRANCISCO,CA,UNITED STATES,94108,415-354-3000,415-678-4132,,,,,,,Approved,5/3/1979,3/29/2010,Y,WWW.CSICAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ANNUAL FEE SUBJECT TO PERIODIC ADJUSTMENT.,Y,"991,962,080.00","25,572,438.00","1,017,534,518.00","1,186",23,"1,209",Y,Y,Y,Y,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,131413,801-63788,PHILADELPHIA FINANCIAL,"PHILADELPHIA FINANCIAL MANAGEMENT OF SAN FRANCISCO, LLC",450 SANSOME ST,SUITE 1500,SAN FRANCISCO,CA,UNITED STATES,94111,(415) 352-4463,(415) 352-4473,,,,,,,Approved,1/3/2005,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"425,536,668.00",0,"425,536,668.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,130952,801-62933,"PEAK INVESTMENTS, LLC","PEAK INVESTMENTS, LLC",865 S. FIGUEROA STREET,SUITE 700,LOS ANGELES,CA,UNITED STATES,90017,213-891-6311,213-452-2811,,,,,,,Approved,3/25/2004,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,N,N,N,Y,N,Y,N,,Y,"711,622,782.00","1,114,237.00","712,737,019.00",23,2,25,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106199,801-51163,"NAVIGATOR MONEY MANAGEMENT, INC.","NAVIGATOR MONEY MANAGEMENT, INC.","1207 ROUTE 9, SUITE 10",,WAPPINGERS FALLS,NY,USA,12590,845-297-3500,845-297-1180,,,,,,,Approved,2/5/1996,3/29/2010,Y,NAVIGATORMONEY.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,More than 500,500,26-50 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"101,000,000.00",0,"101,000,000.00","1,225",0,"1,225",N,Y,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,Y,MUTUAL FUND NEWSLETTER,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,148265,801-69802,"CRESCENT STRATEGIC, LLC","CRESCENT STRATEGIC, LLC",,,,,,,(+62) 21-751-2913,(+62) 21-7581-6749,,,,,,,Approved,1/7/2009,3/6/2010,Y,WWW.CRESCENTSTRATEGIC.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"38,768.00",0,"38,768.00",3,0,3,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111772,801-39255,"THE CAMPBELL ORGANIZATION, INC.","THE CAMPBELL ORGANIZATION, INC.",54 SHREWSBURY AVE,,RED BANK,NJ,UNITED STATES,7701,732-933-4116,732-933-4528,,,,,,,Approved,6/28/1991,1/9/2009,Y,WWW.CAMPBELLORGANIZATION.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"95,000,000.00","95,000,000.00",0,475,475,N,Y,N,N,N,Y,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106768,801-38549,"CAPITAL RESOURCE MANAGEMENT,INC.",CAPITAL RESOURCE MANAGEMENT INC,770 LAKE COOK RD,SUITE 370,DEERFIELD,IL,UNITED STATES,60015,847-948-1700,847-948-1705,,,,,,,Approved,4/12/1991,3/8/2010,Y,WWW.CRMINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,0,"292,238,273.00","292,238,273.00",0,130,130,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112081,801-58191,"ASPEN GOLD INVESTMENT MANAGEMENT, INC.","ASPEN GOLD INVESTMENT MANAGEMENT, INC.",4020 E. BELTLINE AVE NE,SUITE 103,GRAND RAPIDS,MI,USA,49525,616-361-2500,616-361-2543,,,,,,,Approved,12/8/2000,3/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"47,166,349.00","244,550.00","47,410,899.00",225,5,230,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,121868,801-70012,"REGAN INVESTMENTS, INC.","REGAN INVESTMENTS, INC.",1660 SOUTH HIGHWAY 100,SUITE 230,ST. LOUIS PARK,MN,UNITED STATES,55416,952-473-1080,952-473-1081,,,,,,,Approved,4/2/2009,3/8/2010,Y,WWW.REGANINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE OF PROFITS,Y,"42,068,459.00","6,694,923.00","48,763,382.00",199,42,241,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,124955,801-69801,"INCOME & ASSET ADVISORY, INC.","INCOME & ASSET ADVISORY, INC.","80 BUSINESS PARK DRIVE, SUITE 304",,ARMONK,NY,UNITED STATES,10504,914-273-6800,914-273-6806,,,,,,,Approved,1/2/2009,3/8/2010,Y,HTTP://WWW.THEADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"66,500,000.00",0,"66,500,000.00",336,0,336,Y,Y,N,N,N,N,Y,N,Y,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107425,801-44188,BERNO FINANCIAL MANAGEMENT INC,BERNO FINANCIAL MANAGEMENT INC,7454 JAGER COURT,,CINCINNATI,OH,UNITED STATES,45230-4344,513-474-9191,513-474-2889,,,,,,,Approved,6/22/1993,3/8/2010,Y,WWW.BERNOFINMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"71,285,589.00","8,953,976.00","80,239,565.00",304,25,329,Y,Y,N,Y,N,N,Y,N,N,Y,CONSULTATION SERVICES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,117984,801-61296,"BUCKINGHAM CAPITAL MANAGEMENT, INC.","BUCKINGHAM CAPITAL MANAGEMENT, INC.",6856 LOOP ROAD,,DAYTON,OH,UNITED STATES,45459,937-435-2742,937-435-3083,,,,,,,Approved,7/18/2002,3/8/2010,Y,WWW.BCMINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,More than 500,500,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,PRIVATE FAMILY PARTNERSHIPS,Y,Y,N,Y,N,N,Y,VARYING FEES FOR WORKSHOPS; FIXED FEES FOR BACK OFFICE ADMIN,Y,"171,200,657.00","48,810,104.00","220,010,761.00","1,726",207,"1,933",N,Y,N,Y,N,Y,Y,N,N,Y,"CONSULTATION SERVICES, EDUCATIONAL WORKSHOPS AND SEMINARS",0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,109417,801-57761,"INVESTEC ADVISORY GROUP, L.P.","INVESTEC ADVISORY GROUP, L.P.",4900 WOODWAY,SUITE 550,HOUSTON,TX,UNITED STATES,77056,713-622-9111,713-993-0253,,,,,,,Approved,7/19/2000,3/8/2010,Y,WWW.INVESTEC.US,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"180,000,000.00","20,000,000.00","200,000,000.00",431,14,445,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108042,801-57217,BISHOP STREET CAPITAL MANAGEMENT,BISHOP STREET CAPITAL MANAGEMENT CORP,FIRST HAWAIIAN CENTER,"999 BISHOP STREET, SUITE 2806",HONOLULU,HI,USA,96813,808-525-6246,808-525-8110,POST OFFICE BOX 3708,,HONOLULU,HI,USA,96811,Approved,2/17/2000,3/8/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,HI,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,0 percent,51-75 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,230,651,191.00",0,"2,230,651,191.00",367,0,367,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,146511,801-69024,"BIGSUR WEALTH MANAGEMENT, LLC","BIGSUR WEALTH MANAGEMENT, LLC",1395 BRICKELL AVENUE,SUITE 740,MIAMI,FL,UNITED STATES,33131,305-740-6777,305-350-9998,,,,,,,Approved,4/3/2008,3/8/2010,Y,WWW.BIGSURPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"179,955,760.00","128,763,891.00","308,719,651.00",44,32,76,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,137481,801-69884,"ROCKWOOD WEALTH MANAGEMENT, LLC","ROCKWOOD WEALTH MANAGEMENT, LLC",362 WEST BRIDGE STREET,,NEW HOPE,PA,UNITED STATES,18938,267-983-6400,,,,,,,,Approved,1/26/2009,3/8/2010,Y,BOOTHADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"69,548,830.00",0,"69,548,830.00",449,0,449,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,111044,801-56525,CPA WEALTH MANAGEMENT SERVICES PA,CPA WEALTH MANAGEMENT SERVICES PA,215 BAYTREE DR,,MELBOURNE,FL,UNITED STATES,32940,321-254-1668,321-259-8648,,,,,,,Approved,5/27/1999,3/8/2010,Y,WWW.CPAWMS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"201,081,712.00",0,"201,081,712.00",528,0,528,Y,Y,N,N,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,116837,801-60715,"NORDEA INVESTMENT MANAGEMENT NORTH AMERICA, INC.","NORDEA INVESTMENT MANAGEMENT NORTH AMERICA, INC.",437 MADISON AVENUE,22ND FLOOR,NEW YORK,NY,USA,10022,212-318-9300,212-603-2859,,,,,,,Approved,11/20/2001,3/8/2010,Y,HTTP://WWW.NORDEA.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,11-25 percent,26-50 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"371,850,039.00",0,"371,850,039.00",5,0,5,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,125768,801-63181,RDK FINANCIAL GROUP,"KRENTZ, RICHARD DAVID",,,,,,,845-348-0252,845-358-5723,,,,,,,Approved,5/14/2004,3/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"51,506,000.00","1,651,000.00","53,157,000.00",75,5,80,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,153104,801-71218,HERMES INVESTMENT MANAGEMENT LIMITED,HERMES INVESTMENT MANAGEMENT LIMITED,LLOYDS CHAMBERS,1 PORTSOKEN STREET,LONDON,,UNITED KINGDOM,E1 8HZ,+44 207 702 0888,+44 207 702 9452,,,,,,,Approved,4/5/2010,3/8/2010,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),UK PRIVATE LIMITED COMPANY,,UNITED KINGDOM,251-500,0,51-250,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,IRISH UCITS FUNDS,Y,N,N,Y,N,Y,N,,Y,"24,762,000,000.00",0,"24,762,000,000.00",40,0,40,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES INCLUDING IRISH UCITS FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109136,801-57825,MOTT & ASSOCIATES INC,MOTT & ASSOCIATES INC,19000 DAVIDSON-CONCORD ROAD,,DAVIDSON,NC,UNITED STATES,28036,704-896-6841,704-896-6843,PO BOX 2507,,DAVIDSON,NC,UNITED STATES,28036,Approved,8/3/2000,3/8/2010,Y,WWW.MOTTANDASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"30,152,020.00","9,650,073.00","39,802,093.00",228,24,252,Y,Y,N,N,N,N,N,N,N,N,,26-50,,Y,Y,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,116524,801-64887,"MIDATLANTIC CAPITAL MANAGEMENT, INC.","MIDATLANTIC CAPITAL MANAGEMENT, INC.",11448 ROBIOUS ROAD,,RICHMOND,VA,UNITED STATES,23235,804-272-9200,804-272-9102,,,,,,,Approved,11/18/2005,3/8/2010,Y,WWW.MIDATLANTIC-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"95,389,696.00","72,216.00","95,461,912.00",146,7,153,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108546,801-56418,RANDALL PAUL MARTIN,RANDALL PAUL MARTIN,,,,,,,404-237-1286,,PO BOX 52308,,ATLANTA,GA,UNITED STATES,30355,Approved,6/25/1999,3/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"70,000,000.00",0,"70,000,000.00",57,0,57,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,116165,801-69958,"ARGOS INVESTMENT ADVISORS, LLC","ARGOS INVESTMENT ADVISORS, LLC",7733 FORSYTH BLVD,SUITE 1375,ST. LOUIS,MO,UNITED STATES,63105,314-898-9893,314-898-9901,,,,,,,Approved,3/16/2009,3/8/2010,Y,WWW.ARGOS-PARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,950,034.00","332,041,861.00","333,991,895.00",1,231,232,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,150107,801-70140,INTERNATIONAL ASSET MANAGEMENT LIMITED,INTERNATIONAL ASSET MANAGEMENT LIMITED,7 CLIFFORD STREET,,LONDON,,UNITED KINGDOM,W1S 2FT,+44 207 734 8488,+44 207 287 7129,,,,,,,Approved,5/15/2009,3/8/2010,Y,WWW.IAM.UK.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,865,296,549.00","659,533,116.00","2,524,829,665.00",70,4,74,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,47798,801-56596,ACA/PRUDENT INVESTORS PLANNING CORPORATION,ACA/PRUDENT INVESTORS PLANNING CORPORATION,239 ROUTE 22 EAST,THIRD FLOOR,GREEN BROOK,NJ,UNITED STATES,8812,732-926-1100,732-926-1137,,,,,,,Approved,6/15/1999,3/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,More than 500,"1,000",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"77,144,194.00",0,"77,144,194.00","1,832",0,"1,832",N,N,N,N,N,N,N,N,Y,N,,10-Jan,,N,N,Y,N,N,N,Y,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110302,801-23526,JMG FINANCIAL GROUP LTD,JMG FINANCIAL GROUP LTD,2301 W. 22ND STREET SUITE 300,,OAK BROOK,IL,UNITED STATES,60523-1264,630-571-5252,630-571-3821,,,,,,,Approved,2/13/1985,3/8/2010,Y,WWW.JMGFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,500,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,A PERCENTAGE OF ASSETS,Y,"985,991,000.00","68,311,000.00","1,054,302,000.00","1,499",126,"1,625",Y,Y,N,Y,Y,Y,N,N,N,N,,More than 500,500,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110836,801-39935,EXCALIBUR MANAGEMENT CORP,EXCALIBUR MANAGEMENT CORP,"3 POST OFFICE SQUARE, SUITE 700",,BOSTON,MA,USA,02109-3905,617-451-6707,617-426-4252,,,,,,,Approved,9/11/1991,3/8/2010,Y,WWW.EXCALMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"720,625,131.00",0,"720,625,131.00",561,0,561,N,Y,N,N,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105414,801-11499,"PATTEN AND PATTEN, INC.","PATTEN AND PATTEN, INC.",520 LOOKOUT STREET,,CHATTANOOGA,TN,UNITED STATES,37403-1713,423.756.3480,423.267.0009,,,,,,,Approved,5/12/1976,3/8/2010,Y,WWW.PATTENINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,700,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"730,668,324.00","212,674,230.00","943,342,554.00","1,675",345,"2,020",N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,113918,801-60455,EMERALD RESEARCH CORP.,EMERALD RESEARCH CORPORATION,,,,,,,732-842-3465,,,,,,,,Approved,8/3/2001,3/8/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,0,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,124,718.00",0,"2,124,718.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110823,801-40164,INVESTORS CAPITAL MANAGEMENT INC,INVESTORS CAPITAL MANAGEMENT INC,71 ROWAYTON AVENUE,,ROWAYTON,CT,UNITED STATES,6853,203-857-4321,203-857-4327,,,,,,,Approved,10/2/1991,3/8/2010,Y,WWW.INCAPMAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"40,819,961.00",0,"40,819,961.00",193,0,193,Y,Y,N,Y,Y,N,N,N,N,Y,SELECTION OF OTHER ADVISORS AND/OR SUPERVISION,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,47502,801-63052,G.L. SMITH & ASSOCIATES,"G.L.S. & ASSOCIATES, INC.",200 CLINTON AVENUE,SUITE 707,HUNTSVILLE,AL,USA,35801,256-539-4805,256-534-2002,,,,,,,Approved,5/10/2004,3/8/2010,Y,WWW.GLSAINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"96,471,124.00","96,471,124.00",0,"2,176","2,176",Y,Y,N,N,Y,Y,N,N,Y,N,,251-500,,N,N,Y,Y,N,N,Y,N,N,,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,147518,801-70625,INSIGHT FINANCIAL SERVICES,"IFS ADVISORS, LLC",7101 COLLEGE BLVD.,SUITE 1501,OVERLAND PARK,KS,UNITED STATES,66210,913-402-2020,913-402-2021,,,,,,,Approved,10/13/2009,3/8/2010,Y,WWW.INSIGHT-FS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISORY FEES,Y,"42,806,410.00",0,"42,806,410.00",410,0,410,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,144792,801-68260,"SPARTA ASSET MANAGEMENT, LLC","SPARTA ASSET MANAGEMENT, LLC",6250 N. RIVER ROAD,SUITE 1000,ROSEMONT,IL,USA,60018,847-993-8100,847-692-2245,,,,,,,Approved,8/16/2007,3/29/2010,Y,WWW.SPARTAMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,11-25 percent,0 percent,0 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,INSTITUTIONAL ACCOUNT,Y,N,N,N,N,N,N,,Y,"423,874,241.00",0,"423,874,241.00",32,0,32,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,129752,801-62692,QUANTITATIVE MANAGEMENT ASSOCIATES,QUANTITATIVE MANAGEMENT ASSOCIATES LLC,GATEWAY CENTER 2,MCCARTER HIGHWAY & MARKET STREET,NEWARK,NJ,USA,7102,973-367-7669,973-802-8025,,,,,,,Approved,1/23/2004,3/29/2010,Y,WWW.QMASSOCIATES.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,51-250,0,51-250,0,Nov-50,0,0,0,101-250,0,0 percent,0 percent,Up to 10 percent,11-25 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"70,079,218,080.00",0,"70,079,218,080.00",127,0,127,N,Y,Y,Y,Y,Y,Y,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
CHRO,106160,801-52668,MITCHELL VAUGHT & TAYLOR INC,MITCHELL VAUGHT & TAYLOR INC,53 W. JACKSON SUITE 905,,CHICAGO,IL,UNITED STATES,60604,312-922-1717,312-922-1772,,,,,,,Approved,8/12/1996,3/29/2010,Y,DVAUGHT@MVTINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"248,359,335.00",0,"248,359,335.00",199,0,199,Y,Y,N,Y,Y,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,132410,801-68104,KENFIELD CAPITAL STRATEGIES,"STRATEGIC INVESTMENT ADVISORS, INC.",11900 W. OLYMPIC BLVD.,SUITE 520,LOS ANGELES,CA,USA,90064,310-734-4740,310-216-7119,,,,,,,Approved,7/2/2007,3/29/2010,Y,HTTP://WWW.SIA-LA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"41,269,543.00","8,633,754.00","49,903,297.00",311,69,380,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,150685,801-70398,ASCENT IT LLC,ASCENT IT LLC,109 E 17TH,#25,CHEYENNE,WY,UNITED STATES,82001,307 459 4701,N.A.,,,,,,,Approved,7/15/2009,3/29/2010,Y,WWW.ASCENT-INVESTMENTS.US,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151578,801-70672,MIDOCEAN CREDIT PARTNERS,"MIDOCEAN CREDIT FUND MANAGEMENT, L.P.",320 PARK AVENUE,SUITE 1700,NEW YORK,NY,UNITED STATES,10022-6924,212-497-1400,212-497-1376,,,,,,,Approved,10/14/2009,3/29/2010,Y,WWW.MIDOCEANPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"143,856,870.00",0,"143,856,870.00",3,0,3,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT MANAGER TO CREDIT FUND,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,129776,801-62601,"NELSON ROBERTS INVESTMENT ADVISORS, LLC","NELSON ROBERTS INVESTMENT ADVISORS, LLC",1950 UNIVERSITY AVENUE,#202,EAST PALO ALTO,CA,UNITED STATES,94303,(650) 322-4000,650 322-4002,,,,,,,Approved,1/2/2004,3/29/2010,Y,WWW.NELSONROBERTS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"215,188,092.00","6,168,358.00","221,356,450.00",283,116,399,Y,Y,Y,Y,N,Y,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,45899,801-55918,MCADAMS WRIGHT RAGEN CAPITAL MANAGEMENT,"MCADAMS WRIGHT RAGEN, INC.",925 FOURTH AVENUE,SUITE #3900,SEATTLE,WA,UNITED STATES,98104,206-664-8850,206-470-3512,,,,,,,Approved,10/5/1998,3/29/2010,Y,WWW.MWRINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"1,000",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"522,634,348.00","178,547,875.00","701,182,223.00",885,380,"1,265",Y,Y,N,Y,N,Y,Y,N,N,N,,26-50,,N,N,Y,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,N,N,N,N,N,N
PLRO,133169,801-63846,"DEKANIA CAPITAL MANAGEMENT, LLC","DEKANIA CAPITAL MANAGEMENT, LLC",2929 ARCH STREET,17TH FLOOR,PHILADELPHIA,PA,USA,19104,215 701-9635,215 701-8278,2929 ARCH STREET,17TH FLOOR,PHILADELPHIA,PA,USA,19104,Approved,2/4/2005,3/29/2010,Y,WWW.COHENANDCOMPANY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,STRUCTURING FEE AND SUPPLEMENTAL TRAILING FEE,Y,"614,910,000.00",0,"614,910,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,MANAGE COLLATERALIZED DEBT OBLIGATION (CDO),,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,148295,801-69676,CAPVENT US ADVISORS LLC,CAPVENT US ADVISORS LLC,DUFOURSTRASSE 24,,ZURICH,,SWITZERLAND,CH-8008,011 41 43 500 5070,011 41 43 500 5079,,,,,,,Approved,10/23/2008,3/29/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,REGISTERED INVESTMENT ADVISERS,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,Y,SUB ADVISORY SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,150614,801-70275,"MARSHFIELD ASSOCIATES, INC.","MARSHFIELD ASSOCIATES, INC.",21 DUPONT CIRCLE NW,SUITE 500,WASHINGTON,DC,UNITED STATES,20036,202-828-6200,202-828-6208,,,,,,,Approved,6/24/2009,3/29/2010,Y,WWW.MARSHFIELDINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DC,UNITED STATES,Nov-50,0,10-Jun,0,0,0,10-Jun,0,More than 500,500,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,314,660,984.00","14,165,931.00","1,328,826,915.00",726,6,732,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,122443,801-71087,STEVEN AYERS & COMPANY,STEVEN AYERS & COMPANY,5758 BALCONES DR,SUITE 203,AUSTIN,TX,UNITED STATES,78731,512-233-2968,512-233-2968,12407 N MOPAC EXPRESSWAY #100,PMB 217,AUSTIN,TX,UNITED STATES,78758,Approved,2/18/2010,3/29/2010,Y,WWW.STEVENAYERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,ON-REQUEST PROJECT FEES,Y,"28,601,621.00",0,"28,601,621.00",154,0,154,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135884,801-65693,"TITAN CAPITAL GROUP III, LP","TITAN CAPITAL GROUP III, LP","405 LEXINGTON AVENEUE, 51ST FLOOR",,NEW YORK,NY,UNITED STATES,10174,212-750-5700,212-418-1369,,,,,,,Approved,1/27/2006,3/29/2010,Y,WWW.TITANCAPITAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"382,200,000.00",0,"382,200,000.00",9,0,9,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,145207,801-68394,SOUTHEASTERN ASSET MANAGEMENT INTERNATIONAL (UK) LTD.,SOUTHEASTERN ASSET MANAGEMENT INTERNATIONAL (UK) LTD.,37 UPPER BROOK STREET,,LONDON,,UNITED KINGDOM,W1K7PR,44(0) 20 7478 9064,44(0) 20 7478 9061,"C/O SOUTHEASTERN ASSET MANAGEMENT, INC.","6410 POPLAR AVENUE, SUITE 900",MEMPHIS,TN,UNITED STATES,38119-4843,Approved,9/27/2007,3/29/2010,N,,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,PARTNERSHIPS,Y,N,N,Y,N,N,Y,FEES FROM PARENT COMPANY REVIEWED ANNUALLY,N,0,0,0,0,0,0,N,Y,Y,Y,N,N,N,N,N,Y,"INVESTMENT RESEARCH FOR PARENT COMPANY WHICH RETAINS DISCRETION OVER PORTFOLIOS LISTED IN ITEM 5G.(2), (3) AND (4)",,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
DRO,114358,801-67559,WINVEST INVESTMENTS L.P.,WINVEST INVESTMENTS L.P.,20349 PAHGRE ROAD,,MONTROSE,CO,UNITED STATES,81403-8627,970-249-3602,970-249-3625,,,,,,,Approved,3/13/2007,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"6,056,235.00","25,433,032.00","31,489,267.00",6,25,31,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,139603,801-66600,"COHEN & COMPANY MANAGEMENT, LLC","COHEN & COMPANY MANAGEMENT, LLC",2929 ARCH STREET,17TH FLOOR,PHILADELPHIA,PA,UNITED STATES,19104,215 701-9635,215 701-8278,,,,,,,Approved,5/3/2006,3/29/2010,Y,WWW.COHENANDCOMPANY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"16,205,942,561.00",0,"16,205,942,561.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,EXTERNAL MANAGER OF A REIT,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,112738,801-60253,CITIZENS INVESTMENT ADVISORS,CITIZENS INVESTMENT ADVISORS,CITIZENS BANK,ONE CITIZENS PLAZA,PROVIDENCE,RI,USA,2903,401-282-1202,401-455-5310,MAIL STOP RC 03-30,ONE CITIZENS PLAZA,PROVIDENCE,RI,USA,2903,Approved,5/30/2001,3/29/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),SEPARATELY IDENTIFIABLE DEPT. OF RBS CITIZENS N.A.,RI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"196,032,879.00",0,"196,032,879.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,Y,N,,N,,N,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,133171,801-63845,"COHEN & COMPANY FINANCIAL MANAGEMENT, LLC","COHEN & COMPANY FINANCIAL MANAGEMENT, LLC",2929 ARCH STREET,17TH FLOOR,PHILADELPHIA,PA,USA,19104,215 701-9635,215 701-8278,,,,,,,Approved,2/4/2005,3/29/2010,Y,WWW.COHENANDCOMPANY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"7,110,267,905.00",0,"7,110,267,905.00",17,0,17,N,N,N,N,N,N,N,N,N,Y,MANAGE COLLATERALIZED DEBT OBLIGATIONS (CDO),,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105153,801-15530,"BOWEN, HANES & CO INC","BOWEN, HANES & CO INC",3290 NORTHSIDE PARKWAY,SUITE 880,ATLANTA,GA,USA,30327,404-995-0507,404-995-0324,,,,,,,Approved,9/29/1980,3/29/2010,Y,WWW.BOWENHANES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,905,765,836.00",0,"1,905,765,836.00",194,0,194,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109570,801-57543,"DIVERSIFIED PARTNERS, INC.",DIVERSIFIED PARTNERS INC,"103 FOULK ROAD, SUITE 200",,WILMINGTON,DE,USA,19803,302-654-7584,302-658-4269,,,,,,,Approved,5/2/2000,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,N,,Y,"88,945,820.00",0,"88,945,820.00",3,0,3,N,N,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,141938,801-67663,BRIGADIER CAPITAL MANAGEMENT LLC,BRIGADIER CAPITAL MANAGEMENT LLC,135 EAST 57TH STREET,21ST FLOOR,NEW YORK,NY,UNITED STATES,10022,646-673-8000,646-673-8100,,,,,,,Approved,4/19/2007,3/29/2010,Y,WWW.COHENANDCOMPANY.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"18,384,911.00",0,"18,384,911.00",3,0,3,N,N,N,Y,N,N,N,N,N,Y,HEDGE FUND MANAGER,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137798,801-65764,HUNTER GLOBAL INVESTORS,HUNTER GLOBAL INVESTORS L.P.,485 MADISON AVENUE,22ND FLOOR,NEW YORK,NY,USA,10022-5811,212-453-8900,212-453-8991,,,,,,,Approved,1/24/2006,3/29/2010,Y,WWW.HGINVESTORS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,079,214,888.00",0,"1,079,214,888.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,"PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES (I.E., HEDGE FUNDS)",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131570,801-63229,"COLONIAL CONSULTING, LLC","COLONIAL CONSULTING, LLC",750 THIRD AVENUE,20TH FLOOR,NEW YORK,NY,USA,10017,212-218-4900,212-218-4930,,,,,,,Approved,6/7/2004,3/29/2010,Y,COLONIALCONSULTING.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,51-75 percent,0 percent,0 percent,26-50 percent,ENDOWMENTS/FOUNDATIONS,Y,N,N,Y,N,Y,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,Y,"INVESTMENT CONSULTING SERVICES INCLUDING ASSET ALLOCATION STRATEGY,PERFORMANCE MEASUREMENT",0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,135292,801-64230,"LIFE&WEALTH ADVISORS, INC.","LIFE&WEALTH ADVISORS, INC.",1399 YGNACIO VALLEY ROAD,SUITE 29,WALNUT CREEK,CA,USA,94598,(925) 937-7800,(925) 933-8317,,,,,,,Approved,4/28/2005,3/29/2010,Y,WWW.LWADVICE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE OF NET WORTH,Y,"41,252,135.00","702,365.00","41,954,500.00",233,18,251,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108392,801-9075,BADGLEY PHELPS INVESTMENT MANAGERS,"BADGLEY, PHELPS AND BELL, INC.",1420 FIFTH AVENUE,SUITE 3200,SEATTLE,WA,UNITED STATES,98101-2349,206-623-6172,206-623-2042,,,,,,,Approved,2/1/1973,3/29/2010,Y,WWW.BADGLEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,500,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,219,646,833.00","262,078,386.00","1,481,725,219.00",749,106,855,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107474,801-36921,RITTER WEALTH COUNSEL,RITTER BRUCE CHARLES,"25 MITCHELL BLVD, STE 1",,SAN RAFAEL,CA,UNITED STATES,94903-2013,415-479-3525,866-708-1313,,,,,,,Approved,7/9/1990,3/29/2010,Y,WWW.RITTERCOUNSEL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,0,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"73,003,156.00","73,003,156.00",0,30,30,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,37214,801-46649,CUTWATER ASSET MANAGEMENT,CUTWATER ASSET MANAGEMENT CORP.,113 KING ST,,ARMONK,NY,UNITED STATES,10504-1610,800-395-5505,800-765-7600,,,,,,,Approved,6/1/1994,3/29/2010,Y,WWW.CUTWATER.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"23,182,630,513.00",0,"23,182,630,513.00",79,0,79,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N
CHRO,105471,801-35657,OBERWEIS ASSET MANAGEMENT INC,OBERWEIS ASSET MANAGEMENT INC,3333 WARRENVILLE ROAD,SUITE 500,LISLE,IL,USA,60532,630-577-2300,630-245-0410,,,,,,,Approved,1/4/1990,3/29/2010,Y,WWW.OBERWEIS.NET,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"556,132,746.00",0,"556,132,746.00",70,0,70,N,Y,Y,Y,N,N,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,140639,801-66839,"SOVEREIGN WEALTH ADVISORS, INC.","SOVEREIGN WEALTH ADVISORS, INC.",777 108TH AVENUE NE,SUITE 1880,BELLEVUE,WA,UNITED STATES,98004,425-289-4222,425-289-1896,,,,,,,Approved,6/12/2006,3/29/2010,Y,WWW.SOVEREIGNWA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"89,743,086.00","6,271,664.00","96,014,750.00",349,10,359,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,130538,801-67376,"NORTHWEST CRITERION ASSET MANAGEMENT, L.L.C.","NORTHWEST CRITERION ASSET MANAGEMENT, L.L.C.",34 CHAMBERS STREET,,PRINCETON,NJ,UNITED STATES,8542,609-924-4488,609-924-1155,,,,,,,Approved,1/3/2007,3/29/2010,Y,WWW.NWCRITERION.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"28,492,683.00","2,132,510.00","30,625,193.00",114,4,118,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,149834,801-70044,"SEAWALL CAPITAL MANAGEMENT, LLC","SEAWALL CAPITAL MANAGEMENT, LLC",470 ATLANTIC AVENUE,4TH FLOOR,BOSTON,MA,UNITED STATES,2210,6172738284,6172738283,,,,,,,Approved,4/15/2009,3/29/2010,Y,WWW.SEAWALLCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"113,200,000.00",0,"113,200,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT ADVICE TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104828,801-27267,PHOENIX ASSET MANAGEMENT INC,PHOENIX ASSET MANAGEMENT INC,1750 S BRENTWOOD BLVD STE 853,,ST. LOUIS,MO,USA,63144,314-961-0014,314-961-1858,,,,,,,Approved,6/20/1986,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,LABOR UNION GENERAL ACCOUNT,Y,N,N,N,N,N,N,,Y,"96,894,599.00",0,"96,894,599.00",5,0,5,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106851,801-43319,"JOHNSON MARTIN ADVISORS, INC.",JOHNSON MARTIN ADVISORS INC,,,,,,,310-275-5265,310-275-5829,,,,,,,Approved,2/11/1993,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"572,917,215.00",0,"572,917,215.00",43,0,43,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,138547,801-67058,"LOWENHAUPT GLOBAL ADVISORS, LLC","LOWENHAUPT GLOBAL ADVISORS, LLC",10 SOUTH BROADWAY,SUITE  550,ST. LOUIS,MO,USA,63102,314-345-8181,314-345-8150,,,,,,,Approved,12/4/2006,3/29/2010,Y,LOWENHAUPTGLOBALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"667,047,278.00",0,"667,047,278.00",280,0,280,N,N,N,N,N,Y,N,N,N,Y,COMPREHESIVE PLANNING/ADVISORY SERVICES/BUISNESS CONSULTING,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105525,801-33349,"HART REALTY ADVISERS, INC.","HART REALTY ADVISERS, INC.",ONE MILL POND LANE,,SIMSBURY,CT,UNITED STATES,06070-2486,860 651-4000,860-651-4016,,,,,,,Approved,11/25/1988,3/29/2010,Y,HTTP://WWW.HARTADVISERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,Y,Y,PERCENTAGE OF OPERATIONS; PERCENTAGE OF ACQUISITIONS,Y,0,"579,100,000.00","579,100,000.00",0,2,2,N,N,N,N,N,N,N,N,N,Y,RE ESTATE INVSTMNT SUPERVISORY SERVICES & INVSTMNT ADVICE THRU CONSULTATIONS NOT INCL IN INVSTMNT SUPERVISORY SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106624,801-17459,PACIFIC MANAGEMENT LTD,PACIFIC MANAGEMENT LTD,600 MONTGOMERY STREET SUITE 1600,,SAN FRANCISCO,CA,UNITED STATES,94111,415-362-6120,415-362-3048,,,,,,,Approved,8/6/1982,3/29/2010,Y,WWW.PACIFICASSETPARTNERS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Partnership,,CA,UNITED STATES,5-Jan,0,0,0,0,0,0,0,10-Jan,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"13,426,490.00",0,"13,426,490.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,GENERAL PARTNER OF LIMITED PARTNERSHIP MAKING INVESTMENT DECISIONS FOR THE PARTNERSHIP.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,143730,801-67852,"EQUINOX FUND MANAGEMENT, LLC","EQUINOX FUND MANAGEMENT, LLC",1660 LINCOLN STREET,SUITE 100,DENVER,CO,UNITED STATES,80264,303-837-0600,303-832-9354,,,,,,,Approved,5/17/2007,3/29/2010,Y,WWW.EQUINOXLLC.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"750,000,000.00",0,"750,000,000.00",3,0,3,N,N,Y,N,N,N,N,N,N,Y,COMMODITY POOL OPERATOR,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,110163,801-27363,FOREST INVESTMENT ASSOCIATES,FOREST INVESTMENT ASSOCIATES L.P.,15 PIEDMONT CENTER,SUITE 1250,ATLANTA,GA,USA,30305-1509,404-261-9575,404-261-9574,,,,,,,Approved,6/20/1986,3/29/2010,Y,HTTP://WWW.FORESTINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,11-25 percent,Up to 10 percent,0 percent,26-50 percent,11-25 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,UNIVERSITY ENDOWMENTS,Y,N,N,N,N,Y,N,,Y,"2,755,788,927.00","456,943,631.00","3,212,732,558.00",19,4,23,N,N,N,N,N,N,N,N,N,Y,MANAGES INVESTMENT ADVISORY ACCOUNTS CONTAINING TIMBERLAND ASSETS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109132,801-57433,SCHLINDWEIN ASSOCIATES LLC,SCHLINDWEIN ASSOCIATES LLC,20 NORTH WACKER DR,SUITE 1820,CHICAGO,IL,USA,60606,312-332-1520,312-332-8817,,,,,,,Approved,4/7/2000,3/29/2010,Y,WWW.SALLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"101,856,428.00","38,033,897.00","139,890,325.00",393,6,399,Y,Y,N,Y,N,N,N,N,N,Y,INVESTMENT ADVICE THROUGH CONSULTATIONS NOT SPECIFICALLY MENTIONED ABOVE.,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,120279,801-63596,"SUZANNE JOSEPH & ASSOCIATES, INC.","SUZANNE JOSEPH & ASSOCIATES, INC.",,,,,,,818-879-1895,818-879-1880,,,,,,,Approved,10/22/2004,3/29/2010,Y,WWW.SJAINC.US,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"41,205,408.00",0,"41,205,408.00",25,0,25,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109098,801-56850,3M INVESTMENT MANAGEMENT CORP,3M INVESTMENT MANAGEMENT CORP,3M CENTER BLDG 224-5S-26,,ST PAUL,MN,UNITED STATES,55144,651-733-5308,651-733-3273,,,,,,,Approved,9/29/1999,3/29/2010,N,,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,REIMBURSEMENT OF EXPENSES,Y,"19,137,900,000.00",0,"19,137,900,000.00",7,0,7,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111479,801-49001,PARADIGM ASSET MANAGEMENT,"PARADIGM ASSET MANAGEMENT, L.L.C.",445 HAMILTON AVENUE,"FLOOR 12, ROOM 1203",WHITE PLAINS,NY,USA,10601,212-771-6100,212-771-6156,,,,,,,Approved,5/17/1995,3/29/2010,Y,WWW.PARADIGMASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,U.S. GOVERNMENT ENTITY,Y,N,N,N,N,Y,N,,Y,"802,266,584.00",0,"802,266,584.00",43,0,43,N,N,N,Y,N,N,N,N,N,Y,FINANCIAL AGENT TO U.S. DEPARTMENT OF TREASURY,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,117438,801-69050,"HOGAN CAPITAL MANAGEMENT, INC.","HOGAN CAPITAL MANAGEMENT, INC.",3128 BROCKWAY ROAD,,WATERL00,IA,UNITED STATES,50701,319-233-2683,319-233-3188,P.O. BOX 756,,WATERLOO,IA,UNITED STATES,50704-0756,Approved,4/21/2008,3/17/2010,Y,WWW.HOGANCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"18,303,028.00","9,875,065.00","28,178,093.00",171,40,211,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,133405,801-63691,C-BASS INVESTMENT MANAGEMENT LLC,C-BASS INVESTMENT MANAGEMENT LLC,335 MADISON AVENUE,,NEW YORK,NY,UNITED STATES,10017,212-850-7700,212-850-7760,,,,,,,Approved,12/3/2004,3/17/2010,Y,WWW.C-BASS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,COLLATERALIZED BOND VEHICLES,Y,N,N,N,N,Y,Y,A PERCENTAGE OF COMMITTED CAPITAL,Y,"437,282.00","100,370,019.00","100,807,301.00",1,19,20,N,N,N,N,N,N,N,N,N,Y,"PORTFOLIO MANAGEMENT FOR CBOS, PRIVATE INVESTMENT FUNDS AND OTHER POOLED INVESTMENT VEHICLES.",0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N
FWRO,119759,801-66191,"JOHNSON, BENDER & COMPANY","JOHNSON, BENDER & COMPANY",5555 SAN FELIPE,SUITE 1100,HOUSTON,TX,USA,77056,713-439-1200,713-599-0999,,,,,,,Approved,2/9/2006,3/17/2010,Y,JOHNSONBENDER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"217,385,297.00","11,426,632.00","228,811,929.00",322,66,388,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,134436,801-64053,"MYCIO WEALTH PARTNERS, LLC","MYCIO WEALTH PARTNERS, LLC",CIRA CENTRE,"2929 ARCH STREET, SUITE 650",PHILADELPHIA,PA,UNITED STATES,19104-7396,267-295-2280,267-295-2279,,,,,,,Approved,4/7/2005,3/17/2010,Y,WWW.MYCIOWP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,512,685,426.00","2,830,070,630.00","4,342,756,056.00","1,766","1,508","3,274",Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,136906,801-64742,"MCDONALD FRANCESCHI, LLC","MCDONALD FRANCESCHI, LLC",520 SW YAMHILL STREET,SUITE 500,PORTLAND,OR,UNITED STATES,97204,503-827-8591,503-274-7611,,,,,,,Approved,9/30/2005,3/17/2010,Y,WWW.MCDFRAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"66,700,000.00","4,100,000.00","70,800,000.00",490,10,500,Y,Y,N,Y,Y,N,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,113216,801-56204,"SARGENT BICKHAM LAGUDIS, LLC","SARGENT BICKHAM LAGUDIS, LLC",1801 13TH STREET,SUITE 208,BOULDER,CO,UNITED STATES,80302,303-443-2433,303-443-0254,,,,,,,Approved,3/8/1999,3/17/2010,Y,WWW.SARGENTBICKHAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"644,725,682.00","87,159,448.00","731,885,130.00",299,4,303,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,125490,801-66519,"TANDEMGROWTH FINANCIAL ADVISORS, LLC","TANDEMGROWTH FINANCIAL ADVISORS, LLC",3820 MANSELL ROAD,SUITE 290,ALPHARETTA,GA,UNITED STATES,30022,770-641-6360,770-641-6361,,,,,,,Approved,4/17/2006,3/17/2010,Y,WWW.TANDEMGROWTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"57,784,211.00","10,657,640.00","68,441,851.00",425,140,565,Y,Y,N,Y,N,Y,N,N,N,Y,ASSET ALLOCATION SERVICES,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,122307,801-67339,"J.DEREK LEWIS & ASSOCIATES, INC.","J.DEREK LEWIS & ASSOCIATES, INC.",1001 DOVE STREET,SUITE 155,NEWPORT BEACH,CA,UNITED STATES,92660-2820,949-752-9096,949-752-0631,,,,,,,Approved,12/4/2006,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"145,000,000.00","58,000,000.00","203,000,000.00",232,84,316,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111470,801-24618,"KENNEDY ASSOCIATES REAL ESTATE COUNSEL, LP","KENNEDY ASSOCIATES REAL ESTATE COUNSEL, LP",2400 FINANCIAL CENTER,1215 FOURTH AVE.,SEATTLE,WA,UNITED STATES,98161,206-623-4739,206-682-4769,,,,,,,Approved,7/25/1985,3/17/2010,Y,WWW.KENNEDYUSA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,WA,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,11-25 percent,Up to 10 percent,11-25 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"6,065,070,569.00","483,282,379.00","6,548,352,948.00",7,6,13,N,N,N,Y,N,N,N,N,N,Y,ALL SERVICES PROVIDED ARE REAL ESTATE INVESTMENT ADVISORY SERVICES,,,N,N,N,N,N,Y,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,Y,N,Y,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109919,801-47164,"CANTERBURY WEALTH ADVISORS, LLC","CANTERBURY WEALTH ADVISORS, LLC",7440 W. SAHARA AVENUE,,LAS VEGAS,NV,USA,89117,(702) 505-8073,(888) 220-0586,,,,,,,Approved,8/2/1994,3/17/2010,Y,CANTERBURY-ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,REFERRAL FEES,Y,0,"42,255,625.00","42,255,625.00",0,58,58,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,Y,N,Y,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,125058,801-63300,"SYMPHONY FINANCIAL SERVICES, INC.","SYMPHONY FINANCIAL SERVICES, INC.",529 N. CLEVELAND MASSILLON RD.,SUITE 200,AKRON,OH,UNITED STATES,44333,330-434-2000,330-665-1515,,,,,,,Approved,6/24/2004,3/17/2010,Y,WWW.SYMPHONY-FINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"31,000,000.00","56,891,000.00","87,891,000.00",51,30,81,Y,Y,N,Y,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105248,801-23465,JENTNER FINANCIAL GROUP,THE JENTNER CORPORATION,COMMONWEALTH SQUARE,302 N. CLEVELAND-MASSILLON RD,AKRON,OH,USA,44333-9303,330-668-1000,330-668-1006,,,,,,,Approved,2/22/1985,3/17/2010,Y,WWW.JENTNER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"153,833,291.00",0,"153,833,291.00",131,0,131,Y,Y,N,Y,N,N,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110459,801-36504,DAIWA SB INVESTMENTS (HK) LTD,DAIWA SB INVESTMENTS (HK) LTD,"SUITE 1102, LEVEL 11, TWO PACIFIC PLACE",88 QUEENSWAY,HONG KONG,,CHINA,,852-2523-7032,852-2840-0627,,,,,,,Approved,5/18/1990,3/17/2010,Y,WWW.DAIWASBI.CO.JP,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,Nov-50,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,Up to 10 percent,0 percent,0 percent,26-50 percent,11-25 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,535,012,774.00","1,275,230,087.00","2,810,242,861.00",10,3,13,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138876,801-65326,ACRU ASSET MANAGEMENT LIMITED,ACRU ASSET MANAGEMENT LIMITED,89 QUEENSWAY,"UNIT 2502, TOWER ONE, LIPPO CENTRE",CENTRAL,,HONG KONG,,852-2878-8081,852-2878-1001,,,,,,,Approved,1/30/2006,3/17/2010,Y,WWW.ACRU-ASSET.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,"-MONTHLY FEE AT US$110,000, FROM THE INVESTMENT MGR OF THE FUND",Y,"154,600,000.00",0,"154,600,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,151468,801-70594,JACOB WILLIAM ADVISORY,"JACOB WILLIAM, INC.",9515 DEERECO ROAD,SUITE 201,TIMONIUM,MD,UNITED STATES,21093,410-821-6724,410-821-6729,,,,,,,Approved,9/22/2009,3/17/2010,Y,WWW.JACOBWILLIAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"42,137,034.00",0,"42,137,034.00",406,0,406,Y,Y,N,Y,N,N,N,N,N,Y,CONSULTING / SEMINARS,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,147579,801-70040,"REDWOOD ASSET MANAGEMENT, INC.","REDWOOD ASSET MANAGEMENT, INC.",ONE BELVEDERE PLACE,SUITE 370,MILL VALLEY,CA,UNITED STATES,94941-2493,415-389-7373,415-381-1773,,,,,,,Approved,3/31/2009,3/18/2010,Y,WWW.REDWOODASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"353,956,379.00",0,"353,956,379.00",11,0,11,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
HQ,121591,801-61491,"FOYSTON, GORDON & PAYNE INC.","FOYSTON, GORDON & PAYNE INC.",1 ADELAIDE STREET EAST,SUITE 2600,TORONTO,,CANADA,M5C 2V9,416-362-4725,416-367-1183,,,,,,,Approved,10/4/2002,3/18/2010,Y,WWW.FOYSTON.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,MUTUAL FUNDS IN A SUBADVISORY CAPACITY.,Y,N,N,N,N,Y,N,,Y,"11,720,385,490.00",0,"11,720,385,490.00","15,868",0,"15,868",N,Y,N,Y,N,N,N,N,N,Y,CANADIAN MUTUAL FUNDS THROUGH SUB-ADVISER AGREEMENTS,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,146902,801-69178,"SIENA WEALTH MANAGEMENT, INC.","SIENA WEALTH MANAGEMENT, INC.",3055 OLIN AVENUE,SUITE 2000,SAN JOSE,CA,UNITED STATES,95128,408-244-3800,408-693-3726,,,,,,,Approved,5/21/2008,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"165,131,021.00","165,131,021.00",0,403,403,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,123242,801-70602,ROCKY HILL ASSET MANAGEMENT,ROCKY HILL ADVISORS INC.,7 ESSEX GREEN DRIVE,SUITE 53-55,PEABODY,MA,USA,1960,978-531-5900,978-532-8700,,,,,,,Approved,9/24/2009,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,INDIAN RESERVATIONS,Y,Y,N,Y,Y,N,N,,Y,0,"850,000,000.00","850,000,000.00",0,6,6,N,Y,N,Y,N,N,N,N,N,Y,CONSULTING EXPERTS,0,,N,N,N,Y,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137034,801-64799,ADDENDA CAPITAL,ADDENDA CAPITAL INC.,800 RENE-LEVESQUE BLVD. WEST,SUITE 2750,"MONTREAL, QUEBEC",,CANADA,H3B 1X9,514-287-7373,514-287-7200,,,,,,,Approved,10/21/2005,3/18/2010,Y,WWW.ADDENDA-CAPITAL.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"QUEBEC, CANADA",51-250,0,Nov-50,0,0,0,0,0,251-500,0,0 percent,Up to 10 percent,0 percent,11-25 percent,26-50 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"31,936,000,000.00",0,"31,936,000,000.00",237,0,237,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105343,801-15418,BALDWIN BROTHERS INC,BALDWIN BROTHERS INC,204 SPRING STREET,,MARION,MA,UNITED STATES,2738,508-748-0800,508-748-0806,,,,,,,Approved,7/1/1980,3/18/2010,Y,WWW.BALDWINBROTHERSINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,LIMITED PARTNERSHIPS,Y,"725,210,938.00",0,"725,210,938.00",759,0,759,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,126624,801-66963,"ESTATE MANAGEMENT COUNSELORS,LLC","ESTATE MANAGEMENT COUNSELORS,LLC",5064 ROSWELL ROAD C-300,,ATLANTA,GA,UNITED STATES,30342,404-250-9798,404-250-1971,,,,,,,Approved,7/12/2006,3/18/2010,Y,WWW.EMCADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"43,063,001.00",0,"43,063,001.00",422,0,422,Y,Y,N,N,Y,N,N,N,N,Y,TAX ADVICE ACTING AS TAX ATTORNEY,101-250,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,152093,801-70814,CHOU AMERICA MANAGEMENT INC.,CHOU AMERICA MANAGEMENT INC.,"110 SHEPPARD STREET, SUITE 301, BOX 18",,TORONTO,,CANADA,M2N 6Y8,416-214-0675,416-214-1733,,,,,,,Approved,11/30/2009,3/13/2010,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,WILL PROVIDE INVESTMENT ADVISORY SERVICES TO A RELATED U.S. MUTUAL FUND COMPANY NOW IN PROCESS OF REGISTRATION,,,N,N,N,N,N,N,N,N,Y,CANADIAN MUTUAL FUND CO & ONTARIO LTD MKT DEALER,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111062,801-58140,"NTV ASSET MANAGEMENT, LLC","NTV ASSET MANAGEMENT, LLC",216 BROOKS STREET,SUITE 300,CHARLESTON,WV,USA,25301,304.353.9090,304.353.9091,,,,,,,Approved,11/28/2000,3/13/2010,Y,WWW.NTVAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"297,705,597.00","12,728,325.00","310,433,922.00",483,89,572,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,124587,801-68041,W.A. ENTWISTLE AND ASSOCIATES,"RETIREMENT EDUCATION & TRAINING CONSULTANTS, LLC",24 SALT POND ROAD BUILDING G-3,,WAKEFIELD,RI,USA,02879-1501,401-782-6166,401-783-9750,,,,,,,Approved,6/20/2007,3/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,RI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,RETAINER/SEI MONITORING FEE,Y,"38,778,299.00","541,516.00","39,319,815.00",295,2,297,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,139600,801-66280,"BUECHLER CAPITAL ASSET MANAGEMENT, LLC","BUECHLER CAPITAL ASSET MANAGEMENT, LLC",7825 FAY AVE,#200,LA JOLLA,CA,USA,92037,858-456-5514,858-456-5515,,,,,,,Approved,3/20/2006,3/15/2010,Y,WWW.BUECHLERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,Y,"CONSULTING- 401K PENSION/FOUNDATION, NON-PROFIT",Y,"64,000,000.00","98,000,000.00","162,000,000.00",68,8,76,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,123794,801-61666,"XELAN FINANCIAL PLANNING, INC.","XELAN FINANCIAL PLANNING, INC.","401 WEST A STREET, SUITE 2210",,SAN DIEGO,CA,USA,92101,619-232-0444,619-232-3283,,,,,,,Approved,12/6/2002,11/14/2005,Y,WWW.XELAN.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,CA,UNITED STATES,51-250,0,0,0,Nov-50,0,10-Jun,0,0,0,11-25 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,N,Y,N,Y,N,N,Y,ADVISORY REFERRAL FEES,N,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,N,,More than 500,2000,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,150106,801-70167,"SHAFFER CAPITAL ADVISERS, LLC","SHAFFER CAPITAL ADVISERS, LLC",550 POLARIS PARKWAY,SUITE 540,WESTERVILLE,OH,UNITED STATES,43082,614-891-1200,614-891-7360,,,,,,,Approved,5/14/2009,3/15/2010,Y,WWW.SHAFFERCAPITALLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"30,268,063.00","30,268,063.00",0,224,224,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138672,801-68189,"LONG ISLAND WEALTH MANAGEMENT, INC.","LONG ISLAND WEALTH MANAGEMENT, INC.",,,,,,,631-846-3064,631-285-1176,,,,,,,Approved,8/20/2007,3/15/2010,Y,WWW.LONGISLANDWEALTHMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,NEGOTIATED RATES BASED ON ESTIMATED TIME ON A SPECFIC PROJECT,Y,"32,000,000.00","10,000,000.00","42,000,000.00",130,35,165,Y,Y,N,N,N,N,N,N,N,Y,"PROVIDE CONSULTING SERVICES IN RESPONSE TO QUESTIONS VIA A WEBSITE PLATFORM, WHICH PROVIDES CONSUMERS AN ONLINE SOURCE FOR ADVIC",26-50,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,131138,801-63403,"KIRTLAND FINANCIAL MANAGEMENT, INC.","KIRTLAND FINANCIAL MANAGEMENT, INC.",100 ALMERIA AVE,SUITE 302,CORAL GABLES,FL,UNITED STATES,33134,305-648-0006,305-648-1800,,,,,,,Approved,7/30/2004,3/15/2010,Y,WWW.KIRTLANDFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"88,341,526.00","8,717,527.00","97,059,053.00",346,38,384,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,128133,801-67741,WEALTH DESIGN SERVICES INC.,WEALTH DESIGN SERVICES INC.,940 WESTFALL ROAD,,ROCHESTER,NY,UNITED STATES,14618,585-442-3230,585-442-2796,,,,,,,Approved,5/4/2007,3/15/2010,Y,WWW.WEALTHDESIGNSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"32,890,519.00","23,959,242.00","56,849,761.00",125,54,179,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105545,801-22950,ARONSON+JOHNSON+ORTIZ,"ARONSON+JOHNSON+ORTIZ, LP",230 SOUTH BROAD STREET,TWENTIETH FLOOR,PHILADELPHIA,PA,USA,19102-4121,215-546-7500,215-546-7506,,,,,,,Approved,12/11/1984,3/15/2010,Y,WWW.AJOPARTNERS.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,0 percent,0 percent,Up to 10 percent,11-25 percent,26-50 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,MULTI-EMPLOYER,Y,N,N,N,N,Y,N,,Y,"20,138,112,036.00","233,650.00","20,138,345,686.00",143,1,144,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,132175,801-63416,ANNADEL CAPITAL,"ANNADEL CAPITAL, INC.",899 NORTHGATE DRIVE,SUITE 302,SAN RAFAEL,CA,USA,94903-3667,415-499-1901,415-499-1890,,,,,,,Approved,8/5/2004,3/15/2010,Y,WWW.ANNADELCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"4,165,078.00","28,900,193.00","33,065,271.00",45,46,91,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
ARO,144042,801-67976,"GRIGGS CAPITAL MANAGEMENT, LLC","GRIGGS CAPITAL MANAGEMENT, LLC",7229 ALBEMARLE ROAD,SUITE C,CHARLOTTE,NC,UNITED STATES,28227-8130,704-568-9967,704-568-9970,,,,,,,Approved,6/22/2007,3/15/2010,Y,WWW.GRIGGSCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"22,828,592.00","3,755,527.00","26,584,119.00",148,9,157,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,119983,801-66482,"COOMBE, BENDER & COMPANY, LLC","COOMBE, BENDER & COMPANY, LLC",6872 ROUTE 209,,WAWARSING,NY,UNITED STATES,12489,845-647-4800,845-647-7259,PO BOX 333,,WAWARSING,NY,UNITED STATES,12489,Approved,4/10/2006,3/15/2010,Y,WWW.COOMBEBENDER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"54,700,000.00",0,"54,700,000.00",130,0,130,Y,Y,N,N,N,N,N,N,N,Y,CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,127188,801-68070,"(DBA) MCMANUS & SINCLAIR WEALTH MANAGEMENT, LLC","MCMANUS WEALTH MANAGEMENT, LLC",1100 FRAZIER DRIVE,,AUGUSTA,GA,UNITED STATES,30909-1702,706-364-4081,706-228-4082,,,,,,,Approved,6/21/2007,3/15/2010,Y,WWW.MCMANUSSINCLAIR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"29,150,628.00",0,"29,150,628.00",238,0,238,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143149,801-67622,"PENNANTPARK INVESTMENT ADVISERS, LLC","PENNANTPARK INVESTMENT ADVISERS, LLC",590 MADISON AVENUE,15TH FLOOR,NEW YORK,NY,USA,10022,212-905-1000,212-905-1075,,,,,,,Approved,3/13/2007,3/15/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"520,192,491.00",0,"520,192,491.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108423,801-24149,GARY L. GREENBERG,GREENBERG GARY LOUIS,"4540 IDS CENTER, 80 S 8TH ST",,MINNEAPOLIS,MN,UNITED STATES,55402,612-338-0028,612-338-0452,,,,,,,Approved,5/15/1985,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"117,528,782.00",0,"117,528,782.00",56,0,56,N,Y,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,110295,801-55533,BUTENSKY & COHEN FINANCIAL SECURITY INC,BUTENSKY & COHEN FINANCIAL SECURITY INC,110 PROFESSIONAL DRIVE SUITE 101,,PONTE VEDRA BEACH,FL,UNITED STATES,32082,904-273-9850,904-273-6920,,,,,,,Approved,5/13/1998,3/15/2010,Y,WWW.BUTENSKYCOHEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"115,637,470.00",0,"115,637,470.00",495,0,495,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,145265,801-68594,PARK SHORE PARTNERS LLC,PARK SHORE PARTNERS LLC,3838 TAMIAMI TRAIL N.,SUITE 410,NAPLES,FL,UNITED STATES,34103,239-649-1118,239-262-4961,,,,,,,Approved,11/28/2007,3/15/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"17,706,208.00",0,"17,706,208.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,148646,801-70021,"INTERMOUNTAIN WEALTH MANAGEMENT, INC.","INTERMOUNTAIN WEALTH MANAGEMENT, INC.",101 PARK AVENUE,SUITE 2,IDAHO FALLS,ID,UNITED STATES,83402,208-522-3344,888-506-3345,,,,,,,Approved,4/6/2009,3/15/2010,Y,WWW.INTERMOUNTAINWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,ID,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"68,868,609.00",0,"68,868,609.00",837,0,837,N,Y,N,N,N,N,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,112200,801-60447,J O HAMBRO INVESTMENT MANAGEMENT LIMITED.,J O HAMBRO INVESTMENT MANAGEMENT LIMITED.,21 ST JAMES'S SQUARE,,LONDON,,UNITED KINGDOM,SWIY 4HB,0044 20 7484 7484,0044 20 7484 7402,,,,,,,Approved,9/5/2001,3/15/2010,Y,WWW.JOHIM.CO.UK,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,51-250,0,Nov-50,0,0,0,10-Jun,0,More than 500,500,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,Y,N,,Y,"4,989,374,746.00","424,374,663.00","5,413,749,409.00","2,560",30,"2,590",N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N
DRO,147780,801-69593,DC ADVISORS,"CHRYST, JEFFREY DELL",,,,,,,801-446-5450,801-446-5450,,,,,,,120-Day Approval,9/16/2008,3/15/2010,Y,DCADVISORS.NET,N,N,N,N,N,N,N,N,N,N,N,N,Y,Sole Proprietorship,,UT,UNITED STATES,5-Jan,0,0,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,Y,N,Y,N,N,,Y,"234,000.00",0,"234,000.00",11,0,11,Y,Y,N,N,N,N,Y,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,152954,801-71084,MILLER & ASSOCIATES,"MILLER, JOHN STENNING",,,,,,,727-564-9416,866-415 8437,,,,,,,Approved,3/11/2010,3/15/2010,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,,NEW ZEALAND ,5-Jan,0,5-Jan,0,0,0,0,0,0,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,109317,801-56842,"ESTHER M MCGANN , MBA, CFP",ESTHER MAE MCGANN,1267 NORTH 15TH,SUITE 123-E,LARAMIE,WY,UNITED STATES,82072,307-742-3999,307-721-0352,,,,,,,Approved,10/29/1999,3/2/2010,Y,WWW.THEFPOFFICE.COM,N,N,Y,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,WY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"18,866,853.00",0,"18,866,853.00",195,0,195,Y,Y,N,N,N,Y,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145810,801-68625,TIMPANI CAPITAL MANAGEMENT LLC,TIMPANI CAPITAL MANAGEMENT LLC,10850 WEST PARK PLACE,SUITE 1020,MILWAUKEE,WI,UNITED STATES,53224,414-359-0500,414-359-0502,400 SKOKIE BLVD,SUITE 500,NORTHBROOK,IL,UNITED STATES,60062-7905,Approved,1/2/2008,3/2/2010,Y,WWW.TIMPANICAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,CERTAIN ACCOUNTS DO NOT PAY A MANAGEMENT FEE,Y,"65,475,803.00",0,"65,475,803.00",2,0,2,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145918,801-70932,"CAMELOT PORTFOLIOS, LLC","CAMELOT PORTFOLIOS, LLC",1700 WOODLANDS DR SUITE 100,,MAUMEE,OH,UNITED STATES,43537,419-794-0536,419-794-0539,,,,,,,Approved,1/4/2010,3/2/2010,Y,WWW.CAMELOTPORTFOLIOS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,RIA'S/REGISTERED REPS,Y,N,N,N,N,N,N,,Y,"63,000,000.00",0,"63,000,000.00",310,0,310,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108601,801-57087,BRIGHTON JONES LLC,BRIGHTON JONES LLC,506 2ND AVE,SUITE 1800,SEATTLE,WA,UNITED STATES,98104,206-329-5546,206-329-8843,,,,,,,Approved,1/3/2000,3/2/2010,Y,WWW.BRIGHTONJONES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,517,000,000.00",0,"1,517,000,000.00",447,0,447,Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,N,N,Y,Y,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,141333,801-67050,YORKVILLE CAPITAL MANAGEMENT LLC,YORKVILLE CAPITAL MANAGEMENT LLC,950 THIRD AVENUE,23RD FLOOR,NEW YORK,NY,UNITED STATES,10022,212-755-1970,212-317-3125,,,,,,,Approved,8/3/2006,3/2/2010,Y,WWW.YORKVILLECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"127,635,032.00",0,"127,635,032.00",106,0,106,N,Y,N,N,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,106737,801-44331,HOROWITZ & CO INC,HOROWITZ & CO INC,"1555 N PARK DRIVE, STE 102",,WESTON,FL,UNITED STATES,33326,954-349-0800,954-349-1414,,,,,,,Approved,7/19/1993,3/2/2010,Y,HTTP://WWW.HOROWITZANDCOMPANY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"85,135,624.00","2,196,437.00","87,332,061.00",249,7,256,Y,Y,N,Y,N,Y,Y,N,N,Y,SPEAKING AND MEDIA APPEARANCES,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111699,801-61726,WIIKEN & GORMAN LLC,WIIKEN & GORMAN LLC,775 BAYWOOD DRIVE,SUITE 306,PETALUMA,CA,UNITED STATES,94954,707-769-0200,707-769-7827,,,,,,,Approved,1/9/2003,3/2/2010,Y,WWW.WIIKENANDGORMAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,"55,205,000.00","55,205,000.00",0,171,171,Y,Y,N,N,N,N,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114841,801-63041,"UTICA CAPITAL ADVISERS, INC.","UTICA CAPITAL ADVISERS, INC.",2100 SOUTH UTICA,SUITE 300,TULSA,OK,UNITED STATES,74114,(918) 744-9215,(918) 744-9392,,,,,,,Approved,4/15/2004,3/2/2010,Y,WWW.UTICAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,REFERRAL FEES,Y,0,"41,443,027.00","41,443,027.00",0,546,546,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,137902,801-65640,"LOGIC CAPITAL MANAGEMENT, LLP","LOGIC CAPITAL MANAGEMENT, LLP","7500 SAN FELIPE, SUITE 150",,HOUSTON,TX,UNITED STATES,77063,713-781-1475,713-781-1580,,,,,,,Approved,1/26/2006,3/2/2010,Y,WWW.LOGICCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"42,679,507.00","3,217,036.00","45,896,543.00",357,41,398,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,141308,801-67137,CYCLES RESEARCH INVESTMENTS LLC,CYCLES RESEARCH INVESTMENTS LLC,HUTTENGASSE 11/RH1,,VIENNA 1140,,AUSTRIA,,431-892-2830,SAME,,,,,,,Approved,9/13/2006,3/2/2010,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,Y,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111053,801-16035,WATERHOUSE L M & CO INC,WATERHOUSE L M & CO INC,220 WHITE PLAINS ROAD,,TARRYTOWN,NY,UNITED STATES,10591,914-332-7222,914-332-7255,,,,,,,Approved,5/4/1981,4/3/2009,Y,WWW.LMWATERHOUSE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"68,000,000.00","79,500,000.00","147,500,000.00",9,5,14,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112447,801-56483,"COE CAPITAL MANAGEMENT, LLC","COE CAPITAL MANAGEMENT, LLC",100 TRI-STATE INTERNATIONAL,SUITE 110,LINCOLNSHIRE,IL,USA,60069,847-405-9600,847-405-9300,,,,,,,Approved,5/11/1999,3/2/2010,Y,WWW.COECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"242,000,000.00",0,"242,000,000.00",400,0,400,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,140392,801-67009,HRJ CAPITAL,"HRJ CAPITAL, L.L.C.",2965 WOODSIDE ROAD,SUITE A,WOODSIDE,CA,UNITED STATES,94062,650-327-5023,650-327-5235,,,,,,,Approved,7/14/2006,4/3/2009,Y,WWW.HRJCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,075,114,751.00",0,"2,075,114,751.00",32,0,32,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVICE TO PRIVATE POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,109833,801-47327,DABNEY INVESTMENT CONSULTING ASSOCIATES INC,DABNEY INVESTMENT CONSULTING ASSOCIATES INC,,,,,,,281-335-3859,NONE,130 RAINBOW DRIVE #3040,,LIVINGSTON,TX,UNITED STATES,77399-1030,Approved,8/24/1994,3/2/2010,Y,WWW.DABNEYINVESTMENTCONSULTING.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,Y,A PERCENTAGE OF ASSETS UNDER EACH CLIENT'S MANAGEMENT.,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,Y,CONSULTING TO OTHER INSTITUTIONAL CLIENTS; LITIGATION SUPPORT,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,139009,801-70918,"RETIREMENT CAPITAL STRATEGIES, INC.","RETIREMENT CAPITAL STRATEGIES, INC.","1190 SARATOGA AVE., SUITE 140",,SAN JOSE,CA,UNITED STATES,95129,408-551-6100,408-551-6161,,,,,,,Approved,1/4/2010,3/2/2010,Y,WWW.RCSADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"114,510,800.00",0,"114,510,800.00",545,0,545,Y,Y,N,N,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105972,801-27745,LOWDER BRIAN D INC,LOWDER BRIAN D INC,"12780 HIGH BLUFF DRIVE, SUITE 100",,SAN DIEGO,CA,USA,92130-2068,858-794-6800,858-794-6906,,,,,,,Approved,8/22/1986,3/2/2010,Y,WWW.BDLOWDER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"159,724,069.00","805,567.00","160,529,636.00",487,4,491,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,117162,801-71193,THE ADVISER SOURCE,NORTHWEST CASHFLOW SOLUTIONS LLC,"10829 NE 68TH ST, #201",,KIRKLAND,WA,UNITED STATES,98033,425-398-9399,425-827-7154,,,,,,,Approved,3/8/2010,3/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"27,698,750.00",0,"27,698,750.00",27,0,27,N,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106198,801-49283,ALAN MITCHELL CPA PC,ALAN MITCHELL CPA PC,,,,,,,970-817-2106,970-817-2107,,,,,,,Approved,6/5/1995,3/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"124,010,134.00",0,"124,010,134.00",40,0,40,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112945,801-34195,CHAN P & CO INC,CHAN P & CO INC,700 LARKSPUR LANDING CIRCLE,SUITE 199,LARKSPUR,CA,USA,94939,415-488-9661,N/A,,,,,,,Approved,4/3/1989,3/2/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,"80,000,000.00","80,000,000.00",0,5,5,N,N,N,N,Y,Y,N,N,N,Y,ASSET ALLOCATION,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,131803,801-66240,"GREENLEAF & BURLESON WEALTH MANAGEMENT, LLC","GREENLEAF & BURLESON WEALTH MANAGEMENT, LLC",201 1ST STREET,STE 204,PETALUMA,CA,USA,94952-4288,707-283-0520,707-283-0524,,,,,,,Approved,3/24/2006,3/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"139,000,000.00",0,"139,000,000.00",437,0,437,Y,Y,N,Y,Y,Y,N,N,N,Y,MATTERS NOT INVOLVING SECURITIES,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
ARO,107130,801-53512,"PARTNER CAPITAL GROUP, LLC","PARTNER CAPITAL GROUP, LLC",6368 CHICKERING CIRCLE,,NASHVILLE,TN,UNITED STATES,37215,615-312-4120,615-562-2850,,,,,,,Approved,1/6/1997,3/2/2010,Y,WWW.PARTNERCAP.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110469,801-27759,CHRONOGRAM CORPORATION,CHRONOGRAM CORP,,,,,,,203-661-2217,203-661-2362,TWO SOUNDVIEW DRIVE,SUITE 100,GREENWICH,CT,UNITED STATES,6830,Approved,8/25/1986,3/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"86,518,559.00","38,678,536.00","125,197,095.00",138,52,190,Y,Y,N,N,N,Y,N,N,N,Y,PORTFOLIO MONITORING,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,125038,801-61750,"FIDUCIARY MANAGEMENT ASSOCIATES, LLC","FIDUCIARY MANAGEMENT ASSOCIATES, LLC",55 WEST MONROE STREET,SUITE 2550,CHICAGO,IL,UNITED STATES,60603-5093,312-930-6850,312-641-2511,,,,,,,Approved,12/18/2002,2/19/2010,Y,WWW.FMAUSA.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,SUBADVISORY (FMA IS SUBADVISER),Y,N,N,Y,N,Y,N,,Y,"1,440,322,675.00","18,409,822.00","1,458,732,497.00",41,1,42,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,150166,801-70169,"CHRIS C CRENSHAW FINANCIAL SERVICES, LLC","CHRIS C CRENSHAW FINANCIAL SERVICES, LLC",2727 UNIVERSITY DRIVE,,DURHAM,NC,UNITED STATES,27707,919-493-3669,919-493-9094,,,,,,,Approved,5/1/2009,2/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"46,000,000.00","46,000,000.00",0,48,48,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,143247,801-67631,"IMPAX ASSET MANAGEMENT, LTD.","IMPAX ASSET MANAGEMENT, LTD.",MEZZANINE FLOOR PEGASUS HOUSE,37-43 SACKVILLE STREET,LONDON,,UNITED KINGDOM,W1S 3EH,011 44 207 434 1122,011 44 20 7434 1123,,,,,,,Approved,1/7/2008,2/19/2010,Y,WWW.IMPAX.CO.UK,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),UNITED KINGDOM LIMITED LIABILITY COMPANY (LTD),,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,837,561,771.00",0,"1,837,561,771.00",14,0,14,N,N,N,Y,N,N,N,N,N,Y,NON-U.S. POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,114520,801-61871,BILLS ASSET MANAGEMENT,BILLS ASSET MANAGEMENT,,,,,,,615-371-5928,615-250-4903,,,,,,,Approved,3/11/2003,2/19/2010,Y,WWW.BILLSASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"64,914,318.00",0,"64,914,318.00",496,0,496,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109898,801-60072,"CAPITAL MANAGEMENT GROUP, INC.","CAPITAL MANAGEMENT GROUP, INC.",3809 ILLINOIS AVE.,SUITE 200,ST. CHARLES,IL,UNITED STATES,60174,630-587-0198,630-587-0401,,,,,,,Approved,3/26/2001,2/19/2010,Y,WWW.CMGINCONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"39,990,670.00","1,866,848.00","41,857,518.00",75,44,119,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150403,801-70730,"AMERICAN EQUITY ADVISORS, INC.","AMERICAN EQUITY ADVISORS, INC.",6000 WESTOWN PARKWAY,,WEST DES MOINES,IA,UNITED STATES,50266,515-457-1965,515-221-0329,,,,,,,Approved,11/4/2009,2/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"42,239,639.00",0,"42,239,639.00",1,0,1,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR INSURANCE COMPANIES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y
ARO,123051,801-61734,"FISCO INVESTMENT MANAGEMENT, L.P.","FISCO INVESTMENT MANAGEMENT, L.P.","1899 POWERS FERRY ROAD, SE",SUITE 120,ATLANTA,GA,UNITED STATES,30339,678-905-5731 OR 5723,770-859-9291,,,,,,,Approved,1/27/2003,2/19/2010,Y,WWW.FISCOFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"236,290,097.00",0,"236,290,097.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE POOLED INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,106355,801-45884,SPRUCEGROVE INVESTMENT MANAGEMENT LTD,SPRUCEGROVE INVESTMENT MANAGEMENT LTD,181 UNIVERSITY AVE. STE 1300,,TORONTO ONTARIO,,CANADA,M5H 3M7,416-363-5854,416-363-6803,,,,,,,Approved,3/15/1994,2/19/2010,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",Nov-50,0,Nov-50,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,11-25 percent,0 percent,0 percent,51-75 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"15,547,000,000.00",0,"15,547,000,000.00",103,0,103,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,130334,801-62804,"APOGEE GLOBAL ADVISORS, INC.","APOGEE GLOBAL ADVISORS, INC.",,,,,,,1-508-785-2060,508-785-2755,,,,,,,Approved,2/13/2004,2/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,PERFORMANCE-BASED COMPENSATION,Y,"33,297,505.00",0,"33,297,505.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT SERVICES TO POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,133670,801-63814,NEWSMITH ASSET MANAGEMENT LLP,NEWSMITH ASSET MANAGEMENT LLP,LANSDOWNE HOUSE,57 BERKELEY SQUARE,LONDON,,UNITED KINGDOM,W1J 6ER,+4420 7518 3700,+4420 7518 3701,,,,,,,Approved,1/25/2005,2/19/2010,Y,WWW.NEWSMITHCAPITAL.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,209,436,922.00",0,"3,209,436,922.00",15,0,15,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106288,801-48064,MORGAN DEMPSEY CAPITAL MANAGEMENT LLC,MORGAN DEMPSEY CAPITAL MANAGEMENT LLC,309 NORTH WATER STREET,SUITE 510,MILWAUKEE,WI,UNITED STATES,53202,414-319-1080,414-319-1087,309 NORTH WATER STREET,SUITE 510,MILWAUKEE,WI,UNITED STATES,53202,Approved,12/19/1994,2/19/2010,Y,WWW.MORGANDEMPSEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"172,686,844.00",0,"172,686,844.00",88,0,88,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,141642,801-67164,"RED CEDAR CAPITAL, LLC","RED CEDAR CAPITAL, LLC",8748 FREDRICK STREET,,OMAHA,NE,UNITED STATES,68124,402-991-1100,402-991-8902,,,,,,,Approved,9/19/2006,2/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"40,687,679.00","2,758,145.00","43,445,824.00",40,9,49,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,145799,801-68604,"FORTUNE FINANCIAL ADVISORS, LLC","FORTUNE FINANCIAL ADVISORS, LLC",14435 METCALF AVE.,SUITE 201,OVERLAND PARK,KS,UNITED STATES,66223,913-393-0038,913-239-0317,,,,,,,Approved,12/13/2007,2/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"36,918,203.00",0,"36,918,203.00",319,0,319,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,121188,801-69316,"ETFIDEA, LLC","ETFIDEA, LLC",650 JAMES STREET,,SYRACUSE,NY,USA,13203,315-472-6221,315-701-2789,,,,,,,Approved,7/2/2008,2/19/2010,Y,WWW.ETFIDEA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,10-Jun,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"29,498,149.00","6,048,711.00","35,546,860.00",86,25,111,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,Y,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,148467,801-69882,MPM ASSET MANAGEMENT LLC,MPM ASSET MANAGEMENT LLC,200 CLARENDON STREET,54TH FLOOR,BOSTON,MA,UNITED STATES,2116,617-425-9200,617-425-9201,,,,,,,Approved,2/5/2009,2/19/2010,Y,WWW.MPMCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,10-Jun,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,110,886,246.00",0,"1,110,886,246.00",15,0,15,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,134508,801-64009,"CAHILL WEALTH MANAGEMENT, LLC","CAHILL WEALTH MANAGEMENT, LLC",6101 NEWPORT ROAD,SUITE 207,PROTAGE,MI,USA,49002,269-321-6600,269-321-8498,,,,,,,Approved,3/3/2005,2/19/2010,Y,WWW.CAHILLWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"76,397,356.00",0,"76,397,356.00",523,0,523,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,119284,801-61967,"COMPREHENSIVE INVESTMENT SOLUTIONS, LLC","COMPREHENSIVE INVESTMENT SOLUTIONS, LLC",1002 FLORAL VALE BLVD.,,YARDLEY,PA,USA,19067,215-497-5050,215-497-5059,,,,,,,Approved,4/1/2003,2/19/2010,Y,WWW.INVESTSOLUTIONS.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"29,780,784.00","274,506,388.00","304,287,172.00",84,840,924,Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,128764,801-63144,CTR FINANCIAL GROUP LLC,CTR FINANCIAL GROUP LLC,25 DEFOREST AVE,,SUMMIT,NJ,USA,7901,908-277-2350,908-277-2351,,,,,,,Approved,5/21/2004,2/19/2010,Y,WWW.CTRFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"152,000,000.00","4,000,000.00","156,000,000.00",58,10,68,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107550,801-36999,"RENN CAPITAL GROUP, INC.","RENN CAPITAL GROUP, INC.",8080 N. CENTRAL EXPRESSWAY,"SUITE 210, LB 59",DALLAS,TX,UNITED STATES,75206-1857,214-891-8294,214-891-8291,,,,,,,Approved,6/29/1990,2/19/2010,Y,WWW.RENCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,4 UK/GUERNSEY TRUST/FUND,Y,N,N,N,N,Y,N,,Y,"147,317,055.00",0,"147,317,055.00",5,0,5,N,N,Y,N,N,N,N,N,N,Y,ADVISORY SERVICES FOR 4 FOREIGN TRUSTS,0,,N,N,N,N,N,N,N,N,Y,SEC-REGISTERED INVESTMENT ADVISOR,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126020,801-61920,GREYSTONE WEALTH ADVISORS LLC,GREYSTONE WEALTH ADVISORS LLC,,,,,,,914-232-3773,914-992-0200,100 SOUTH BEDFORD RD.,SUITE 340,MT. KISCO,NY,UNITED STATES,10549,Approved,3/28/2003,2/19/2010,Y,WWW.GREYSTONEWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"40,100,335.00","3,159,104.00","43,259,439.00",217,23,240,Y,Y,N,N,N,Y,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106244,801-46796,MONARCH CAPITAL MANAGEMENT INC,MONARCH CAPITAL MANAGEMENT INC,"127 W BERRY STREET, SUITE 402",,FORT WAYNE,IN,UNITED STATES,46802,260-422-2765,260-424-2952,,,,,,,Approved,6/22/1994,2/19/2010,Y,WWW.MONARCHCAPITALMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"229,732,928.00",0,"229,732,928.00",275,0,275,Y,Y,N,Y,N,N,N,N,N,Y,CHECK WRITING SERVICES,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112642,801-57448,ACCESS PARTNERS LLC,ACCESS PARTNERS LLC,25 NW RIVERSIDE DRIVE,SUITE 202,EVANSVILLE,IN,UNITED STATES,47708,812-402-8040,812-402-8044,,,,,,,Approved,4/10/2000,2/19/2010,Y,WWW.MANAGERACCESS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,Nov-50,0,25-Nov,0,Up to 10 percent,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106050,801-38328,SHARKEY HOWES & JAVER INC,SHARKEY HOWES & JAVER INC,720 SOUTH COLORADO BLVD,SUITE 600 SOUTH TOWER,DENVER,CO,UNITED STATES,80246-1904,303-639-5100,303-759-2335,,,,,,,Approved,2/28/1991,2/19/2010,Y,WWW.SHWJ.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,"1,000",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"352,568,358.00","4,881,779.00","357,450,137.00","2,598",29,"2,627",Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147059,801-69191,"DISABATO ADVISERS, LLC","DISABATO ADVISERS, LLC",525 W. MONROE STREET,SUITE 560,CHICAGO,IL,UNITED STATES,60661,312-474-0900,312-474-0904,,,,,,,Approved,5/27/2008,2/19/2010,Y,WWW.DISABATO.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,26-50 percent,11-25 percent,11-25 percent,0 percent,,N,Y,N,Y,N,N,Y,PERCENTAGE OF ASSETS UNDER ADVISEMENT,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,Y,"INVESTMENT CONSULTING SERVICES INVOLVING INVESTMENT POLICY & STRATEGY, EVALUATION, MONITORING, AND EDUCATION",0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,148516,801-70039,"NEWBURY CAPITAL MANAGEMENT, LLC","NEWBURY CAPITAL MANAGEMENT, LLC",101 EAST GREEN STREET,SUITE 12,PASADENA,CA,UNITED STATES,91105,626-796-8898,626-208-1463,,,,,,,Approved,3/26/2009,2/9/2010,Y,WWW.NEWBURYLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"36,663,988.00","2,285,961.00","38,949,949.00",184,45,229,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,134527,801-69234,H&S FINANCIAL ADVISORS LLC,H&S FINANCIAL ADVISORS LLC,100 MARINE PARKWAY,SUITE 525,REDWOOD CITY,CA,UNITED STATES,94065,650-610-6100,650-610-6114,,,,,,,Approved,6/12/2008,2/9/2010,Y,WWW.HSFINANCIALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"82,789,498.00","82,789,498.00",0,136,136,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,115901,801-60680,LEGACY FINANCIAL GROUP,"LEGACY FINANCIAL GROUP, LLC",990 W. 190TH STREET,SUITE 520,TORRANCE,CA,USA,90502,310-756-1700,310-756-1710,,,,,,,Approved,11/9/2001,2/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"69,490,635.00","69,490,635.00",0,285,285,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,121197,801-66301,HOLCOMBE & MCGRATH,"MCGRATH & ASSOCIATES, INC.",12A BAY STREET,,ASHEVILLE,NC,UNITED STATES,28801,828-252-8228,828-252-8225,P.O BOX 2058,,ASHEVILLE,NC,UNITED STATES,28802,Approved,2/2/2006,2/9/2010,Y,WWW.HOLCOMBEANDMCGRATH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"48,000,000.00",0,"48,000,000.00",280,0,280,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107218,801-47181,GALECKI FINANCIAL MANAGEMENT INC,GALECKI FINANCIAL MANAGEMENT INC,7743 WEST JEFFERSON BLVD,,FORT WAYNE,IN,USA,46804,260-436-8525,260-436-8825,,,,,,,Approved,8/1/1994,2/9/2010,Y,WWW.GALECKI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"209,984,340.00",0,"209,984,340.00","1,013",0,"1,013",Y,Y,N,N,Y,N,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,114067,801-68955,"RADEMACHER FINANCIAL, INC.","RADEMACHER FINANCIAL, INC.",515 ROCKLEDGE ROAD,,LAWRENCE,KS,USA,66049,785-865-5308,785-865-5379,,,,,,,Approved,3/18/2008,2/9/2010,Y,WWW.RADEMACHERFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"26,409,570.00","4,848,652.00","31,258,222.00",364,26,390,Y,Y,N,N,N,N,N,N,N,Y,"ASSET ALLOCATION AND INVESTMENT MONITORING SERVICES, EDUCATIONAL SEMINARS",51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,136758,801-65441,"THALES FUND MANAGEMENT, LLC","THALES FUND MANAGEMENT, LLC","140 BROADWAY, 45TH FLOOR",,NEW YORK,NY,USA,10005,212-509-3111,212-509-3722,,,,,,,Approved,1/24/2006,2/11/2008,Y,WWW.THALES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,016,517,587.00",0,"1,016,517,587.00",10,0,10,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MGMT FOR HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,113145,801-60313,"MARY J. SPITLER, M.S.",MARYANN J. SPITLER,1267 N. 15TH ST.,SUITE 123-E,LARAMIE,WY,UNITED STATES,82072,307-742-3999,307-721-0352,,,,,,,Approved,6/1/2001,2/9/2010,Y,MARY@THEFPOFFICE.COM,N,N,Y,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"8,505,595.00",0,"8,505,595.00",118,0,118,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,149764,801-70027,"HMS CAPITAL MANAGEMENT, LLC","HMS CAPITAL MANAGEMENT, LLC",,,,,,,615-829-7200,615-829-7201,,,,,,,Approved,4/6/2009,2/9/2010,Y,WWW.HMSCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"40,051,570.00",0,"40,051,570.00",26,0,26,N,Y,N,Y,N,Y,N,N,N,Y,ASSET ALLOCATION CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122638,801-68487,"PREMIER ESTATE PLANNERS, LLC","PREMIER ESTATE PLANNERS, LLC",16950 19 MILE RD,SUITE 4,CLINTON TOWNSHIP,MI,USA,48038,586-228-7772,586-228-7776,,,,,,,Approved,11/6/2007,2/9/2010,Y,HTTP://WWW.YOURPLANNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISORY FEES,Y,"36,344,299.00","39,505,806.00","75,850,105.00",451,291,742,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150890,801-70418,"GUIDESTREAM FINANCIAL, INC.","GUIDESTREAM FINANCIAL, INC.",8050 SPRING ARBOR ROAD,,SPRING ARBOR,MI,UNITED STATES,49283,(517) 750-2727,(517) 750-2752,,,,,,,Approved,8/24/2009,2/9/2010,Y,GUIDESTREAMFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,More than 500,600,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,WRAP FEE,Y,"54,461,277.00",0,"54,461,277.00",622,0,622,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,Y,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,118060,801-68468,"LIGHTHOUSE FINANCIAL ADVISORS, INC.","LIGHTHOUSE FINANCIAL ADVISORS, INC.",164 WEST MAIN STREET,SUITE F,NEW MARKET,MD,USA,21774,301-865-9740,301-865-9741,P.O. BOX 360,,NEW MARKET,MD,USA,21774,Approved,10/19/2007,2/9/2010,Y,WWW.LIGHTHOUSEFINANCIALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"47,388,347.00","936,107.00","48,324,454.00",393,19,412,Y,Y,N,N,N,N,N,N,N,N,,26-50,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,130452,801-66463,"SEIDMAN INVESTMENT ADVISORS, LLC","SEIDMAN INVESTMENT ADVISORS, LLC",100 CRESCENT ROAD,SUITE 2A,NEEDHAM,MA,USA,2494,781-726-6065,781-726-6064,,,,,,,Approved,4/19/2006,2/9/2010,Y,SEIDMANS@SEIDMANINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"5,625,098.00","32,789,832.00","38,414,930.00",25,136,161,Y,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N
DRO,142205,801-68446,ASSOCIATION FINANCIAL SERVICES INC.,ASSOCIATION FINANCIAL SERVICES INC.,"1935 VINE STREET, SUITE 120",,SALT LAKE CITY,UT,UNITED STATES,84121,801-274-1820,801-274-1821,,,,,,,Approved,10/15/2007,2/9/2010,Y,AFS-INC.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"84,000,000.00",0,"84,000,000.00",300,0,300,Y,Y,N,Y,Y,N,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108340,801-35801,CULLINAN ASSOCIATES INC,CULLINAN ASSOCIATES INC,1406-D BROWNS LANE,,LOUISVILLE,KY,UNITED STATES,40207,502-893-0300,502-893-0325,,,,,,,Approved,1/11/1990,2/9/2010,Y,WWW.CULLINAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KY,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"650,805,000.00",0,"650,805,000.00",502,0,502,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,148365,801-69600,"LASALLE STREET CAPITAL MANAGEMENT, LLC","LASALLE STREET CAPITAL MANAGEMENT, LLC",190 SOUTH LASALLE STREET,SUITE 1025,CHICAGO,IL,UNITED STATES,60603,312-419-0600,312-419-0601,,,,,,,Approved,10/6/2008,2/9/2010,Y,WWW.LASALLESTREETCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"76,500,000.00",0,"76,500,000.00",12,0,12,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,106445,801-38344,SINGER XENOS WEALTH MANAGEMENT,SINGER & XENOS INC,800 DOUGLAS RD,SUITE 900,CORAL GABLES,FL,UNITED STATES,33134,305-443-0060,305-443-0027,,,,,,,Approved,2/28/1991,2/9/2010,Y,WWW.SINGERXENOS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,More than 500,500,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"812,700,000.00","973,000.00","813,673,000.00","2,149",11,"2,160",Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126599,801-68860,"EAGAN CAPITAL MANAGEMENT, LLC","EAGAN CAPITAL MANAGEMENT, LLC",210 SOUTH MANLIUS ST,,FAYETTEVILLE,NY,UNITED STATES,13066-2039,315-637-8004,315-637-3153,,,,,,,Approved,3/12/2008,2/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"39,649,823.00",0,"39,649,823.00",192,0,192,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,138146,801-65430,"HOLLOWAY WEALTH MANAGEMENT, LLC","HOLLOWAY WEALTH MANAGEMENT, LLC",500 NW 43RD STREET,SUITE 3,GAINESVILLE,FL,USA,32607,352-377-8177,352-378-8766,,,,,,,Approved,1/20/2006,2/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"80,400,000.00","17,600,000.00","98,000,000.00",321,58,379,Y,Y,N,Y,N,N,N,N,N,Y,WEALTH MANAGEMENT AND HOURLY CONSULTING SERVICES,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,127990,801-62342,"PACIFIC STRATEGIC MANAGEMENT, LP","PACIFIC STRATEGIC MANAGEMENT, LP",700 LOUSIANA STREET,SUITE 1100,HOUSTON,TX,USA,77002,713-495-5220,713-495-5221,,,,,,,Approved,9/26/2003,2/9/2010,Y,WWW.PACIFICSI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"359,469,063.00",0,"359,469,063.00",120,0,120,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT OF POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107786,801-56141,MARKSTON INTERNATIONAL LLC,MARKSTON INTERNATIONAL LLC,"50 MAIN STREET, SUITE 285",,WHITE PLAINS,NY,UNITED STATES,10606,914-761-4700,914-761-4746,,,,,,,Approved,12/31/1998,2/4/2010,Y,HTTP://WWW.MARKSTON.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,11-25 percent,0 percent,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,"FAMILY LIMITED PARTNERSHIP,CHURCH FUND,COLLEGE FUND,INTL DOMICILED COMINGLED EQUITY FUND",Y,N,N,N,N,Y,N,,Y,"1,021,931,637.00",0,"1,021,931,637.00",26,0,26,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124663,801-61703,ARCATAUR CAPITAL MANAGEMENT LLC,ARCATAUR CAPITAL MANAGEMENT LLC,"826 NORTH PLANKINTON AVENUE, SUITE 300",,MILWAUKEE,WI,USA,53203,414-225-8200,414-225-0043,,,,,,,Approved,4/13/2006,2/4/2010,Y,WWW.ARCATAUR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"51,308,981.00",0,"51,308,981.00",213,0,213,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110917,801-30773,PONDER INVESTMENT CO,PONDER INVESTMENT CO,180 N. STETSON AVE. STE. 750,,CHICAGO,IL,UNITED STATES,60601,312-377-2182,312-377-4944,,,,,,,Approved,12/4/1987,2/4/2010,Y,WWW.PONDERCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,"NON-PROFIT HOSPITALS, HEALTHCARE INSTITUTIONS, HIGHER EDUCATION INSTITUTIONS AND CULTURAL INSTITUTIONS",Y,N,N,N,N,N,N,,Y,"1,583,184,450.00","5,966,546.00","1,589,150,996.00",42,1,43,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,111953,801-60459,SUNRISE ADVISORS,"SUNRISE ADVISORS, INC.",13401 MISSION ROAD,SUITE 201,LEAWOOD,KS,UNITED STATES,66209,913-681-0215,913-681-0429,,,,,,,Approved,8/10/2001,2/5/2010,Y,WWW.SUNRISEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"168,481,000.00","5,300,000.00","173,781,000.00",244,1,245,Y,Y,N,Y,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,145475,801-68533,BROOKMONT CAPITAL MANAGEMENT,"BROOKMONT CAPITAL MANAGEMENT, LLC",2000 MCKINNEY AVENUE,SUITE 810,DALLAS,TX,UNITED STATES,75201,214-932-6712,214-932-6899,,,,,,,Approved,11/15/2007,2/5/2010,Y,WWW.BROOKMONTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,PERCENTAGE OF ASSETS CONSULTED UPON,Y,"87,337,400.00","12,732,750.00","100,070,150.00",110,19,129,N,Y,N,Y,N,N,Y,N,N,Y,PORTFOLIO MANAGEMENT STRATEGY CONSULTING,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109288,801-54747,"THE MATHES COMPANY, INC.","THE MATHES COMPANY, INC.",230 PARK AVENUE 33RD FL.,,NEW YORK,NY,USA,10169,917-368-4900,917-368-4950,,,,,,,Approved,7/31/1997,2/5/2010,Y,WWW.MATHESCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"107,139,447.00",0,"107,139,447.00",124,0,124,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,112603,801-61624,"KUMMER FINANCIAL STRATEGIES, INC.","KUMMER FINANCIAL STRATEGIES, INC.",8871 RIDGELINE BLVD.,SUITE 100,HIGHLANDS RANCH,CO,USA,80129,303-470-1209,303-470-0621,,,,,,,Approved,1/2/2003,2/5/2010,Y,WWW.KUMMERFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"91,372,660.00","500,000.00","91,872,660.00",380,7,387,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,104739,801-31621,ASSET ADVISORS CORPORATION,ASSET ADVISORS CORPORATION,2814 HILLCREEK DRIVE,SUITE A,AUGUSTA,GA,UNITED STATES,30909-5635,706-650-9900,706-650-9994,,,,,,,Approved,1/1/1988,2/5/2010,Y,WWW.ASSETADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"568,241,992.00",0,"568,241,992.00",751,0,751,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,146147,801-68796,"COBB WEALTH MANAGEMENT, LLC","COBB WEALTH MANAGEMENT, LLC",9290 GLENWOOD,SUITE B,OVERLAND PARK,KS,UNITED STATES,66212,913-906-7777,913-498-1898,,,,,,,Approved,1/29/2008,2/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"21,396,087.00","10,048,855.00","31,444,942.00",88,5,93,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108510,801-27781,EQUITY INVESTMENT CORP,EQUITY INVESTMENT CORP,"3007 PIEDMONT ROAD, NE, SUITE 200",,ATLANTA,GA,USA,30305,404-239-0111,,,,,,,,Approved,8/13/1986,2/5/2010,Y,WWW.EICATLANTA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,Nov-50,0,More than 500,"1,500",Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"541,234,744.00",0,"541,234,744.00","1,424",0,"1,424",N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,115653,801-63770,"CORNERSTONE CAPITAL MANAGEMENT, LLC","CORNERSTONE CAPITAL MANAGEMENT, LLC",4011 UNIVERSITY DRIVE,SUITE 202,DURHAM,NC,UNITED STATES,27707,919-419-6400,919-419-6446,,,,,,,Approved,1/3/2005,2/5/2010,Y,WWW.CCMADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"38,438,267.00","38,438,267.00",0,96,96,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,151577,801-70675,INVESTFORLESS,"INVESTFORLESS, LLC",419 RAPPAHANNOCK DRIVE,,WHITE STONE,VA,UNITED STATES,22578,888-537-7250,703-548-7252,,,,,,,Approved,10/16/2009,2/5/2010,Y,WWW.INVESTFORLESS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,"28,925,040.00","28,925,040.00",0,114,114,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106377,801-39895,MONTANA INVESTMENT ADVISORS INC,MONTANA INVESTMENT ADVISORS INC,104 EAST MAIN ST,STE 414-416,BOZEMAN,MT,UNITED STATES,59715-7090,406-586-7711,406-586-4675,P.O. BOX 7090,,BOZEMAN,MT,UNITED STATES,59771-7090,Approved,9/27/1991,2/5/2010,Y,WWW.MONTANAINVESTMENTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"44,920,062.00",0,"44,920,062.00",140,0,140,N,Y,N,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105034,801-15376,WAYCROSS INVESTMENT MANAGEMENT CO,WAYCROSS INVESTMENT MANAGEMENT COMPANY,1326 COMMERCIAL ST.,,BELLINGHAM,WA,UNITED STATES,98225,360-671-0148,360-671-8936,PO BOX 1618,,BELLINGHAM,WA,UNITED STATES,98227-1618,Approved,8/7/1980,2/5/2010,Y,WWW.WAYCROSS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"59,583,422.00",0,"59,583,422.00",96,0,96,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,130644,801-66704,CHESNEY & COMPANY,"CHESNEY & COMPANY, INC.",,,,,,,888-426-2193,877-272-9105,P.O. BOX 1287,,BEAUFORT,SC,USA,29901,Approved,5/9/2006,2/5/2010,Y,WWW.CHESNEYANDCOMPANY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"65,545,932.00","793,837.00","66,339,769.00",234,9,243,Y,Y,N,N,Y,N,N,N,N,Y,POOLED INVESTMENT VEHICLES,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114939,801-62745,"EUBANK, HUTSON & ASSOCIATES",BOBBY LEON EUBANK,5928 WEST PARKER ROAD,SUITE 1100,PLANO,TX,USA,75093,972-473-2244,972-473-7766,,,,,,,Approved,1/30/2004,2/5/2010,Y,WWW.EUBANKHUTSON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"79,345,769.00",0,"79,345,769.00",558,0,558,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,124662,801-61930,"STRATEGIC RETIREMENT PLANS, INC.","STRATEGIC FINANCIAL SERVICES, INC.",114 BUSINESS PARK DRIVE,,UTICA,NY,UNITED STATES,13502,315-735-7553,315-735-7739,,,,,,,Approved,3/26/2003,3/31/2010,Y,WWW.INVESTSTRATEGIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,0,"125,224,814.00","125,224,814.00",0,76,76,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,115562,801-70840,CLOSED-END FUND ADVISORS INC.,CLOSED-END FUND ADVISORS INC.,7204 GLEN FOREST DRIVE,SUITE #105,RICHMOND,VA,UNITED STATES,23226,804-288-2482,866-313-3002,,,,,,,Approved,12/8/2009,3/31/2010,Y,WWW.CEFADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"20,644,241.00","41,690,108.00","62,334,349.00",121,4,125,N,Y,N,Y,N,N,Y,Y,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107068,801-30452,"WEIK INVESTMENT SERVICES, INC","WEIK INVESTMENT SERVICES, INC.",1075 BERKSHIRE BLVD,SUITE 825,WYOMISSING,PA,UNITED STATES,19610-1227,610-376-2240,610-376-8256,,,,,,,Approved,9/17/1987,3/31/2010,Y,WWW.WEIKINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"160,873,812.00","5,598,282.00","166,472,094.00",184,1,185,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106107,801-47277,ATLAS CAPITAL MANAGEMENT CORP,ATLAS CAPITAL MANAGEMENT CORP,11130 COLDWATER ROAD,SUITE 104,FT WAYNE,IN,USA,46845-1270,260-637-2857,260-637-9707,,,,,,,Approved,8/19/1994,3/31/2010,Y,ATLASCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,Nov-50,0,More than 500,"3,000",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"151,000,000.00",0,"151,000,000.00","2,921",0,"2,921",N,Y,N,N,N,N,N,N,N,Y,RIA FIRMS,0,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,148403,801-69636,BNY MELLON ARX INVESTIMENTOS LTDA,BNY MELLON ARX INVESTIMENTOS LTDA,AVENIDA BORGES DE MEDEIROS,633 - 401/402/403,RIO DE JANEIRO,,BRAZIL,22430-041,55 21 3265-2139,55 21 3205-9502,,,,,,,Approved,11/14/2008,3/31/2010,Y,WWW.BNYMELLONARX.COM.BR,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Other (specify),SOCIEDADE LIMITADA IN BRAZIL,,BRAZIL,Nov-50,0,Nov-50,0,0,0,Nov-50,0,26-100,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,890,744,385.00",0,"5,890,744,385.00",61,0,61,N,N,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,107132,801-52936,HIGH STREET FINANCIAL LLC,HIGH STREET FINANCIAL LLC,"12802 TAMPA OAKS BLVD,SUITE 405",,TAMPA,FL,UNITED STATES,33637,813-910-2500,813-910-2502,,,,,,,Approved,9/20/1996,3/31/2010,Y,WWW.HIGHSTREET-GROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,Nov-50,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"34,454,148.00",0,"34,454,148.00",179,0,179,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,111042,801-18528,WILLIS INVESTMENT COUNSEL INC,WILLIS INVESTMENT COUNSEL INC,710 GREEN STREET,,GAINESVILLE,GA,UNITED STATES,30501,770-718-0706,770-718-0805,,,,,,,Approved,3/22/1983,3/31/2010,Y,WWW.WICINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,OCCASIONAL CONSULTING FEES,Y,"765,919,282.00","58,220,181.00","824,139,463.00",198,4,202,N,Y,N,Y,Y,Y,N,N,N,Y,OTHER FIRMS MANAGE PART OF THE ITEM 5F AMOUNT FOR WHICH WE ALSO HAVE MANAGEMENT AND/OR ADVISORY RESPONSIBILITY.,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126175,801-62168,E H WILLIAMS CAPITAL MANAGEMENT,"EH WILLIAMS CAPITAL MANAGEMENT, LLC",570 7TH AVE.,SUITE 504,NEW YORK,NY,UNITED STATES,10018,212-461-6500,212-461-6034,,,,,,,Approved,6/26/2003,3/31/2010,Y,WWW.WILLCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"204,000,000.00",0,"204,000,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106025,801-34567,"PCA REAL ESTATE ADVISORS, INC.","PCA REAL ESTATE ADVISORS, INC.",150 SPEAR STREET,SUITE 1850,SAN FRANCISCO,CA,UNITED STATES,94105,415-442-0700,415-442-0701,,,,,,,Approved,6/5/1989,3/31/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,138854,801-65725,EJF CAPITAL LLC,EJF CAPITAL LLC,2107 WILSON BOULEVARD,SUITE 410,ARLINGTON,VA,USA,22201,703-875-9121,703-875-0566,,,,,,,Approved,1/27/2006,3/31/2010,Y,WWW.EJFCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,Nov-50,0,26-100,0,0 percent,11-25 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"374,110,050.00","8,920,136.00","383,030,186.00",31,1,32,N,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,N,N
LARO,108602,801-55033,FFR ADVISORY,FFR ADVISORY LLC,3010 OLD RANCH PKWY,STE 215,SEAL BEACH,CA,UNITED STATES,90740,562-493-6426,562-431-5923,,,,,,,Approved,11/14/1997,3/31/2010,Y,WWW.FFRADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"115,000,000.00","10,000,000.00","125,000,000.00",150,10,160,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,Y,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y
CHRO,107149,801-40779,INSTITUTIONAL CAPITAL LLC,INSTITUTIONAL CAPITAL LLC,"225 W WACKER DR,SUITE 2400",,CHICAGO,IL,UNITED STATES,60606,312-424-9100,,,,,,,,Approved,2/10/1992,3/31/2010,Y,WWW.NYLIM.COM/INSTITUTIONALCAPITAL,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,101-250,0,0 percent,Up to 10 percent,0 percent,11-25 percent,26-50 percent,11-25 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"15,732,981,000.00",0,"15,732,981,000.00",137,0,137,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N
SFRO,112552,801-58183,"5T WEALTH MANAGEMENT, LLC","5T WEALTH MANAGEMENT, LLC",702 TRANCAS STREET,SUITE 200,NAPA,CA,UNITED STATES,94558,(707) 224-1340,(707) 224-2521,,,,,,,Approved,7/1/2003,3/31/2010,Y,HTTP://WWW.5TWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"111,987,138.00",0,"111,987,138.00",363,0,363,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,142227,801-67283,CUMBERLAND HILL CAPITAL MANAGEMENT LLC,CUMBERLAND HILL CAPITAL MANAGEMENT LLC,1901 N. AKARD ST.,,DALLAS,TX,UNITED STATES,75201,"214-855-5335, 214-999-9400",214-855-5024,,,,,,,Approved,11/13/2006,3/31/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,500,000.00",0,"2,500,000.00",1,0,1,N,N,N,N,N,Y,N,N,N,Y,LIMITED LIABILITY COMPANY AND LIMITED PARTNERSHIP PORTFOLIO MANAGEMENT,0,,N,N,N,Y,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,147678,801-69724,"FORT CAPITAL MANAGEMENT, LLC","FORT CAPITAL MANAGEMENT, LLC",176 N.E. 43RD STREET,,MIAMI,FL,UNITED STATES,33137,305-571-8228,305-576-1822,,,,,,,Approved,11/25/2008,3/31/2010,Y,HTTP://WWW.FORTCAPITAL.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"87,000,000.00","15,000,000.00","102,000,000.00",10,2,12,N,N,N,N,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR INVESTMENT PARTNERSHIPS,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,147506,801-69339,"JACKSON INVESTMENT MANAGEMENT, LLC","JACKSON INVESTMENT MANAGEMENT, LLC",7601 TECHNOLOGY WAY,,DENVER,CO,UNITED STATES,80237,720-489-6400,720-489-6597,,,,,,,Approved,7/9/2008,3/31/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,MAY BE NEGOTIATED TO FIT INVESTMENT MANDATE,N,0,0,0,0,0,0,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108728,801-55508,PACIFIC WEST FINANCIAL CONSULTANT INC,PACIFIC WEST FINANCIAL CONSULTANTS INC,ONE RENTON PLACE,"555 S. RENTON VILLAGE PLACE, #700",RENTON,WA,UNITED STATES,98057,425-271-3550,425-255-8567,PO BOX 860,,RENTON,WA,UNITED STATES,98057,Approved,5/4/1998,3/31/2010,Y,WWW.STRATTON-INSURANCE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,"6,000",51-75 percent,11-25 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,"440,549,141.00","201,901,331.00","642,450,472.00","3,732","1,828","5,560",Y,Y,N,Y,Y,Y,Y,N,N,N,,101-250,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N
FWRO,118156,801-60758,"CARLSON CAPITAL, L.P.","CARLSON CAPITAL, L.P.",2100 MCKINNEY AVE,SUITE 1600,DALLAS,TX,UNITED STATES,75201,214-932-9600,214-932-9602,,,,,,,Approved,12/11/2001,3/31/2010,Y,WWW.CARLSONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,51-250,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,849,358,521.00",0,"4,849,358,521.00",13,0,13,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES AND SEPARATE ACCOUNTS,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108417,801-57154,WHITE PINE CAPITAL LLC,WHITE PINE CAPITAL LLC,60 SOUTH 6TH STREET,SUITE 2530,MINNEAPOLIS,MN,UNITED STATES,55402,612-376-9765,612-376-2999,,,,,,,Approved,1/14/2000,3/31/2010,Y,WWW.WHITEPINECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"373,732,365.00","122,059.00","373,854,424.00",243,1,244,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108197,801-55467,"STEELOAKS INVESTMENT ADVISERS, INC.","STEELOAKS INVESTMENT ADVISERS, INC.","PENN PLACE, SUITE 102",3205 PENNSYLVANIA AVENUE,WEIRTON,WV,UNITED STATES,26062,304-723-6700,304-723-5999,,,,,,,Approved,4/23/1998,3/31/2010,Y,WWW.STEELOAKS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"66,000,000.00","38,500,000.00","104,500,000.00",189,7,196,N,Y,N,Y,N,N,N,N,N,Y,"CONSULTING, INSTITUTIONAL RESEARCH & ANALYSIS",,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,151276,801-70560,"ARENA CONSULTING, LLC","ARENA CONSULTING, LLC",,,,,,,847-579-9917,847-556-6598,,,,,,,Approved,9/3/2009,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"35,000,000.00",0,"35,000,000.00",13,0,13,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105247,801-22609,BLACKROCK FUND ADVISORS,BLACKROCK FUND ADVISORS,400 HOWARD STREET,,SAN FRANCISCO,CA,UNITED STATES,94105,415-670-2000,415-618-5014,,,,,,,Approved,11/15/1984,3/31/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,COMMODITY POOLS & MAURITIUS PRIVATE LIMITED LIABILITY COMPANY.,Y,N,N,N,N,N,N,,Y,"413,508,673,219.00",0,"413,508,673,219.00",206,0,206,N,N,Y,N,N,N,N,N,N,Y,MANAGER TO PRIVATE FUND AND MAURITIUS ENTITY; COMMODITY TRADING ADVISOR,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
HQ,139138,801-66019,CAIRN CAPITAL LIMITED,CAIRN CAPITAL LIMITED,27 KNIGHTSBRIDGE,,LONDON,,UNITED KINGDOM,SW1X 7LY,44-20-7259-4800,44-20-7259-4899,,,,,,,Approved,1/31/2006,3/31/2010,Y,WWW.CAIRNCAPITAL.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,51-75 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,Y,UPFRONT FEES,Y,"4,775,094,500.00","30,040,924,424.00","34,816,018,924.00",14,14,28,N,N,N,Y,N,N,N,N,N,Y,STRUCTURING AND ADVISORY,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,Y,Y,N,N,N,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110022,801-61312,"PRUDENT MAN ADVISORS, INC.","PRUDENT MAN ADVISORS, INC.",2135 CITYGATE LANE,7TH FLOOR,NAPERVILLE,IL,UNITED STATES,60563,630-657-6400,630-718-8701,,,,,,,Approved,7/15/2002,3/31/2010,Y,WWW.PMANETWORK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,GOVERNMENT INVESTMENT POOLS,Y,N,N,N,N,N,N,,Y,"2,738,149,611.00",0,"2,738,149,611.00",2,0,2,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111386,801-60172,MORGAN STANLEY SMITH BARNEY,MORGAN STANLEY SMITH BARNEY VENTURE SERVICES LLC,"485 LEXINGTON AVENUE, 12TH FLOOR",,NEW YORK,NY,UNITED STATES,10017,212-783-3660,646-328-3220,,,,,,,Approved,4/6/2001,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,PRIVATE INVESTMENT FUNDS,Y,N,N,N,N,Y,N,,Y,"211,119,103.00",0,"211,119,103.00",6,0,6,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT TO PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,N,Y
CHRO,107513,801-39116,"MARTIN CAPITAL MANAGEMENT, LLP",MARTIN CAPITAL MANAGEMENT LLP,300 NIBCO PARKWAY,STE 301,ELKHART,IN,UNITED STATES,46516,574-293-2077,574-293-2153,,,,,,,Approved,6/27/1991,3/31/2010,Y,WWW.MCMADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,IN,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"612,233,115.00","104,059,528.00","716,292,643.00",283,21,304,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108878,801-22677,"PRESIDIO MANAGEMENT, LLC","PRESIDIO GEARY MANAGEMENT, LLC",44 MONTGOMERY STREET,SUITE 2110,SAN FRANCISCO,CA,USA,94104,415-433-0610,415-433-0840,,,,,,,Approved,11/1/1984,6/4/2007,Y,WWW.PRESIDIOMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"25,000,000.00",0,"25,000,000.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135516,801-64318,"KARSCH CAPITAL MANAGEMENT, LP","KARSCH CAPITAL MANAGEMENT, LP",110 EAST 59TH STREET,22ND FLOOR,NEW YORK,NY,USA,10022,212-507-9790,212-507-9792,,,,,,,Approved,5/20/2005,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,312,854,897.00",0,"3,312,854,897.00",23,0,23,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS AND OTHER POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106042,801-18367,DELPHI MANAGEMENT INC,DELPHI MANAGEMENT INC,50 ROWES WHARF STE 540,,BOSTON,MA,USA,2110,617-330-1025,617-261-1804,,,,,,,Approved,1/31/1983,3/31/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"902,806,757.00",0,"902,806,757.00",62,0,62,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119682,801-67427,"BERTHEL FISHER & COMPANY PLANNING, INC.","BERTHEL FISHER & COMPANY PLANNING, INC.",701 TAMA STREET,,MARION,IA,UNITED STATES,52302,319-447-5700,319-447-4244,,,,,,,Approved,1/3/2007,4/2/2009,N,,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Corporation,,IA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,HAVE NOT RECEIVED COMPENSATION SINCE AUGUST 2009,N,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,Y,APPLICANT IS NOT ACTIVELY MANAGING ASSETS AT THIS TIME,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,124673,801-61761,T.ROBBINS CAPITAL MANAGEMENT LLC,ROBBINS CAPITAL MANAGEMENT LLC,100 FIRST STAMFORD PLACE  6TH FLOOR EAST,,STAMFORD,CT,UNITED STATES,06902-6740,203-388-4848,203-388-4811,,,,,,,Approved,1/27/2003,2/3/2010,Y,WWW.ROBBINSCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"33,378,345.00",0,"33,378,345.00",81,0,81,N,Y,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,141259,801-67073,LONDINIUM ASSET MANAGEMENT LTD.,LONDINIUM ASSET MANAGEMENT LTD.,COLUMBIA PALACE,11 AVENUE PRINCESSE GRACE,98000 PRINCIPALITY OF MONACO,,MONACO,,377-9770-3581,377-9770-3580,,,,,,,Approved,8/23/2006,2/3/2010,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,BRITISH VIRGIN ISLANDS,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"42,000,000.00",0,"42,000,000.00",1,0,1,N,Y,N,N,N,N,N,N,N,Y,PROPRIETARY ACCOUNT,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,125964,801-63707,FIVE MILE RIVER I. M. L.L.C.,FIVE MILE RIVER INVESTMENT MANAGEMENT L.L.C.,100 FIRST STAMFORD PLACE  6FL EAST,,STAMFORD,CT,UNITED STATES,06902-6740,203-388-4810,203-388-4811,,,,,,,Approved,2/9/2004,2/3/2010,Y,WWW.FIVEMILERIVER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"50,529,085.00",0,"50,529,085.00",172,0,172,N,Y,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111170,801-57070,MIDWEST INVESTMENT MANAGEMENT LLC,MIDWEST INVESTMENT MANAGEMENT LLC,1301 EAST NINTH ST,SUITE 1110,CLEVELAND,OH,UNITED STATES,44114-1823,216-830-1110,216-830-1159,,,,,,,Approved,12/21/1999,2/3/2010,Y,WWW.MIMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"131,324,119.00",0,"131,324,119.00",421,0,421,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,125538,801-68498,FARNSLEY FINANCIAL CONSULTANTS,"FARNSLEY FINANCIAL CONSULTANTS, LLC",505 REID AVENUE,,PORT ST. JOE,FL,UNITED STATES,32456,850-227-3336,850-227-3339,,,,,,,Approved,11/21/2007,2/3/2010,Y,WWW.FARNSLEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"50,000,000.00","50,000,000.00",0,75,75,Y,Y,N,N,Y,N,N,N,N,N,,26-50,,N,Y,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,117334,801-60729,"KNIGHTSBRIDGE ADVISORS, INC.","KNIGHTSBRIDGE ADVISORS, INC.",,,,,,,781-545-4558,781-545-7556,759 CJC HIGHWAY,#383,COHASSET,MA,UNITED STATES,2025,Approved,12/11/2001,2/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"69,363,816.00",0,"69,363,816.00",25,0,25,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,119371,801-67903,HORIZON PLANNING INC.,HORIZON PLANNING INC.,,,,,,,212-427-7734,212-876-5501,,,,,,,Approved,5/17/2007,2/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"42,273,625.00","42,273,625.00",0,32,32,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,115340,801-62738,"STEWARDSHIP PARTNERS INVESTMENT COUNSEL, INC.","STEWARDSHIP PARTNERS INVESTMENT COUNSEL, INC.",2514 PLANTATION CENTER DR.,,MATTHEWS,NC,USA,28105,1-800-930-6949,1-800-930-6949,,,,,,,Approved,2/10/2004,2/3/2010,Y,HTTP://WWW.STEWARDSHIPPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,10-Jun,0,5-Jan,0,0,0,Nov-50,0,More than 500,"1,000",26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"218,000,000.00",0,"218,000,000.00",814,0,814,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,133932,801-63858,"ALPINE CAPITAL MANAGEMENT, LLC","ALPINE CAPITAL MANAGEMENT, LLC",711 5TH AVENUE SOUTH,SUITE 212,NAPLES,FL,UNITED STATES,34102,239-325-2200,239-325-2203,,,,,,,Approved,1/24/2005,2/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"62,000,000.00",0,"62,000,000.00",88,0,88,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,112581,801-43965,BENEFIT FUNDING INC.,BENEFIT FUNDING INC.,ONE FISHER AVE,,BOSCAWEN,NH,USA,3303,603-753-8500,603-753-5800,PO BOX 2873,,CONCORD,NH,USA,03302-2873,Approved,5/18/1993,1/4/2007,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"27,152,428.00","27,152,428.00",0,25,25,N,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,Y,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,145206,801-68462,"JUNO MOTHER EARTH ASSET MANAGEMENT, LLC","JUNO MOTHER EARTH ASSET MANAGEMENT, LLC",429 LENOX AVENUE,,MIAMI BEACH,FL,UNITED STATES,33139,305-677-2132,305-921-9146,,,,,,,Approved,11/2/2007,2/3/2010,Y,NA,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,CURRENTLY RECEIVING NO FEES,Y,"374,000.00",0,"374,000.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES TO INVESTMENT COMPANIES EXEMPT FROM REGISTRATION UNDER THE INVESTMENT COMPANY ACT OF 1940,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111308,801-67977,"TUCKER FINANCIAL SERVICES, INC.","TUCKER FINANCIAL SERVICES, INC.",425 PHOENIX DRIVE,,CHAMBERSBURG,PA,UNITED STATES,17201,717-267-1426,717-267-1584,,,,,,,Approved,6/15/2007,2/3/2010,Y,WWW.TUCKERFINANCIALSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"60,889,543.00",0,"60,889,543.00",459,0,459,Y,Y,N,N,N,N,Y,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,112732,801-60893,BRADDOCK FINANCIAL CORP.,BRADDOCK FINANCIAL CORP.,1200 17TH STREET,SUITE 880,DENVER,CO,UNITED STATES,80202,303-308-6400,303-291-1312,,,,,,,Approved,2/1/2002,3/10/2010,Y,HTTP://WWW.BRADDOCKFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"126,292,368.00","21,546,654.00","147,839,022.00",7,2,9,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES.,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,123568,801-62913,"TITAN CAPITAL MANAGEMENT, LLC","TITAN CAPITAL MANAGEMENT, LLC",1500 J STREET,,MODESTO,CA,USA,95354,(209) 529-3089,(209) 529-3081,,,,,,,Approved,3/12/2004,3/10/2010,Y,WWW.TITANMANAGERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"120,880,935.00",0,"120,880,935.00",445,0,445,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,131077,801-63130,DOBSON ASSET MANAGEMENT,"DOBSON, CHARLES CASE","1306 N.W. HOYT ST., SUITE 408",,PORTLAND,OR,UNITED STATES,97209,503-417-3481,503-417-3483,,,,,,,Approved,6/3/2004,3/10/2010,Y,CDOBSON@EARTHLINK.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"38,273,300.00","38,285,653.00","76,558,953.00",188,14,202,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,113314,801-60409,"BANK STREET INVESTMENT ADVISORS, LLC","BANK STREET INVESTMENT ADVISORS, LLC",171 MARKET SQUARE,SUITE 101,NEWINGTON,CT,UNITED STATES,06111-2967,860-436-9617,860-436-9633,,,,,,,Approved,7/9/2001,3/10/2010,Y,WWW.BANKST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,FIXED FEES THAT VARY BASED ON LEVEL OF ASSETS UNDER MANAGEMENT,Y,0,"450,827,915.00","450,827,915.00",0,10,10,N,N,N,Y,N,N,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137140,801-65566,ICP ASSET MANAGEMENT LLC,ICP ASSET MANAGEMENT LLC,360 MADISON AVENUE,10TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-821-1900,212-821-1959,,,,,,,Approved,1/26/2006,10/30/2009,Y,WWW.ICPCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"8,200,000,000.00","3,200,000,000.00","11,400,000,000.00",8,14,22,N,N,N,Y,N,N,N,N,N,Y,STRUCTURED INVESTMENT VEHICLES AND POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105264,801-11987,SCHULHOFF & CO INC,SCHULHOFF & CO INC,9370 MAIN STREET,SUITE D,CINCINNATI,OH,UNITED STATES,45242-7621,513-241-2900,513-621-0044,,,,,,,Approved,9/7/1976,3/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"144,191,228.00",0,"144,191,228.00",215,0,215,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138149,801-65627,GDG ASSET MANAGEMENT LIMITED,GDG ASSET MANAGEMENT LIMITED,FITZWILLIAM HALL,FITZWILLIAM PLACE,DUBLIN 2,,IRELAND,,011-353-1-669-1900,011-353-1-669-1901,,,,,,,Approved,1/27/2006,2/11/2009,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,IRELAND ,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"513,000,000.00",0,"513,000,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVICE TO PRIVATE FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,132737,801-66472,LIPE & DALTON INVESTMENT COUNSEL,"LIPE & DALTON,INC.",109 SOUTH WARREN STREET,SUITE 1107,SYRACUSE,NY,UNITED STATES,13202,315-428-8585,315-428-8589,,,,,,,Approved,3/23/2006,3/10/2010,Y,WWW.LIPEANDDALTON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"107,077,834.00",0,"107,077,834.00",255,0,255,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110449,801-66712,TREECE INVESTMENT ADVISORY CORP,TREECE INVESTMENT ADVISORY CORP,6800 W. CENTRAL AVENUE,UNIT G-1,TOLEDO,OH,UNITED STATES,43617,419-843-7744,419-843-7742,,,,,,,Approved,5/3/2006,3/10/2010,Y,TREECEINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"39,686,799.00",0,"39,686,799.00",567,0,567,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,139165,801-66115,THOMSON FINANCIAL ADVISORS LLC.,THOMSON FINANCIAL ADVISORS LLC.,,,,,,,480-661-5051,480-661-5054,,,,,,,Approved,2/8/2006,3/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"25,742,249.00",0,"25,742,249.00",174,0,174,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112411,801-57174,BAY CITY FINANCIAL SERVICES INC,BAY CITY FINANCIAL SERVICES INC,1255 BARKLEY BLVD. #102,,BELLINGHAM,WA,UNITED STATES,98226,360-647-0649,360-647-0068,PO BOX 31550,,BELLINGHAM,WA,UNITED STATES,98228-3550,Approved,1/27/2000,3/10/2010,Y,WWW.BAYCITYFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"47,856,778.00","12,091,657.00","59,948,435.00",455,274,729,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108465,801-51629,INVESTMENT CONSULTANTS,INVESTMENT CONSULTANTS,,,,,,,847-492-9559,847-492-1395,,,,,,,Approved,4/3/1996,3/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,INDUSTRY ASSOCIATION & FOUNDATION,Y,N,N,Y,N,N,N,,Y,0,"35,349,468.00","35,349,468.00",0,65,65,Y,Y,N,Y,Y,N,N,N,N,Y,DC PARTICIPANT EDUC & RPTING,25-Nov,,N,N,N,Y,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,140190,801-66512,"IC ADVISORY SERVICES, INC.","IC ADVISORY SERVICES, INC.",1420 ROUTE 206 NORTH,SUITE 210,BEDMINSTER,NJ,UNITED STATES,7921,908-707-4422,908-707-6486,"1420 ROUTE 206 NORTH, SUITE 210",P.O. BOX 770,BEDMINSTER,NJ,UNITED STATES,7921,Approved,4/13/2006,3/10/2010,Y,WWW.INVESTMENTCTR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,"3,500",51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"597,958,255.00","62,016,486.00","659,974,741.00","3,574",378,"3,952",Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,Y,Y,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
FWRO,131248,801-68176,"WEALTH ADVISORS, L.L.C.","WEALTH ADVISORS, L.L.C.",5407 SOUTH LEWIS AVE.,SUITE 200,TULSA,OK,UNITED STATES,74105,918-745-1200,866-342-1669,,,,,,,Approved,8/2/2007,3/10/2010,Y,WWW.WEALTHOK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,401(K) ASSET POOL,Y,Y,N,N,N,N,N,,Y,"26,166,190.00","2,986,997.00","29,153,187.00",150,26,176,N,Y,N,N,N,N,N,N,N,Y,PORTFOLIO CONSULTATION SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,113370,801-61841,"BROOKFIELD INVESTMENT PARTNERS, LLC","BROOKFIELD INVESTMENT PARTNERS, LLC",330 SOUTH EXECUTIVE DRIVE,SUITE 307,BROOKFIELD,WI,UNITED STATES,53005-4275,262-785-6751,262-785-6759,,,,,,,Approved,2/27/2003,3/10/2010,Y,WWW.BROOKFIELDINVESTMENTPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,PRIVATE HIGH SCHOOL,Y,Y,N,Y,N,N,N,,Y,"240,220,123.00","39,637,404.00","279,857,527.00",38,3,41,Y,Y,N,Y,N,N,Y,N,N,Y,FINANCIAL CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108190,801-13556,RAYNER & HAYNOR,RAYNER & HAYNOR,"655 REDWOOD HWY, SUITE 370",,MILL VALLEY,CA,UNITED STATES,94941-3057,415-332-7433,415-388-5079,,,,,,,Approved,12/16/1977,3/10/2010,Y,WWW.RAYNERHAYNOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"155,209,614.00","5,486,101.00","160,695,715.00",267,2,269,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109947,801-58205,"PINNACLE FINANCIAL ADVISORS, LLC","PINNACLE FINANCIAL ADVISORS, LLC","11000 LINCOLN DRIVE WEST, SUITE 8",,MARLTON,NJ,UNITED STATES,8053,856-797-8082,856-797-8086,,,,,,,Approved,12/14/2000,3/10/2010,Y,WWW.PFACENTRAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"174,555,690.00","1,781,196.00","176,336,886.00",504,5,509,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,140681,801-66919,"ADVISORALLIANCE, LLC","ADVISORALLIANCE, LLC",5305 VILLAGE PARKWAY,SUITE 5,ROGERS,AR,USA,72758,479-845-4260,479-845-4266,,,,,,,Approved,6/20/2006,3/10/2010,Y,WWW.ADVISORALLIANCE.US,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AR,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"115,287,528.00","4,849,356.00","120,136,884.00",458,97,555,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,128340,801-69030,ROYAL ASSET MANAGERS,"ROYAL ASSET MANAGERS, LLC",,,,,,,630-587-1250,,,,,,,,Approved,4/28/2008,3/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"26,100,000.00","2,000,000.00","28,100,000.00",26,4,30,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108258,801-67961,IMPERIAL CAPITAL ASSET MANAGEMENT LLC,IMPERIAL CAPITAL ASSET MANAGEMENT LLC,"2000 AVENUE OF THE STARS, SUITE 900, SOUTH TOWER",,LOS ANGELES,CA,USA,90067,310-246-3700,310-777-3096,,,,,,,Approved,6/18/2007,3/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,PAYMENT FOR DEBT AND EQUITY RESEARCH REPORTS TO CLIENTS,Y,"51,701,019.00",0,"51,701,019.00",2,0,2,N,Y,N,Y,N,N,N,N,N,Y,ICAM PROVIDES DEBT AND EQUITY RESEARCH REPORTS TO INSTITUTIONAL CLIENTS.,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,105433,801-14889,"WILLIAM E, SWEET & ASSOCIATES",SWEET WILLIAM ELLERY III,"1777 S. HARRISON, STE 1040",,DENVER,CO,USA,80210,303-759-4414,303-753-6496,,,,,,,Approved,10/25/1979,3/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CO,UNITED STATES,5-Jan,0,0,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"49,824,119.00",0,"49,824,119.00",231,0,231,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137339,801-65235,ENSO CAPITAL MANAGEMENT LLC,ENSO CAPITAL MANAGEMENT LLC,540 MADISON AVENUE,SUITE 18A,NEW YORK,NY,UNITED STATES,10022,212-829-3500,212-829-3540,,,,,,,Approved,1/19/2006,3/26/2010,Y,WWW.ENSOCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"96,500,000.00",0,"96,500,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,21675,801-32675,DIRECTED SERVICES LLC,DIRECTED SERVICES LLC,1475 DUNWOODY DRIVE,,WEST CHESTER,PA,UNITED STATES,19380,610-425-3400,610-425-3520,,,,,,,Approved,11/10/1988,3/31/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,251-500,0,5-Jan,0,251-500,0,0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"38,337,966,568.00",0,"38,337,966,568.00",59,0,59,N,N,Y,N,N,Y,N,N,N,Y,CONSULTANT,,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,Y,N
NYRO,144533,801-69634,KOHLBERG KRAVIS ROBERTS & CO. L.P.,KOHLBERG KRAVIS ROBERTS & CO. L.P.,9 WEST 57TH STREET,SUITE 4200,NEW YORK,NY,UNITED STATES,10019,212-750-8300,212-750-0003,,,,,,,Approved,10/15/2008,3/31/2010,Y,WWW.KKR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,501-1000,0,51-250,0,Nov-50,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"47,101,184,435.00",0,"47,101,184,435.00",13,0,13,N,N,N,N,N,N,N,N,N,Y,CLIENTS INCLUDE PRIVATE POOLED INVESTMENT VEHICLES,,,N,N,N,N,Y,N,N,N,N,,Y,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147447,801-69280,BANNERSTONE CAPITAL,"BANNERSTONE CAPITAL MANAGEMENT, LLC",18258 MINNETONKA BLVD,SUITE 105,DEEPHAVEN,MN,UNITED STATES,55391,952-249-8888,952-249-8891,,,,,,,Approved,6/12/2008,3/31/2010,Y,BANNERSTONECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"25,000,000.00","10,000,000.00","35,000,000.00",280,25,305,N,Y,N,Y,N,N,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138717,801-65790,PHOENIX INVESTMENT ADVISER LLC,PHOENIX INVESTMENT ADVISER LLC,420 LEXINGTON AVENUE,SUITE 2225,NEW YORK,NY,USA,10170-2200,212-632-8422,212-202-3562,,,,,,,Approved,1/24/2006,3/31/2010,Y,WWW.PHOENIXINVADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"147,600,000.00",0,"147,600,000.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGER TO PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,119537,801-60990,CITIGROUP ALTERNATIVE INVESTMENTS LLC,CITIGROUP ALTERNATIVE INVESTMENTS LLC,399 PARK AVE,7 TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-559-1022,646-291-3541,,,,,,,Approved,3/11/2002,3/31/2010,Y,WWW.CITIGROUPAI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,501-1000,0,51-250,0,51-250,0,10-Jun,0,101-250,0,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"23,000,000,000.00",0,"23,000,000,000.00",169,0,169,N,Y,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,147500,801-69366,"OPTIMUS CAPITAL ADVISORS, LLC","OPTIMUS CAPITAL ADVISORS, LLC",235 S DENTON TAP RD,SUITE 100,COPPELL,TX,UNITED STATES,75019,972-745-7704,972-692-5904,,,,,,,Approved,7/31/2008,3/31/2010,Y,WWW.OPTIMUSCA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,Y,MAY RECEIVE A CARRY PERCENTAGE ON PRIVATE PARTNERSHIPS,Y,"30,000,000.00","1,500,000.00","31,500,000.00",220,30,250,Y,Y,N,Y,N,Y,N,N,N,Y,LIMITED PARTNERSHIP,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,130037,801-66003,HARVEST CAPITAL STRATEGIES LLC,HARVEST CAPITAL STRATEGIES LLC,600 MONTGOMERY STREET,SUITE 2000,SAN FRANCISCO,CA,UNITED STATES,94111,(415) 835-3900,(415) 263-1336,,,,,,,Approved,2/1/2006,3/31/2010,Y,WWW.HARVESTCAPS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,PERFORMANCE-BASED ALLOCATIONS,Y,"550,123,446.00",0,"550,123,446.00",14,0,14,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106251,801-53846,ICICI GROUP GLOBAL PRIVATE CLIENTS,ICICI SECURITIES HOLDINGS INC.,"300 ALEXANDER PARK, SUITE 206",,PRINCETON,NJ,UNITED STATES,8540,609-452-2929,609-452-0048,,,,,,,Approved,2/11/1997,3/31/2010,Y,WWW.ICICIGROUPGPC.COM/US,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"155,838,694.00",0,"155,838,694.00",375,0,375,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146912,801-69082,"E*TRADE FINANCIAL ADVISORY SERVICES, INC.","E*TRADE FINANCIAL ADVISORY SERVICES, INC.",135 E 57TH ST,17TH FL,NEW YORK,NY,UNITED STATES,10022,646-521-4465,646-840-7401,,,,,,,Approved,5/7/2008,3/31/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,RIA AND BD AFFILIATES,N,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,ADVISORY SERVICES OVERSIGHT,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,118098,801-60755,MAYO INVESTMENT ADVISERS LLC,MAYO INVESTMENT ADVISERS LLC,"30 ROWES WHARF,SUITE 500",,BOSTON,MA,UNITED STATES,2110,617-897-5800,617-897-5801,,,,,,,Approved,12/14/2001,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,FOUNDATIONS AND ENDOWMENTS,Y,N,N,N,N,Y,N,,Y,"1,816,178,617.00",0,"1,816,178,617.00",180,0,180,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,6864,801-55780,CAMERON MURPHY & SPANGLER INC,"CAMERON, MURPHY & SPANGLER, INC.",170 SOUTH OAKLAND AVENUE,,PASADENA,CA,UNITED STATES,91101,626-449-1323,626-449-9740,,,,,,,Approved,8/14/1998,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,0,"140,669,385.00","140,669,385.00",0,290,290,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
LARO,6312,801-57663,"CROWN CAPITAL SECURITIES, L.P.","CROWN CAPITAL SECURITIES, L.P.",725 TOWN & COUNTRY ROAD,SUITE 530,ORANGE,CA,USA,92868,714-547-9481,714-547-9735,,,,,,,Approved,7/5/2000,3/31/2010,Y,WWW.CROWNCAPITALSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"10,720,801.00","254,966,353.00","265,687,154.00",87,"1,217","1,304",Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,Y,N,N,N,Y,N,N,,N,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N
ARO,149861,801-70106,"EVERGREEN ADVISORS, LLC","EVERGREEN ADVISORS, LLC",1208 POINTE CENTRE DRIVE,SUITE 260,CHATTANOOGA,TN,UNITED STATES,37421,423-933-1814,423-208-9024,,,,,,,Approved,5/1/2009,3/31/2010,Y,WWW.EVERGREENADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE OF ASSETS MONITORED; PERCENTAGE OF PLAN ASSETS,Y,"64,004,333.00","9,387,784.00","73,392,117.00",628,2,630,Y,Y,N,N,Y,Y,N,N,N,Y,GENERAL INVESTMENT CONSULTING,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107636,801-39066,BOULDER ASSET MANAGEMENT,STARK RICHARD JOSEPH,9785 MAROON CIRCLE,SUITE 130,ENGLEWOOD,CO,UNITED STATES,80112,303-779-8772,303-779-8774,,,,,,,Approved,6/21/1991,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"315,296,347.00",0,"315,296,347.00",15,0,15,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123674,801-64131,"ALTON CAPITAL MANAGEMENT, INC.","ALTON CAPITAL MANAGEMENT, INC.",2410 STATE ST.,,ALTON,IL,UNITED STATES,62002,618-466-9700,618-466-3241,,,,,,,Approved,4/15/2005,3/31/2010,Y,WWW.ALTONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"51,900,000.00","600,000.00","52,500,000.00",110,2,112,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,Y,Y,Y,Y,N,N,N,N,N,,N,,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,141332,801-67049,"BETTERMAN INVESTMENT GROUP, LLC","BETTERMAN INVESTMENT GROUP, LLC",70 WEST MADISON,SUITE 5720,CHICAGO,IL,UNITED STATES,60602,312-373-7222,312-212-5449,,,,,,,Approved,7/25/2006,3/31/2010,Y,WWW.BETTERMANINVESTMENTGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"235,000,000.00",0,"235,000,000.00",100,0,100,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,148866,801-70313,"STOREHOUSE PARTNERS, LLC","STOREHOUSE PARTNERS, LLC",10811 MAIN STREET,,BELLEVUE,WA,UNITED STATES,98004-6323,425-401-1211,206-905-8638,,,,,,,Approved,6/30/2009,3/31/2010,Y,WWW.STOREHOUSEPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,0,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"91,866,589.00","67,700,446.00","159,567,035.00",205,43,248,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137136,801-65149,GORDON ASSET MANAGEMENT LLC,GORDON ASSET MANAGEMENT LLC,411 THEODORE FREMD AVENUE,,RYE,NY,USA,10580,914-921-5500,914-921-5554,,,,,,,Approved,1/13/2006,3/31/2010,Y,WWW.GORDONASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"83,500,000.00",0,"83,500,000.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109580,801-54360,OSTERWEIS CAPITAL MANAGEMENT LLC,OSTERWEIS CAPITAL MANAGEMENT LLC,"ONE MARITIME PLAZA, SUITE 800",,SAN FRANCISCO,CA,UNITED STATES,94111,415-434-4441,415-434-0918,,,,,,,Approved,5/2/1997,3/31/2010,Y,WWW.OSTERWEIS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,5-Jan,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"2,993,812,273.00","7,178,753.00","3,000,991,026.00",276,8,284,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,122156,801-70865,BROCK SECURITIES LLC,BROCK SECURITIES LLC,"622 THIRD AVENUE, 12TH FLOOR",,NEW YORK,NY,UNITED STATES,10019,212-209-3000,212-209-3030,,,,,,,Approved,12/15/2009,3/31/2010,Y,WWW.BROCKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,Nov-50,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,VOLUNTARY EMPLOYEE BENEFITS ASSOCIATION,N,Y,N,Y,N,N,N,,Y,"4,587,000,000.00",0,"4,587,000,000.00",1,0,1,N,N,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111091,801-48282,"ING INVESTMENTS, LLC","ING INVESTMENTS, LLC",7337 E. DOUBLETREE RANCH ROAD,,SCOTTSDALE,AZ,UNITED STATES,85258-2034,480-477-3000,480-477-2087,,,,,,,Approved,2/7/1995,3/31/2010,Y,WWW.INGFUNDS.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,COLLATERALIZED LOAN OBLIGATIONS,Y,N,N,N,N,N,N,,Y,"46,449,308,835.00",0,"46,449,308,835.00",98,0,98,N,N,Y,N,N,Y,N,N,N,Y,CONSULTANT,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107580,801-52559,BLACKSTONE ALTERNATIVE ASSET MANAGEMENT LP,BLACKSTONE ALTERNATIVE ASSET MANAGEMENT LP,345 PARK AVE,,NEW YORK,NY,UNITED STATES,10154,212-583-5000,212-583-5258,,,,,,,Approved,8/28/1996,3/31/2010,Y,WWW.BLACKSTONE.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"53,510,389,002.00",0,"53,510,389,002.00",160,0,160,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107105,801-48433,"BLACKROCK FINANCIAL MANAGEMENT, INC","BLACKROCK FINANCIAL MANAGEMENT, INC",55 EAST 52ND STREET,,NEW YORK,NY,UNITED STATES,10055,212-810-5300,212-810-3744,,,,,,,Approved,2/28/1995,3/31/2010,Y,HTTP://WWW.BLACKROCK.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,More than 1000,"1,500",51-250,0,251-500,0,51-250,0,More than 500,682,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,GOVERNMENT AGENCIES AND QUASI-GOVERNMENTAL AGENCIES,Y,N,N,Y,N,Y,N,,Y,"515,787,151,626.00","51,867,381.00","515,839,019,007.00","2,917",9,"2,926",N,Y,Y,Y,N,Y,N,N,N,N,,,,N,Y,N,N,Y,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
DRO,134205,801-64014,"THERMOPOLIS PARTNERS, LLC","THERMOPOLIS PARTNERS, LLC",1315 SOUTH HWY 89,SUITE 203,JACKSON HOLE,WY,UNITED STATES,83001,(307) 732-0514,(307) 734-0103,P.O. BOX 10369,,JACKSON HOLE,WY,UNITED STATES,83002,Approved,3/3/2005,3/31/2010,Y,HTTP://THERMOPOLISPARTNERS.COM,N,N,Y,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"13,000,000.00",0,"13,000,000.00",2,0,2,N,Y,N,Y,N,N,N,N,N,Y,ADVISE A FUND OF FUNDS ON MANAGER DUE DILIGENCE,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143261,801-68372,"CHESTER CAPITAL MANAGEMENT, LLC","CHESTER CAPITAL MANAGEMENT, LLC",14 RIDGEDALE AVENUE,SUITE 130,CEDAR KNOLLS,NJ,USA,7927,973-984-8200,973-984-3080,,,,,,,Approved,9/18/2007,3/31/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105421,801-18395,OSTERWEIS CAPITAL MANAGEMENT INC,OSTERWEIS CAPITAL MANAGEMENT INC,"ONE MARITIME PLAZA, STE 800",,SAN FRANCISCO,CA,UNITED STATES,94111,415-434-4441,415-434-0918,,,,,,,Approved,3/3/1983,3/31/2010,Y,WWW.OSTERWEIS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,324,698,838.00",0,"1,324,698,838.00",123,0,123,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,141485,801-67136,FORTIUS WEALTH MANAGEMENT LLC,FORTIUS WEALTH MANAGEMENT LLC,14587 S 790 W,SUITE A102,BLUFFDALE,UT,UNITED STATES,84065,801-495-0966,801-495-0941,14587 S 790 W,SUITE A102,BLUFFDALE,UT,UNITED STATES,84065,Approved,9/21/2006,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"24,805,428.00","1,103,894.00","25,909,322.00",112,3,115,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,128439,801-67918,"HARRISON - DE CHARON, L.L.C.","HARRISON - DE CHARON, L.L.C.",6310 GREENWICH DRIVE,SUITE 145,SAN DIEGO,CA,UNITED STATES,92122-5901,858-558-8707,858-228-1760,,,,,,,Approved,5/15/2007,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"103,955,426.00",0,"103,955,426.00",520,0,520,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,141286,801-67031,"TAMALPAIS ASSET MANAGEMENT, L.P.","TAMALPAIS ASSET MANAGEMENT, L.P.",3 HARBOR DRIVE SUITE 204,,SAUSALITO,CA,USA,94965-1454,415-289-3600,415-332-1526,,,,,,,Approved,7/24/2006,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"172,470,020.00",0,"172,470,020.00",29,0,29,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,137404,801-64757,"AFT, FORSYTH AND COMPANY, INC.","AFT, FORSYTH AND COMPANY, INC.",400 ROYAL PALM WAY,SUITE 410,WEST PALM BEACH,FL,UNITED STATES,33480,561-296-6680,561-296-6684,,,,,,,Approved,9/29/2005,3/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"105,005,328.00",0,"105,005,328.00",122,0,122,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105263,801-33000,PRINCETON CAPITAL MANAGEMENT INC,PRINCETON CAPITAL MANAGEMENT INC,47 HULFISH STREET,SUITE 500,PRINCETON,NJ,UNITED STATES,8542,609-924-6867,609-921-9502,,,,,,,Approved,10/6/1988,3/3/2010,Y,WWW.PCMINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,"CEMETERY FUND, MULTI FAMILY OFFICE",Y,N,N,N,N,N,N,,Y,"154,488,351.00",0,"154,488,351.00",294,0,294,N,Y,N,Y,N,N,N,N,N,Y,SUB-ADVISORY PORTFOLIO MANAGEMENT,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,105261,801-33920,"AFT, FORSYTH & BENT LLC","AFT, FORSYTH & BENT LLC","400 ROYAL PALM WAY, SUITE 410",,PALM BEACH,FL,UNITED STATES,33480,561 296-6680,561-296-6684,,,,,,,Approved,3/24/1989,3/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,0,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"60,860,627.00",0,"60,860,627.00",17,0,17,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107552,801-49462,"OBJECTIVE ADVISORS, INC.","OBJECTIVE ADVISORS, INC.",12016 HWY 290 WEST,SUITE #6,AUSTIN,TX,USA,78737,512-301-0001,512-301-0006,,,,,,,Approved,6/23/1995,3/10/2010,Y,WWW.OBJECTIVE-ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"395,000,000.00","395,000,000.00",0,10,10,N,N,N,Y,N,N,N,N,N,Y,ASSET LIABILITY MANAGEMENT,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107091,801-50786,"EFG, INC.",EVERHART FINANCIAL GROUP INC,5890 VENTURE DRIVE,SUITE D,DUBLIN,OH,USA,43017,614-717-9705,614-717-9725,,,,,,,Approved,12/21/1995,3/10/2010,Y,WWW.EVERHARTFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),S-CORP,OH,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"350,000,000.00","350,000,000.00",0,500,500,Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,N,Y,N,Y,N,N,N,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,115916,801-61283,"DANDA TROUVE INVESTMENT MANAGEMENT, INC.","DANDA TROUVE INVESTMENT MANAGEMENT, INC.",8201 MISSION ROAD,SUITE 200,PRAIRIE VILLAGE,KS,USA,66208,913-262-1108,913-262-2015,,,,,,,Approved,7/16/2002,3/10/2010,Y,WWW.DANDATROUVE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"54,224,264.00",0,"54,224,264.00",181,0,181,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
DRO,145551,801-70588,"CORATICUM ASSET MANAGEMENT, LLC","CORATICUM ASSET MANAGEMENT, LLC",,,,,,,801-824-2205,1-866-679-6718,,,,,,,Approved,9/24/2009,3/10/2010,Y,WWW.CORATICUM.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"33,718,832.00",0,"33,718,832.00",2,0,2,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135649,801-65216,"GREGOIRE CAPITAL, LLC","GREGOIRE CAPITAL, LLC",33 BLEEKER STREET,SUITE 204,MILLBURN,NJ,USA,7041,973-376-0707,973-376-0057,,,,,,,Approved,1/18/2006,3/10/2010,Y,WWW.GREGOIRECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,ADVISOR MAY CHARGE INCENTIVE FEES.,Y,"748,000,000.00",0,"748,000,000.00",7,0,7,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES; INVESTMENT ADVICE TO MANAGERS/OWNERS OF HEDGE FUND AND FOF PORTFOLIOS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,114315,801-60543,"MIMOSA INVESTMENT MANAGEMENT, LLC","MIMOSA INVESTMENT MANAGEMENT, LLC",4400 SILAS CREEK PARKWAY,SUITE 104,WINSTON-SALEM,NC,USA,27104,336-659-0050,336-659-0051,,,,,,,Approved,9/5/2001,3/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,673,338.00",0,"34,673,338.00",110,0,110,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,121235,801-61273,"HIRST WEALTH MANAGEMENT, INC.","HIRST WEALTH MANAGEMENT, INC.",,,,,,,508-636-3595,508-636-3705,P.O. BOX 4030,,WESTPORT,MA,UNITED STATES,2790,Approved,6/28/2002,3/10/2010,Y,WWW.HIRSTWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"69,833,530.00",0,"69,833,530.00",301,0,301,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,105541,801-30581,PVG ASSET MANAGEMENT CORP,PVG ASSET MANAGEMENT CORP,24918 GENESEE TRAIL ROAD,,GOLDEN,CO,USA,80401,303-526-0548,303-526-1391,,,,,,,Approved,10/23/1987,3/10/2010,Y,WWW.PVGASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"60,000,000.00","40,000,000.00","100,000,000.00",260,1,261,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
MIRO,130716,801-62896,UHLER AND VERTICH FINANCIAL PLANNERS,"UHLER AND VERTICH FINANCIAL PLANNERS, LLC",1510 ROYAL PALM SQUARE BOULEVARD,#103,FORT MYERS,FL,UNITED STATES,33919-1068,239-936-6300,239-936-0780,,,,,,,Approved,3/12/2004,3/10/2010,Y,WWW.UHLERANDVERTICH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,3RD PARTY ADVISER/MANAGER FEES,Y,"61,728,970.00","13,081,983.00","74,810,953.00",202,33,235,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,139342,801-66181,"MOHICAN FINANCIAL MANAGEMENT, LLC","MOHICAN FINANCIAL MANAGEMENT, LLC","21 RAILROAD AVE., SUITE 35",,COOPERSTOWN,NY,UNITED STATES,13326,607-547-1357,607-547-1903,,,,,,,Approved,2/1/2006,3/10/2010,Y,HTTP://WWW.MOHICANFINANCIAL.COM/,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"286,358,000.00",0,"286,358,000.00",3,0,3,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114937,801-60609,FINANCIAL MANAGEMENT SERVICES,"BROWN, BENJAMIN, A.",5200 KELLER SPRINGS,# 1225,DALLAS,TX,UNITED STATES,75248,214-505-1170,972-789-9634,5200 KELLER SPRINGS,1225,DALLAS,TX,UNITED STATES,75248,Approved,10/19/2001,3/10/2010,Y,WWW.FINANCIALMGMTSVCS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"53,395,504.00","6,877,277.00","60,272,781.00",255,16,271,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150682,801-70425,APEX CAPITAL MANAGEMENT (NEW YORK) LLC,APEX CAPITAL MANAGEMENT (NEW YORK) LLC,ONE BRYANT PARK,SUITE #37C,NEW YORK,NY,UNITED STATES,10036,212-750-5400,212-750-1525,,,,,,,Approved,7/29/2009,3/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"352,000,000.00",0,"352,000,000.00",11,0,11,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR UNREGISTERED INVESTMENT COMPANIES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,109117,801-57390,"CHAPEL & COLLINS, LLC","CHAPEL & COLLINS, LLC",375 EAST HORSETOOTH RD,"BUILDING 4, SUITE 100",FORT COLLINS,CO,UNITED STATES,80525,970-204-1376,970-207-9701,,,,,,,Approved,3/21/2000,3/10/2010,Y,WWW.CHAPELCOLLINS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,CORPORATIONS AND OTHER ENTITIES,Y,Y,N,Y,Y,N,Y,THIRD PARTY ADVISOR/MANAGER FEES,Y,0,"98,000,000.00","98,000,000.00",0,251,251,Y,Y,N,Y,Y,Y,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106749,801-52060,M.KRAUS & COMPANY,M.KRAUS & COMPANY,4076 SHELBURNE ROAD,"BUILDING A, SUITE 7-C",SHELBURNE,VT,UNITED STATES,5482,802-985-2620,802-985-8252,P.O. BOX 9,,SHELBURNE,VT,UNITED STATES,5482,Approved,5/29/1996,3/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"123,400,000.00","17,952,775.00","141,352,775.00",250,3,253,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109809,801-57232,"CHAPIN ASSOCIATES, LLC","CHAPIN ASSOCIATES, LLC",385 ROUTE 24,SUITE 1F,CHESTER,NJ,UNITED STATES,7930,908-879-3200,908-879-3222,,,,,,,Approved,2/4/2000,3/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,11-25 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"29,785,978.00","3,685,437.00","33,471,415.00",92,22,114,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,114915,801-60646,REDICAN ASSET MANAGEMENT,REDICAN ASSET MANAGEMENT,303. SOUTH BROADWAY - SUITE 486,,TARRYTOWN,NY,UNITED STATES,10591,914-372-3240,914-372-3027,,,,,,,Approved,10/16/2001,3/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"62,578,000.00","18,278,000.00","80,856,000.00",230,3,233,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108124,801-56591,FALCON CAPITAL MANAGEMENT INC,FALCON CAPITAL MANAGEMENT INC,530 DANBURY ROAD,,WILTON,CT,UNITED STATES,6897,203-834-1404,203-834-1406,,,,,,,Approved,6/7/1999,3/10/2010,Y,FALCONCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"62,516,000.00","5,595,000.00","68,111,000.00",83,9,92,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,134156,801-63965,"THE SEB GROUP, INC.","THE SEB GROUP, INC.",,,,,,,610-346-1928,610-346-1929,P.O. BOX 218,,FERNDALE,PA,UNITED STATES,18921,Approved,2/25/2005,3/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"18,747,688.00","23,327,094.00","42,074,782.00",22,62,84,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,134673,801-66854,"ABERNATHY INVESTMENT MANAGEMENT, LLC","ABERNATHY INVESTMENT MANAGEMENT, LLC",,,,,,,615-376-8244,615-376-9488,P.O. BOX 2528,,BRENTWOOD,TN,USA,37024-2528,Approved,6/9/2006,3/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"43,756,546.00",0,"43,756,546.00",92,0,92,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106438,801-37555,"XPYRIA INVESTMENT ADVISORS, INC.","XPYRIA INVESTMENT ADVISORS, INC.","ONE GATEWAY CENTER, SUITE 600",420 FORT DUQUESNE BOULEVARD,PITTSBURGH,PA,USA,15222-1416,412-232-3310,412-232-3340,,,,,,,Approved,10/12/1990,3/10/2010,Y,WWW.XPYRIAINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"406,215,163.00","7,929,614.00","414,144,777.00",519,16,535,Y,Y,N,Y,N,N,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,147637,801-70348,"OCEAN AVENUE CAPITAL ADVISORS, INC.","OCEAN AVENUE CAPITAL ADVISORS, INC.","1299 OCEAN AVE., #333",,SANTA MONICA,CA,UNITED STATES,90401,(310) 393-8804,(310) 395-3354,,,,,,,Approved,7/1/2009,3/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"33,423,099.00",0,"33,423,099.00",61,0,61,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,134639,801-68851,"MARCA, INC.","MARCA, INC.",4320 EAGLE POINT PARKWAY,,BIRMINGHAM,AL,USA,35242,205-408-3000,205-408-3010,,,,,,,Approved,2/15/2008,3/10/2010,Y,WWW.MARCAINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"40,393,228.00","40,393,228.00",0,336,336,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106045,801-37666,"TROTTER CAPITAL MANAGEMENT, INC.","TROTTER CAPITAL MANAGEMENT, INC.",,,,,,,972-396-7167,972-572-7315,,,,,,,Approved,11/8/1990,3/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"24,000,000.00","4,000,000.00","28,000,000.00",7,1,8,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110107,801-57482,"KERNS CAPITAL MANAGEMENT, INC.","KERNS CAPITAL MANAGEMENT, INC.",GALLERIA FINANCIAL CENTER,"5075 WESTHEIMER, SUITE 1177",HOUSTON,TX,UNITED STATES,77056,713-993-0949,713-993-0950,,,,,,,Approved,8/7/2000,3/1/2010,Y,WWW.KERNSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"104,237,015.00","46,858,423.00","151,095,438.00",398,44,442,N,Y,Y,Y,Y,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108254,801-14172,ADVISORY RESEARCH INC,ADVISORY RESEARCH INC,180 N STETSON AVENUE,SUITE 5500,CHICAGO,IL,UNITED STATES,60601,312-565-1414,312-565-2002,,,,,,,Approved,11/7/1978,3/1/2010,Y,WWW.ADVISORYRESEARCH.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,More than 500,"1,000",Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,WRAP PROGRAMS,Y,N,N,Y,N,Y,N,,Y,"5,613,505,114.00","91,040,463.00","5,704,545,577.00","1,161",5,"1,166",N,Y,Y,Y,Y,Y,N,N,N,N,,0,,N,Y,N,Y,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,132825,801-70458,STRATEGIC PORTFOLIO ADVISORS,STRATEGIC PORTFOLIO ADVISORS,10161 PARK RUN DRIVE,SUITE 150,LAS VEGAS,NV,UNITED STATES,89145,702-515-7445,702-515-7401,,,,,,,Approved,8/19/2009,3/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"83,146,961.00","83,146,961.00",0,243,243,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115238,801-64357,GREAT RIVER ASSET MANAGEMENT LLC,GREAT RIVER ASSET MANAGEMENT LLC,"320 NORTH THIRD ST, SUITE 501",,BURLINGTON,IA,USA,52601,319-758-6792,314-472-6065,"320 NORTH THIRD ST, SUITE 501",PO BOX 725,BURLINGTON,IA,USA,52601,Approved,6/21/2005,3/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"77,870,163.00",0,"77,870,163.00",192,0,192,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,132389,801-65911,"GRYPHON ADVISORS, LLC","GRYPHON ADVISORS, LLC",1578 SHERMAN AVENUE,,EVANSTON,IL,UNITED STATES,60201,847-424-0465,847-424-0542,,,,,,,Approved,2/17/2006,3/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"129,036,127.00","51,428,879.00","180,465,006.00",633,233,866,Y,Y,N,Y,Y,Y,N,N,N,Y,TAX PREP/MNGT CON,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107072,801-38106,CUSTER MANAGEMENT INC DBA LEVEL PARTNERS,CUSTER MANAGEMENT INC,14 SOUTH HIGH STREET,,NEW ALBANY,OH,UNITED STATES,43054,614-855-9980,614-855-9979,,,,,,,Approved,1/14/1991,3/1/2010,Y,WWW.CUSTERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"35,046,952.00",0,"35,046,952.00",169,0,169,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,149998,801-70120,"GREY OWL CAPITAL MANAGEMENT, LLC","GREY OWL CAPITAL MANAGEMENT, LLC",803 BROAD STREET,,FALLS CHURCH,VA,UNITED STATES,22046,703-459-9400,,,,,,,,Approved,5/1/2009,3/1/2010,Y,WWW.GREYOWLCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"178,519,350.00",0,"178,519,350.00",174,0,174,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,119092,801-64383,A&F FINANCIAL ADVISORS LLC,A&F FINANCIAL ADVISORS LLC,"101 WASHINGTON STREET, EAST",,CHARLESTON,WV,UNITED STATES,25301,304-206-3338,304-346-8333,P. O. BOX 2629,,CHARLESTON,WV,UNITED STATES,25329,Approved,6/13/2005,3/1/2010,Y,WWW.AFFINANCIALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"145,377,564.00","6,398,360.00","151,775,924.00",443,1,444,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,129663,801-62821,"TIMBERLAND INVESTMENT RESOURCES, LLC","TIMBERLAND INVESTMENT RESOURCES, LLC","3379 PEACHTREE ROAD, NE",SUITE 420,ATLANTA,GA,UNITED STATES,30326,404-848-2000,404-848-2006,,,,,,,Approved,2/19/2004,3/1/2010,Y,WWW.TIRLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,BOTH 5 AND 9,Y,N,N,N,N,Y,N,,Y,"703,564,385.00",0,"703,564,385.00",7,0,7,N,Y,N,Y,N,N,N,N,N,Y,TIMBERLAND INVESTMENT MANAGEMENT,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,108541,801-57457,LEGACY CONSULTING GROUP,LEGACY CG LLC,"5000 LEGACY DR., ST. #450",,PLANO,TX,USA,75024,972-599-4750,972-599-4751,,,,,,,Approved,4/20/2000,3/1/2010,Y,WWW.LEGACYCONSULTINGGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,FAMILY LIMITED PARTNERSHIPS,Y,Y,N,Y,N,N,N,,Y,"90,712,134.00","17,175,418.00","107,887,552.00",90,60,150,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106111,801-38220,"PORTFOLIO ADVISORS, INC.","PORTFOLIO ADVISORS, INC.","7571 N. REMINGTON AVE., STE. 105",,FRESNO,CA,UNITED STATES,93711-5799,559-432-8400,559-432-8401,,,,,,,Approved,2/1/1991,3/1/2010,Y,WWW.PORTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"114,743,402.00","114,743,402.00",0,661,661,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105883,801-25846,OAK TREE ADVISORY SERVICES INC,OAK TREE ADVISORY SERVICES INC,701 PALOMAR AIRPORT ROAD,SUITE 300,CARLSBAD,CA,UNITED STATES,92011,760-439-5616,866-690-9969,,,,,,,Approved,12/31/1985,3/1/2010,Y,WWW.OAKTREEADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,RETAINER AGREEMENTS,Y,"25,500,000.00",0,"25,500,000.00",45,0,45,Y,Y,N,N,Y,Y,Y,N,N,Y,"COLLABORATIVE DIVORCE, MEDIATION",26-50,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,113780,801-62736,"HELMSMAN FINANCIAL GROUP, LLC","HELMSMAN FINANCIAL GROUP, LLC","17330 135TH AVENUE, NE",SUITE 2A,WOODINVILLE,WA,UNITED STATES,98072,425-485-0381,425-481-1634,,,,,,,Approved,2/6/2004,3/1/2010,Y,WWW.HELMSMANFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"28,660,007.00","29,476,990.00","58,136,997.00",40,139,179,Y,Y,N,N,Y,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,117899,801-60754,WIENER FINANCIAL MANAGEMENT,"WIENER, BRUCE MICHAEL",,,,,,,301-762-0030,301-762-2848,,,,,,,Approved,12/7/2001,3/1/2010,Y,WWW.WIENERFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"76,677,111.00","47,162.00","76,724,273.00",313,5,318,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138987,801-66222,PRIME CAPITAL MANAGEMENT COMPANY LIMITED,PRIME CAPITAL MANAGEMENT COMPANY LIMITED,181 QUEEN'S ROAD CENTRAL,"UNIT 2303, LOW BLOCK, GRAND MILLENNIUM PLAZA",HONG KONG,,HONG KONG,,852-36025138,852-36025000,,,,,,,Approved,3/2/2006,3/2/2010,Y,WWW.PRIMECAPITAL.COM.HK,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"684,751,746.00",0,"684,751,746.00",1,0,1,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,129609,801-62562,"THOMPSON INVESTMENT MANAGEMENT, INC.","THOMPSON INVESTMENT MANAGEMENT, INC.",918 DEMING WAY,3RD FLOOR,MADISON,WI,UNITED STATES,53717,608-827-5700,608-827-7300,,,,,,,Approved,12/5/2003,3/2/2010,Y,WWW.THOMPSONIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"651,348,816.00",0,"651,348,816.00",372,0,372,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150824,801-70434,JOHN F SUBY WEALTH MANAGEMENT LLC,JOHN F SUBY WEALTH MANAGEMENT LLC,2901 WEST BELTLINE HWY,SUITE 201,MADISON,WI,UNITED STATES,53713,608-273-3100,,,,,,,,Approved,8/21/2009,3/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"96,878,017.00",0,"96,878,017.00",145,0,145,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,118923,801-61197,"LOUNTZIS ASSET MANAGEMENT, LLC","LOUNTZIS ASSET MANAGEMENT, LLC",2201 RIDGEWOOD ROAD,SUITE 410,WYOMISSING,PA,USA,19610,(610) 375-2585,(610) 375-3324,,,,,,,Approved,6/6/2002,3/2/2010,Y,WWW.LOUNTZIS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"58,343,554.00",0,"58,343,554.00",72,0,72,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145946,801-68648,"WISCONSIN WEALTH ADVISORS, LLC","WISCONSIN WEALTH ADVISORS, LLC",1777 WEST MAIN STREET,SUITE 203,SUN PRAIRIE,WI,UNITED STATES,53590,608-837-9099,608-825-6468,,,,,,,Approved,12/21/2007,3/2/2010,Y,WWW.PLANNR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,600,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,FLAT FEES,Y,"132,729,627.00",0,"132,729,627.00",407,0,407,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,133372,801-63672,SIMPLIFI,"SIMPLIFI, LLC",410 W. FOURTH STREET,SUITE 100,WINSTON-SALEM,NC,UNITED STATES,27101,336-724-4742,336-766-0823,,,,,,,Approved,1/3/2005,3/2/2010,Y,WWW.SIMPLIFI.NET,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,0,0,0,0,0,0,More than 500,"6,300",51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,N,,More than 500,22000,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,111523,801-52157,KAZIMIR PARTNERS LIMITED,KAZIMIR PARTNERS LIMITED,WALKER HOUSE,87 MARY STREET,GEORGE TOWN,,CAYMAN ISLANDS,KY1-9002,001 345 945 3727,001 345 945 4757,,,,,,,Approved,8/7/1996,3/2/2010,Y,WWW.KAZIMIR.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CAYMAN ISLANDS,5-Jan,0,5-Jan,0,0,0,10-Jun,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,FRONT LOADED SUBSCRIPTION FEE,Y,"152,520,448.00",0,"152,520,448.00",8,0,8,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,122715,801-70107,NLA FINANCIAL ADVISORS,NLA FINANCIAL ADVISORS LLC,,,,,,,508-252-5715,508-252-3987,P. O. BOX 492,,REHOBOTH,MA,UNITED STATES,2769,Approved,4/27/2009,3/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,N,N,N,Y,ANNUAL RETAINER FEE,Y,"6,625,900.00","43,810,959.00","50,436,859.00",3,71,74,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,104612,801-25887,GRAHAM BORDELON & CO INC,GRAHAM BORDELON & CO INC,2401 TOWER DRIVE,,MONROE,LA,USA,71201,318-322-7157,318-325-2067,,,,,,,Approved,12/5/1985,3/2/2010,Y,WWW.GRAHAMBORDELON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,LA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"72,304,248.00","87,538,762.00","159,843,010.00",143,139,282,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,Y,N,N,N,N,N,N,N,,N,N,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106574,801-36250,"ENRIGHT, MOLLIN, CASCIO AND RAMUSEVIC","ENRIGHT, MOLLIN, CASCIO AND RAMUSEVIC",91-31 QUEENS BLVD.,SUITE 308,ELMHURST,NY,USA,11373,718-803-1817,718-803-2202,,,,,,,Approved,2/27/1990,12/13/2005,Y,EMCRADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"140,000,000.00","5,000,000.00","145,000,000.00",38,6,44,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,127658,801-71342,"KENSINGTON FINANCIAL GROUP, CORPORATION","KENSINGTON FINANCIAL GROUP, INC.",110 OAKWOOD DRIVE,SUITE 550,WINSTON-SALEM,NC,UNITED STATES,27103,336.712.9743,336.712.9742,,,,,,,Approved,4/21/2010,4/9/2010,Y,WWW.KENFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,% OF ASSETS UNDER ADVISEMENT,Y,"34,598,632.00","798,269.00","35,396,901.00",411,2,413,N,Y,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107923,801-56667,TATTERSALL ADVISORY GROUP INC,TATTERSALL ADVISORY GROUP INC,6802 PARAGON PLACE,SUITE 200,RICHMOND,VA,UNITED STATES,23230,804-289-2663,804-285-7219,,,,,,,Approved,8/13/1999,4/9/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,51-75 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,DELAWARE STATUTORY TRUSTS,Y,N,N,N,N,N,N,,Y,"905,989,300.00",0,"905,989,300.00",32,0,32,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N
NYRO,150825,801-70429,STEPHEN P. MOULTON & ASSOCIATES,"STEPHEN P. MOULTON & ASSOCIATES, CORP.",7133 W. MAIN RD.,,LEROY,NY,UNITED STATES,14482,585-768-8760,585-768-8811,PO BOX 220,,LE ROY,NY,UNITED STATES,14482,Approved,8/5/2009,4/9/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,139979,801-66493,PLATINUM CAPITAL MANAGEMENT (USA) LLC,PLATINUM CAPITAL MANAGEMENT (USA) LLC,11601 WILSHIRE BOULEVARD,5TH FLOOR,LOS ANGELES,CA,UNITED STATES,90025,310-260-1011,310-496-1244,,,,,,,Approved,4/7/2006,4/9/2010,Y,WWW.PLATINUMFUNDSUSA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"30,000,000.00",0,"30,000,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,FUND OF HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,113380,801-63963,"HARPER ASSOCIATES, LLC","HARPER ASSOCIATES, LLC",120 W. OLD COUNTRY ROAD,,HICKSVILLE,NY,UNITED STATES,11801-4084,516-433-3171,516-433-2084,,,,,,,Approved,2/18/2005,4/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"44,673,069.00",0,"44,673,069.00",427,0,427,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,136573,801-65405,WATERFALL INVESTMENTS INC.,WATERFALL INVESTMENTS INC.,"10 KING ST. E., SUITE 701",,"TORONTO, ONTARIO",,CANADA,M5C 1C3,416-504-6768,416-504-6884,,,,,,,Approved,1/24/2006,12/14/2005,Y,WWW.WATERFALLINVESTMENTS.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"123,191,067.00",0,"123,191,067.00",6,0,6,N,N,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108322,801-57196,"FIC CAPITAL, INC.","FIC CAPITAL, INC.",286 MADISON AVE.,9TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-860-2977,914-595-4216,,,,,,,Approved,1/21/2000,4/9/2010,Y,WWW.FICCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"130,700,000.00","20,300,000.00","151,000,000.00",222,6,228,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,108198,801-27224,"KING INVESTMENT ADVISORS, INC.","KING INVESTMENT ADVISORS, INC.",1980 POST OAK BLVD.,SUITE 2400,HOUSTON,TX,USA,77056-3898,713-961-0462,713-961-5613,,,,,,,Approved,6/13/1986,4/9/2010,Y,WWW.KINGADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"439,774,254.00",0,"439,774,254.00",334,0,334,Y,Y,Y,Y,Y,Y,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110061,801-35817,STAAR FINANCIAL ADVISORS INC,STAAR FINANCIAL ADVISORS INC,604 MCKNIGHT PARK DRIVE,,PITTSBURGH,PA,UNITED STATES,15237,412-367-9076,412-367-9141,,,,,,,Approved,2/16/1990,4/9/2010,Y,WWW.STAARINVEST.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,Y,Y,N,N,N,,Y,"29,870,698.00",0,"29,870,698.00",26,0,26,Y,Y,Y,Y,N,Y,Y,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110057,801-47160,URBAN FINANCIAL ADVISORY CORPORATION,URBAN FINANCIAL ADVISORY CORP,221 N. LA SALLE ST.,SUITE 764,CHICAGO,IL,UNITED STATES,60601,312-379-0150,312-379-0366,,,,,,,Approved,8/3/1994,10/14/2009,Y,WWW.UFINADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"369,587,122.00","35,178,204.00","404,765,326.00",368,34,402,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,145039,801-68324,"STONEBRIDGE CAPITAL MANAGEMENT VIII, LLC","STONEBRIDGE CAPITAL MANAGEMENT VIII, LLC",33 CLINTON ROAD,,WEST CALDWELL,NJ,USA,7006,973-244-9696,973-244-9441,,,,,,,Approved,9/13/2007,4/9/2010,Y,WWW.SBCM.NET,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,More than 75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"4,189,029.00",0,"4,189,029.00",20,0,20,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143108,801-67623,CARLEON CAPITAL PARTNERS LLC,CARLEON CAPITAL PARTNERS LLC,280 PARK AVE.,23RD FLOOR EAST,NEW YORK,NY,USA,10017,212-488-4700,646-390-9168,,,,,,,Approved,3/20/2007,3/26/2010,Y,WWW.CARLEONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"200,803,239.00",0,"200,803,239.00",1,0,1,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105689,801-28513,KABAREC FINANCIAL ADVISORS LTD,KABAREC FINANCIAL ADVISORS LTD,220 N. SMITH ST.,SUITE 220,PALATINE,IL,UNITED STATES,60067-2488,847-934-7777,847-934-0276,,,,,,,Approved,12/5/1986,3/26/2010,Y,KABAREC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"145,993,117.00","3,909,102.00","149,902,219.00",606,26,632,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,104692,801-11188,"FERGUSON WELLMAN CAPITAL MANAGEMENT, INC.","FERGUSON WELLMAN CAPITAL MANAGEMENT, INC.",888 SW 5TH AVE STE 1200,,PORTLAND,OR,USA,97204,[503]226-1444,[503] 226-3647,,,,,,,Approved,12/1/1975,3/26/2010,Y,WWW.FERGUSONWELLMAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"2,467,155,868.00",0,"2,467,155,868.00","1,736",0,"1,736",N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153299,801-71243,"STEP CHANGE ADVISORS, LLC","STEP CHANGE ADVISORS, LLC",9622 MANSFIELD DRIVE,,SAINT LOUIS,MO,UNITED STATES,63132,314-517-6845,314-395-4321,,,,,,,Approved,4/6/2010,3/26/2010,Y,STEPCHANGEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"10,600,000.00","23,000,000.00","33,600,000.00",23,7,30,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,109079,801-55841,RIVERPLACE CAPITAL MANAGEMENT INC,RIVERPLACE CAPITAL MANAGEMENT INC,1301 RIVERPLACE BLVD,SUITE 2130,JACKSONVILLE,FL,UNITED STATES,32207-9032,904-346-3460,904-346-3434,,,,,,,Approved,9/2/1998,3/26/2010,Y,WWW.RIVERPLACECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"74,918,568.00","2,632,403.00","77,550,971.00",260,39,299,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105337,801-22431,GARDEY FINANCIAL ADVISORS LLC,GARDEY FINANCIAL ADVISORS LLC,100 HARROW LANE,,SAGINAW,MI,UNITED STATES,48638,989-791-3880,989-791-4572,,,,,,,Approved,10/24/1984,3/26/2010,Y,GARDEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"103,389,927.00","100,774,667.00","204,164,594.00",758,420,"1,178",Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108742,801-57744,MARK SHEPTOFF FINANCIAL PLANNING LLC,MARK SHEPTOFF FINANCIAL PLANNING LLC,703 HEBRON AVE 3RD FLOOR,,GLASTONBURY,CT,UNITED STATES,6033,860-734-1090,860-734-1095,,,,,,,Approved,7/11/2000,3/26/2010,Y,WWW.MARKSHEPTOFF.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"127,516,398.00",0,"127,516,398.00",988,0,988,Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104566,801-49550,MATTHEW 25 MANAGEMENT CORP,MATTHEW 25 MANAGEMENT CORP,413 JOHNSON STREET,SUITE #200,JENKINTOWN,PA,UNITED STATES,19046,215-884-4458,215-887-7470,P.O. BOX 2479,,JENKINTOWN,PA,UNITED STATES,19046,Approved,7/3/1995,3/26/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"47,088,103.00",0,"47,088,103.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,121326,801-63098,"AXA PRIVATE EQUITY (US), LLC","AXA PRIVATE EQUITY (US), LLC",1370 AVENUE OF THE AMERICAS,22ND FLOOR,NEW YORK,NY,UNITED STATES,10019-4602,212-641-8606,212-641-8616,,,,,,,Approved,4/28/2004,3/26/2010,Y,WWW.AXAPRIVATEEQUITY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,380,572,774.00",0,"1,380,572,774.00",7,0,7,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105931,801-50257,THE CAVANAUGH GROUP INC,THE CAVANAUGH GROUP INC,100 W PENNSYLVANIA AVE,SUITE 304,TOWSON,MD,UNITED STATES,21204,410-583-0850,410-583-0856,,,,,,,Approved,9/29/1995,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"146,451,616.00","1,183,168.00","147,634,784.00",191,1,192,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,105911,801-24986,PERSONAL FINANCIAL ADVISORS INC,PERSONAL FINANCIAL ADVISORS INC,1616 S. VOSS,STE 830,HOUSTON,TX,USA,77057,713-529-0333,713-529-4010,,,,,,,Approved,8/16/1985,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,FAMILY FOUNDATIONS,Y,N,N,N,N,N,N,,Y,"29,400,733.00","11,894,542.00","41,295,275.00",61,29,90,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106950,801-51066,CORNERSTONE WEALTH MANAGEMENT,"DAGCO, INC.",835 SHARON DRIVE,SUITE 280,WESTLAKE,OH,UNITED STATES,44145-7703,440-899-4000,440-899-9030,,,,,,,Approved,2/1/1996,3/26/2010,Y,WWW.CORNERSTONEWEALTHMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"79,832,525.00",0,"79,832,525.00",401,0,401,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107785,801-57032,AVALON GLOBAL ASSET MANAGEMENT LLC,AVALON GLOBAL ASSET MANAGEMENT LLC,425 MARKET STREET,STE 900,SAN FRANCISCO,CA,UNITED STATES,94105,415-615-5200,415-615-5201,,,,,,,Approved,12/1/1999,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"51,109,849.00",0,"51,109,849.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,147692,801-69386,"PRESAGE CAPITAL MANAGEMENT, LLC","PRESAGE CAPITAL MANAGEMENT, LLC",,,,,,,203-496-0544,203-210-5326,,,,,,,Approved,8/4/2008,6/27/2008,Y,WWW.PRESAGECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"47,500,000.00",0,"47,500,000.00",32,0,32,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,118412,801-60793,PHOENIX FINANCIAL INC.,PHOENIX FINANCIAL INC.,100 EUROPA DRIVE,SUITE 500,CHAPEL HILL,NC,UNITED STATES,27517,919-929-4448,919-968-1955,,,,,,,Approved,12/14/2001,3/26/2010,Y,WWW.PFINX.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD-PARTY ADVISER/MANAGER FEES,Y,"67,682,409.00","13,590,670.00","81,273,079.00",152,38,190,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,130344,801-64885,"MADISON STREET PARTNERS, LLC","MADISON STREET PARTNERS, LLC",5613 DTC PARKWAY,SUITE 310,GREENWOOD VILLAGE,CO,UNITED STATES,80111,303-815-1660,303-815-1670,,,,,,,Approved,12/12/2005,3/26/2010,Y,WWW.MADISONSTREETPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"294,000,000.00",0,"294,000,000.00",7,0,7,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114058,801-61981,"CALLAHAN ADVISORS, LLC","CALLAHAN ADVISORS, LLC",3555 TIMMONS LANE,SUITE 600,HOUSTON,TX,UNITED STATES,77027,713-572-3366,713-572-8771,,,,,,,Approved,4/25/2003,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"133,011,545.00","6,125,668.00","139,137,213.00",371,4,375,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR AN INVESTMENT CLUB; CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,137514,801-64857,TORTUGA ADVISERS LLC,TORTUGA ADVISERS LLC,2655 FIRST STREET,SUITE 130,SIMI VALLEY,CA,UNITED STATES,93065,626-683-2200,805-584-2140,,,,,,,Approved,11/18/2005,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"4,749,591.00","293,263,570.00","298,013,161.00",2,80,82,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,145194,801-69112,ADVEQ MANAGEMENT AG,ADVEQ MANAGEMENT AG,56 AFFOLTERNSTRASSE,,ZURICH,,SWITZERLAND,CH-8050,+41 58 445 55 55,+41 58 445 55 56,,,,,,,Approved,5/15/2008,3/26/2010,Y,WWW.ADVEQ.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SWITZERLAND,51-250,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,Y,SEPARATE FEES FOR EACH INVESTMENT RECOMMENDATION PROJECT,Y,0,"3,949,136,178.00","3,949,136,178.00",0,16,16,N,N,N,Y,N,N,N,N,N,Y,NON-DISCRETIONARY ADVICE RELATING TO SPECIFIC PRIVATE EQUITY INVESTMENTS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,118949,801-62847,"Z & P INVESTMENT SERVICES, LLC","Z & P INVESTMENT SERVICES, LLC","2192 DUPONT DRIVE, SUITE 205",,IRVINE,CA,UNITED STATES,92612,(949) 757-1750,949-757-1471,,,,,,,Approved,2/27/2004,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"55,684,458.00","55,684,458.00",0,41,41,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,"MANAGE INVESTMENT RELATED LLC, CLIENTS INVEST",Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,125409,801-61844,"THE ROCK CREEK GROUP, LP","THE ROCK CREEK GROUP, LP","1133 CONNECTICUT AVE., N.W.",,WASHINGTON,DC,UNITED STATES,20036,202-331-3400,202-331-3420,,,,,,,Approved,3/10/2003,3/26/2010,Y,WWW.ROCKCREEKGLOBAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,26-50 percent,11-25 percent,0 percent,26-50 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"4,701,950,613.00","1,103,715,715.00","5,805,666,328.00",19,6,25,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES TO ENDOWMENTS; PORTFOLIO MANAGEMENT FOR OTHER POOLED INVESTMENT VEHICLES.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109534,801-56929,CENTRE PARTNERS MANAGEMENT LLC,CENTRE PARTNERS MANAGEMENT LLC,"30 ROCKEFELLER PLAZA, STE 5050",,NEW YORK,NY,UNITED STATES,10020,212-332-5800,212-332-5801,,,,,,,Approved,11/9/1999,3/26/2010,Y,WWW.CENTREPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,DIRECTOR AND TRANSACTION FEES,Y,"664,804,523.00",0,"664,804,523.00",19,0,19,N,N,N,N,N,N,N,N,N,Y,PRIVATE EQUITY INVESTMENTS,0,,N,N,N,N,N,N,N,N,Y,PRIVATE EQUITY INVESTMENTS,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111421,801-60309,"SUMNICHT & ASSOCIATES, LLC","SUMNICHT & ASSOCIATES, LLC",W6240 COMMUNICATION COURT,SUITE #1,APPLETON,WI,UNITED STATES,54914-8549,920-731-4455,920-731-9679,,,,,,,Approved,5/25/2001,3/26/2010,Y,WWW.SUMNICHT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,Y,MANAGEMENT FEES ON PRIVATE EQUITY,Y,"171,200,000.00","101,800,000.00","273,000,000.00",670,489,"1,159",Y,Y,N,Y,Y,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,101-250,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,119760,801-63908,AVONDALE,"AVONDALE INVESTMENTS, LLC","13905 QUAIL POINTE DRIVE, SUITE A",,OKLAHOMA CITY,OK,UNITED STATES,73134,405-286-9759,405-286-9768,,,,,,,Approved,3/11/2005,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"100,000,000.00",0,"100,000,000.00",3,0,3,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,Y,Y,N,Y,N,N,N,,N,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108296,801-57835,ADVANCED FINANCIAL STRATEGIES INC,ADVANCED FINANCIAL STRATEGIES INC,5 HUBBLE,,IRVINE,CA,UNITED STATES,92618,949-502-5333,949-502-6686,,,,,,,Approved,8/4/2000,3/26/2010,Y,WWW.AFS1.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"65,604,076.00","16,748,616.00","82,352,692.00",408,214,622,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,131957,801-63222,WEYERHAEUSER ASSET MANAGEMENT LLC,WEYERHAEUSER ASSET MANAGEMENT LLC,33663 WEYERHAEUSER WAY SOUTH,CH1 C32,FEDERAL WAY,WA,UNITED STATES,98003-9777,253-924-7930,253-924-5408,P.O. BOX 9777,CH1 C32,FEDERAL WAY,WA,UNITED STATES,98063-9777,Approved,6/4/2004,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,Y,WE WILL NEGOTIATE ANY FEE ARRANGEMENTS,Y,"2,112,736,146.00",0,"2,112,736,146.00",2,0,2,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,133297,801-64732,JAMES RIVER CAPITAL CORP.,JAMES RIVER CAPITAL CORP.,"5001 TAMARIND REEF, SUITE 28",,CHRISTIANSTED,VI,USA,820,340-719-8803,340-719-8804,,,,,,,Approved,9/16/2005,3/26/2010,Y,WWW.JRCC.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"174,300,000.00",0,"174,300,000.00",10,0,10,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,N,Y,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
BRO,127496,801-62368,CATAMOUNT WEALTH MANAGEMENT,CATAMOUNT MANAGEMENT GROUP LLC,121 POST ROAD EAST,,WESTPORT,CT,UNITED STATES,6880,203-226-0603,203-226-0200,,,,,,,Approved,10/23/2003,3/26/2010,Y,HTTP://WWW.CATMG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,Y,FEES FOR NON-DISCRETIONARY ACCOUNTS,Y,"57,547,362.00","3,586,618.00","61,133,980.00",221,45,266,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,105823,801-34908,"KATHLEEN DAY & ASSOCIATES, INC.","KATHLEEN DAY & ASSOCIATES, INC.",7355 SW 87TH AVE,STE 300,MIAMI,FL,UNITED STATES,33173,(305)274-1600,(305)274-5002,,,,,,,Approved,7/20/1989,3/26/2010,Y,WWW.THEENRICHMENTGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"252,949,286.00","8,469,592.00","261,418,878.00","1,179",306,"1,485",Y,Y,N,N,Y,Y,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,128117,801-62687,"BRISTLECONE VALUE PARTNERS, LLC","BRISTLECONE VALUE PARTNERS, LLC",12301 WILSHIRE BOULEVARD,SUITE 320,LOS ANGELES,CA,UNITED STATES,90025,310-806-4141,310-806-4140,,,,,,,Approved,1/15/2004,3/26/2010,Y,WWW.BRISTLECONE-VP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"64,238,618.00",0,"64,238,618.00",183,0,183,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,133706,801-64178,"RIVER CAPITAL ADVISORS, LC","RIVER CAPITAL ADVISORS, LC",5011 GATE PARKWAY,"BUILDING 100, SUITE 300",JACKSONVILLE,FL,UNITED STATES,32256,904-398-2075,904-399-8985,,,,,,,Approved,4/18/2005,3/26/2010,Y,WWW.RCAWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"63,364,625.00","38,216,459.00","101,581,084.00",221,32,253,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105694,801-16379,PORTFOLIO CAPITAL MANAGEMENT INC,PORTFOLIO CAPITAL MANAGEMENT INC,5950 FAIRVIEW RD,STE 610,CHARLOTTE,NC,UNITED STATES,28210,704-552-0073,704-552-8757,5950 FAIRVIEW ROAD,STE 610,CHARLOTTE,NC,UNITED STATES,28210,Approved,9/10/1981,3/26/2010,Y,WWW.PORTFOLIOCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,26-50 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"126,600,000.00","338,000,000.00","464,600,000.00",260,3,263,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111888,801-57646,"SILVER CAPITAL MANAGEMENT, LLC","SILVER CAPITAL MANAGEMENT, LLC",767 THIRD AVENUE,32ND FLOOR,NEW YORK,NY,UNITED STATES,10017,212-223-2316,212-888-0253,,,,,,,Approved,6/1/2000,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"212,000,000.00",0,"212,000,000.00",159,0,159,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109169,801-58117,BRYCE CAPITAL MANAGEMENT LLC,BRYCE CAPITAL MANAGEMENT LLC,95 ALLENS CREEK RD,"BLDG 1, STE 201",ROCHESTER,NY,UNITED STATES,14618,585-586-8100,585-697-2599,,,,,,,Approved,12/1/2000,3/26/2010,Y,WWW.BRYCECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,11-25 percent,26-50 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"24,367,912.00","778,450.00","25,146,362.00",41,3,44,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,130263,801-62724,"FORE RESEARCH AND MANAGEMENT, LP","FORE RESEARCH AND MANAGEMENT, LP",280 PARK AVENUE,43RD FLOOR,NEW YORK,NY,UNITED STATES,10017,212-984-3800,212-984-3804,,,,,,,Approved,2/2/2004,3/26/2010,Y,WWW.FORERESEARCH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,417,099,370.00",0,"1,417,099,370.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109967,801-58182,"BRENCOURT ADVISORS, LLC","BRENCOURT ADVISORS, LLC",600 LEXINGTON AVENUE,8TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-313-9700,212-313-9789,,,,,,,Approved,12/1/2000,3/26/2010,Y,WWW.BRENCOURT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"220,493,000.00",0,"220,493,000.00",13,0,13,N,N,N,N,N,N,N,N,N,Y,PRIVATE INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137281,801-64822,EDDYSTONE CAPITAL LLC,EDDYSTONE CAPITAL LLC,335 MADISON AVENUE,19TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-293-2232,212-293-2286,,,,,,,Approved,11/18/2005,3/26/2010,Y,WWW.EDDYSTONECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,11-25 percent,11-25 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"33,000,000.00",0,"33,000,000.00",5,0,5,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,148726,801-69733,PS SERVICES LLC,PS SERVICES LLC,1401 PEARL STREET,SUITE 400,BOULDER,CO,UNITED STATES,80302-5314,303-339-4800,303-339-4801,,,,,,,Approved,11/19/2008,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,A PERCENTAGE OF THE DEBT UNDERLYING LEVERAGED PORTFOLIOS,Y,0,"142,000,000.00","142,000,000.00",0,2,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106415,801-48749,"HORAN CAPITAL MANAGEMENT,LLC","HORAN CAPITAL MANAGEMENT,LLC",2800 QUARRY LAKE DRIVE,SUITE 220,BALTIMORE,MD,UNITED STATES,21209,410-494-4380,410-494-4388,,,,,,,Approved,3/23/1995,3/26/2010,Y,WWW.HORANCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"349,549,078.00",0,"349,549,078.00","1,457",0,"1,457",Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,140455,801-66916,"PROBITAS PORTFOLIO MANAGEMENT, LLC","PROBITAS PORTFOLIO MANAGEMENT, LLC",425 CALIFORNIA STREET,SUITE 2300,SAN FRANCISCO,CA,UNITED STATES,94104,(415) 402-0700,(415) 402-0052,,,,,,,Approved,6/30/2006,4/5/2010,Y,WWW.PROBITASPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,SOVEREIGN WEALTH FUNDS,N,Y,N,Y,N,Y,N,,Y,0,"25,000,000,000.00","25,000,000,000.00",0,1,1,N,N,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108039,801-64765,CHESAPEAKE INVESTMENT GROUP,CHESAPEAKE FINANCIAL GROUP INC,4804 COURTHOUSE ST SUITE 2A,,WILLIAMSBURG,VA,UNITED STATES,23188,757-253-9088,757-253-1075,,,,,,,Approved,10/24/2006,4/6/2010,Y,WWW.CHESVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,CEMETERY PERPETUAL CARE ACCOUNTS,Y,N,N,Y,N,N,N,,Y,"122,914,100.00","5,844,496.00","128,758,596.00",297,62,359,Y,Y,N,Y,N,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,TRUST SERVICES,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,146832,801-69953,"WHITNEY WETZEL & KUETHER, L.L.C.","FWPAM, L.L.C.","512 MAIN STREET, SUITE 204",,FORT WORTH,TX,UNITED STATES,76102,817-336-6300,817-336-6303,,,,,,,Approved,2/27/2009,4/5/2010,Y,WWW.WWKLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"115,704,350.00","473,280.00","116,177,630.00",177,3,180,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,145740,801-68680,ALPHA TITANS LLC,ALPHA TITANS LLC,24 EL PASEO BUILDING,,SANTA BARBARA,CA,UNITED STATES,93101,805-879-1699,805-568-5321,,,,,,,Approved,1/2/2008,4/5/2010,Y,WWW.ALPHATITANS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,AFFILIATED PRIVATE INVESTMENT PARTNERSHIPS,Y,N,N,N,N,Y,N,,Y,"94,339,966.00",0,"94,339,966.00",3,0,3,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR AFFILIATED PRIVATE INVESTMENT PARTNERSHIPS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111287,801-51729,MESCHURES CAMPEAS THOMPSON SNYDER POCRAS LEVIN & DIMAGGIO LLP,MESCHURES CAMPEAS THOMPSON SNYDER POCRAS LEVIN & DIMAGGIO LLP,"8383 WILSHIRE BLVD., SUITE 500",,BEVERLY HILLS,CA,UNITED STATES,90211-2404,310-652-0222,310-854-5438,,,,,,,Approved,5/10/1996,4/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,N,N,Y,PERCENTAGE OF GROSS PROFESSIONAL INCOME,Y,"184,345,013.00","313,422,560.00","497,767,573.00",406,139,545,Y,Y,N,N,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105449,801-14713,"T ROWE PRICE INTERNATIONAL, INC","T ROWE PRICE INTERNATIONAL, INC",100 EAST PRATT STREET,,BALTIMORE,MD,USA,21202,410-345-2000,410-345-6575,,,,,,,Approved,7/12/1979,4/6/2010,Y,WWW.TROWEPRICE.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,51-250,0,51-250,0,10-Jun,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,51-75 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,NON-U.S. INVESTMENT COMPANIES,Y,N,N,N,N,N,N,,Y,"61,876,078,331.00","94,272,874.00","61,970,351,205.00",120,1,121,N,N,Y,Y,N,N,N,N,N,Y,NON-U.S. COLLECTIVE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,107249,801-43341,SINOPIA ASSET MANAGEMENT,SINOPIA ASSET MANAGEMENT,IMMEUBLE ILE DE FRANCE,"4, PLACE DE LA PYRAMIDE",PUTEAUX FRANCE,,FRANCE,92800,33-1-40702991,33-1-41024761,IMMEUBLE ILE DE FRANCE,"4, PLACE DE LA PYRAMIDE",PARIS CEDEX 08,,FRANCE,75419,Approved,2/17/1993,4/6/2010,Y,WWW.SINOPIA-GROUP.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,FRANCE,51-250,0,Nov-50,0,0,0,Nov-50,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"7,200,000,000.00",0,"7,200,000,000.00",148,0,148,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,114642,801-50826,ANALYST EXCHANGE AND TRADING SERVICES LTD.,ANALYST EXCHANGE AND TRADING SERVICES LTD.,"ALROV TOWER, 46 ROTHSCHILD BLVD.",,TEL AVIV,,ISRAEL,66883,972-3-7147147,972-3-7147142,,,,,,,Approved,12/3/1995,4/6/2010,Y,WWW.ANALYST.CO.IL,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,ISRAEL,51-250,0,Nov-50,0,0,0,0,0,More than 500,"1,500",More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,180,000,000.00",0,"1,180,000,000.00","1,253",0,"1,253",N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,134837,801-64736,YORK CAPITAL MANAGEMENT,JGD MANAGEMENT CORP.,767 FIFTH AVENUE,17TH FLOOR,NEW YORK,NY,UNITED STATES,10153,212-300-1372,212-300-1301,,,,,,,Approved,9/29/2005,4/6/2010,Y,WWW.YORKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,Y,PERFORMANCE-BASED CAPITAL ALLOCATIONS,Y,"12,500,000,000.00",0,"12,500,000,000.00",42,0,42,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT ADVISORY AND PORTFOLIO MANAGEMENT SERVICES FOR HEDGE FUNDS AND MANAGED ACCOUNTS.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,113529,801-60456,"BILTMORE ADVISORS, INC.","BILTMORE ADVISORS, INC.",2415 E CAMELBACK ROAD,SUITE 700,PHOENIX,AZ,USA,85016,602-252-1556,602-508-6099,,,,,,,Approved,8/2/2001,3/20/2008,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,136973,801-65222,DALTON STRATEGIC PARTNERSHIP LLP,DALTON STRATEGIC PARTNERSHIP LLP,3RD FLOOR PRINCES COURT,PRINCES STREET,LONDON,,UNITED KINGDOM,EC2R8AQ,020 7367 5400,020 7367 5401,,,,,,,Approved,1/30/2006,4/6/2010,Y,WWW.DALTONSP.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,021,563,649.00",0,"1,021,563,649.00",27,0,27,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110769,801-16510,CHISHOLM & DAMES INC,CHISHOLM & DAMES INC,123 N. ASHLEY,SUITE 201,ANN ARBOR,MI,UNITED STATES,48104,734-995-0829,734-929-5869,,,,,,,Approved,11/5/1981,4/6/2010,Y,WWW.CHISHOLMANDDAMES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"28,040,039.00",0,"28,040,039.00",97,0,97,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,120823,801-61214,"PRIVATE WEALTH MANAGEMENT, INC.","PRIVATE WEALTH MANAGEMENT, INC.",3725 CHAMPION HILLS DR.,SUITE 1400,MEMPHIS,TN,UNITED STATES,38125,901-322-4212,901-322-4211,,,,,,,Approved,5/31/2002,4/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,0,"308,237,018.00","308,237,018.00",0,565,565,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,151173,801-70487,"RMR FINANCIAL ADVISORS, LLC","RMR FINANCIAL ADVISORS, LLC",400 INTERLAKE DRIVE,,MADISON,WI,UNITED STATES,53716,608-663-7676,608-663-7677,,,,,,,Approved,8/17/2009,4/6/2010,Y,WWW.RMRADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"54,632,000.00",0,"54,632,000.00",320,0,320,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,122258,801-61448,SCS CAPITAL MANAGEMENT LLC,SCS CAPITAL MANAGEMENT LLC,1 WINTHROP SQUARE,,BOSTON,MA,UNITED STATES,2110,617-204-6400,617-204-6411,,,,,,,Approved,9/6/2002,4/6/2010,Y,WWW.SCSFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"6,705,012,861.00",0,"6,705,012,861.00",124,0,124,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110725,801-20781,WEALTHSTONE INC,WEALTHSTONE INC,5000 HORIZONS DR,,COLUMBUS,OH,UNITED STATES,43220,614-267-2600,614-267-2700,,,,,,,Approved,1/1/1984,4/6/2010,Y,WWW.PPCCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"344,965,434.00","6,899,290.00","351,864,724.00",730,134,864,Y,Y,N,N,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,Y,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,149236,801-69914,P. SCHOENFELD ASSET MANAGEMENT LP,P. SCHOENFELD ASSET MANAGEMENT LP,1350 AVENUE OF THE AMERICAS,21ST FLOOR,NEW YORK,NY,UNITED STATES,10019,212-649-9500,212-649-9540,,,,,,,Approved,3/12/2009,4/6/2010,Y,WWW.PSAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,574,662,819.00",0,"1,574,662,819.00",20,0,20,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131572,801-63303,T2 PARTNERS MANAGEMENT LP,T2 PARTNERS MANAGEMENT LP,145 E. 57TH ST.,10TH FLOOR,NEW YORK,NY,USA,10022,212-386-7160,212-888-2489,,,,,,,Approved,7/8/2004,4/6/2010,Y,WWW.TILSONFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"149,151,761.00",0,"149,151,761.00",6,0,6,N,N,Y,N,N,Y,N,N,N,Y,INVESTMENT ADVICE TO PRIVATE POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,152436,801-71025,"PENINSULA WEALTH, LLC","PENINSULA WEALTH, LLC","1201 HOWARD AVE., SUITE 208",,BURLINGAME,CA,UNITED STATES,94010,650-477-2126,,,,,,,,Approved,2/12/2010,6/1/2010,Y,WWW.PENWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"44,000,000.00",0,"44,000,000.00",30,0,30,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106054,801-52871,"MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC","MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC",FOUR EMBARCADERO CENTER,SUITE 550,SAN FRANCISCO,CA,UNITED STATES,94111,415-788-7553,415-788-4804,,,,,,,Approved,10/4/1996,6/1/2010,Y,WWW.MATTHEWSASIA.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,INVESTMENT VEHICLES REGISTERED IN FOREIGN COUNTRIES,Y,N,N,N,N,N,N,,Y,"12,009,204,363.00",0,"12,009,204,363.00",19,0,19,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,118958,801-58058,GFC ADVISERS CORP.,"G.F.C. ADVISERS, CORP.",2 WALL STREET,,NEW YORK,NY,UNITED STATES,10005,212-349-8999,212-349-0934,,,,,,,Approved,10/5/2000,6/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,LUXEMBOURG INVESTMENT COMPANIES,Y,N,N,Y,N,Y,N,,Y,"108,000,000.00",0,"108,000,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,136225,801-64630,IMC ASSET MANAGEMENT B.V.,IMC ASSET MANAGEMENT B.V.,STRAWINSKYLAAN 361,,AMSTERDAM,,NETHERLANDS,1077 XX,-3050589,-3050590,,,,,,,Approved,9/13/2005,6/2/2010,Y,WWW.IMC.NL/ASSET-MANAGEMENT/,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,,NETHERLANDS,Nov-50,0,Nov-50,0,5-Jan,0,0,0,26-100,0,0 percent,11-25 percent,11-25 percent,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,500,000,000.00",0,"3,500,000,000.00",9,0,9,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138284,801-65281,ORTELIUS CAPITAL PARTNERS,"ORTELIUS CAPITAL PARTNERS, LLC",450 PARK AVENUE,SUITE 2104,NEW YORK,NY,UNITED STATES,10022,917-595-5010,917-595-5050,,,,,,,Approved,2/21/2006,6/2/2010,Y,WWW.ORTELIUSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"116,246,924.00",0,"116,246,924.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,134876,801-64314,HALBIS CAPITAL MANAGEMENT (UK) LIMITED,HALBIS CAPITAL MANAGEMENT (UK) LIMITED,78 ST. JAMES'S STREET,,"LONDON, ENGLAND",,UNITED KINGDOM,SW1A 1EJ,0207 991 8888,0207 024 1984,,,,,,,Approved,8/1/2005,6/2/2010,Y,WWW.HALBIS.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,51-250,0,51-250,0,0,0,Nov-50,0,25-Nov,0,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,26-50 percent,0 percent,11-25 percent,0 percent,26-50 percent,INVESTMENT ADVISER,N,N,N,Y,N,Y,N,,Y,"82,891,770,176.00",0,"82,891,770,176.00",107,0,107,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR OFFSHORE INVESTMENT COMPANIES,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119656,801-61048,"CENTERPOINT WEALTH MANAGEMENT, LLC","CENTERPOINT WEALTH MANAGEMENT, LLC",56 N. MAIN STREET,,ZIONSVILLE,IN,UNITED STATES,46077,317 733-3444,317-733-3555,,,,,,,Approved,4/8/2002,1/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"109,796,962.00",0,"109,796,962.00",120,0,120,Y,Y,N,N,N,Y,N,N,N,Y,TAX AND FAMILY OFFICE SERV.,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,112099,801-48779,"DE PRINCE, RACE & ZOLLO, INC.","DE PRINCE, RACE & ZOLLO, INC.",250 PARK AVENUE SOUTH,SUITE 250,WINTER PARK,FL,UNITED STATES,32789,407-420-9903,407-841-8778,,,,,,,Approved,3/22/1995,6/2/2010,Y,WWW.DRZ-INC.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,0 percent,0 percent,0 percent,11-25 percent,51-75 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,11-25 percent,FOUNDATIONS AND ENDOWMENTS,Y,N,N,N,N,Y,N,,Y,"4,863,015,640.00",0,"4,863,015,640.00",135,0,135,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,39501,801-60371,"VETIA, INC.","VETIA, INC.",466 SOUTHERN BOULEVARD,,CHATHAM,NJ,UNITED STATES,7928,973-301-0930,973-301-0414,,,,,,,Approved,6/22/2001,6/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"9,817,497.00","115,869,722.00","125,687,219.00",1,2,3,N,N,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,146792,801-69922,INDO-US SPECIAL EQUITIES GROUP INC.,INDO-US SPECIAL EQUITIES GROUP INC.,,,,,,,307-316-7217,,,,,,,,Approved,3/10/2009,1/12/2010,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Corporation,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,NEW ADVISOR HAS NO CLIENTS WILL SEEK AFTER RECEIVING ADV,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,25536,801-66163,"AMERICAN WEALTH MANAGEMENT, INC.","AMERICAN WEALTH MANAGEMENT, INC.",1050 CROWN POINTE PARKWAY,SUITE 1230,ATLANTA,GA,UNITED STATES,30338,770-392-8740,770-392-8745,,,,,,,Approved,1/30/2006,6/2/2010,Y,WWW.AWMINC.BIZ,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,PREFORMANCE FEE,Y,"43,000,000.00","23,000,000.00","66,000,000.00",390,212,602,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,Y,Y,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
PLRO,149230,801-70170,"EVERMAY WEALTH MANAGEMENT, LLC","EVERMAY WEALTH MANAGEMENT, LLC","900 17TH STREET, NW",SUITE 710,WASHINGTON,DC,UNITED STATES,20006,202-293-9113,202-293-9114,,,,,,,Approved,3/27/2009,6/2/2010,Y,WWW.EVERMAYWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"198,556,155.00","58,121,697.00","256,677,852.00",384,88,472,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131467,801-63152,PRISMA CAPITAL PARTNERS LP,PRISMA CAPITAL PARTNERS LP,ONE PENN PLAZA,SUITE 3515,NEW YORK,NY,UNITED STATES,10119-3515,212-590-0800,212-590-0810,,,,,,,Approved,5/26/2004,6/2/2010,Y,WWW.PRISMAPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,593,000,000.00","497,000,000.00","4,090,000,000.00",26,3,29,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,145169,801-68445,"CUBIC ASSET MANAGEMENT, LLC","CUBIC ASSET MANAGEMENT, LLC",131 DARTMOUTH STREET,5TH FLOOR,BOSTON,MA,UNITED STATES,2116,617-456-1373,617-456-1392,,,,,,,Approved,10/15/2007,1/12/2010,Y,WWW.CUBIC-AM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"554,936,490.00",0,"554,936,490.00",297,0,297,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,153430,801-71537,"CETAVIA CAPITAL MANAGEMENT, LLC","CETAVIA CAPITAL MANAGEMENT, LLC",601 UNION STREET,SUITE 4200,SEATTLE,WA,UNITED STATES,98101-4036,206-381-0367,206-652-3205,,,,,,,120-Day Approval,6/14/2010,6/2/2010,Y,WWW.CETAVIA.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE FUND,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105942,801-50400,PIERMANI CHARLES J ASSOCIATES,PIERMANI CHARLES J ASSOCIATES,2240 DEKALB PIKE,,NORRISTOWN,PA,UNITED STATES,19401,610-275-7544,610-272-5644,,,,,,,Approved,11/17/1995,1/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,0,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,TRUSTS,Y,Y,N,N,N,N,N,,Y,"35,492,556.00",0,"35,492,556.00",340,0,340,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,Y,MORTGAGE BROKER,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,138881,801-65214,TRAYNOR CAPITAL MANAGEMENT,"TRAYNOR, KEITH THOMAS",,,,,,,610-993-9050/888-987-2966,610-722-1291,,,,,,,Approved,1/12/2006,6/2/2010,Y,WWW.TRAYNORCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,000,000.00","5,000,000.00","30,000,000.00",115,15,130,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107572,801-51642,PARKER GLOBAL STRATEGIES LLC,PARKER GLOBAL STRATEGIES LLC,1177 SUMMER STREET,6TH FLOOR,STAMFORD,CT,UNITED STATES,6905,203-358-4000,203-358-4012,,,,,,,Approved,4/25/1996,6/2/2010,Y,WWW.PARKERGLOBAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"534,943,000.00",0,"534,943,000.00",10,0,10,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,116865,801-60686,"CLEARWATER ADVISORS, LLC","CLEARWATER ADVISORS, LLC",950 W. BANNOCK ST.,SUITE 1050,BOISE,ID,UNITED STATES,83702,208-433-1200,208-343-2244,,,,,,,Approved,11/9/2001,6/2/2010,Y,WWW.CLEARWATERADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,ID,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,51-75 percent,11-25 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,900,000,000.00",0,"3,900,000,000.00",40,0,40,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,121849,801-61430,"PROBITY ADVISORS, INC.","PROBITY ADVISORS, INC.",10000 N. CENTRAL EXPRESSWAY,SUITE 1326,DALLAS,TX,UNITED STATES,75231,214-891-8131,214-891-8585,,,,,,,Approved,10/3/2002,1/12/2010,Y,WWW.PROBITYADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,ADVISORY SERVICES,Y,Y,N,Y,N,N,N,,Y,"113,533,656.00",0,"113,533,656.00",410,0,410,Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,153632,801-71538,"LONG SHORT ADVISORS, LLC","LONG SHORT ADVISORS, LLC",1818 MARKET STREET,"33RD FLOOR, SUITE 3323",PHILADELPHIA,PA,UNITED STATES,19103,215-399-9409,215-731-1419,,,,,,,Approved,6/23/2010,6/2/2010,Y,WWW.LONGSHORTADVISORS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,151523,801-70676,"MERIDIAN WEALTH MANAGEMENT, LLC","MERIDIAN WEALTH MANAGEMENT, LLC",3009 ATKINSON AVENUE,SUITE 106,LEXINGTON,KY,UNITED STATES,40509,859-543-4516,859-543-4523,,,,,,,Approved,10/14/2009,6/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"220,000,000.00","25,000,000.00","245,000,000.00",25,115,140,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,143970,801-67941,"GILMAN HILL ASSET MANAGEMENT, LLC","GILMAN HILL ASSET MANAGEMENT, LLC",156 KING'S HIGHWAY NORTH,,WESTPORT,CT,UNITED STATES,6880,203-222-2278,203-764-2005,,,,,,,Approved,6/5/2007,6/2/2010,Y,WWW.GILMANHILL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"135,942,451.00","13,800,803.00","149,743,254.00",121,12,133,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,121797,801-68101,"MAIN STREET ADVISORS, LLC","MAIN STREET ADVISORS, LLC",205 EAST MAIN STREET,,WESTMINSTER,MD,USA,21157,410-840-9200,410-840-9202,,,,,,,Approved,7/18/2007,6/2/2010,Y,WWW.MAINSTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"39,004,668.00",0,"39,004,668.00",325,0,325,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,132832,801-64636,"AKROS CAPITAL, LLC","AKROS CAPITAL, LLC",230 PARK AVENUE,10TH FLOOR,NEW YORK,NY,UNITED STATES,10169,212-937-9738,212-499-2589,,,,,,,Approved,8/16/2005,6/2/2010,Y,WWW.AKROSCAPITAL.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"15,389,776.00",0,"15,389,776.00",9,0,9,N,Y,Y,Y,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150676,801-70309,EAGLE TRADING SYSTEMS INC.,EAGLE TRADING SYSTEMS INC.,47 HULFISH STREET,SUITE 410,PRINCETON,NJ,UNITED STATES,8542,609-688-2060,609-688-2099,,,,,,,Approved,6/25/2009,6/2/2010,Y,WWW.EAGLETS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"60,029,111.00",0,"60,029,111.00",2,0,2,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR OTHER POOLED INVESTMENT VEHICLES,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,139863,801-67309,STEELE FINANCIAL INC.,STEELE FINANCIAL INC.,131 N. PENDLETON AVENUE,,PENDLETON,IN,UNITED STATES,46064,765-778-8878,765-778-6900,,,,,,,Approved,12/11/2006,8/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,500,"37,000,000.00","37,000,500.00",1,"1,000","1,001",Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,119630,801-63829,"VERITY AND VERITY, LLC","VERITY AND VERITY, LLC",2015 BOUNDARY STREET,3RD FLOOR,BEAUFORT,SC,USA,29902,843-379-6661,843-379-6664,P.O. BOX 1086,,BEAUFORT,SC,USA,29901,Approved,1/14/2005,2/10/2010,Y,WWW.VERITYANDVERITY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"79,405,189.00","3,317,766.00","82,722,955.00",156,25,181,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,145130,801-70073,LEGACY PLANNING GROUP,LEGACY PLANNING GROUP,6770 SOUTH 900 EAST,STE 300,MIDVALE,UT,UNITED STATES,84047-1726,801-207-1400,801-207-1405,,,,,,,Approved,4/22/2009,2/10/2010,Y,WWW.INVESTLPG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"38,000,000.00",0,"38,000,000.00",522,0,522,Y,Y,N,Y,N,N,N,N,Y,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106099,801-14071,HELLMAN JORDAN MANAGEMENT CO INC,HELLMAN JORDAN MANAGEMENT CO INC,ATTN: SUE LYNCH,125 HIGH STREET SUITE 801,BOSTON,MA,UNITED STATES,2110,(617) 261-9800,(617) 261-9801,,,,,,,Approved,9/13/1978,8/17/2010,Y,WWW.HELLMANJORDAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"463,941,743.00","61,423,229.00","525,364,972.00",32,9,41,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,127596,801-63802,"TOTAL PORTFOLIO MANAGEMENT, LLC","TOTAL PORTFOLIO MANAGEMENT, LLC","1421 SHERMAN AVE., SUITE 101",,EVANSTON,IL,UNITED STATES,60201,847-866-9775,847-475-2970,,,,,,,Approved,1/14/2005,2/10/2010,Y,WWW.TOTALPM.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,11-25 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"56,936,748.00","6,255,700.00","63,192,448.00",106,16,122,Y,Y,N,Y,N,Y,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126021,801-62029,"WALL STREET ACCESS ASSET MANAGEMENT, LLC","WALL STREET ACCESS ASSET MANAGEMENT, LLC",17 BATTERY PLACE,11TH FLOOR,NEW YORK,NY,UNITED STATES,10004,212-709-9400,212-709-9870,,,,,,,Approved,6/9/2003,8/17/2010,Y,WWW.WSACCESS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,26-50 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,"159,662,157.00","30,273,150.00","189,935,307.00",166,43,209,Y,Y,Y,Y,N,N,N,N,N,N,,10-Jan,,Y,N,N,N,N,N,Y,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
DRO,109578,801-55317,"THE KARRAS COMPANY, INC.","THE KARRAS COMPANY, INC.",4695 S 1900 WEST,SUITE 3,ROY,UT,UNITED STATES,84067,801-825-3000,801-825-3058,,,,,,,Approved,3/20/1998,8/17/2010,Y,WWW.RAYMONDJAMES.COM/THEKARRASCOMPANYINC,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,THIRD PARTY ADVISER/MANAGER FEES,Y,"21,152,168.00","603,430,524.00","624,582,692.00",47,123,170,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,141673,801-68714,"HOLMAN INVESTMENTS AND PLANNING, LLC","HOLMAN INVESTMENTS AND PLANNING, LLC",2795 EAST COTTONWOOD PARKWAY,SUITE 600,SALT LAKE CITY,UT,USA,84121,801-365-0101,801-365-0250,,,,,,,Approved,1/9/2008,2/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"40,102,859.00","252,028.00","40,354,887.00",97,1,98,Y,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,135059,801-64293,"THE LEGACY FINANCIAL GROUP, INC.","THE LEGACY FINANCIAL GROUP, INC.",2508 E 21ST STREET,,TULSA,OK,UNITED STATES,74114,918-665-0826,918-933-4393,,,,,,,Approved,4/4/2005,2/10/2010,Y,WWW.LEGACYADVISOR.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"112,177,385.00","23,592,632.00","135,770,017.00",932,94,"1,026",Y,Y,N,Y,Y,N,N,N,N,N,,251-500,,N,N,N,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,130987,801-63015,ADIRONDACK RESEARCH & MANAGEMENT INC.,ADIRONDACK RESEARCH & MANAGEMENT INC.,2390 WESTERN AVENUE,,GUILDERLAND,NY,UNITED STATES,12084,518 690-0470,518 861-7040,,,,,,,Approved,4/13/2004,2/10/2010,Y,WWW.ADIRONDACKFUNDS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,11-25 percent,11-25 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"23,300,000.00",0,"23,300,000.00",26,0,26,N,Y,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,106532,801-47251,INVESTOR SOLUTIONS,MANAGED ACCOUNT SERVICES INC,3250 MARY STREET,SUITE 207,COCONUT GROVE,FL,USA,33133,305-443-3339 & 800-508-8500,305-443-3064,,,,,,,Approved,8/19/1994,8/17/2010,Y,WWW.INVESTORSOLUTIONS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,FOREIGN SOC. SEC. TR.,Y,N,N,N,N,N,N,,Y,"391,728,853.00","39,648,292.00","431,377,145.00","1,043",13,"1,056",N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106990,801-44406,REGENCY INVESTMENT ADVISORS INC,REGENCY INVESTMENT ADVISORS INC,"1312 W HERNDON, SUITE 101",,FRESNO,CA,UNITED STATES,93711,559-438-2640,559-438-2694,"1312 W HERNDON, SUITE 101",,FRESNO,CA,UNITED STATES,93711,Approved,7/27/1993,8/17/2010,Y,WWW.REGENCYINVESTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"150,878,884.00","2,631,764.00","153,510,648.00",686,1,687,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,153146,801-71159,"WEALTH MANAGEMENT INTERNATIONAL, LTD.","WEALTH MANAGEMENT INTERNATIONAL, LTD.",8801 WEST UNION HILLS,BLDG. C,PEORIA,AZ,UNITED STATES,85382,623-875-5204,623-875-5207,,,,,,,Approved,3/16/2010,8/17/2010,Y,WWW.WEALTHADVANTAGE4U.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,More than 500,"1,000",51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"129,053,219.00","5,277,616.00","134,330,835.00",788,143,931,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109925,801-50511,CYPRESS ASSET MANAGEMENT,CYPRESS ASSET MANAGEMENT,675 PETER JEFFERSON PARKWAY,SUITE 490,CHARLOTTESVILLE,VA,UNITED STATES,22911,434-202-8295,434-293-3954,,,,,,,Approved,11/27/1995,2/10/2010,Y,WWW.CYPRESSAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,11-25 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"700,000,000.00","70,000,000.00","770,000,000.00",15,3,18,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,146252,801-68846,"HARPSWELL CAPITAL MANAGEMENT, LLC","HARPSWELL CAPITAL MANAGEMENT, LLC",3 CANAL PLAZA,SUITE 501,PORTLAND,ME,UNITED STATES,4101,207-221-2201,207-221-2201,,,,,,,Approved,2/21/2008,8/17/2010,Y,WWW.HARPSWELLCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"237,158,146.00",0,"237,158,146.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS AND SEPARATELY MANAGED ACCOUNT,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153350,801-71361,"POLLOCK INVESTMENT ADVISORS, LLC","POLLOCK INVESTMENT ADVISORS, LLC",412 EAST HURON,,ANN ARBOR,MI,UNITED STATES,48104,734-929-2520,734-929-2528,,,,,,,Approved,4/19/2010,8/17/2010,Y,WWW.POLLOCKINVESTMENTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"55,000,000.00",0,"55,000,000.00",125,0,125,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,2107,801-64330,"BENEFIT INVESTMENT ADVISORS, INC.","BENEFIT INVESTMENT ADVISORS, INC.",140 KENNEDY DRIVE,,SOUTH BURLINGTON,VT,USA,5403,802-658-1660,802-658-9419,P O BOX 2127,,SOUTH BURLINGTON,VT,USA,05407-2127,Approved,5/24/2005,2/10/2010,Y,WWW.BIAVT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"50,000,000.00","50,000,000.00",0,125,125,Y,Y,N,N,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,123497,801-64348,"TANNER CAPITAL MANAGEMENT, LLC","TANNER CAPITAL MANAGEMENT, LLC",3610 N. UNIVERSITY AVENUE,SUITE 350,PROVO,UT,UNITED STATES,84604,801-377-1144,801-373-2479,,,,,,,Approved,5/26/2005,2/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"176,461,034.00","176,461,034.00",0,252,252,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,154168,801-71540,INVESTORS FINANCIAL GROUP,INVESTORS FINANCIAL GROUP LLC,9800 SHELARD PARKWAY,SUITE 220,PLYMOUTH,MN,UNITED STATES,55441,763-525-0001,763-525-1999,,,,,,,120-Day Approval,7/14/2010,8/17/2010,Y,WWW.IFGINC.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,Y,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
LARO,16507,801-63970,FIRST FINANCIAL EQUITY CORPORATION,FIRST FINANCIAL EQUITY CORPORATION,7373 N. SCOTTSDALE ROAD,D120,SCOTTSDALE,AZ,USA,85253,480-951-0079,480-998-2883,,,,,,,Approved,2/18/2005,8/17/2010,Y,WWW.FFEC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"2,500",26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"522,415,000.00","522,415,000.00","1,044,830,000.00","2,055",514,"2,569",Y,Y,N,Y,Y,N,N,N,N,N,,25-Nov,,N,N,Y,Y,N,N,Y,N,N,,Y,N,N,Y,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
CHRO,110943,801-18217,FIDUCIARY MANAGEMENT GROUP LTD,FIDUCIARY MANAGEMENT GROUP LTD,,,,,,,952-929-4441,952-929-4449,PO BOX 390590,,EDINA,MN,UNITED STATES,55439,Approved,1/27/1983,8/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"103,900,000.00",0,"103,900,000.00",195,0,195,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106015,801-30694,"TRUSTMONT ADVISORY GROUP, INC.","TRUSTMONT ADVISORY GROUP, INC.",SCENIC DRIVE PROFESSIONAL CENTER,"200 BRUSH RUN ROAD, SUITE A",GREENSBURG,PA,UNITED STATES,15601,724-468-5665,724-468-5675,,,,,,,Approved,11/27/1987,8/17/2010,Y,WWW.TRUSTMONTGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,More than 500,"3,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"217,000,000.00",0,"217,000,000.00","3,600",0,"3,600",Y,Y,N,N,Y,N,N,N,N,N,,51-100,,N,N,Y,Y,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105778,801-8174,AMERICAN CENTURY INVESTMENT MANAGEMENT INC,AMERICAN CENTURY INVESTMENT MANAGEMENT INC,4500 MAIN STREET,,KANSAS CITY,MO,UNITED STATES,64111-7709,816-531-5575,816-340-4964,P.O. BOX 410141,,KANSAS CITY,MO,UNITED STATES,64141-0141,Approved,12/14/1971,8/17/2010,Y,WWW.AMERICANCENTURY.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,5-Jan,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"78,016,746,966.00",0,"78,016,746,966.00",135,0,135,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,153611,801-71509,"VARDEN PACIFIC, LLC","VARDEN PACIFIC, LLC",315 MONTGOMERY STREET 8TH FLOOR,,SAN FRANCISCO,CA,UNITED STATES,94104,415-829-4445,415-829-4450,,,,,,,120-Day Approval,7/9/2010,8/17/2010,Y,WWW.VARDENPACIFIC.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,N,0,0,0,0,0,0,N,Y,N,Y,Y,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,114390,801-62870,"DORION-GRAY RETIREMENT PLANNING, INC.",DORION GRAY FINANCIAL SERVICES INC.,2602 IL ROUTE 176,,CRYSTAL LAKE,IL,UNITED STATES,60014-2225,815-459-6800,815-455-4989,,,,,,,Approved,3/25/2004,8/17/2010,Y,WWW.DORIONGRAY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"41,041,834.00","7,310,012.00","48,351,846.00",229,62,291,Y,Y,N,N,N,Y,Y,N,N,Y,"SEMINARS & WORKSHOPS, ADVISORY PANELS AND RADIO TALK SHOWS",25-Nov,,N,Y,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108278,801-42015,"AFFINITY INVESTMENT ADVISORS, LLC","AFFINITY INVESTMENT ADVISORS, LLC",18191 VON KARMAN AVE,SUITE 420,IRVINE,CA,USA,92612,949-660-6373,949-660-6375,,,,,,,Approved,7/28/1992,8/17/2010,Y,WWW.AFFINITYINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,SOVEREIGN WEALTH FUND,Y,N,N,N,N,N,N,,Y,"603,770,020.00","4,866,108.00","608,636,128.00",345,2,347,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,116593,801-64200,"WINDSOR CAPITAL MANAGEMENT, LLC","WINDSOR CAPITAL MANAGEMENT, LLC",20860 NORTH TATUM BLVD.,SUITE 220,PHOENIX,AZ,UNITED STATES,85050,480-515-3514,602-357-7457,,,,,,,Approved,4/28/2005,8/17/2010,Y,WWW.WINDCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,THIRD PARTY REFERRAL FEES,Y,"233,562,650.00","5,300,000.00","238,862,650.00",574,40,614,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,148817,801-69747,"INCLINE CAPITAL, LLC","INCLINE CAPITAL, LLC",4741 CAUGHLIN PKWY,SUITE 2,RENO,NV,UNITED STATES,89519,775-657-9841,775-657-9843,,,,,,,Approved,11/28/2008,8/17/2010,Y,WWW.INCLINEFUNDS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"24,068,591.00",0,"24,068,591.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138688,801-65226,1861 CAPITAL MANAGEMENT LLC,1861 CAPITAL MANAGEMENT LLC,30 ROCKEFELLER PLAZA,28TH FLOOR,NEW YORK,NY,UNITED STATES,10112,212-332-8111,212-332-8113,,,,,,,Approved,1/20/2006,3/29/2010,Y,WWW.1861CAPITAL.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"16,000,000.00",0,"16,000,000.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,119010,801-60951,CHESAPEAKE INVESTMENT MANAGEMENT LLC,CHESAPEAKE INVESTMENT MANAGEMENT LLC,"1629 K STREET, NW",SUITE 800,WASHINGTON,DC,USA,20006,202-821-1530,202-429-0888,,,,,,,Approved,2/21/2002,3/29/2010,Y,WWW.CHESAPEAKEIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"55,000,000.00","4,000,000.00","59,000,000.00",285,2,287,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137416,801-65310,KS MANAGEMENT CORP.,KS MANAGEMENT CORP.,11 WEST 42ND STREET,30TH FLOOR,NEW YORK,NY,UNITED STATES,10036,212-764-3500,212-764-6147,,,,,,,Approved,1/13/2006,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,10-Jun,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"322,087,148.00",0,"322,087,148.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106864,801-39528,UNITED STATES STEEL & CARNEGIE PENSION FUND INC,UNITED STATES STEEL & CARNEGIE PENSION FUND,350 PARK AVE 17TH FLOOR,,NEW YORK,NY,USA,10022,212-826-8420,212-826-8450,,,,,,,Approved,9/19/1991,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,EMPLOYEE BENEFIT WELFARE PLANS,N,N,N,N,N,N,Y,"WITH SOME EXCEPTIONS, COSTS ARE ALLOCATED PRO RATA",Y,"9,683,925,646.00",0,"9,683,925,646.00",14,0,14,N,N,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,PENSION FUND TRUSTEE AND INVESTMENT ADVISER,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109663,801-51879,J A GIBBONS LLC,J A GIBBONS LLC,,,,,,,203-661-4369,203-354-2145,,,,,,,Approved,5/6/1996,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"30,387,038.00",0,"30,387,038.00",14,0,14,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107880,801-55634,CANYON CAPITAL REALTY ADVISORS LLC,CANYON CAPITAL REALTY ADVISORS LLC,2000 AVENUE OF THE STARS,11TH FLOOR,LOS ANGELES,CA,UNITED STATES,90067,310-272-1000,310-272-1001,,,,,,,Approved,6/18/1998,3/29/2010,Y,WWW.CANYONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"737,559,440.00",0,"737,559,440.00",25,0,25,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107999,801-55489,STEPP & ROTHWELL INC,STEPP & ROTHWELL INC,7300 COLLEGE BOULEVARD,SUITE 100,OVERLAND PARK,KS,USA,66210,913-345-4800,913-345-4801,,,,,,,Approved,5/26/1998,3/29/2010,Y,STEPPANDROTHWELL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"310,485,532.00",0,"310,485,532.00",929,0,929,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,136641,801-64769,BRAINARD CAPITAL MANAGEMENT LLC,BRAINARD CAPITAL MANAGEMENT LLC,5000 BEE CAVE ROAD,SUITE 106,AUSTIN,TX,UNITED STATES,78746,877-375-6470,,2727 EXPOSITION BLVD,STE 119 PMB 150,AUSTIN,TX,UNITED STATES,78703,Approved,10/3/2005,3/29/2010,Y,WWW.BRAINARDCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"71,000,000.00",0,"71,000,000.00",39,0,39,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104913,801-35172,"WILKINS INVESTMENT COUNSEL, INC",WILKINS INVESTMENT COUNSEL INC,"160 FEDERAL ST., 17TH FLR",,BOSTON,MA,UNITED STATES,2110,617-951-9969,617-951-0773,,,,,,,Approved,9/14/1989,3/29/2010,Y,WWW.WILKINSINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"226,037,000.00",0,"226,037,000.00",84,0,84,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,139371,801-66113,"OWL CREEK ASSET MANAGEMENT, L.P.","OWL CREEK ASSET MANAGEMENT, L.P.","640 FIFTH AVENUE, 20TH FLOOR",,NEW YORK,NY,UNITED STATES,10019-6102,212-688-2550,212-753-2760,,,,,,,Approved,1/26/2006,3/29/2010,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,680,000,000.00",0,"5,680,000,000.00",7,0,7,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105065,801-21988,"STEELE INVESTMENT COUNSEL, LTD.","STEELE INVESTMENT COUNSEL, LTD.",138 SOUTH HIGH STREET,,DUBLIN,OH,USA,43017-2154,614-793-8890,614-793-8894,,,,,,,Approved,8/10/1984,3/29/2010,Y,WWW.STEELEINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"56,364,213.00","5,747,014.00","62,111,227.00",267,21,288,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,153435,801-71288,"THE DE BURLO GROUP, INC.","THE DE BURLO GROUP, INC.",50 FEDERAL ST. 8TH FLOOR,,BOSTON,MA,UNITED STATES,2110,617-482-0275,617-338-6077,,,,,,,Approved,3/1/2010,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"411,000,000.00",0,"411,000,000.00",128,0,128,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,143002,801-67546,ALPHAENGINE GLOBAL INVESTMENT SOLUTION LLC,ALPHAENGINE GLOBAL INVESTMENT SOLUTIONS LLC,5240 TENNYSON PARKWAY,SUITE 102,PLANO,TX,UNITED STATES,75024-7181,972-608-9919,469-361-0011,,,,,,,Approved,2/26/2007,3/29/2010,Y,WWW.ALPHAENGINE.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,415,000,000.00","4,611,000,000.00","6,026,000,000.00",3,2,5,N,N,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,146652,801-69623,CHARIOT ADVISORS,"CHARIOT ADVISORS, LLC",1405 HILLSBOROUGH STREET,,RALEIGH,NC,UNITED STATES,27605,919-380-9555,919-573-9344,,,,,,,Approved,9/25/2008,3/29/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,More than 500,"1,000",More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"37,958,916.00",0,"37,958,916.00",988,0,988,N,Y,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138960,801-65397,STONE HARBOR INVESTMENT PARTNERS LP,STONE HARBOR INVESTMENT PARTNERS LP,31 WEST 52ND STREET,16TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212.548.1022,866.302.6524,,,,,,,Approved,1/26/2006,3/29/2010,Y,WWW.SHIPLP.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,SUPRANATIONAL ORGANIZATION; CENTRAL BANK; SOVEREIGN WEALTH FUND,Y,N,N,N,N,Y,N,,Y,"20,712,521,000.00","372,681,000.00","21,085,202,000.00",93,1,94,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,118450,801-68564,"STRATEGIC FINANCIAL PLANNING, INC.","STRATEGIC FINANCIAL PLANNING, INC.","6513 PRESTON RD., SUITE 100",,PLANO,TX,USA,75024,972-403-1234,972-346-6189,,,,,,,Approved,11/26/2007,3/29/2010,Y,WWW.STRATEGICFP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"37,509,000.00",0,"37,509,000.00",267,0,267,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,105835,801-25934,LEHRER FINANCIAL & ECONOMIC ADVISORY SERVICES,LEHRER KENNETH EUGENE DR,5555 DEL MONTE DRIVE,SUITE 802,HOUSTON,TX,UNITED STATES,77056-4117,713-626-8184,713-964-0444,,,,,,,Approved,12/12/1985,3/29/2010,Y,WWW.LEHECOSERV.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,26-50 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,Y,"ADJUNCT PROFESSOR-FINANCE/ECONOMICS, UNIV OF PHOENIX, HOUSTON DIVISION. DIRECTOR & SENIOR ECONOMIST & DIRECTOR, AZTEC OIL & GAS",10-Jan,,N,N,N,N,N,Y,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,144896,801-68298,ICE CANYON LLC,ICE CANYON LLC,2000 AVENUE OF THE STARS,11TH FLOOR,LOS ANGELES,CA,USA,90067,310-272-1000,310-272-1001,,,,,,,Approved,8/31/2007,3/29/2010,Y,WWW.ICECANYON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,029,000,000.00",0,"2,029,000,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,127938,801-67108,"PHILIP VONGONTARD, CFA, LLC","PHILIP VONGONTARD, CFA, LLC",9909 CLAYTON ROAD,SUITE 210,ST.LOUIS,MO,USA,63124-1120,314-569-2677,314-567-5443,,,,,,,Approved,8/24/2006,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"166,489,084.00","1,013,694.00","167,502,778.00",81,6,87,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109590,801-56607,"ARCADIA INVESTMENT ADVISORS, LLC","ARCADIA INVESTMENT ADVISORS, LLC",1601 OFFICERS ROW,,VANCOUVER,WA,USA,98661,360-823-0477,360-695-5987,,,,,,,Approved,6/23/1999,3/29/2010,Y,WWW.ARCADIAIA.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"128,900,000.00",0,"128,900,000.00",959,0,959,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111775,801-55390,"CLEAR POINT ADVISORS, INC.","CLEAR POINT ADVISORS, INC.","500 NORTH BROADWAY, SUITE 241",,JERICHO,NY,UNITED STATES,11753,516-870-0024,516-870-0025,,,,,,,Approved,3/30/1998,3/29/2010,Y,WWW.CPTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,NOT FOR PROFIT FOUNDATION,Y,Y,N,N,N,N,N,,Y,"111,441,839.00","4,974,824.00","116,416,663.00",498,3,501,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105439,801-33659,ACCREDITED INVESTORS INC,ACCREDITED INVESTORS INC,5200 WEST 73RD STREET,,EDINA,MN,USA,55439-2204,952-841-2222,952-841-2223,,,,,,,Approved,1/9/1989,3/29/2010,Y,WWW.ACCREDITEDINVESTORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"7,683,533.00","719,978,553.00","727,662,086.00",6,391,397,Y,Y,N,N,Y,N,N,N,N,Y,GENERAL CONSULTING,251-500,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,125515,801-62052,RETIREHUB.COM,"LTSAVE, INC.",100 MORRISSEY BLVD,VENTURE DEVELOPMENT CENTER,BOSTON,MA,UNITED STATES,2125,617-287-5833,,,,,,,,Approved,5/16/2003,3/29/2010,Y,WWW.LTSAVE.COM,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,Y,Y,N,N,N,,Y,"4,000,000.00","22,000,000.00","26,000,000.00",125,850,975,N,Y,N,Y,N,N,N,N,N,Y,FIDUCIARY SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,109380,801-54709,DIMENSION CAPITAL MANAGEMENT LLC,DIMENSION CAPITAL MANAGEMENT LLC,ATT: MIGUEL F. DUENAS,"701 BRICKELL AVENUE, SUITE 850",MIAMI,FL,UNITED STATES,33131,305-371-2776,305-371-2193,,,,,,,Approved,6/18/1997,3/29/2010,Y,WWW.DIMENSIONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"240,008,874.00","16,612,005.00","256,620,879.00",78,3,81,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,126285,801-63475,"ZEBRA CAPITAL MANAGEMENT, LLC","ZEBRA CAPITAL MANAGEMENT, LLC",612 WHEELERS FARMS RD,,MILFORD,CT,UNITED STATES,6461,203-878-3223,203-878-1113,,,,,,,Approved,8/27/2004,3/29/2010,Y,WWW.ZEBRACAPM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"118,977,651.00",0,"118,977,651.00",6,0,6,N,N,N,Y,N,N,N,N,N,Y,ADVISORY SERVICES TO PRIVATE INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,129625,801-62655,"THE RETIREMENT PLANNING GROUP, INC.","THE RETIREMENT PLANNING GROUP, INC.",11512 W. 119TH,,OVERLAND PARK,KS,UNITED STATES,66213,913-498-8898,800-396-8898,,,,,,,Approved,1/16/2004,3/29/2010,Y,WWW.PLANNINGRETIREMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,More than 500,500,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"155,000,000.00","20,000,000.00","175,000,000.00",850,250,"1,100",Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,126286,801-63476,"ZEBRA ADVISORS, LLC","ZEBRA ADVISORS, LLC",612 WHEELERS FARMS RD,,MILFORD,CT,UNITED STATES,6461,203-878-3223,203-878-1113,,,,,,,Approved,8/27/2004,3/29/2010,Y,WWW.ZEBRACAPM.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"8,152,615.00",0,"8,152,615.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,ADVISORY SERVICES TO PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,145807,801-69184,"CONFIDENTIAL PLANNING I, LLC","CONFIDENTIAL PLANNING I, LLC","507 PLUM ST, STE 120",,SYRACUSE,NY,UNITED STATES,13204,315-234-1016,315-251-0042,,,,,,,Approved,6/19/2008,3/29/2010,Y,WWW.CPCFS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"7,132,000.00","7,132,000.00",0,6,6,N,N,N,N,N,N,N,N,N,Y,403(B) RETIREMENT PLANS,10-Jan,,Y,N,N,N,N,N,N,N,Y,403(B) RETIREMENT PLAN PROVIDER,N,Y,N,Y,Y,Y,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152420,801-70872,"THESIS FUND MANAGEMENT, LLC","THESIS FUND MANAGEMENT, LLC",12 EAST 49TH STREET,32ND FLOOR,NEW YORK,NY,UNITED STATES,10017,888-467-2300,212-371-8410,,,,,,,Approved,12/11/2009,3/29/2010,Y,WWW.THESISFUNDMANAGEMENT.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,Up to 10 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"5,600,000.00",0,"5,600,000.00",1,0,1,N,Y,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107975,801-57265,"CLS INVESTMENTS, LLC","CLS INVESTMENTS, LLC",4020 SOUTH 147TH STREET,,OMAHA,NE,UNITED STATES,68137,402-493-3313,402-493-2811,,,,,,,Approved,1/1/2000,3/29/2010,Y,HTTP://WWW.CLSINVEST.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,51-250,0,More than 500,"49,000",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,INVESTMENT ADVISERS,Y,N,N,Y,Y,N,Y,12B-1 & SHAREHOLDER SERVICE FEES,Y,"4,542,099,562.00","1,657,019,679.00","6,199,119,241.00","51,450",2,"51,452",N,Y,Y,Y,Y,Y,Y,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,N,N,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N
NYRO,24534,801-34305,BENCHMARK CAPITAL ADVISORS,"BENCHMARK CAPITAL ADVISORS, INC.",100 WALL STREET,8TH FLOOR,NEW YORK,NY,USA,10005,212-607-5430,212-607-5484,,,,,,,Approved,4/25/1989,3/29/2010,Y,WWW.NESEC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"143,875,981.00",0,"143,875,981.00",214,0,214,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
BRO,144532,801-68328,"ZEBRA FUND ADVISORS, LLC","ZEBRA FUND ADVISORS, LLC",612 WHEELERS FARMS ROAD,,MILFORD,CT,UNITED STATES,6461,203-878-3223,203-878-1113,,,,,,,Approved,10/11/2007,3/29/2010,Y,WWW.ZEBRACAPM.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,Y,ADVISORY SERVICES TO PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,128324,801-62380,"MACDOUGALL INVESTMENT COUNSEL, INC.","MACDOUGALL INVESTMENT COUNSEL, INC.","1010 DE LA GAUCHETIERE W.,",SUITE 2000,MONTREAL,,CANADA,H3B 4J1,514-394-2777,514-394-2779,,,,,,,Approved,10/6/2003,3/29/2010,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"350,725,000.00",0,"350,725,000.00",775,0,775,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
PLRO,111105,801-56351,MONTGOMERY BROTHERS INC,MONTGOMERY BROTHERS INC,4720 MONTGOMERY LANE,STE 650,BETHESDA,MD,UNITED STATES,20814,301-652-6950,301-652-6954,,,,,,,Approved,3/22/1999,3/29/2010,Y,WWW.MONTGOMERYBROS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"81,164,922.00","1,004,118.00","82,169,040.00",121,2,123,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107940,801-56043,ENTRUST PARTNERS LLC,ENTRUST PARTNERS LLC,717 FIFTH AVENUE,25TH FLOOR,NEW YORK,NY,USA,10022,212-888-1040,212-888-0751,,,,,,,Approved,11/17/1998,3/29/2010,Y,WWW.ENTRUSTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,0,0,0,0,Nov-50,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,018,970,223.00",0,"1,018,970,223.00",12,0,12,N,N,N,Y,N,Y,N,N,N,Y,GENERAL PARTNER TO THE 10 LIMITED PARTNERSHIPS LISTED ON SCHEDULE D SECTION 7.B,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,Y,N,N,Y,Y,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107208,801-38983,GEF MANAGEMENT CORPORATION,GEF MANAGEMENT CORPORATION,5471 WISCONSIN AVENUE,SUITE 300,CHEVY CHASE,MD,UNITED STATES,20815,240-482-8900,240-482-8908,,,,,,,Approved,6/3/1991,3/29/2010,Y,WWW.GLOBALENVIRONMENTFUND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"492,000,000.00",0,"492,000,000.00",7,0,7,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,144635,801-68308,SSP SERVICES LTD.,SSP SERVICES LTD.,UGLAND HOUSE,SOUTH CHURCH STREET,GEORGE TOWN,,CAYMAN ISLANDS,KY1-1104,(345) 949-8066,,"KV SERVICES (USA), INC.",489 FIFTH AVENUE,NEW YORK,NY,UNITED STATES,10017,Approved,9/6/2007,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),CAYMAN COMPANY LIMITED BY SHARES,,CAYMAN ISLANDS,Nov-50,0,10-Jun,0,0,0,Nov-50,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,PAID TO AN AFFILIATE OF SSP SERVICES LTD.,Y,"64,458,178.00",0,"64,458,178.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107100,801-32541,"W.R. HUFF ASSET MANAGEMENT CO., L.L.C.","W.R. HUFF ASSET MANAGEMENT CO., L.L.C.",67 PARK PLACE,,MORRISTOWN,NJ,UNITED STATES,7960,973-984-1233,973-984-5818,,,,,,,Approved,6/1/1988,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,ENDOWMENTS AND FOUNDATIONS,Y,N,N,N,N,Y,N,,Y,"2,201,469,564.00",0,"2,201,469,564.00",54,0,54,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105039,801-33701,HFM WEALTH MANAGEMENT,HARTFORD FINANCIAL MANAGEMENT INC,40 PRATT ST,,HARTFORD,CT,UNITED STATES,06103-1601,860-241-0028,860-541-6919,,,,,,,Approved,2/6/1989,3/29/2010,Y,WWW.HFMONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"569,603,807.00",0,"569,603,807.00",114,0,114,Y,Y,N,Y,N,Y,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,118321,801-67969,"COVENANT FINANCIAL SERVICES, LLC","COVENANT FINANCIAL SERVICES, LLC",10914 HEFNER POINTE DR.,STE. 304,OKLAHOMA CITY,OK,UNITED STATES,73120,405-848-6999,405-848-6953,,,,,,,Approved,6/7/2007,3/29/2010,Y,WWW.CFSOKC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"196,082,167.00",0,"196,082,167.00",453,0,453,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,129617,801-62568,"MONTGOMERY BROTHERS, CAPPIELLO, LLC","MONTGOMERY BROTHERS, CAPPIELLO, LLC",4720 MONTGOMERY LANE,STE 650,BETHESDA,MD,UNITED STATES,20814,301-652-6950,301-652-6954,,,,,,,Approved,1/2/2004,3/29/2010,Y,WWW.MONTGOMERYBROS.COM/CAPPIELLO.HTML,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,More than 75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"5,677,875.00",0,"5,677,875.00",9,0,9,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151443,801-70645,"EVERMORE GLOBAL ADVISORS, LLC","EVERMORE GLOBAL ADVISORS, LLC",89 SUMMIT AVENUE,3RD FLOOR,SUMMIT,NJ,UNITED STATES,7901,908-378-2880,908-378-2890,,,,,,,Approved,10/8/2009,3/29/2010,Y,WWW.EVERMOREGLOBAL.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"7,000,000.00",0,"7,000,000.00",3,0,3,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,135941,801-64858,"WORLD CAPITAL ADVISORS, LLC","WORLD CAPITAL ADVISORS, LLC",5219 HICKORY PARK DRIVE,SUITE B,GLEN ALLEN,VA,UNITED STATES,23059,804-267-7405,804-323-3205,,,,,,,Approved,11/18/2005,3/29/2010,Y,WWW.WORLDCAPITALADVISORS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,Nov-50,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"44,694,992.00","44,694,992.00",0,300,300,Y,Y,N,N,Y,Y,N,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,124366,801-63182,CORNERSTONE CAPITAL MANAGEMENT,CORNERSTONE CAPITAL MANAGEMENT,,,,,,,650-368-5600,650-368-7654,PO BOX 620425,,WOODSIDE,CA,USA,94062,Approved,5/31/2006,3/17/2009,Y,WWW.CORNERSTONECAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"25,684,752.00","25,684,752.00",0,110,110,N,Y,N,N,N,N,N,N,N,Y,ADVISER TO PRIVATE INVESTMENT FUNDS,0,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,108201,801-60137,"OCCAM CAPITAL MANAGEMENT, LLC","OCCAM CAPITAL MANAGEMENT, LLC",1303 MARSH ROAD,,PITTSFORD,NY,USA,14534-1742,585-218-0310,585-218-0338,,,,,,,Approved,4/3/2001,3/29/2010,Y,OCCAMCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"49,015,835.00",0,"49,015,835.00",240,0,240,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111814,801-54969,"LYNX INVESTMENT ADVISORY,LLC","LYNX INVESTMENT ADVISORY,LLC","1100 CONNECTICUT AVENUE, NW",SUITE 300,WASHINGTON,DC,USA,20036,202-833-3700,202-833-3704,,,,,,,Approved,10/17/1997,3/29/2010,Y,WWW.LYNXINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,11-25 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,OTHER EDUCATIONAL AND NOT FOR PROFIT ORGANIZATIONS,Y,N,N,Y,N,Y,N,,Y,"106,236,107.00","963,581,350.00","1,069,817,457.00",39,427,466,N,N,N,N,Y,Y,N,N,N,Y,"PERFORMANCE MEASUREMENT, ASSET ALLOCATION",,,N,N,N,N,Y,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,151090,801-70670,"ANGEL OAK CAPITAL ADVISORS, LLC","ANGEL OAK CAPITAL ADVISORS, LLC",50 OLD IVY ROAD,SUITE 230,ATLANTA,GA,UNITED STATES,30342,404-467-5605,404-467-6101,,,,,,,Approved,10/14/2009,3/29/2010,Y,HTTP://WWW.ANGELOAKCAPITAL.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,10-Jan,0,0 percent,51-75 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"95,471,597.00","8,243,810.00","103,715,407.00",4,6,10,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATELY OFFERED FUNDS.,,,N,N,N,Y,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,115231,801-60517,"GREEN SQUARE CAPITAL, LLC","GREEN SQUARE CAPITAL, LLC",6075 POPLAR AVENUE,SUITE 322,MEMPHIS,TN,UNITED STATES,38119,901-259-6300,901-259-6330,,,,,,,Approved,8/24/2001,3/29/2010,Y,WWW.GREENSQUARECAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"723,933,686.00",0,"723,933,686.00",760,0,760,Y,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT CONSULTING,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,138537,801-66624,ALHAMBRA INVESTMENT MANAGEMENT LLC,ALHAMBRA INVESTMENT MANAGEMENT LLC,,,,,,,305-460-2227,305-259-6121,,,,,,,Approved,5/4/2006,3/29/2010,Y,WWW.ALHAMBRAPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"23,666,877.00","1,531,493.00","25,198,370.00",135,6,141,N,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109046,801-56437,HUFF W R CM LLC,"W.R. HUFF CM, LLC",67 PARK PLACE,,MORRISTOWN,NJ,USA,7960,973-984-1233,973-984-5818,,,,,,,Approved,4/30/1999,3/29/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"29,024.00",0,"29,024.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,126752,801-66660,CARDIFF PARK ADVISORS,"CARDIFF PARK ADVISORS,LLC",2257 VISTA LA NISA,,CARLSBAD,CA,UNITED STATES,92009,760-635-7526,760-284-5550,,,,,,,Approved,5/3/2006,3/29/2010,Y,WWW.CARDIFFPARK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,"317,494,590.00","317,494,590.00",0,742,742,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108191,801-54171,BURNS & LEVINSON ASSET MANAGEMENT,B&L ASSET MANAGEMENT LLC,125 SUMMER STREET,,BOSTON,MA,UNITED STATES,02110-1624,617-345-3400,617-345-3299,,,,,,,Approved,4/3/1997,3/29/2010,Y,WWW.BLASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"124,255,455.00","47,859,988.00","172,115,443.00",189,53,242,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,118885,801-67857,"SPINNAKER FINANCIAL ADVISORS, LLC","SPINNAKER FINANCIAL ADVISORS, LLC",2962 CORTEZ AVENUE,,IDAHO FALLS,ID,USA,83404,208-542-0742,208-542-0760,,,,,,,Approved,5/1/2007,3/29/2010,Y,HTTP://WWW.SPINNAKERFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,ID,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"35,029,403.00",0,"35,029,403.00",179,0,179,Y,Y,N,N,N,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,38751,801-69290,"LEIGH BALDWIN & CO., LLC","LEIGH BALDWIN & CO., LLC",112 ALBANY STREET,,CAZENOVIA,NY,UNITED STATES,13035,315-655-2964,315-655-9138,,,,,,,Approved,6/24/2008,3/29/2010,Y,WWW.LEIGHBALDWIN.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,SOLICITOR/REFERRAL FEES FOR 100% OF ASSETS OUTSIDE OF MUTUAL FD,Y,"3,037,969.00",0,"3,037,969.00",1,0,1,N,N,Y,N,N,N,N,N,N,Y,"ASIDE FROM THE MANAGEMENT FOR THE INVESTMENT COMPANY, 100% OF  SERVICES ARE PROVIDED BY OUTSIDE SEC RIA'S ON A SOLICITOR BASIS",0,,N,N,Y,N,N,N,Y,N,N,,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
ARO,126069,801-62407,"PRINCIPLE PLANNING ADVISORS, LLC","PRINCIPLE PLANNING ADVISORS, LLC",500 COLONIAL CENTER PKWY,SUITE 600,ROSWELL,GA,USA,30076,770-998-8721,770-992-4733,,,,,,,Approved,10/2/2003,3/29/2010,Y,WWW.PPAADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"49,186,672.00","32,551,395.00","81,738,067.00",107,112,219,Y,Y,N,N,N,Y,Y,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,109050,801-56258,B F ANDERSON & CO. INC,B F ANDERSON & CO. INC.,2237 SOUTH ACADIAN THRUWAY,SUITE 605,BATON ROUGE,LA,UNITED STATES,70808,225-926-8050,225-926-8061,,,,,,,Approved,2/23/1999,3/29/2010,Y,WWW.BFANDERSON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"30,977,774.00",0,"30,977,774.00",104,0,104,N,Y,N,Y,N,N,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,152380,801-70912,KAM ADVISORS,"KAHN ASSET MANAGEMENT, INC.",9465 WILSHIRE BLVD.,STE. 910,BEVERLY HILLS,CA,UNITED STATES,90212,310-385-7770,310-388-0383,,,,,,,Approved,1/5/2010,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"22,000,000.00","13,000,000.00","35,000,000.00",80,7,87,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,Y,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,153234,801-71205,"THE UNIVERSITY FUNDS, LLC","THE UNIVERSITY FUNDS, LLC",800 BELLEVUE WAY NE,SUITE 400,BELLEVUE,WA,UNITED STATES,98004,425-455-3500,425-732-9701,,,,,,,120-Day Approval,3/25/2010,3/23/2010,Y,HTTP://WWW.THEUFUNDS.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,DISCRETIONARY INVESTMENT MANAGEMENT,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105864,801-30972,SCHILL S R & ASSOCIATES INC,SCHILL S R & ASSOCIATES INC,2448 - 76TH AVE SE,SUITE 107,MERCER ISLAND,WA,UNITED STATES,98040,206-275-2700,206-275-2710,,,,,,,Approved,11/2/1987,3/23/2010,Y,WWW.SRSCHILL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"69,586,829.00",0,"69,586,829.00",403,0,403,Y,Y,N,N,Y,N,N,N,N,N,,51-100,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,133623,801-69181,"BROGAN FINANCIAL, INC.","BROGAN FINANCIAL, INC.",8351 E WALKER SPRINGS LANE,SUITE 101,KNOXVILLE,TN,UNITED STATES,37923,865-862-6800,865-862-6818,,,,,,,Approved,5/13/2008,3/23/2010,Y,HTTP://BROGANFINANCIAL.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"39,157,012.00","18,752,174.00","57,909,186.00",142,143,285,Y,Y,N,Y,N,Y,Y,N,N,Y,"RADIO PROGRAM FOCUSING ON WEALTH, FINANCIAL AND GENERAL ISSUES",251-500,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106923,801-36627,HARTLINE INVESTMENT CORPORATION,HARTLINE INVESTMENT CORP.,211 W. WACKER DRIVE,SUITE 1600,CHICAGO,IL,UNITED STATES,60606,312-726-4278,312-726-7875,,,,,,,Approved,5/18/1990,3/23/2010,Y,WWW.HARTLINEINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"191,215,209.00","142,664,963.00","333,880,172.00",450,24,474,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,122337,801-61406,MORTGAGE INDUSTRY ADVISORY COMPANY,SERVICING.COM,55 JOHN STREET,15TH FLOOR,NEW YORK,NY,USA,10038,212-233-1250,212-233-2265,,,,,,,Approved,8/16/2002,1/4/2006,Y,WWW.SERVICING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,"50,000,000.00","50,000,000.00",0,"50,000,000","50,000,000",N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,Y,MORTGAGE ASSET VALUATION &RISK MANAGEMNT ANALYTICS,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106867,801-43464,"OMEGA ADVISORS,INC.","OMEGA ADVISORS,INC.","88 PINE STREET, 31ST FL",WALL STREET PLAZA,NEW YORK,NY,UNITED STATES,10005,212-495-5200,212-495-5236,,,,,,,Approved,3/12/1993,3/23/2010,Y,WWW.OMEGA-ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,734,193,601.00",0,"4,734,193,601.00",12,0,12,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HEDGE FUNDS,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109077,801-56080,AXA ROSENBERG INVESTMENT MANAGEMENT LLC,AXA ROSENBERG INVESTMENT MANAGEMENT LLC,4 ORINDA WAY,BUILDING E,ORINDA,CA,UNITED STATES,94563,925-254-6464,925-253-2289,,,,,,,Approved,12/18/1998,3/23/2010,Y,WWW.AXAROSENBERG.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,10-Jun,0,0,0,101-250,0,0 percent,0 percent,Up to 10 percent,Up to 10 percent,51-75 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,HOSPITAL & INSURANCE,Y,N,N,N,N,Y,N,,Y,"18,012,641,470.00",0,"18,012,641,470.00",296,0,296,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109486,801-56082,BARR ROSENBERG RESEARCH CENTER LLC,BARR ROSENBERG RESEARCH CENTER LLC,"4 ORINDA WAY, BLDG E",,ORINDA,CA,UNITED STATES,94563,925-254-6464,925-253-2289,,,,,,,Approved,12/18/1998,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,CLIENTS ARE US AND FOREIGN INVESTMENT ADVISORS UNDER THE COMMON CONTROL OF AXA ROSENBERG GROUP LLC,Y,N,N,N,N,Y,N,,Y,"51,503,385,975.00","485,310,454.00","51,988,696,429.00",308,4,312,N,N,N,N,N,N,N,N,N,Y,PROVIDE QUANTITATIVE INVESTMENT RESEARCH AND TECHNOLOGY TO US & FOREIGN ADVISORS UNDER COMMON CONTROL OF AXA ROSENBERG GROUP LLC,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,136914,801-64689,"WESTWOOD ASSET MANAGEMENT, LLC","WESTWOOD ASSET MANAGEMENT, LLC",1063 GAYLEY AVENUE,2ND FLOOR,LOS ANGELES,CA,UNITED STATES,90024,310-208-2191,310-208-2228,,,,,,,Approved,9/15/2005,3/23/2010,Y,WWW.WESTWOODAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"70,765,000.00","1,370,000.00","72,135,000.00",188,11,199,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143936,801-67962,"SPA ETF, INC.",SPA ETFS INC.,"TOWER 49, 12 EAST 49TH STREET",,NEW YORK,NY,USA,10017,212-663-1595,,,,,,,,Approved,6/8/2007,5/22/2008,Y,WWW.SPA-ETF.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"18,221,717.00",0,"18,221,717.00",6,0,6,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108404,801-56735,CORNERSTONE WEALTH MANAGEMENT,CORNERSTONE WEALTH MANAGEMENT LLC,17140 BERNARDO CENTER DRIVE,SUITE 206,SAN DIEGO,CA,UNITED STATES,92128,858-676-1000,858-676-1130,,,,,,,Approved,8/5/1999,3/23/2010,Y,WWW.CORNERSTONEWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,Y,N,,Y,"98,413,906.00","112,336,988.00","210,750,894.00",404,64,468,Y,Y,N,N,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N
LARO,107969,801-55028,RELATIONAL INVESTORS LLC,RELATIONAL INVESTORS LLC,12400 HIGH BLUFF DR.,SUITE 600,SAN DIEGO,CA,UNITED STATES,92130,858-704-3333,858-704-3344,,,,,,,Approved,11/13/1997,3/23/2010,Y,WWW.RILLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,51-75 percent,NON-POOLED INVESTMENT LIMITED PARTNERSHIPS,Y,N,N,N,N,Y,N,,Y,"5,729,825,717.00","303,708,714.00","6,033,534,431.00",22,3,25,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110925,801-60090,"GOLD COAST SECURITIES, INC.","GOLD COAST SECURITIES, INC.","275 E. HILLCREST DRIVE, SUITE 225",,THOUSAND OAKS,CA,USA,91360,805-496-3660,805-496-3880,,,,,,,Approved,3/23/2001,3/23/2010,Y,WWW.GCSEC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"17,046,423.00","12,063,155.00","29,109,578.00",122,41,163,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,Y,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
PLRO,120745,801-69379,"HUBER, WEAKLAND & ASSOCIATES, INC.","HUBER, WEAKLAND & ASSOCIATES, INC.","3448 ELLICOTT CENTER DRIVE, SUITE 101",,ELLICOTT CITY,MD,UNITED STATES,21043,410-461-4111,410-461-5360,,,,,,,Approved,7/10/2008,3/23/2010,Y,WWW.HUBERWEAKLAND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"32,159,000.00",0,"32,159,000.00",52,0,52,Y,Y,N,Y,N,N,N,N,N,Y,CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106513,801-39915,"SK GROUP, INC","SK GROUP, INC",,,,,,,801-484-2575,801-484-2320,,,,,,,Approved,9/30/1991,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"24,101,443.00","4,705,613.00","28,807,056.00",256,4,260,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,137150,801-67886,WALES INVESTMENTS INC,WALES INVESTMENTS INC,2055 JUNCTION AVE SUITE 100,,SAN JOSE,CA,UNITED STATES,95131,408-944-9176,408-944-9175,,,,,,,Approved,5/4/2007,3/23/2010,Y,WWW.WALESINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"30,253,182.00","1,776,696.00","32,029,878.00",323,10,333,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,Y,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,129805,801-69302,"THE RELAXING RETIREMENT COACH, INC.","THE RELAXING RETIREMENT COACH, INC.",WELLESLEY OFFICE PARK,"20 WILLIAM STREET, SUITE 110",WELLESLEY,MA,UNITED STATES,2481,781-235-7550,781-235-7551,,,,,,,Approved,6/23/2008,3/23/2010,Y,WWW.RELAXINGRETIREMENTGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"152,245,000.00",0,"152,245,000.00",648,0,648,Y,Y,N,N,N,N,N,N,N,N,,101-250,,Y,Y,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106855,801-44577,AT&T INVESTMENT MANAGEMENT CORP,AT&T INVESTMENT MANAGEMENT CORP,10 INDEPENDENCE BLVD-SUITE 110,,WARREN,NJ,USA,07059-6747,908-605-2111,908-605-2047,,,,,,,Approved,9/30/1993,3/30/2007,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,EMPLOYEE BENEFIT PLANS OTHER THAN PENSION AND PROFIT SHARING PLANS.,N,N,N,N,N,N,Y,ACTUAL EXPENSES INCURRED,Y,"122,769,448,074.00","8,194,308.00","122,777,642,382.00",33,1,34,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,116636,801-61796,"PINNACLE WEALTH MANAGEMENT, LLC","PINNACLE WEALTH MANAGEMENT, LLC",,,,,,,206-525-1283,206-527-6791,,,,,,,Approved,2/11/2003,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"103,625,885.00",0,"103,625,885.00",7,0,7,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,125888,801-66855,SUNLAKE INVESTMENT MANAGEMENT,JOHN H VINEYARD,,,,,,,607-275-0323,607-275-0323,,,,,,,Approved,6/14/2006,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"40,253,172.00","987,991.00","41,241,163.00",159,3,162,N,Y,N,N,N,N,N,N,N,Y,FINANCIAL CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,111043,801-45068,KNIGHTSBRIDGE ADVISERS LLC,KNIGHTSBRIDGE ADVISERS LLC,122 SW FRANK PHILLIPS BOULEVARD,,BARTLESVILLE,OK,UNITED STATES,74003,918-336-0978,918-336-0824,,,,,,,Approved,11/2/1993,3/23/2010,Y,WWW.KNIGHTSBRIDGEUSA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,167,882,188.00",0,"1,167,882,188.00",27,0,27,N,N,N,N,N,N,N,N,N,Y,"INVESTMENT SUPERVISORY SERVICES, INCLUDING ADVICE ON SELECTION OF VENTURE PARTNERSHIPS AND POST-VENTURE PORTFOLIO SUBADVISERS",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,142922,801-67500,BLACKSTONE STRATEGIC ALLIANCE ADVISORS L.L.C.,BLACKSTONE STRATEGIC ALLIANCE ADVISORS L.L.C.,345 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10154,212-583-5000,212-583-5258,,,,,,,Approved,1/22/2007,3/23/2010,Y,WWW.BLACKSTONE.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,835,779,497.00",0,"1,835,779,497.00",8,0,8,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,146136,801-68761,GOVERNANCE FOR OWNERS LLP,GOVERNANCE FOR OWNERS LLP,26 THROGMORTON STREET,,LONDON,,UNITED KINGDOM,EC2N 2AN,+44 (0) 20 7614 4750,+44 (0) 20 7374 4889,,,,,,,Approved,1/30/2008,3/24/2010,Y,HTTP://WWW.G4OWNERS.CO.UK,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,230,382,640.00","176,991,636.00","1,407,374,276.00",5,1,6,N,N,N,Y,N,N,N,N,N,Y,MANAGED POOLED INVESTMENT VEHICLE,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105995,801-17301,"REGENTATLANTIC CAPITAL, LLC","REGENTATLANTIC CAPITAL, LLC",1200 MOUNT KEMBLE AVE,,MORRISTOWN,NJ,USA,7960,973-425-8420,973-425-8434,,,,,,,Approved,7/1/1982,3/24/2010,Y,WWW.REGENTATLANTIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,717,647,550.00","36,529,840.00","1,754,177,390.00","1,127",21,"1,148",Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,130372,801-62765,"MCF ADVISORS, LLC","MCF ADVISORS, LLC","50 E. RIVERCENTER BLVD.,",SUITE 300,COVINGTON,KY,UNITED STATES,41011,859-392-8600,859-392-8603,,,,,,,Approved,2/6/2004,3/24/2010,Y,WWW.MCFADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,11-25 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"144,126,504.00","211,539,523.00","355,666,027.00",590,49,639,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110477,801-57191,VENUS CAPITAL MANAGEMENT INC,VENUS CAPITAL MANAGEMENT INC,"99 SUMMER STREET, STE M100",,BOSTON,MA,UNITED STATES,2110,617-423-1901,617-423-1011,,,,,,,Approved,1/21/2000,3/24/2010,Y,WWW.VENUSCAPITAL.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,Nov-50,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"148,364,000.00",0,"148,364,000.00",20,0,20,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N
ARO,118284,801-68032,"CLIFTON, ROGER LAMBERT","CLIFTON, ROGER LAMBERT",,,,,,,828-863-4729,828-863-0404,,,,,,,Approved,6/28/2007,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"52,000,000.00","52,000,000.00",0,20,20,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,111855,801-58175,"KOSS-OLINGER CONSULTING, LLC.","KOSS-OLINGER CONSULTING, LLC.",2700-A NW 43RD STREET,,GAINESVILLE,FL,UNITED STATES,32606,352-373-3337,352-373-1864,,,,,,,Approved,11/24/2000,3/24/2010,Y,WWW.KOSS-OLINGER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"205,211,046.00","17,279,799.00","222,490,845.00",657,90,747,Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109127,801-54256,PORTLAND GLOBAL ADVISORS LLC,PORTLAND GLOBAL ADVISORS LLC,217 COMMERCIAL ST,SUITE 400,PORTLAND,ME,UNITED STATES,4101,207-773-2773,207-773-2602,,,,,,,Approved,4/11/1997,3/3/2010,Y,WWW.PORTLANDGLOBAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,ME,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"282,519,336.00",0,"282,519,336.00",144,0,144,N,Y,N,Y,N,Y,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107992,801-56798,"COBBLE HILL FINANCIAL SERVICES, INC.","COBBLE HILL FINANCIAL SERVICES, INC.",99 WEST MAIN ST,SUITE 200,MOORESTOWN,NJ,UNITED STATES,8057,856-231-7770,856-231-9099,,,,,,,Approved,9/23/1999,3/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"378,564,618.00",0,"378,564,618.00",34,0,34,N,N,N,Y,Y,Y,N,N,N,Y,INVESTMENT CONSULTING AND EVALUATION,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109440,801-54791,CAPITAL MORTGAGE MANAGEMENT INC,CAPITAL MORTGAGE MANAGEMENT INC,218 HENRY AVE,,MANCHESTER,MO,UNITED STATES,63011,636-207-0160,636-207-1740,,,,,,,Approved,9/3/1997,3/3/2010,Y,WWW.PROLOAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"151,178,463.00","151,178,463.00",0,1,1,N,N,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,111002,801-30924,LEE DANNER & BASS INC,LEE DANNER & BASS INC,3100 WEST END AVENUE,SUITE 1250,NASHVILLE,TN,UNITED STATES,37203,615-244-7775,615-244-5778,,,,,,,Approved,11/27/1987,3/3/2010,Y,WWW.LEEDANNERBASS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"805,371,300.00",0,"805,371,300.00",645,0,645,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107902,801-42986,H.P. Becker & Co,H.P. Becker & Co,2610 LAKE COOK ROAD,SUITE 190,RIVERWOODS,IL,UNITED STATES,60015,847-948-1600,847-948-1608,,,,,,,Approved,12/30/1992,3/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"44,793,586.00",0,"44,793,586.00",41,0,41,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,121376,801-63305,"LIFEPLAN FINANCIAL GROUP, INC.","LIFEPLAN FINANCIAL GROUP, INC.",ONE PRESTIGE PLACE,SUITE 750,MIAMISBURG,OH,UNITED STATES,45342,937-438-8000,937-438-5885,,,,,,,Approved,7/2/2004,3/3/2010,Y,WWW.LIFEPLANFG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"152,626,277.00","6,320,292.00","158,946,569.00",309,114,423,Y,Y,N,N,Y,N,N,N,N,Y,"AS NEEDED, PROVIDE ADVICE TO CLIENTS ON MATTERS NOT INVOLVING SECURITIES",101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109908,801-7457,COURIER CAPITAL CORPORATION,COURIER CAPITAL CORP,976 DELAWARE AVENUE,,BUFFALO,NY,UNITED STATES,14209,716-883-9595,716-883-8048,,,,,,,Approved,5/27/1971,3/3/2010,Y,WWW.COURIERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,More than 500,"1,000",26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,201,122,666.00","243,156,914.00","1,444,279,580.00",962,214,"1,176",Y,Y,N,Y,Y,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,115788,801-62077,SARASIN ASSET MANAGEMENT LIMITED,SARASIN ASSET MANAGEMENT LIMITED,JUXON HOUSE,100 ST PAUL'S CHURCHYARD,LONDON,,UNITED KINGDOM,EC4M 8BU,+(44)(20)7038 7000,+(44)(20)7038 6850,,,,,,,Approved,6/6/2003,3/3/2010,Y,WWW.SARASIN.CO.UK,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"351,980,000.00","26,710,000.00","378,690,000.00",152,7,159,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139115,801-66099,ARGO CAPITAL MANAGEMENT (CYPRUS) LTD,ARGO CAPITAL MANAGEMENT (CYPRUS) LTD,10 VASILISSIS FREDERIKIS STREET,SUITE 401,NICOSIA,,CYPRUS,1066,357 2 2668900,357 2 2445177,,,,,,,Approved,2/1/2006,3/3/2010,Y,WWW.ARGOCM.COM.CY,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CYPRUS,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"450,000,000.00",0,"450,000,000.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,INVESTMENT MANAGEMENT FOR HEDGE FUNDS,0,,N,N,N,N,N,N,N,N,Y,SHARES IN HEDGE FUND,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,147837,801-69558,"PILLAR WEALTH MANAGEMENT, LLC","PILLAR WEALTH MANAGEMENT, LLC",1600 SOUTH MAIN STREET,SUITE 335,WALNUT CREEK,CA,UNITED STATES,94596,925-407-0320,925-226-1965,,,,,,,Approved,9/8/2008,3/3/2010,Y,WWW.PILLARWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"145,000,000.00",0,"145,000,000.00",500,0,500,Y,Y,N,Y,N,N,N,N,N,Y,CONSULTING,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109792,801-20667,"ROBERTS, GLORE & CO.","ROBERTS, GLORE & CO.",707 LAKE COOK ROAD,SUITE 210,DEERFIELD,IL,USA,60015,224-330-6980,847-412-4885,,,,,,,Approved,3/13/1984,3/3/2010,Y,WWW.ROBERTSGLORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"417,347,038.00","45,805,808.00","463,152,846.00",808,146,954,N,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,135879,801-64514,"ALLEN CAPITAL GROUP, LLC","ALLEN CAPITAL GROUP, LLC",3032 WEST STOLLEY PARK ROAD,SUITE E,GRAND ISLAND,NE,UNITED STATES,68801,308-385-1500,308-398-1234,,,,,,,Approved,7/15/2005,3/3/2010,Y,WWW.ALLENCAPGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"86,289,391.00",0,"86,289,391.00","1,689",0,"1,689",Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,148994,801-69895,RNB WEALTH MANAGEMENT GROUP,"RNB WEALTH MANAGEMENT GROUP, LLC",20900 NE 30TH AVENUE,SUITE 816,ADVENTURA,FL,UNITED STATES,33180,305-653-6669,305-653-6016,,,,,,,Approved,1/27/2009,3/3/2010,Y,WWW.RNBWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"6,126,835.00","20,108,600.00","26,235,435.00",60,22,82,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,145359,801-68454,"SUTTON WEALTH ADVISORS, INC.","SUTTON WEALTH ADVISORS, INC.",3708 WEST SWANN AVENUE,SUITE 102,TAMPA,FL,USA,33609,813-514-1800,813-514-1877,,,,,,,Approved,11/6/2007,3/3/2010,Y,WWW.SUTTONWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"103,313,917.00","499,511.00","103,813,428.00",255,2,257,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,140514,801-66694,"LEGACY FINANCIAL SERVICES GROUP, LLC","LEGACY FINANCIAL SERVICES GROUP, LLC",10691 EAST CARTER ROAD,SUITE 101,TRAVERSE CITY,MI,UNITED STATES,49684,231-933-0631,231-933-0838,,,,,,,Approved,5/10/2006,3/3/2010,Y,WWW.DISCOVERLEGACY.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"56,076,873.00",0,"56,076,873.00",395,0,395,Y,Y,N,Y,Y,N,Y,N,N,Y,"CONSULTATION SERVICES, SEMINARS, AND WORKSHOPS",0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110777,801-15740,"DIXON, HUBARD, FEINOUR & BROWN, INC.","DIXON, HUBARD, FEINOUR & BROWN, INC.",601 S JEFFERSON STREET,SUITE 410,ROANOKE,VA,UNITED STATES,24011-2414,540-343-9903,540-343-7684,POST OFFICE BOX 2768,,ROANOKE,VA,UNITED STATES,24001-2768,Approved,1/16/1981,3/3/2010,Y,WWW.DHFINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"436,571,355.00",0,"436,571,355.00",360,0,360,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,136716,801-65564,DRAKE CAPITAL ADVISORS LLC,DRAKE CAPITAL ADVISORS LLC,ONE FAWCETT PLACE,SUITE 140,GREENWICH,CT,UNITED STATES,06830-6553,203-861-7500,203-861-2601,,,,,,,Approved,1/26/2006,3/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,26-50 percent,0 percent,11-25 percent,ENDOWMENTS,Y,N,N,N,N,Y,N,,Y,"523,311,036.00","66,070,878.00","589,381,914.00",7,1,8,N,Y,N,Y,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR OTHER POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,137773,801-65485,CAMBRIDGE INVESTMENTS LIMITED,CAMBRIDGE INVESTMENTS LIMITED,5237 HHR RANCH ROAD,SUITE A,WILSON,WY,UNITED STATES,83014,307-733-8229,307-733-8234,PO BOX 4741,,JACKSON,WY,UNITED STATES,83001,Approved,2/1/2006,3/3/2010,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"159,000,000.00",0,"159,000,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR OTHER POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,143702,801-67889,CAMBRIDGE INVESTMENT PARTNERS LLC,CAMBRIDGE INVESTMENT PARTNERS LLC,5237 HHR RANCH ROAD,SUITE A,WILSON,WY,UNITED STATES,83014,307-733-8229,307-733-8234,PO BOX 4741,,JACKSON,WY,UNITED STATES,83001,Approved,5/3/2007,3/3/2010,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"159,000,000.00",0,"159,000,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR OTHER POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105157,801-15073,ANDERSON HOAGLAND & CO,ANDERSON HOAGLAND & CO,"8112 MARYLAND AVE., STE 270",,ST LOUIS,MO,UNITED STATES,63105-3700,314-726-2107,314-726-2462,,,,,,,Approved,3/4/1980,3/3/2010,Y,WWW.AHCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,EDUCATIONAL INSTITUTIONS-SCHOLARSHIP FDS,Y,N,N,Y,N,N,N,,Y,"190,888,199.00","2,743,218.00","193,631,417.00",116,1,117,Y,Y,N,Y,N,N,N,N,N,Y,INVESTMENT SUPERVISORY SERVICES,25-Nov,,N,N,N,N,N,N,Y,N,Y,INVESTMENT SUPERVISORY SERVICES,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106152,801-49217,"BLOOM ASSET MANAGEMENT, INC.","BLOOM ASSET MANAGEMENT, INC.",31275 NORTHWESTERN HWY,SUITE 145,FARMINGTON HILLS,MI,UNITED STATES,48334-2531,248-932-5200,248-932-5201,,,,,,,Approved,5/22/1995,3/3/2010,Y,WWW.BLOOMASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,"1,000",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"684,647,116.00",0,"684,647,116.00","3,950",0,"3,950",Y,Y,N,Y,N,N,N,N,N,N,,More than 500,500,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106938,801-49623,JEANETTE FRANCES TERRY,TERRY JEANETTE FRANCES,,,,,,,636-225-8205,636-225-7182,,,,,,,Approved,7/11/1995,3/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"30,192,000.00","30,192,000.00",0,10,10,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,144418,801-68439,"RIVERSEDGE CONVERTIBLE PORTFOLIO ADVISORS, LLC","RIVERSEDGE CONVERTIBLE PORTFOLIO ADVISORS, LLC",,,,,,,860-539-7806,860-738-9972,,,,,,,Approved,11/15/2007,3/3/2010,Y,NONE,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,INSURANCE COMPANIES,Y,N,N,N,N,N,N,,Y,0,"60,700,000.00","60,700,000.00",0,3,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,132033,801-70116,"SHELBY FINANCIAL GROUP, INC.","SHELBY FINANCIAL GROUP, INC.",,,,,,,941-925-7544,866-204-0767,,,,,,,Approved,4/30/2009,3/3/2010,Y,WWW.SHELBYFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"39,470,810.00",0,"39,470,810.00",339,0,339,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107700,801-37821,HENGEHOLD CAPITAL MANAGEMENT LLC,HENGEHOLD CAPITAL MANAGEMENT LLC,6116 HARRISON AVE,,CINCINNATI,OH,UNITED STATES,45247-7833,513-598-5120,513-598-2314,,,,,,,Approved,11/29/1990,3/3/2010,Y,WWW.HENGEHOLDCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"260,497,123.00","1,392,667.00","261,889,790.00","1,421",17,"1,438",N,Y,N,Y,N,Y,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,116061,801-62136,"ASPEN WEALTH MANAGEMENT, INC.","ASPEN WEALTH MANAGEMENT, INC.",7300 COLLEGE BLVD.,SUITE 306,OVERLAND PARK,KS,USA,66210,913-491-0500,913-491-0504,,,,,,,Approved,6/10/2003,3/3/2010,Y,WWW.ASPENWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"74,418,466.00","7,919,119.00","82,337,585.00",523,4,527,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,129734,801-62654,"NCM CAPITAL ADVISERS, INC.","NCM CAPITAL ADVISERS, INC.",2634 DURHAM-CHAPEL HILL BOULEVARD,SUITE 206,DURHAM,NC,UNITED STATES,27707-2875,919-688-0620,919-688-5333,,,,,,,Approved,1/14/2004,3/3/2010,Y,WWW.NCMCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"356,863,045.00",0,"356,863,045.00",30,0,30,N,N,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,149341,801-69921,"HHJ CAPITAL PARTNERS, LP","HHJ CAPITAL PARTNERS, LP",6750 WEST LOOP SOUTH,SUITE 510,BELLAIRE,TX,UNITED STATES,77401,713-665-4875,713-665-4874,,,,,,,120-Day Approval,2/24/2009,3/3/2010,Y,WWW.HHJPARTNERS.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,000,000.00",0,"5,000,000.00",8,0,8,N,N,N,N,N,N,N,N,N,Y,FIRM OFFERS INVESTMENT ADVISORY SERVICES TO POOLED INVESTMENT VEHICLES.,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,153122,801-71189,"MORGAN FINCH, LLC","MORGAN FINCH, LLC",,,,,,,800-779-0259,800-779-0259,,,,,,,Approved,3/8/2010,3/3/2010,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,149291,801-70032,"HIGHLANDER WEALTH SERVICES, LLC","HIGHLANDER WEALTH SERVICES, LLC",885 ARAPAHOE AVE,,BOULDER,CO,UNITED STATES,80302,303-449-6125,303-449-6126,,,,,,,Approved,4/14/2009,1/14/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"5,950,389.00","1,387,647.00","7,338,036.00",33,1,34,N,Y,N,N,N,Y,N,N,N,Y,"WEALTH MANAGEMENT SERVICES INCLUDING DUE DILIGENCE ON PRIVATE INVESTMENTS, RETIREMENT AND CASH FLOW PLANNING.",0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,104696,801-32795,CLASSIC PORTFOLIO MANAGEMENT INC,CLASSIC PORTFOLIO MANAGEMENT INC,,,,,,,650-322-9700,650-322-9703,,,,,,,Approved,9/30/1988,1/14/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"57,023,590.00",0,"57,023,590.00",45,0,45,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,127201,801-62133,L. PATRICK SAMSELL LLC,L.  PATRICK SAMSELL LLC,,,,,,,209-473-4725,209-473-4745,,,,,,,Approved,6/9/2003,1/14/2010,Y,WWW.PATSAMSELL.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,N,Y,N,N,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,N,Y,N,N,N,Y,FINANCIAL MANAGEMENT SUPPORT,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,116149,801-68988,"ASPEN FINANCIAL MANAGEMENT, INC.","ASPEN FINANCIAL MANAGEMENT, INC.",,,,,,,775-575-7070,206-338-2921,,,,,,,Approved,3/24/2008,1/14/2010,Y,WWW.ASPENFM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"30,000,000.00",0,"30,000,000.00",480,0,480,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,112521,801-65331,"NERY ASSET MANAGEMENT, LLC","NERY ASSET MANAGEMENT, LLC",,,,,,,(828)225-5908,,,,,,,,Approved,1/19/2006,1/14/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"61,641,198.00",0,"61,641,198.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE LIMITED PARTNERSHIP,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107379,801-38034,SENTRY MANAGEMENT INC,SENTRY MANAGEMENT INC,5 EUREKA CIRCLE,SUITE E,WICHITA FALLS,TX,UNITED STATES,76308-2900,940-696-2100,940-696-2810,,,,,,,Approved,12/3/1990,1/14/2010,Y,HTTP://WWW.SENTRYMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,11-25 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,Y,TRANSACTION BASED FEE ON BOND ISSUES,Y,"175,120,159.00","4,502,412,656.00","4,677,532,815.00",48,122,170,N,Y,N,Y,N,N,N,Y,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,5155,801-63525,"LEGEND MERCHANT GROUP, INC.","LEGEND MERCHANT GROUP, INC.","30 BROAD STREET, 38TH FLOOR",,NEW YORK,NY,UNITED STATES,10004,212-809-5568,212-809-5567,,,,,,,Approved,10/1/2004,1/14/2010,Y,WWW.LEGENDMERCHANT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,25-Nov,0,0 percent,11-25 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,Y,Y,N,,Y,"5,500,000.00","30,000,000.00","35,500,000.00",2,20,22,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N
NYRO,150333,801-70200,HNP CAPITAL LLC,HNP CAPITAL LLC,150 ALLENS CREEK ROAD,,ROCHESTER,NY,UNITED STATES,14618,585-461-6085,585-770-1779,,,,,,,Approved,5/28/2009,3/8/2010,Y,WWW.HNP-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"26,000,000.00","3,000,000.00","29,000,000.00",195,2,197,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,118377,801-69399,"ACC INVESTMENT MANAGEMENT, INC.","ACC INVESTMENT MANAGEMENT, INC.",301 CALIFORNIA DRIVE,SUITE #9,BURLINGAME,CA,UNITED STATES,94010,650-344-1600,650-745-7347,"1325 HOWARD AVENUE, PMB 433",,BURLINGAME,CA,USA,94010,Approved,7/8/2008,3/8/2010,Y,WWW.ACCIMI.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"30,378,098.00","943,095.00","31,321,193.00",190,3,193,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,135822,801-68586,"COPELAND CAPITAL MANAGEMENT, LLC","COPELAND CAPITAL MANAGEMENT, LLC",EIGHT TOWER BRIDGE,"161 WASHINGTON STREET, SUITE 1650",CONSHOHOCKEN,PA,UNITED STATES,19428,(484) 530-4300,(484) 530-3850,,,,,,,Approved,11/19/2007,3/8/2010,Y,WWW.COPELANDCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"112,092,102.00",0,"112,092,102.00",214,0,214,N,Y,N,Y,N,Y,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,124276,801-69355,"CORNERSTONE WEALTH ADVISORS, LLC","CORNERSTONE WEALTH ADVISORS, LLC",6420 WEST 95TH STREET,STE 202,OVERLAND PARK,KS,USA,66212,913-381-0280,913-381-7589,,,,,,,Approved,6/26/2008,3/8/2010,Y,WWW.CORNERSTONE-WEALTH-ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"32,569,112.00","3,264,018.00","35,833,130.00",235,4,239,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,150352,801-70272,DREADNOUGHT CAPITAL MANAGEMENT CORPORATION,DREADNOUGHT CAPITAL MANAGEMENT CORPORATION,62 SOUTHFIELD AVENUE,SUITE 202,STAMFORD,CT,UNITED STATES,6902,203-344-9406,203-344-9407,,,,,,,Approved,6/8/2009,3/8/2010,Y,WWW.DREADNOUGHTGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"20,413,139.00","14,674,549.00","35,087,688.00",3,1,4,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139666,801-66285,DEUTSCHE ASSET MANAGEMENT (HONG KONG) LIMITED,DEUTSCHE ASSET MANAGEMENT (HONG KONG) LIMITED,48/F CHEUNG KONG CENTRE,2 QUEEN'S ROAD CENTRAL,HONG KONG,,CHINA,,852-2203-8968,852-2203-7230,,,,,,,Approved,3/8/2006,3/8/2010,Y,WWW.DEAM-HONGKONG.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"5,045,949,800.00","6,137,421.00","5,052,087,221.00",38,1,39,N,N,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
MIRO,126163,801-63396,"EUROCAPITAL ADVISORS, INC.","EUROCAPITAL ADVISORS, INC.",848 BRICKELL AVENUE,SUITE 625,MIAMI,FL,UNITED STATES,33131,786-621-5858,786-513-0239,,,,,,,Approved,8/19/2004,3/8/2010,Y,WWW.EUROCAPITAL-ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ADVISER MAY RECEIVE REBATES FROM THIRD PARTIES,Y,"27,542,136.00","121,803,813.00","149,345,949.00",4,14,18,Y,Y,N,N,N,Y,N,N,N,Y,GLOBAL FINANCIAL ADVISORY; CONSOLIDATED ACCOUNT STATEMENT; CONSOLIDATED FINANCIAL ANALYSIS,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,122889,801-63347,"THE JOHNSTON GROUP, INC.","THE JOHNSTON GROUP, INC.",,,,,,,215-646-0484,215-653-0505,,,,,,,Approved,7/8/2004,3/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"48,370,000.00","48,370,000.00",0,46,46,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,138004,801-65892,JRM INVESTMENT COUNSEL.,"JRM INVESTMENT COUNSEL, L.L.C.",,,,,,,402-871-6000,402-492-8575,,,,,,,Approved,1/30/2006,3/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"145,944,834.00",0,"145,944,834.00",11,0,11,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,145529,801-68505,"CAMPBELL WEALTH MANAGEMENT, INC.","CAMPBELL WEALTH MANAGEMENT, INC.",14301 FNB PARKWAY,SUITE 305,OMAHA,NE,USA,68154,402-212-7804,,,,,,,,Approved,10/25/2007,3/8/2010,Y,WWW.CAMPBELLWMG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"30,606,415.00",0,"30,606,415.00",187,0,187,Y,Y,N,N,N,N,N,N,N,N,,51-100,,Y,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110417,801-13038,PENN DAVIS MCFARLAND INC,PENN DAVIS MCFARLAND INC,2626 COLE AVE STE 504,,DALLAS,TX,UNITED STATES,75204,214-871-2772,214-953-0718,,,,,,,Approved,5/12/1977,3/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"417,568,054.00",0,"417,568,054.00",196,0,196,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,116022,801-60797,"ARIA PARTNERS GP, LLC","ARIA PARTNERS GP, LLC",11150 SANTA MONICA BLVD.,SUITE 700,LOS ANGELES,CA,UNITED STATES,90025,310-445-6511,310-445-6522,,,,,,,Approved,12/20/2001,3/8/2010,Y,WWW.ARIAPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,0,0,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"60,000,000.00",0,"60,000,000.00",3,0,3,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,116670,801-61192,"HOULIHAN FINANCIAL RESOURCE GROUP, LTD.","HOULIHAN FINANCIAL RESOURCE GROUP, LTD.",11911 FREEDOM DR,SUITE 580,RESTON,VA,UNITED STATES,20190,703-796-0800,703-796-0990,11911 FREEDOM DR,SUITE 580,RESTON,VA,UNITED STATES,20190,Approved,5/22/2002,3/8/2010,Y,WWW.HOULIHANFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"120,000,000.00","3,000,000.00","123,000,000.00",410,15,425,Y,Y,N,N,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,148946,801-69788,"BOULDER CAPITAL, LLC","BOULDER CAPITAL, LLC","16 MARKET  SQUARE, 1400 16TH STREET",SUITE 400,DENVER,CO,UNITED STATES,80202,303-600-8890,303-600-8890,,,,,,,Approved,1/2/2009,3/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,Y,N,,Y,"86,650,000.00",0,"86,650,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,114074,801-66683,"MCCLAIN VALUE MANAGEMENT, LLC","MCCLAIN VALUE MANAGEMENT, LLC",175 ELM STREET,,NEW CANAAN,CT,UNITED STATES,6840,203-966-3197,203-966-3460,,,,,,,Approved,5/4/2006,3/8/2010,Y,WWW.MCCLAINVALUE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"138,233,000.00",0,"138,233,000.00",44,0,44,N,Y,N,Y,N,N,N,N,N,Y,EQUITY RESEARCH SERVICES TO SELECT INSTITUTIONAL INVESTORS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,125739,801-67898,"RESOLUTE FINANCIAL, LLC","RESOLUTE FINANCIAL, LLC",THE TANNERY MALL - MILL #1,50 WATER STREET,NEWBURYPORT,MA,USA,1950,978-463-8771,978-463-8774,,,,,,,Approved,5/4/2007,3/8/2010,Y,WWW.RESOLUTEFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,Y,0,"55,000,000.00","55,000,000.00",0,108,108,Y,Y,N,N,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,109924,801-61042,CAPITAL INVESTMENT MANAGEMENT,"CAPITAL INVESTMENT MANAGEMENT, INC.",8055 E. TUFTS AVENUE,SUITE 1350,DENVER,CO,USA,80237,303-221-1000,303-221-2478,,,,,,,Approved,4/3/2002,3/8/2010,Y,WWW.CIMCODENVER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"133,736,959.00","37,158,031.00","170,894,990.00","1,152",434,"1,586",Y,Y,N,N,N,Y,N,N,Y,N,,10-Jan,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
HQ,139267,801-67011,MILLENNIA INVESTMENT MANAGEMENT PTE LTD,MILLENNIA INVESTMENT MANAGEMENT PTE LTD,50 RAFFLES PLACE,#38-05A SINGAPORE LAND TOWER,SINGAPORE,,SINGAPORE,48623,65-6327 8998,65-6327- 8298,,,,,,,Approved,7/14/2006,9/26/2007,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SINGAPORE,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"280,230,790.00",0,"280,230,790.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111162,801-47929,OKABENA INVESTMENT SERVICES INC,OKABENA INVESTMENT SERVICES INC,1800 IDS CENTER,80 S EIGHTH STREET,MINNEAPOLIS,MN,UNITED STATES,55402,612-339-7151,612-217-6246,,,,,,,Approved,11/29/1994,3/8/2010,Y,WWW.OKABENA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,123,218,398.00",0,"1,123,218,398.00",240,0,240,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,150096,801-70219,"RICE INVESTMENT ADVISORY SERVICES, INC","RICE INVESTMENT ADVISORY SERVICES, INC",12466 LOS INDIOS TRAIL,SUITE 200,AUSTIN,TX,UNITED STATES,78729,512-258-4040,512-258-4958,,,,,,,Approved,6/3/2009,3/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,SOLICITOR/REFERRAL FEES,Y,"38,715,093.00",0,"38,715,093.00",50,0,50,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,113204,801-60396,"HERITAGE INVESTMENT GROUP, INC.","HERITAGE INVESTMENT GROUP, INC.",2480 N.E. 23RD STREET,,POMPANO BEACH,FL,USA,33062,954-785-5400,954-933-0966,,,,,,,Approved,7/16/2001,3/8/2010,Y,HERITAGEINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,More than 500,545,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"539,702,790.00",0,"539,702,790.00","1,032",0,"1,032",N,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT CONSULTATIONS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,116383,801-68412,SAMUEL D SKAGGS INVESTMENTS,SAMUEL DWIGHT SKAGGS,119 SEWARD STREET,SUITE 7,JUNEAU,AK,UNITED STATES,99801,907-463-5511,907-463-4889,,,,,,,Approved,10/11/2007,3/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,AK,UNITED STATES,5-Jan,0,0,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"47,500,000.00",0,"47,500,000.00",134,0,134,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144696,801-69947,"CAPSTONE WEALTH MANAGEMENT, LLC","CAPSTONE WEALTH MANAGEMENT, LLC","20 BROAD STREET, 14TH FLOOR",,NEW YORK,NY,UNITED STATES,10005,646-214-8700,646-472-1926,,,,,,,Approved,2/12/2009,3/8/2010,Y,CAPWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"99,963,764.00",0,"99,963,764.00",84,0,84,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,137260,801-67635,EVEREST FINANCIAL GROUP,EVEREST FINANCIAL GROUP LLC,701 XENIA AVE S,SUITE 250,MINNEAPOLIS,MN,UNITED STATES,55416,763-923-7525,763-923-7535,,,,,,,Approved,3/30/2007,3/8/2010,Y,WWW.EVERESTFG.US,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,More than 500,600,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"71,212,935.00","2,258,072.00","73,471,007.00",887,45,932,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139346,801-66603,FOREIGN TRADE BANK JAMAICA LIMITED,FOREIGN TRADE BANK JAMAICA LIMITED,18 BARNETT STREET,,MONTEGO BAY,,JAMAICA,,876-874-5211,,110 PINE AVENUE,SUITE 1070,LONG BEACH,CA,U.S.A.,90802-4418,Approved,10/13/2006,2/5/2007,Y,WWW.FOREIGNTRADEBANK.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,JAMAICA,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,N,0,0,0,0,0,0,N,Y,N,Y,N,N,Y,N,N,N,,0,,N,N,N,N,Y,N,N,Y,N,,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138038,801-65721,PARDUS CAPITAL MANAGEMENT L.P.,PARDUS CAPITAL MANAGEMENT L.P.,590 MADISON AVENUE,"25TH FLOOR, SUITE 25E",NEW YORK,NY,UNITED STATES,10022,212.381.7770,212.381.7771,,,,,,,Approved,1/23/2006,3/8/2010,Y,WWW.PARDUSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"979,125,326.00",0,"979,125,326.00",6,0,6,N,N,N,N,N,N,N,N,N,Y,FIRM OFFERS INVESTMENT ADVISORY SERVICES TO POOLED INVESTMENT VEHICLES.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,128718,801-62421,BEECHTREE CAPITAL INC.,BEECHTREE CAPITAL INC.,,,,,,,631-287-3223,631-287-2307,P.O. BOX 1248,,SOUTHAMPTON,NY,UNITED STATES,11969-1248,Approved,10/6/2003,3/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"57,000,000.00",0,"57,000,000.00",139,0,139,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137834,801-71398,SANDELL ASSET MANAGEMENT CORP.,SANDELL ASSET MANAGEMENT CORP.,40 WEST 57TH STREET,26TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-603-5700,212-603-5710,,,,,,,Approved,5/12/2010,4/23/2010,Y,WWW.SANDELLMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,CAYMAN ISLANDS,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,084,213,702.00",0,"1,084,213,702.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR UNREGISTERED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138513,801-65203,CENTAUR FINANCIAL GROUP (BERMUDA) LTD.,CENTAUR FINANCIAL GROUP (BERMUDA) LTD.,73 FRONT STREET,PENTHOUSE,HAMILTON,,BERMUDA,HM 12,441-292-9718,441-292-9576,,,,,,,Approved,1/18/2006,4/23/2010,Y,WWW.CENTAURFUNDS.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,BERMUDA,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"93,082,333.00",0,"93,082,333.00",2,0,2,N,N,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,148961,801-69767,CENTAUR PERFORMANCE GROUP (BERMUDA) LTD.,CENTAUR PERFORMANCE GROUP (BERMUDA) LTD.,73 FRONT STREET,PENTHOUSE,HAMILTON,,BERMUDA,HM12,441 292 9718,441 292 9576,,,,,,,Approved,11/24/2008,4/23/2010,Y,WWW.CENTAURFUNDS.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,BERMUDA,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"55,290,086.00",0,"55,290,086.00",2,0,2,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138498,801-65202,CARRIGAHOLT HOLDINGS LTD,CARRIGAHOLT HOLDINGS LTD,73 FRONT STREET,PENTHOUSE,HAMILTON,,BERMUDA,HM 12,441-292-9718,441-292-9576,,,,,,,Approved,1/18/2006,4/23/2010,Y,WWW.CENTAURFUNDS.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,BERMUDA,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"93,082,333.00",0,"93,082,333.00",2,0,2,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,136654,801-64726,"L & B REALTY ADVISORS, LLP","L & B REALTY ADVISORS, LLP","8750 NORTH CENTRAL EXPRESSWAY, SUITE 800",,DALLAS,TX,UNITED STATES,75231,214-989-0800,214-989-0600,,,,,,,Approved,8/31/2005,4/23/2010,Y,WWW.LBREALTY.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Partnership,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,Y,MAY ASSESS FEES ON THE ACQUISITION/DISPOSITION OF REAL ESTATE.,N,0,0,0,0,0,0,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,149455,801-69935,"TAHOMA INVESTMENT ADVISORS, LLC","TAHOMA INVESTMENT ADVISORS, LLC",1724 WEST UNION AVENUE,SUITE 200,TACOMA,WA,UNITED STATES,98405,253-274-1702,253-383-1033,,,,,,,Approved,2/23/2009,4/23/2010,Y,WWW.TAHOMAINVEST.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,10-Jun,0,25-Nov,0,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,950,000.00",0,"5,950,000.00",13,0,13,N,Y,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,113309,801-70003,"LBA WEALTH MANAGEMENT, LLC","LBA WEALTH MANAGEMENT, LLC",501 RIVERSIDE AVENUE,SUITE 800,JACKSONVILLE,FL,UNITED STATES,32202,904.396.4015,904.399.4012,,,,,,,Approved,4/6/2009,4/23/2010,Y,WWW.LBAWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,REFERRAL FEES,Y,"183,481,446.00","24,187,561.00","207,669,007.00",455,15,470,Y,Y,N,Y,N,N,N,N,N,Y,CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,129053,801-62559,"DAFNA CAPITAL MANAGEMENT, LLC","DAFNA CAPITAL MANAGEMENT, LLC",10990 WILSHIRE BOULEVARD,SUITE 1400,LOS ANGELES,CA,UNITED STATES,90024,310-954-3200,310-445-6594,,,,,,,Approved,12/19/2003,4/23/2010,Y,WWW.DAFNACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"83,793,648.00",0,"83,793,648.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107031,801-38935,PAUL CAPITAL,PAUL PARTNERS LP,"50 CALIFORNIA STREET, SUITE 3000",,SAN FRANCISCO,CA,UNITED STATES,94111,415 283 4300,415 283 4301,,,,,,,Approved,5/30/1991,4/23/2010,Y,WWW.PAULCAP.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,Y,CARRIED INTEREST,Y,"991,307.00",0,"991,307.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107087,801-50128,PAUL CAPITAL,PAUL CAPITAL MANAGEMENT LLC,"50 CALIFORNIA STREET, SUITE 3000",,SAN FRANCISCO,CA,UNITED STATES,94111,415-283-4300,415-283-4301,,,,,,,Approved,9/14/1995,4/23/2010,Y,WWW.PAULCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"194,628,095.00",0,"194,628,095.00",6,0,6,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,121168,801-61603,PAUL CAPITAL,"3000 MANAGEMENT, INC.","50 CALIFORNIA STREET, SUITE 3000",,SAN FRANCISCO,CA,UNITED STATES,94111,415-283-4300,415-283-4301,,,,,,,Approved,11/15/2002,4/23/2010,Y,WWW.PAULCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,REIMBURSEMENT OF COSTS,Y,"4,163,174,411.00",0,"4,163,174,411.00",17,0,17,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152917,801-71145,PAN RELIANCE LLC,PAN RELIANCE LLC,,,,,,,917-945-0983,646-390-4925,,,,,,,Approved,2/26/2010,4/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"68,000,000.00","31,600,000.00","99,600,000.00",1,1,2,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135768,801-66924,REYNOLDS CONSULTING SERVICES LLC,REYNOLDS CONSULTING SERVICES LLC,410 JERICHO TURNPIKE,SUITE 304,JERICHO,NY,USA,11753,212-742-1616,212-785-9377,,,,,,,Approved,6/30/2006,4/23/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106077,801-16814,H L INVESTMENT ADVISORS LLC,H L INVESTMENT ADVISORS LLC,200 HOPMEADOW STREET,,SIMSBURY,CT,UNITED STATES,6089,860-843-4632,866-816-4048,,,,,,,Approved,2/9/1982,4/23/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,51-75 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"45,148,996,800.00",0,"45,148,996,800.00",42,0,42,N,N,Y,Y,N,N,N,N,N,Y,ADVISORY SERVICES - SELECTING SUBADVISORS TO PRIVATELY OFFERED FUNDS OF HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,Y,N,N,N,Y,N,N,Y,Y
MIRO,111761,801-60595,WESTON CAPITAL ASSET MANAGEMENT LLC,WESTON CAPITAL ASSET MANAGEMENT LLC,ONE NORTH CLEMATIS STREET,SUITE 510,WEST PALM BEACH,FL,UNITED STATES,33401,561-868-6750,561-515-3620,,,,,,,Approved,9/21/2001,4/23/2010,Y,WWW.WESTONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"421,848,528.00",0,"421,848,528.00",17,0,17,N,N,N,Y,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT SERVICES & ADVISOR SELECTION FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153377,801-71301,"DYNASTY FINANCIAL PARTNERS, LLC","DYNASTY FINANCIAL PARTNERS, LLC",445 PARK AVENUE; FLOOR 9,,NEW YORK,NY,UNITED STATES,10022,646-522-6323,609-895-7395,,,,,,,120-Day Approval,4/7/2010,4/23/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,134353,801-68923,"TABERNA CAPITAL MANAGEMENT, LLC","TABERNA CAPITAL MANAGEMENT, LLC","2929 ARCH STREET, 17TH FLOOR",CIRA CENTRE,PHILADELPHIA,PA,USA,19104,215-243-9000,215-243-9039,,,,,,,Approved,4/8/2008,4/23/2010,Y,WWW.RAITFT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,COLLATERALIZED DEBT OBLIGATIONS,Y,N,N,N,N,N,Y,STRUCTURING FEE AND SUPPLEMENTAL TRAILING FEE,Y,"3,526,273,000.00",0,"3,526,273,000.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,MANAGE COLLATERALIZE DEBT OBLIGATIONS (CDO),0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,19396,801-41081,WILMINGTON TRUST INVESTMENT MANAGEMENT,WILMINGTON TRUST INVESTMENT MANAGEMENT LLC,TERMINUS 27TH FLOOR,3280 PEACHTREE ROAD NE,ATLANTA,GA,UNITED STATES,30305-2448,404-760-2100,404-760-2101,,,,,,,Approved,3/24/1992,4/23/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,26-100,0,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"2,685,771,536.00","1,468,966,055.00","4,154,737,591.00",21,5,26,N,Y,Y,Y,Y,Y,Y,N,N,Y,"ASSET ALLOCATION, PORTFOLIO MANAGEMENT, ECONOMIC ANALYSIS AND CAPITAL MARKETS FORECASTING, LEASE ADVISORY STAFF TO AFFILIATES",0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,152401,801-71255,ABERNATHY GROUP II LLC,ABERNATHY GROUP II LLC,17 STATE STREET,SUITE 1650,NEW YORK,NY,UNITED STATES,10004,212-293-3499,212-785-0495,,,,,,,Approved,4/13/2010,4/23/2010,Y,WWW.ABERNATHYFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,Y,N,,Y,"27,000,000.00",0,"27,000,000.00",2,0,2,Y,Y,N,N,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,130953,801-63462,"NEW ENGLAND MANAGEMENT CONSULTING SERVICES, INC.","NEW ENGLAND MANAGEMENT CONSULTING SERVICES, INC.",2350 POST ROAD #102,,WARWICK,RI,USA,2886,401-738-0100,401-738-1105,,,,,,,Approved,8/27/2004,1/19/2006,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,RI,UNITED STATES,5-Jan,0,0,0,0,0,0,0,0,0,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,"INDIVIDUAL 401K, ESTATE ( SOLE)",Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126349,801-68896,ENGLESON & ASSOCIATES,"ENGLESON & ASSOCIATES, INC.","2000 S. WINTON RD., BLDG #3",SUITE 100,ROCHESTER,NY,UNITED STATES,14618,585-424-6150,585-424-6597,,,,,,,Approved,3/20/2008,3/12/2010,Y,WWW.PREMIER401K.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,Y,Y,Y,N,N,,Y,"35,827,397.00",0,"35,827,397.00",345,0,345,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,109216,801-57675,"GREENLEAF FINANCIAL, INC.","GREENLEAF FINANCIAL, INC.",REGIONS TOWER BLDG.,"835 CENTRAL AVENUE, STE 428",HOT SPRINGS,AR,USA,71901,501-609-0172,501-609-9083,,,,,,,Approved,8/22/2000,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AR,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"32,101,762.00",0,"32,101,762.00",132,0,132,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,140876,801-66844,"MCMILLEN & COMPANY, INC.","MCMILLEN & COMPANY, INC.",350 NORTH 9TH STREET,SUITE 406,BOISE,ID,UNITED STATES,83702,208-343-1274,208-343-6930,,,,,,,Approved,6/22/2006,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,ID,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"73,168,300.00","226,800.00","73,395,100.00",47,1,48,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106978,801-33232,CASHEN INVESTMENT ADVISORS INC,CASHEN INVESTMENT ADVISORS INC,13760 NOEL ROAD,"SUITE 110, BOX 40",DALLAS,TX,USA,75240,972-715-1860,214-351-7988,,,,,,,Approved,10/26/1988,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"377,722,238.00","33,768,369.00","411,490,607.00",116,13,129,N,Y,N,Y,Y,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151914,801-70762,"SWISS SELECT ADVISORS, LLC","SWISS SELECT ADVISORS, LLC",419 LAFAYETTE STREET,6TH FLOOR,NEW YORK,NY,UNITED STATES,10003,212-796-6577,208-439-4996,,,,,,,Approved,11/17/2009,3/12/2010,Y,WWW.SWISS-SELECT-ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"25,740,785.00",0,"25,740,785.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,121922,801-63481,"PRUDENT INVESTOR ADVISORS, LLC","PRUDENT INVESTOR ADVISORS, LLC","791 8TH STREET, SUITE S",,ARCATA,CA,UNITED STATES,95521,707-744-4080,707-822-5657,,,,,,,Approved,9/15/2004,3/12/2010,Y,WWW.PRUDENTLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"31,891,947.00","308,592,788.00","340,484,735.00",70,12,82,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107041,801-24859,A. J. PERRY & CO.,"A. J. PERRY & COMPANY, INC.",1039 ST. PAUL STREET,,BALTIMORE,MD,USA,21202-2605,410-539-1144,410-625-2893,,,,,,,Approved,8/1/1985,3/12/2010,Y,WWW.AJPERRY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"57,292,630.00","2,621,484.00","59,914,114.00",266,4,270,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,131323,801-64605,WIND RIVER,"WIND RIVER CAPITAL MANAGEMENT, INC",5 SCHOOL STREET,SUITE 3,ELLSWORTH,ME,UNITED STATES,4605,207-667-4928,207-667-7030,,,,,,,Approved,8/12/2005,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,ME,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"40,092,799.00","5,425,304.00","45,518,103.00",223,8,231,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,111132,801-56394,"LITCHFIELD, NELSON & COMPANY","LITCHFIELD & NELSON, INC",3033 RIVIERA DRIVE,SUITE 106,NAPLES,FL,UNITED STATES,34103,239-261-4800,239-261-2085,,,,,,,Approved,4/5/1999,3/12/2010,Y,WWW.LITCHFIELDNELSON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"92,447,400.00",0,"92,447,400.00",172,0,172,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,112268,801-60295,FAISON CAPITAL LLC,FAISON CAPITAL LLC,,,,,,,704-332-5152,,,,,,,,Approved,5/23/2001,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SELECTION OF OTHER ADVISORS,Y,"13,860,000.00","32,850,000.00","46,710,000.00",40,42,82,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,151260,801-70587,MORI HUSTON PARTNERS,MORI HUSTON PARTNERS LLC,,,,,,,305-856-9304,305-856-9306,,,,,,,Approved,9/22/2009,3/12/2010,Y,WWW.MORIHUSTON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"36,000,000.00","36,000,000.00",0,12,12,N,Y,N,N,N,Y,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111824,801-51979,BOUCHEY FINANCIAL GROUP LTD,BOUCHEY FINANCIAL GROUP LTD,1819 FIFTH AVENUE,,TROY,NY,UNITED STATES,12180-3302,518-720-3333,518-874-5001,,,,,,,Approved,5/24/1996,3/12/2010,Y,WWW.BOUCHEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"112,000,000.00","26,000,000.00","138,000,000.00",250,140,390,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,113592,801-60959,CAIN CAPITAL L.L.C.,CAIN CAPITAL L.L.C.,3953 MAPLE AVENUE,SUITE 290,DALLAS,TX,UNITED STATES,75219,214-720-9561,214-720-2006,,,,,,,Approved,2/25/2002,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,11-25 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"51,206,319.00",0,"51,206,319.00",18,0,18,N,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,145450,801-68464,"FILOMENO WEALTH MANAGEMENT, LLC","FILOMENO WEALTH MANAGEMENT, LLC",80 SOUTH MAIN STREET,,WEST HARTFORD,CT,UNITED STATES,6107,860-561-0020,860-561-4347,,,,,,,Approved,11/19/2007,3/12/2010,Y,WWW.FILOMENOWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"2,645,574.00","98,029,938.00","100,675,512.00",1,127,128,Y,Y,N,N,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,139457,801-66214,"GREAT NORTHERN ASSET MANAGEMENT, LLC","GREAT NORTHERN ASSET MANAGEMENT, LLC",1111 MAIN STREET,SUITE 650,VANCOUVER,WA,UNITED STATES,98660,360-567-3300,360-567-3306,,,,,,,Approved,3/6/2006,3/12/2010,Y,WWW.GNAM.US (UNDER CONSTRUCTION),N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"130,579,384.00","2,239,902.00","132,819,286.00",142,2,144,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111353,801-44462,CONSERVEST CAPITAL ADVISORS INC,CONSERVEST CAPITAL ADVISORS INC,257 E. LANCASTER AVENUE,SUITE 205,WYNNEWOOD,PA,UNITED STATES,19096,610-642-9588,610-642-9599,,,,,,,Approved,7/30/1993,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"715,000,000.00",0,"715,000,000.00",176,0,176,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,139830,801-66582,"LEGACY ADVISORS, LLC","LEGACY ADVISORS, LLC",401 PLYMOUTH ROAD,SUITE 150,PLYMOUTH MEETING,PA,USA,19462,610-943-3000,610-943-3010,,,,,,,Approved,4/11/2006,3/12/2010,Y,WWW.LEGACYADVICE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"235,566,013.00",0,"235,566,013.00",213,0,213,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,120565,801-65099,PEMIGEWASSET CAPITAL LLC,PEMIGEWASSET CAPITAL LLC,107 JOHN STREET,3RD FLOOR,SOUTHPORT,CT,USA,6890,203-254-2817,203-286-2613,P.O. BOX 956,,SOUTHPORT,CT,USA,6890,Approved,1/26/2006,3/12/2010,Y,WWW.PEMIPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"37,265,643.00",0,"37,265,643.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,127927,801-62268,"HOPWOOD FINANCIAL SERVICES, INC.","HOPWOOD FINANCIAL SERVICES, INC.",10135 COLVIN RUN ROAD,SUITE 210,GREAT FALLS,VA,UNITED STATES,22066,703-787-0008,703-759-0974,,,,,,,Approved,8/12/2003,3/12/2010,Y,WWW.HOPWOODFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"143,030,366.00","5,944,388.00","148,974,754.00",338,2,340,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,130717,801-63082,"NFI ADVISORS, INC","NFI ADVISORS, INC",39475 W. 13 MILE RD.,SUITE 102,NOVI,MI,USA,48377-2359,800-972-0371,248-553-8822,,,,,,,Approved,5/21/2004,3/12/2010,Y,WWW.NFIADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,REFERRAL FEE FOR REFERRAL OF THIRD-PARTY INVESTMENT ADVISORS.,Y,"16,277,907.00","18,196,917.00","34,474,824.00",244,61,305,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,140276,801-66633,"COTTONWOOD ADVISORS, LLC","COTTONWOOD ADVISORS, LLC","6900 COLLEGE BOULEVARD, SUITE 300",,OVERLAND PARK,KS,USA,66211,913-345-0500,913-345-0172,,,,,,,Approved,7/17/2006,3/12/2010,Y,WWW.COTTONWOODKC.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,Y,"FIDUCIARY COMPLIANCE, DEFINED CONTRIBUTION PLAN CONSULTING SERVICES",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,145501,801-68478,"TOMMY N SAUSLEY, RIA","SAUSLEY, TOMMY, NED",,,,,,,281-772-8412,281-334-1153,P.O. BOX 2565,,LEAGUE CITY,TX,UNITED STATES,77574,Approved,11/6/2007,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"13,121,049.00","13,000,000.00","26,121,049.00",40,12,52,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,Y,CFP,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107313,801-45153,"NISA INVESTMENT ADVISORS, L.L.C.","NISA INVESTMENT ADVISORS, L.L.C.","150 NORTH MERAMEC AVENUE, SUITE 640",,ST. LOUIS,MO,UNITED STATES,63105-3753,314-721-1900,314-721-3041,,,,,,,Approved,11/17/1993,3/19/2010,Y,WWW.NISANET.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,51-250,0,51-250,0,0,0,0,0,101-250,0,0 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,"NDTS, INSURANCE COMPANIES, VEBAS",Y,N,N,Y,N,Y,Y,OTHER APPROPRIATE MEASURE OF PROGRAM SIZE,Y,"48,430,469,734.00","5,486,428,823.00","53,916,898,557.00",264,5,269,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107784,801-56071,NORTHSIDE CAPITAL MANAGEMENT LLC,NORTHSIDE CAPITAL MANAGEMENT LLC,"116 3RD STREET, SUITE 313",,HOOD RIVER,OR,USA,97031,541-387-2080,503-296-2110,,,,,,,Approved,12/7/1998,3/19/2010,Y,WWW.NORTHSIDECAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,010,863,461.00",0,"2,010,863,461.00",19,0,19,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,Y,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,1844,801-7885,FIRST INVESTORS MANAGEMENT CO INC,"FIRST INVESTORS MANAGEMENT COMPANY, INC.",110 WALL STREET,4TH  FLOOR,NEW YORK,NY,UNITED STATES,10005-3830,212-858-8000,212-858-8119,,,,,,,Approved,10/29/1971,3/19/2010,Y,WWW.FIRSTINVESTORS.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,"CERTAIN INTERNAL ACCOUNTS THAT ARE MANAGED WITHOUT A FEE.  SEE SCHED. D, MISC.",Y,N,N,N,N,N,N,,Y,"7,041,840,408.00",0,"7,041,840,408.00",43,0,43,N,N,Y,N,N,Y,N,N,N,Y,"MANAGEMENT OF CERTAIN INTERNAL ACCOUNTS WITHOUT A FEE. SEE SCHED. D, MISC.",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,Y,N,N,Y,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110781,801-16134,"J.H. ELLWOOD & ASSOCIATES, INC.","J.H. ELLWOOD & ASSOCIATES, INC.",33 W MONROE,SUITE 1850,CHICAGO,IL,UNITED STATES,60603,312-782-5432,312-782-7494,,,,,,,Approved,6/22/1981,3/19/2010,Y,WWW.ELLWOODASSOCIATES.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,0 percent,11-25 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,VARIOUS,N,N,N,Y,N,N,Y,% OF THE CLIENT'S ASSETS,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,Y,"CONSULT SVCS FOR INSTITUTIONAL POOLS (OPERATING ASSETS, ENDOWMENTS, FOUNDATIONS, HIGH NET WORTH INDIVIDUALS, INSURANCE RESERVES)",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,142932,801-67577,"QUANTELLIGENT SOLUTIONS,LLC","QUANTELLIGENT SOLUTIONS,LLC",203 MAIN STREET,#331,FLEMINGTON,NJ,UNITED STATES,8822,908-237-0523,908-237-0528,,,,,,,Approved,2/27/2007,3/19/2010,Y,WWW.QUANTELLIGENT.NET,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,135592,801-64304,"CHICKEN LITTLE FUND GROUP, INC.","CHICKEN LITTLE FUND GROUP, INC.",500 NORTH BROADWAY,SUITE 1450,ST. LOUIS,MO,USA,63102,(314) 241-3590,(314) 241-9527,,,,,,,Approved,5/26/2005,9/26/2006,Y,WWW.CHICKENLITTLEGROWTHFUND.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"500,000.00",0,"500,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
CHRO,104754,801-9529,SIGMA INVESTMENT COUNSELORS,"SIGMA INVESTMENT COUNSELORS, INC.",26261 EVERGREEN STE 455,,SOUTHFIELD,MI,USA,48076,248-223-0122,248-223-0144,,,,,,,Approved,10/10/1973,3/19/2010,Y,WWW.SIGMAINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"432,619,792.00",0,"432,619,792.00","1,197",0,"1,197",Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108983,801-57809,"HURLEY FINANCIAL GROUP, INC.","HURLEY FINANCIAL GROUP, INC.",111 SW 4TH STREET,,CORVALLIS,OR,USA,97333,541-757-2331,541-757-2358,,,,,,,Approved,7/28/2000,3/19/2010,Y,WWW.HURLEYFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"68,235,186.00","14,770,619.00","83,005,805.00","1,154",80,"1,234",Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,136725,801-64672,MGM LLC,MGM LLC,4600 JEFFERSON LANE NE,SUITE C,ALBUQUERQUE,NM,UNITED STATES,87109,505-346-3434,505-346-3435,,,,,,,Approved,8/30/2005,3/19/2010,Y,WWW.MGMLTDCOMPANY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NM,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,585,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"73,189,218.00","8,431.00","73,197,649.00",587,2,589,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,124477,801-61814,"HARVEST MANAGEMENT, L.L.C.","HARVEST MANAGEMENT, L.L.C.",527 MADISON AVENUE,9TH FLOOR,NEW YORK,NY,USA,10022,212-634-3600,212-634-3636,,,,,,,Approved,2/25/2003,3/19/2010,Y,HARVESTMANAGEMENTLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"105,305,086.00",0,"105,305,086.00",3,0,3,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR DOMESTIC POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105031,801-20623,FIRST FINANCIAL ADVISORY SERVICES INC,FIRST FINANCIAL ADVISORY SERVICES INC,85 BEACH STREET,BUILDING C,WESTERLY,RI,UNITED STATES,2891,401-596-0193,401-596-0195,,,,,,,Approved,1/24/1984,3/19/2010,Y,WWW.FIRSTFINANCIALADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"60,776,945.00","60,776,945.00",0,323,323,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106449,801-20236,KR CAPITAL ADVISORS INC,KR CAPITAL ADVISORS INC,445 PARK AVE,,NEW YORK,NY,UNITED STATES,10022,212-888-6300,212-751-4542,,,,,,,Approved,11/16/1983,3/19/2010,Y,WWW.KRCAPITALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,11-25 percent,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,SUB-ADVISORY FOR A BANK'S HNW SEPARATE A/CS,Y,N,N,N,N,Y,N,,Y,"1,008,574,957.00",0,"1,008,574,957.00",25,0,25,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,112365,801-27652,SULLIVAN CAPITAL MANAGEMENT,SULLIVAN JOHN LAWRENCE,,,,,,,775-831-9012,775-832-2262,PO BOX 6379,,INCLINE VILLAGE,NV,UNITED STATES,89450-6379,Approved,8/11/1986,3/19/2010,Y,SULLIVANCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"29,676,637.00",0,"29,676,637.00",85,0,85,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111214,801-62513,SCOBY ZOOK & ASSOCIATES,SCOBY ALAN ZOOK,11431 STATE ROUTE 1 SUITE 4,,POINT REYES STATION,CA,USA,94956,415-663-8505,415-663-8662,PO BOX 580,,POINT REYES STATION,CA,USA,94956-0580,Approved,11/24/2003,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"37,036,661.00",0,"37,036,661.00",137,0,137,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,147448,801-69293,GPS INVESTMENT GROUP LLC,GPS INVESTMENT GROUP LLC,150 STRAFFORD AVENUE,SUITE 225,WAYNE,PA,UNITED STATES,19087,888-422-2477,888-422-2477,,,,,,,Approved,6/20/2008,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"39,995,000.00",0,"39,995,000.00",67,0,67,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,TITLE INSURANCE REFERRALS AND PRIVATE PLACEMENTS,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106269,801-43993,EVANSTON ADVISORS,EVANSTON INVESTMENTS INC,1827 WALDEN OFFICE SQUARE,SUITE 104,SCHAUMBURG,IL,UNITED STATES,60173,847-397-3000,847-397-6953,,,,,,,Approved,5/21/1993,3/19/2010,Y,WWW.EFSHOME.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"306,653,288.00","8,258,698.00","314,911,986.00",112,1,113,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110889,801-58008,"MONTAUK ADVISORS, LLC","MONTAUK ADVISORS, LLC","4514 COLE AVE., SUITE 600",,DALLAS,TX,USA,75205,214-559-7129,214-453-3425,,,,,,,Approved,10/13/2000,3/19/2010,Y,WWW.MONTAUKTRIGUARD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"28,500,000.00",0,"28,500,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,POOLED INVESTMENT VEHICLE,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107497,801-43158,WHIPPOORWILL ASSOCIATES INC,WHIPPOORWILL ASSOCIATES INC,11 MARTINE AVE,,WHITE PLAINS,NY,UNITED STATES,10606,914-683-1002,914-683-1242,,,,,,,Approved,1/26/1993,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,26-50 percent,11-25 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"963,665,556.00",0,"963,665,556.00",7,0,7,N,N,N,Y,N,N,N,N,N,Y,PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,108485,801-55503,WATERSHED INVESTMENT CONSULTANTS INC,WATERSHED INVESTMENT CONSULTANTS INC,6400 S. FIDDLER'S GREEN CIRCLE,SUITE 2050,GREENWOOD VILLAGE,CO,USA,80111-4981,303-738-0300,303-738-0700,,,,,,,Approved,4/30/1998,3/19/2010,Y,WWW.WATERSHEDINVEST.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,116556,801-66478,"CHRISTENSEN, KING & ASSOCIATES INVESTMENT SERVICES, INC.","CHRISTENSEN, KING & ASSOCIATES INVESTMENT SERVICES, INC.",1334 JADWIN AVENUE,,RICHLAND,WA,USA,99354,509-943-1040,509-943-2135,,,,,,,Approved,4/12/2006,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,More than 500,500,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"54,426,547.00","1,319,978.00","55,746,525.00",675,8,683,Y,Y,N,Y,Y,N,N,N,N,N,,More than 500,500,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110528,801-29406,OMC FINANCIAL SERVICES LTD,OMC FINANCIAL SERVICES LTD,5789 WIDEWATERS PARKWAY,,DEWITT,NY,USA,13214,315-446-8720,315-446-5936,,,,,,,Approved,4/23/1987,3/19/2010,Y,WWW.OMCFINANCE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"61,731,871.00","189,852.00","61,921,723.00",454,5,459,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
FWRO,109917,801-48506,BYRD CAPITAL MARKET ADVISERS INC,BYRD CAPITAL MARKET ADVISERS INC,2301 E. LAMAR BLVD.,SUITE 220,ARLINGTON,TX,UNITED STATES,76006,817-649-0197,817-649-0195,,,,,,,Approved,2/17/1995,3/19/2010,Y,WWW.BYRDCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"33,500,000.00",0,"33,500,000.00",48,0,48,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
MIRO,119275,801-61071,"RIVERPLACE ANALYTICS, LLC","RIVERPLACE ANALYTICS, LLC",1301 RIVERPLACE BLVD SUITE 2130,,JACKSONVILLE,FL,USA,32207,904-346-3460,904-346-3434,,,,,,,Approved,4/16/2002,3/19/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"397,529.00",0,"397,529.00",1,0,1,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,145995,801-69964,PARETO NEW YORK LLC,PARETO NEW YORK LLC,"200 PARK AVENUE, 54TH FLOOR",,NEW YORK,NY,UNITED STATES,10166-0005,212-527-1800,212-527-1818,,,,,,,Approved,3/10/2009,3/19/2010,Y,WWW.BNYMELLONAM.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,INVESTMENT ADVISOR,N,N,N,Y,N,N,N,,Y,"180,510,289.00",0,"180,510,289.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,122038,801-64678,"DANIEL TEPLITZ & ASSOCIATES FINANCIAL ADVISORS, LLC","DANIEL TEPLITZ & ASSOCIATES FINANCIAL ADVISORS, LLC",3 JOCAMA BOULEVARD,SUITE 200A,OLD BRIDGE,NJ,UNITED STATES,8857,732-591-0909,732-862-1114,,,,,,,Approved,9/2/2005,3/19/2010,Y,WWW.DANIELTEPLITZ.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"45,833,619.00","1,633,236.00","47,466,855.00",160,4,164,Y,Y,N,Y,N,Y,N,N,N,Y,DIVORCE PLANNING AND CONSULTING,51-100,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,130173,801-67225,LIGHTHOUSE ASSET MANAGEMENT,LIGHTHOUSE ASSET MANAGEMENT LLC,85 EASTERN AVENUE,,GLOUCESTER,MA,UNITED STATES,1930,978-282-8280,978-282-8287,,,,,,,Approved,10/23/2006,3/19/2010,Y,WWW.LIGHTHOUSEASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"35,000,000.00",0,"35,000,000.00",112,0,112,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,46214,801-56786,"NEXT FINANCIAL GROUP, INC.","NEXT FINANCIAL GROUP, INC.",2500 WILCREST,SUITE 620,HOUSTON,TX,USA,77042,713-789-7122,713-980-1687,,,,,,,Approved,8/20/1999,3/19/2010,Y,WWW.NEXTFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,501-1000,0,501-1000,0,501-1000,0,5-Jan,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,Y,EDUCATIONAL WORKSHOPS,Y,"1,280,784,011.00","67,409,685.00","1,348,193,696.00","11,799",621,"12,420",Y,Y,N,Y,Y,Y,Y,N,N,Y,EDUCATIONAL WORKSHOPS,251-500,,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
PLRO,147845,801-69436,GSI FUNDS LLC,GSI FUNDS LLC,303 INTERNATIONAL CIRCLE,SUITE 360,HUNT VALLEY,MD,UNITED STATES,21030,410-561-0900,410-771-0075,,,,,,,Approved,8/4/2008,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"46,258,089.00",0,"46,258,089.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,FUND OF HEDGE FUNDS ADVISORY AND MANAGEMENT SERVICES,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107627,801-50702,"FREEDOM ONE INVESTMENT ADVISORS, INC.","FREEDOM ONE INVESTMENT ADVISORS, INC.",8031 M-15,SUITE 200,CLARKSTON,MI,UNITED STATES,48348-4457,248-620-8100,248-620-8111,,,,,,,Approved,12/12/1995,3/19/2010,Y,WWW.FREEDOMONEFINANCIAL.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,51-250,0,5-Jan,0,10-Jun,0,Nov-50,0,More than 500,"1,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"320,165,411.00","287,282,169.00","607,447,580.00","1,436",217,"1,653",Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111498,801-56269,PRIME INVESTMENT ADVISORS,PRIME INVESTMENT ADVISORY CORPORATION,7610 OLD GEORGETOWN ROAD,PLAZA LEVEL,BETHESDA,MD,UNITED STATES,20814,301-951-5233,301-951-2646,,,,,,,Approved,2/12/1999,3/19/2010,Y,WWW.PRIMEINVESTOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"36,070,000.00","19,950,000.00","56,020,000.00",58,10,68,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,116816,801-60832,BAC CAPITAL ADVISORS LLC,BAC CAPITAL ADVISORS LLC,1200 FIFTH AVENUE,SUITE 1100,SEATTLE,WA,USA,98101,206-625-1800,206-682-8016,,,,,,,Approved,1/17/2002,3/19/2010,Y,HTTP://WWW.BACLINK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"9,953,355.00","127,204,526.00","137,157,881.00",27,40,67,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110689,801-56548,"COMMONFUND ASSET MANAGEMENT COMPANY, INC.","COMMONFUND ASSET MANAGEMENT COMPANY, INC.",15 OLD DANBURY ROAD,,WILTON,CT,UNITED STATES,06897-0812,203-563-5000,203-563-5582,15 OLD DANBURY ROAD,P.O. BOX 812,WILTON,CT,UNITED STATES,06897-0812,Approved,6/15/1999,3/19/2010,Y,WWW.COMMONFUND.ORG,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"13,632,462,474.00","166,632,314.00","13,799,094,788.00",119,14,133,N,N,N,Y,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT OF POOLED INVESTMENT VEHICLES,0,,N,N,N,N,Y,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,142063,801-68612,GARLAND MERZ CONSULTING LLC,GARLAND MERZ CONSULTING LLC,,,,,,,404-423-5755,404-231-5579,,,,,,,Approved,1/4/2008,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,542,602.00",0,"25,542,602.00",5,0,5,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,36527,801-60035,LEONARD AND COMPANY,LEONARD & COMPANY,1450 W. LONG LAKE ROAD,SUITE 150,TROY,MI,UNITED STATES,48098,248-952-5858,248-952-0147,,,,,,,Approved,3/8/2001,3/19/2010,Y,LEONARDANDCOMPANY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,51-250,0,Nov-50,0,51-250,0,0,0,More than 500,"1,000",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,Y,SOLICITATION FEE,Y,"188,950,073.00","5,323,567.00","194,273,640.00","1,532",46,"1,578",Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,Y,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,Y,N,Y,N,Y,N,N,N,N
SFRO,143223,801-69656,"MCBEE ADVISORS, INC.","MCBEE ADVISORS, INC.",600 - 108TH AVENUE NE,SUITE 343,BELLEVUE,WA,USA,98004,425-467-6223,425-467-6224,,,,,,,Approved,11/21/2008,3/19/2010,Y,WWW.MCBEEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"29,148,468.00",0,"29,148,468.00",419,0,419,Y,Y,N,Y,Y,Y,N,N,N,Y,ACTIVE INVESTMENT MANAGEMENT,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,149526,801-70575,HP CAPITAL VENTURE LLC,HP CAPITAL VENTURE LLC,,,,,,,8007075089,8008977875,,,,,,,Approved,10/8/2009,3/19/2010,Y,WWW.HPCAPITALVENTURE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"25,379,730.00",0,"25,379,730.00",73,0,73,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,150703,801-70494,"NBS REAL ESTATE CAPITAL, LLC","NBS REAL ESTATE CAPITAL, LLC",121 SW MORRISON STREET,SUITE 260,PORTLAND,OR,UNITED STATES,97204,503-952-0700,503-952-0701,,,,,,,Approved,9/4/2009,3/19/2010,Y,WWW.NBSRECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,Y,PERCENTAGE OF CAPITAL COMMITTMENTS,Y,"50,434,231.00",0,"50,434,231.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,127064,801-62203,GLOBAL FOREST PARTNERS LP,GLOBAL FOREST PARTNERS LP,"24 AIRPORT ROAD,","TRADE CENTER, 4TH FLOOR",WEST LEBANON,NH,UNITED STATES,3784,603-298-7001,603-298-7620,,,,,,,Approved,7/8/2003,3/15/2010,Y,WWW.GFPLP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,101-250,0,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"2,307,000,000.00","381,209,000.00","2,688,209,000.00",103,1,104,N,Y,N,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,113750,801-68102,FOCUS ASSET MANAGEMENT COMPANY,FOCUS ASSET MANAGEMENT COMPANY,5101 CLEVELAND ST.,SUITE 104,VIRGINIA BEACH,VA,USA,23462,757-499-5000,757-499-6837,,,,,,,Approved,7/12/2007,3/15/2010,Y,WWW.FOCUSASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"31,975,851.00","1,284,567.00","33,260,418.00",273,7,280,N,Y,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146712,801-70294,"HORIZON POINT WEALTH MANAGEMENT, LLC","HORIZON POINT WEALTH MANAGEMENT, LLC",70 SOUTH ORANGE AVENUE,,LIVINGSTON,NJ,UNITED STATES,7039,973-251-2622,973-251-2627,,,,,,,Approved,6/30/2009,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"8,938,564.00","16,180,169.00","25,118,733.00",61,126,187,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,113724,801-60402,"DORIAN EASON ASSET MANAGEMENT, LLC","DORIAN EASON ASSET MANAGEMENT, LLC",6800 POPLAR AVENUE,SUITE 125,MEMPHIS,TN,UNITED STATES,38138,901-755-2075,901-755-0565,,,,,,,Approved,7/13/2001,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,PERSONAL & FAMILY ACCOUNTS,Y,N,N,N,N,N,N,,Y,"157,095,000.00","1,452,000.00","158,547,000.00",125,23,148,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107321,801-37987,"VALUE FINANCIAL ADVISERS, INC.","VALUE FINANCIAL ADVISERS, INC.",9185 E. KENYON AVE. STE 250,,DENVER,CO,USA,80237,303-770-3030,303-773-9122,,,,,,,Approved,12/28/1990,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"95,181,516.00","5,857,223.00","101,038,739.00",216,11,227,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,Y,SECURITIES,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106134,801-43962,"SOLTIS INVESTMENT ADVISORS, INC.","SOLTIS INVESTMENT ADVISORS, INC.",20 NORTH MAIN,SUITE 400,ST GEORGE,UT,UNITED STATES,84770,435-674-1600,435-674-1616,,,,,,,Approved,5/24/1993,3/15/2010,Y,WWW.SOLTISADVISORS.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,Nov-50,0,10-Jun,0,0,0,10-Jun,0,More than 500,800,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"719,838,310.00","12,198,063.00","732,036,373.00",636,179,815,Y,Y,N,Y,Y,N,Y,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,117255,801-65119,"CWM FINANCIAL GROUP, INC.","CWM FINANCIAL GROUP, INC.",953 RUSSELL AVENUE,SUITE D,GAITHERSBURG,MD,USA,20879-3254,301-840-1188,240-465-0686,,,,,,,Approved,1/13/2006,3/15/2010,Y,WWW.CWMFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"33,709,899.00","33,709,899.00",0,128,128,Y,Y,N,N,Y,Y,N,N,N,Y,GENERAL CONSULTATION SERVICES,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,136054,801-65891,"PACIFICA WEALTH ADVISORS, INC.","PACIFICA WEALTH ADVISORS, INC.","26041 ACERO, SUITE 500",,MISSION VIEJO,CA,UNITED STATES,92691,949-305-0500,310-861-8614,,,,,,,Approved,1/24/2006,3/15/2010,Y,WWW.PACIFICAWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"50,487,040.00","5,459,307.00","55,946,347.00",26,3,29,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105472,801-33761,FINANCIAL ADVISORY CORPORATION,FINANCIAL ADVISORY CORPORATION,660 CASCADE WEST PARKWAY SE,,GRAND RAPIDS,MI,UNITED STATES,49546,616-235-5260,616-235-0512,,,,,,,Approved,1/27/1989,3/15/2010,Y,WWW.FINANCIALADVISORYCORPORATION.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,"COMBINATION OF ASSETS UNDER MANAGEMENT, NET WORTH, AND BASE FEE.",Y,"221,251,443.00","169,742.00","221,421,185.00",743,3,746,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,153282,801-71214,"TUNSTALL CAPITAL MANAGEMENT, L.P.","TUNSTALL CAPITAL MANAGEMENT, L.P.",13455 NOEL ROAD,SUITE 800,DALLAS,TX,UNITED STATES,75240,972-628-4100,972-628-4147,,,,,,,Approved,4/1/2010,3/15/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,11-25 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT SERVICES FOR POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N
DRO,105147,801-36249,PARAGON CAPITAL MANAGEMENT,PARAGON CAPITAL MANAGEMENT,"999 18TH ST., STE 1220",,DENVER,CO,UNITED STATES,80202,303-293-3680,303-293-3849,,,,,,,Approved,3/23/1990,3/15/2010,Y,WWW.PCM-NET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"441,803,143.00","102,997,658.00","544,800,801.00",444,41,485,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,117810,801-68992,"WARD WEALTH MANAGEMENT SERVICES, INC.","WARD WEALTH MANAGEMENT SERVICES, INC.",110 WEST HALL OF FAME AVENUE,,STILLWATER,OK,UNITED STATES,74075,405-372-8440,405-372-8441,PO BOX 1178,,STILLWATER,OK,UNITED STATES,74076-1178,Approved,4/8/2008,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"24,273,073.00","4,447,381.00","28,720,454.00",145,2,147,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,136314,801-64549,IWP WEALTH MANAGEMENT LLC,IWP WEALTH MANAGEMENT LLC,3200 CHERRY CREEK DRIVE SOUTH,SUITE 620,DENVER,CO,UNITED STATES,80209,720-524-3761,303-800-9114,,,,,,,Approved,7/20/2005,3/15/2010,Y,WWW.MYIWP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"31,452,128.00","258,095,789.00","289,547,917.00",3,7,10,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,Y,"50% OWNER OF RHINO CAPITAL PARTNERS LLC, A VC FIRM",Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,137201,801-68221,"GULFCOAST FINANCIAL SERVICES, INC.","GULFCOAST FINANCIAL SERVICES, INC.",248 N. MARION AVENUE,SUITE 101,LAKE CITY,FL,UNITED STATES,32055,386-755-9018,386-755-7532,P.O. BOX 2087,,LAKE CITY,FL,UNITED STATES,32056-2087,Approved,8/21/2007,3/15/2010,Y,WWW.GULFCOASTFINANCIAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISORY FEES,Y,"34,650,555.00",0,"34,650,555.00",228,0,228,Y,Y,N,Y,N,Y,N,N,N,Y,VARIABLE ANNUITY MANAGEMENT PROGRAM,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,131200,801-68826,"APIS CAPITAL ADVISORS, LLC","APIS CAPITAL ADVISORS, LLC",53 FOREST AVENUE,SUITE 103,OLD GREENWICH,CT,UNITED STATES,6870,203-409-6301,203-344-9176,,,,,,,Approved,2/5/2008,3/15/2010,Y,WWW.APISCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"200,000,000.00",0,"200,000,000.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,145451,801-68550,THE GARRETT GROUP,TGG MANAGEMENT COMPANY INC.,1953 SAN ELIJO AVE.,SUITE 203,CARDIFF BY THE SEA,CA,USA,92007,858-546-0421,858-777-5372,,,,,,,120-Day Approval,11/26/2007,3/15/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,CA,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,PERCENTAGE OF NET WORTH FOR FAMILY OFFICE MODEL,Y,0,"10,000,000.00","10,000,000.00",0,86,86,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,124186,801-61649,NWK  GROUP,"NWK GROUP, INC.",155 MONTGOMERY STREET,SUITE 600,SAN FRANCISCO,CA,USA,94104,415-362-0122,415-362-0693,,,,,,,Approved,12/16/2002,3/15/2010,Y,NWKGROUP.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,PARTICIPANT DIRECTED DEFINED CONTRIBUTION PLANS,Y,N,N,Y,Y,N,N,,Y,"27,000,000.00",0,"27,000,000.00",85,0,85,Y,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,Y,INVESTMENT ADVISOR REPRESENTATIVE,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,119339,801-63711,ECHELON GROUP,"ECHELON GROUP, INC.",2600 ROSE HILL ST.,SUITE 206,BOISE,ID,UNITED STATES,83705,208-345-9944,208-345-9967,,,,,,,Approved,1/3/2005,3/15/2010,Y,WWW.ECHELONGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,ID,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"31,702,419.00","31,702,419.00",0,109,109,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,Y,COMPANY BENEFITS,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131511,801-63239,GSG ADVISORS LLC,GSG ADVISORS LLC,555 LINCOLN DRIVE WEST,SECOND FLOOR - SUITE 4,MARLTON,NJ,UNITED STATES,8053,856-234-9595,908-325-0258,,,,,,,Approved,7/1/2004,3/15/2010,Y,WWW.GSGADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"87,860,555.00","10,618,463.00","98,479,018.00",228,43,271,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,Y,N,N,Y,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109804,801-58111,"JCW PARTNERS, LLC","JCW PARTNERS, LLC",1188 BISHOP ST.,SUITE 2706,HONOLULU,HI,USA,96813-3311,808-523-1116,808-523-1226,,,,,,,Approved,12/29/2000,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,HI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,Y,N,,Y,"34,635,331.00",0,"34,635,331.00",9,0,9,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,Y,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,117474,801-68085,"BSG FINANCIAL SERVICES, INC.","BSG FINANCIAL SERVICES, INC.",4035 RIDGE TOP RD,SUITE 550,FAIRFAX,VA,USA,22030-7403,703-591-5200,703-385-3572,,,,,,,Approved,7/11/2007,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"32,841,905.00","3,976,755.00","36,818,660.00",167,22,189,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109218,801-54733,CHINOOK CAPITAL MANAGEMENT LLC,CHINOOK CAPITAL MANAGEMENT LLC,4380 SW MACADAM AVE.,STE 250,PORTLAND,OR,UNITED STATES,97239,503-228-1116,503-228-7809,,,,,,,Approved,8/29/1997,3/15/2010,Y,WWW.CHINOOKMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,Y,ASSETS ADVISED BUT NOT MANAGED,Y,"414,224,868.00",0,"414,224,868.00",258,0,258,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,116597,801-61767,"THE ROBARE GROUP, LTD.","THE ROBARE GROUP, LTD.",20405 STATE HWY 249,SUITE 580,HOUSTON,TX,UNITED STATES,77070,(281) 374-0756,(281) 376-4363,,,,,,,Approved,4/2/2003,3/15/2010,Y,WWW.ROBARE-JONES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"95,000,000.00",0,"95,000,000.00",300,0,300,Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106461,801-47941,ARBOR CAPITAL MANAGEMENT CORP,ARBOR CAPITAL MANAGEMENT CORP,100 CORPORATE PKWY,SUITE 136,AMHERST,NY,USA,14226,716-446-9111,716-446-1258,,,,,,,Approved,11/29/1994,3/15/2010,Y,WWW.ARBORCAPITALMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"243,336,442.00","328,042,952.00","571,379,394.00",385,72,457,N,Y,N,Y,N,Y,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151747,801-71247,ALDWYCH CAPITAL,"ALDWYCH CAPITAL PARTNERS, LLC",435 HUDSON STREET,STE. 2,NEW YORK,NY,UNITED STATES,10014,212-220-5816,646-349-5941,,,,,,,120-Day Approval,3/19/2010,3/15/2010,Y,WWW.ALDWYCHCAPITAL.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,N,Y,N,,N,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,138925,801-66651,CONSERVATIVE WEALTH MANAGEMENT LLC,CONSERVATIVE WEALTH MANAGEMENT LLC,,,,,,,323-876-3300,323-843-9929,,,,,,,Approved,4/24/2006,3/15/2010,Y,WWW.PHILDEMUTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"88,287,679.00","88,287,679.00",0,135,135,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,140648,801-66781,TREE LINE MANAGEMENT,TREE LINE ADVISORS (HONG KONG) LTD,"SUITE 1707, TWO EXCHANGE SQUARE, CENTRAL",,HONG KONG,,HONG KONG SAR,,852-9094-9778,852-2810-1999,,,,,,,Approved,6/1/2006,3/15/2010,Y,WWW.TREELINEIM.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,100,022,144.00",0,"1,100,022,144.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104769,801-28129,"HYNES HIMMELREICH GLENNON & COMPANY, LLC","HYNES HIMMELREICH GLENNON & COMPANY, LLC",30 OLD KINGS HWY S,,DARIEN,CT,USA,06820-4519,203-656-5500,203-656-5501,30 OLD KINGS HWY S,P.O. BOX 4004,DARIEN,CT,USA,06820-4004,Approved,10/9/1986,3/16/2010,Y,WWW.HHG.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"801,168,359.00","51,473,069.00","852,641,428.00","1,091",170,"1,261",Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131893,801-63270,SCHORPP CAPITAL MANAGEMENT,"SCHORPP CAPITAL MANAGEMENT, PC",623 GEORGES RD,,NORTH BRUNSWICK,NJ,USA,8902,732-247-0939,732-247-6881,,,,,,,Approved,7/9/2004,3/15/2010,Y,WWW.SCHORPPCAPITAL.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"24,000,000.00",0,"24,000,000.00",64,0,64,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,129869,801-71173,XLM CAPITAL MANAGEMENT,"XLM CAPITAL MANAGEMENT, LLC","7444 DEXTER ANN ARBOR ROAD, SUITE L",,DEXTER,MI,UNITED STATES,48130,734-426-8560,734-426-8590,,,,,,,Approved,3/18/2010,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"27,493,297.00","4,585,785.00","32,079,082.00",85,15,100,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152895,801-71245,"CONTINUUM WEALTH ADVISORS, LLC","CONTINUUM WEALTH ADVISORS, LLC",18 DIVISION ST.,SUITE 413,SARATOGA SPRINGS,NY,UNITED STATES,12866,518-583-4050,,,,,,,,Approved,4/7/2010,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"48,000,000.00","28,000,000.00","76,000,000.00",285,3,288,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,148789,801-69799,RARE INFRASTRUCTURE LIMITED,RARE INFRASTRUCTURE LIMITED,"LEVEL 18, 1 YORK STREET",,SYDNEY,,AUSTRALIA,2000,+ 61 2 9397 7300,+ 61 2 9397 7399,,,,,,,Approved,1/2/2009,8/24/2009,Y,WWW.RAREINFRASTRUCTURE.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,AUSTRALIA,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,"TRUSTEES OF AUSTRALIAN SUPERANNUATION FUNDS, MUTUAL FUNDS AND INVESTMENT COMPANIES REGISTERED OUTSIDE U.S.A.,",Y,N,N,N,N,Y,N,,Y,"753,778,099.00",0,"753,778,099.00",13,0,13,N,N,N,N,N,N,N,N,N,Y,P/FOLIO MGNT & SUPERVISION FOR TRUSTEES OF AUST. SUPERANNUATION FUNDS & MUTUAL FUNDS & INVESTMENT CO.S REGISTERED OUTSIDE USA,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123392,801-69018,"D C VOSS & COMPANY, LLC","D C VOSS & COMPANY, LLC",,,,,,,513-774-8850,513-774-8980,,,,,,,Approved,4/3/2008,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"62,062,429.00","62,062,429.00",0,131,131,Y,Y,N,N,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR CHARITABLE ORGANIZATIONS; FINANCIAL EDUCATION AND PLANNING PROGRAMS FOR EMPLOYEES OF CORPORATIONS,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109397,801-55182,"CMC ADVISERS, LLC","CMC ADVISERS, LLC","4800 SW MACADAM AVENUE, SUITE 305",,PORTLAND,OR,UNITED STATES,97239,503-227-5284,503-227-5822,PO BOX 69468,,PORTLAND,OR,UNITED STATES,97239,Approved,1/20/1998,3/15/2010,Y,WWW.CMCADVISERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"148,732,942.00","1,569,200.00","150,302,142.00",633,16,649,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106566,801-45493,CASSADAY & CO INC,CASSADAY & CO INC,"8180 GREENSBORO DRIVE, SUITE 1180",,MCLEAN,VA,USA,22102,703-506-8200,703-506-8255,,,,,,,Approved,12/28/1993,3/15/2010,Y,WWW.CASSADAY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"1,000",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"630,186,915.00","7,266,428.00","637,453,343.00","2,149",21,"2,170",Y,Y,N,N,Y,N,N,N,N,N,,More than 500,1000,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110800,801-55215,ASSET STRATEGY CONSULTANTS LLC,ASSET STRATEGY CONSULTANTS LLC,SIX NORTH PARK DRIVE,SUITE 208,HUNT VALLEY,MD,UNITED STATES,21030,410-528-8282,410-528-8305,,,,,,,Approved,2/3/1998,3/15/2010,Y,WWW.ASSETSTRATEGYCONSULTANTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,Y,"ONE-TIME PROJECTS, WITH NEGOTIATED FEE",Y,0,"7,800,000,000.00","7,800,000,000.00",0,102,102,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,132167,801-63344,CLIFFWATER LLC,CLIFFWATER LLC,4640 ADMIRALTY WAY,11TH FLOOR,MARINA DEL REY,CA,UNITED STATES,90292-6623,310-448-5000,310-448-5001,,,,,,,Approved,7/8/2004,3/15/2010,Y,WWW.CLIFFWATER.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,26-50 percent,ENDOWMENTS,Y,N,N,Y,N,N,N,,Y,"275,881,175.00",0,"275,881,175.00",2,0,2,N,N,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112526,801-54679,"RAFFERTY ASSET MANAGEMENT, LLC","RAFFERTY ASSET MANAGEMENT, LLC",33 WHITEHALL STREET,10TH FLOOR,NEW YORK,NY,UNITED STATES,10004,646-572-3390,646-572-3498,,,,,,,Approved,6/25/1997,3/15/2010,Y,WWW.DIREXIONFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"6,330,731,000.00",0,"6,330,731,000.00",63,0,63,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,144773,801-68940,CONCENTRIC WEALTH MANAGEMENT LLC,CONCENTRIC WEALTH MANAGEMENT LLC,251 LAFAYETTE CIRCLE,SUITE 200,LAFAYETTE,CA,UNITED STATES,94549,925-962-1100,925-962-1106,,,,,,,Approved,4/8/2008,3/15/2010,Y,WWW.CONCENTRIC-WEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"78,071,825.00",0,"78,071,825.00",269,0,269,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143047,801-67533,"BLUE SPRUCE GLOBAL ADVISORS, LLC","BLUE SPRUCE GLOBAL ADVISORS, LLC",,,,,,,201-897-0095,201-337-1716,,,,,,,Approved,2/8/2007,3/15/2010,Y,HTTP://WWW.BHARGAVACAPITAL.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"32,000,000.00",0,"32,000,000.00",13,0,13,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,151004,801-70463,"IRONWOOD WEALTH MANAGEMENT, LLC","IRONWOOD WEALTH MANAGEMENT, LLC",637 S. 48TH STREET,SUITE 201,TEMPE,AZ,UNITED STATES,85281,480-776-5960,480-776-5961,,,,,,,Approved,8/17/2009,3/15/2010,Y,WWW.IRONWOODFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"83,000,000.00","2,000,000.00","85,000,000.00",612,13,625,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109027,801-55598,"M.D. KRESH FINANCIAL SERVICES, INC.","M.D. KRESH FINANCIAL SERVICES, INC.",1377 MOTOR PKWY,SUITE 212,ISLANDIA,NY,USA,11749,631-232-9170,631-232-9175,,,,,,,Approved,6/8/1998,3/15/2010,Y,WWW.MDKRESH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"50,252,163.00",0,"50,252,163.00",203,0,203,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,115720,801-66151,"EQUINOX FINANCIAL ADVISORS, INC","EQUINOX FINANCIAL ADVISORS, INC.",16 LINCOLN AVENUE,,MANCHESTER CENTER,VT,UNITED STATES,5255,802-367-7750,802-367-7751,PO BOX 1789,,MANCHESTER CENTER,VT,UNITED STATES,5255,Approved,1/30/2006,3/15/2010,Y,WWW.EQUINOXFINANCIALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,MONITORING OTHER MGRS FOR CLIENTS. OTHER MGR. PAYS OUR FEES.,Y,"54,487,842.00",0,"54,487,842.00",627,0,627,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,129696,801-71011,"DISCIPLINED INVESTMENTS, LLC","DISCIPLINED INVESTMENTS, LLC",2200 S. UTICA PLACE SUITE 400,,TULSA,OK,UNITED STATES,74114-7000,918-388-2690,918-388-2525,,,,,,,Approved,1/21/2010,3/15/2010,Y,WWW.HT-DI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,5-Jan,0,10-Jun,0,0,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"7,100,897.00","26,446,564.00","33,547,461.00",34,54,88,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110196,801-41803,HM CAPITAL MANAGEMENT INC,HM CAPITAL MANAGEMENT INC,218 E. 10TH STREET,,INDIANAPOLIS,IN,USA,46202,317-231-9752,317-636-2088,,,,,,,Approved,6/25/1992,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"62,104,102.00","3,240,928.00","65,345,030.00",1,3,4,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,121734,801-67882,LOEWINGER FINANCIAL PLANNING,LOEWINGER & CO. LLC,19415 DEERFIELD AVE,#211,LEESBURG,VA,UNITED STATES,20176,703-726-3980,703-726-3981,,,,,,,Approved,6/12/2007,3/15/2010,Y,LOEWINGERFINANCIALPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"30,689,890.00","30,689,890.00",0,37,37,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,119273,801-61513,"CREATIVE WEALTH MANAGEMENT, LLC","CREATIVE WEALTH MANAGEMENT, LLC",1377 MOTOR PARKWAY,SUITE 212,ISLANDIA,NY,USA,11749,631-232-9170,631-232-9175,,,,,,,Approved,10/16/2002,3/15/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,5-Jan,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"16,538,425.00",0,"16,538,425.00",142,0,142,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,130715,801-67423,RICHARDSON FINANCIAL SERVICES,RICHARDSON FINANCIAL SERVICES,165 VILLAGE ST,,MEDWAY,MA,USA,2053,508.533.2335,508.533.7666,,,,,,,Approved,12/15/2006,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"34,077,554.00",0,"34,077,554.00",250,0,250,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,140204,801-67895,"BASTIAT CAPITAL, LLC","BASTIAT CAPITAL, LLC",5700 GRANITE PARKWAY,SUITE 200,PLANO,TX,UNITED STATES,75024,972-267-2031,806-223-0141,,,,,,,Approved,5/7/2007,3/15/2010,Y,WWW.BASTIATFUNDS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"22,000,000.00",0,"22,000,000.00",25,0,25,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107929,801-55031,ASSET ADVISORY GROUP INC,ASSET ADVISORY GROUP INC,"4600 MCAULEY PLACE, STE 140",,CINCINNATI,OH,USA,45242,513-771-7222,513-771-7344,,,,,,,Approved,12/5/1997,3/15/2010,Y,WWW.TAAGINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"184,645,366.00","10,241,931.00","194,887,297.00",487,179,666,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,152812,801-71100,"TEN-01 CAPITAL MANAGEMENT, INC.","TEN-01 CAPITAL MANAGEMENT, INC.",1014 MARKET STREET,SUITE 100,KIRKLAND,WA,UNITED STATES,98033,206-330-2035,877-471-2516,,,,,,,Approved,2/18/2010,7/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,SUB-ADVISER TO PRIVATE POOLED INVESTMENT VEHICLES,Y,N,N,N,N,Y,N,,Y,"36,311,492.00",0,"36,311,492.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137609,801-66243,AVATAR INVESTMENT MANAGEMENT LIMITED,AVATAR INVESTMENT MANAGEMENT LIMITED,C/O INTERNATIONAL MANAGEMENT (MAURITIUS) LIMITED,"4TH FLR., LES CASCADES BUILDING, EDITH CAVELL STRE",PORT-LOUIS,,MAURITIUS,,+230 212 9800,+230 212 9833,,,,,,,Approved,4/25/2006,7/12/2010,Y,WWW.AVATARIM.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),FOREIGN CORPORATION,,MAURITIUS,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES TO CORPORATIONS,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109845,801-37391,RE ADVISERS CORPORATION,RE ADVISERS CORPORATION,4301 WILSON BLVD.,,ARLINGTON,VA,UNITED STATES,22203-1860,800-258-3030,703-907-5526,,,,,,,Approved,9/21/1990,7/12/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,500,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,SELF-INSURER'S FUND,Y,N,N,N,N,N,N,,Y,"1,106,756,724.00",0,"1,106,756,724.00",8,0,8,Y,N,Y,Y,N,N,N,N,N,N,,More than 500,500,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,149431,801-70234,KAISER RITTER PARTNER FINANCIAL ADVISORS AG,KAISER RITTER PARTNER FINANCIAL ADVISORS AG,ZOLLIKERSTRASSE 60,,ZOLLIKON,,SWITZERLAND,8702,+41 44 752 51 52,+41 44 752 51 53,,,,,,,Approved,5/27/2009,7/12/2010,Y,WWW.FINANCIAL-ADVISORS.CH,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SWITZERLAND,10-Jun,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"79,000,000.00",0,"79,000,000.00",13,0,13,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,133958,801-63910,FAR MORE CONSULTING,FAR MORE CREDIT UNION CONSULTING,9049 BARHAMSVILLE ROAD,,TOANO,VA,USA,23168,757-566-1461,757-566-1461,,,,,,,Approved,9/6/2005,9/12/2007,Y,WWW.FARMORECREDITUNIONCONSULTING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,NONE,N,N,N,Y,N,N,N,,Y,0,"2,200,000,000.00","2,200,000,000.00",0,1,1,N,N,N,N,N,N,N,N,N,Y,CREDIT UNIONS,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,28722,801-61151,NATIXIS SECURITIES NORTH AMERICA INC.,NATIXIS SECURITIES NORTH AMERICA INC.,9 WEST 57TH STREET,36TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-891-6100,212-891-1800,,,,,,,Approved,5/15/2002,7/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"2,623,347,903.00",0,"2,623,347,903.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,Y,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,110349,801-5875,ROTHSCHILD ASSET MANAGEMENT INC,ROTHSCHILD ASSET MANAGEMENT INC,1251 AVE OF THE AMERICAS,,NEW YORK,NY,UNITED STATES,10020,212-403-3500,212-403-3616,,,,,,,Approved,2/4/1970,7/12/2010,Y,WWW.US.ROTHSCHILD.COM/ASSET MANAGEMENT,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,More than 500,"1,169",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,PROPRIETARY ACCOUNTS,Y,N,N,N,N,Y,N,,Y,"4,985,700,000.00","19,600,000.00","5,005,300,000.00","1,169",5,"1,174",N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,114127,801-60463,"HAMILTON-BATES INVESTMENT RESEARCH, INC.","HAMILTON-BATES INVESTMENT RESEARCH, INC.",2 GREENBRIAR LANE,,NEWTOWN SQUARE,PA,USA,19073,610-355-1970,610-355-1972,P.O. BOX 270,,NEWTOWN SQUARE,PA,USA,19073,Approved,8/7/2001,7/12/2010,Y,WWW.HBIR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"30,505,782.00","1,056,100.00","31,561,882.00",305,20,325,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109938,801-55711,CREDIT SUISSE INVESTMENT ADVISORY PARTNERS LLC,CREDIT SUISSE INVESTMENT ADVISORY PARTNERS LLC,ELEVEN MADISON AVENUE,16TH FLOOR,NEW YORK,NY,USA,10010,212-325-2000,212-325-6100,,,,,,,Approved,8/6/1998,7/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"107,149,791.00",0,"107,149,791.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,"RECOMMENDATIONS WITH RESPECT TO THE ACQUISITION, RETENTION AND SALE OF INVESTMENTS.",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N
NYRO,106217,801-45687,DLJ LBO PLANS MANAGEMENT CORPORATION,DLJ LBO PLANS MANAGEMENT CORPORATION,"11 MADISON AVENUE, 16TH FLOOR",,NEW YORK,NY,USA,10010,212-325-2000,212-325-6100,,,,,,,Approved,2/18/1994,7/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,176,172,361.00",0,"2,176,172,361.00",87,0,87,N,N,N,N,N,N,N,N,N,Y,"RECOMMENDATIONS WITH RESPECT TO THE ACQUISITION, RETENTION AND SALE OF INVESTMENTS.",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N
LARO,115670,801-61496,"RAYMOND J. LUCIA COMPANIES, INC.","RAYMOND J. LUCIA COMPANIES, INC.",13520 EVENING CREEK DRIVE NORTH,SUITE 300,SAN DIEGO,CA,UNITED STATES,92128,619-497-5555,858-726-1049,,,,,,,Approved,9/30/2002,7/12/2010,Y,WWW.BUCKETSOFMONEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,"1,700",51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,N,N,Y,SOLICITOR/REFERRAL FEES,Y,"187,521,953.00",0,"187,521,953.00","2,505",0,"2,505",Y,N,N,N,N,Y,N,N,N,Y,FINANCIAL CONSULTATION SERVICES,More than 500,1000,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,113736,801-60467,CREDIT SUISSE GLOBAL OPPORTUNITIES ADVISORS LLC,CREDIT SUISSE GLOBAL OPPORTUNITIES ADVISORS LLC,"11 MADISON AVENUE, 16TH FLOOR",,NEW YORK,NY,USA,10010,212-325-2000,212-325-6100,,,,,,,Approved,8/24/2001,7/12/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"7,272,604.00",0,"7,272,604.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,"RECOMMENDATIONS WITH RESPECT TO THE ACQUISITION, RETENTION AND SALE OF INVESTMENTS.",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N
NYRO,109517,801-55321,"CREDIT SUISSE ALTERNATIVE CAPITAL, INC.","CREDIT SUISSE ALTERNATIVE CAPITAL, INC.","11 MADISON AVENUE, 13TH FLOOR",,NEW YORK,NY,USA,10010,(212)325-2000,(212) 325-6100,,,,,,,Approved,6/18/1998,7/12/2010,Y,WWW.CREDIT-SUISSE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"15,311,446,733.00","688,568,340.00","16,000,015,073.00",62,4,66,N,N,Y,N,N,N,N,N,N,Y,"RECOMMENDATIONS WITH RESPECT TO THE ACQUISITION, RETENTION AND SALE OF INVESTMENTS.",,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N
NYRO,112703,801-57908,"CREDIT SUISSE INDEX CO., INC.","CREDIT SUISSE INDEX CO., INC.","11 MADISON AVENUE, 13TH FLOOR",,NEW YORK,NY,UNITED STATES,10010,(212) 325-2000,(212) 325-6100,,,,,,,Approved,9/12/2000,7/12/2010,Y,WWW.CREDIT-SUISSE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,185,084,394.00",0,"1,185,084,394.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,"RECOMMENDATIONS WITH RESPECT TO THE ACQUISITION, RETENTION AND SALE OF INVESTMENTS.",,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N
ARO,152091,801-71103,"HAYDEN HARPER ADVISORY, LLC","HAYDEN HARPER ADVISORY, LLC",1001 MOREHEAD SQUARE DRIVE,SUITE 350,CHARLOTTE,NC,UNITED STATES,28203,704-343-2447,704-343-4961,,,,,,,Approved,2/22/2010,7/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"64,138,541.00",0,"64,138,541.00",228,0,228,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111720,801-56260,CREDIT SUISSE (BERMUDA) LIMITED,CREDIT SUISSE (BERMUDA) LIMITED,11 MADISON AVENUE,16TH FLOOR,NEW YORK,NY,USA,10010,212-325-2000,212-325-6100,,,,,,,Approved,3/8/1999,7/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,BERMUDA,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"649,948,360.00",0,"649,948,360.00",22,0,22,N,N,N,N,N,N,N,N,N,Y,"RECOMMENDATIONS WITH RESPECT TO THE ACQUISITION, RETENTION AND SALE OF INVESTMENTS.",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N
HQ,135829,801-64420,"BEUTEL, GOODMAN & COMPANY LTD.","BEUTEL, GOODMAN & COMPANY LTD.",20 EGLINTON AVENUE WEST,SUITE 2000,"TORONTO, ONTARIO",,CANADA,M4R 1K8,416-485-1010,416-485-1799,,,,,,,Approved,6/14/2005,7/12/2010,Y,WWW.BEUTELGOODMAN.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,51-250,0,Nov-50,0,0,0,10-Jun,0,More than 500,500,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,ADVISER TO CANADIAN MUTUAL FUNDS,Y,N,N,N,N,N,N,,Y,"14,707,000,000.00",0,"14,707,000,000.00",808,0,808,N,Y,N,Y,N,N,N,N,N,Y,SUB-ADVISING OF CERTAIN CANADIAN MUTUAL FUNDS,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,135622,801-64334,"ZIEGLER CAPITAL MANAGEMENT, LLC","ZIEGLER CAPITAL MANAGEMENT, LLC",200 SOUTH WACKER DRIVE,SUITE 2000,CHICAGO,IL,USA,60606,312/263-0110,312/596-1694,,,,,,,Approved,5/19/2005,7/12/2010,Y,WWW.ZIEGLER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,101-250,0,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,NON-PROFITS,Y,N,N,Y,N,Y,N,,Y,"2,394,220,159.00","125,527,018.00","2,519,747,177.00",480,36,516,N,Y,Y,Y,Y,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,120943,801-64167,SNIDER ADVISORS,CHRONIM INVESTMENTS INC.,222 W. LAS COLINAS BLVD.,SUITE 1050E,IRVING,TX,UNITED STATES,75039,214-220-0055,888-647-6430,,,,,,,Approved,4/21/2005,7/12/2010,Y,WWW.SNIDERADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,More than 500,"1,000",More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"85,009,916.00",0,"85,009,916.00",279,0,279,Y,Y,N,N,N,N,N,N,N,Y,INVESTMENT-RELATED CONSULTING,26-50,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106733,801-51401,"THE MILESTONE GROUP, INC.","THE MILESTONE GROUP, INC.",370 17TH STREET,SUITE 3100,DENVER,CO,UNITED STATES,80202,303-539-0100,303-539-0101,,,,,,,Approved,3/6/1996,7/12/2010,Y,WWW.THEMILESTONEGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"969,379,301.00",0,"969,379,301.00","1,093",0,"1,093",Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,152776,801-71072,PRECEPT ADVISORY GROUP LLC,PRECEPT ADVISORY GROUP LLC,130 THEORY,SUITE 200,IRVINE,CA,UNITED STATES,92617,800-344-1430,949-955-9471,,,,,,,Approved,2/8/2010,7/12/2010,Y,WWW.PRECEPTADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"125,000,000.00","125,000,000.00",0,1,1,N,N,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,153659,801-71498,"BRYAN ADVISORY SERVICES, LLC","BRYAN ADVISORY SERVICES, LLC",125 TECHNOLOGY DRIVE,SUITE 105,CANONSBURG,PA,UNITED STATES,15317,724-746-4004,724-746-6004,,,,,,,Approved,6/11/2010,7/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,More than 500,"1,000",11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"42,000,000.00",0,"42,000,000.00","1,200",0,"1,200",Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,136428,801-64543,"BENEFIT & INVESTMENT CONSULTING, LLC","BENEFIT & INVESTMENT CONSULTING, LLC",,,,,,,507-288-5506,507-288-5516,,,,,,,Approved,7/28/2005,1/6/2010,Y,WWW.BICONSULTINGLLC.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,125231,801-61832,CREDIT SUISSE PRIVATE EQUITY ADVISERS LLC,CREDIT SUISSE PRIVATE EQUITY ADVISERS LLC,ELEVEN MADISON AVENUE,16TH FLOOR,NEW YORK,NY,USA,10010,212-325-2000,212-325-6100,,,,,,,Approved,3/21/2003,7/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,347,271,329.00",0,"1,347,271,329.00",36,0,36,N,N,N,N,N,N,N,N,N,Y,"RECOMMENDATIONS WITH RESPECT TO THE ACQUISITION, RETENTION AND SALE OF INVESTMENTS.",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N
NYRO,111723,801-56074,"MERCHANT CAPITAL, INC.","MERCHANT CAPITAL, INC.","11 MADISON AVENUE, 16TH FLOOR",,NEW YORK,NY,USA,10010,212-325-2000,212-325-6100,,,,,,,Approved,12/8/1998,7/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"910,325,148.00",0,"910,325,148.00",34,0,34,N,N,N,N,N,N,N,N,N,Y,"RECOMMENDATIONS WITH RESPECT TO THE ACQUISITION, RETENTION AND SALE OF INVESTMENTS.",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N
NYRO,106312,801-41248,DLJ MERCHANT BANKING INC,DLJ MERCHANT BANKING INC,"11 MADISON AVENUE, 16TH FLOOR",,NEW YORK,NY,USA,10010,212-325-2000,212-325-6100,,,,,,,Approved,4/9/1992,7/12/2010,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"901,774,661.00",0,"901,774,661.00",15,0,15,N,N,N,N,N,N,N,N,N,Y,"RECOMMENDATIONS WITH RESPECT TO THE ACQUISITION, RETENTION AND SALE OF INVESTMENTS.",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,N,N,Y,Y,N,N
NYRO,106325,801-53078,"DLJ MERCHANT BANKING II, INC.","DLJ MERCHANT BANKING II, INC.","11 MADISON AVENUE, 16TH FLOOR",,NEW YORK,NY,USA,10010,212-325-2000,212-325-6100,,,,,,,Approved,11/8/1996,7/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"471,402,130.00",0,"471,402,130.00",7,0,7,N,N,N,N,N,N,N,N,N,Y,"RECOMMENDATIONS WITH RESPECT TO THE ACQUISITION, RETENTION AND SALE OF INVESTMENTS.",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N
NYRO,108229,801-57685,DLJ MERCHANT BANKING III INC,DLJ MERCHANT BANKING III INC,"ELEVEN MADISON AVENUE, 16TH FLOOR",,NEW YORK,NY,USA,10010,212-325-2000,212-325-6100,,,,,,,Approved,7/17/2000,7/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,283,546,950.00",0,"3,283,546,950.00",11,0,11,N,N,N,N,N,N,N,N,N,Y,"RECOMMENDATIONS WITH RESPECT TO THE ACQUISITION, RETENTION AND SALE OF INVESTMENTS.",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N
NYRO,154309,801-71664,RAM CAPITAL MANAGEMENT LLC,RAM CAPITAL MANAGEMENT LLC,,,,,,,914-967-3187,914-967-3206,,,,,,,120-Day Approval,7/12/2010,7/12/2010,Y,WWW.RAMLP.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"7,000,000.00",0,"7,000,000.00",1,0,1,N,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,135897,801-64501,MERION CAPITAL LLC,MERION CAPITAL LLC,,,,,,,269-381-9635,269-381-6949,,,,,,,Approved,7/15/2005,7/12/2010,Y,HTTP://WWW.MERIONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"17,000,000.00","773,000,000.00","790,000,000.00",41,11,52,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106306,801-50689,"DLJ INVESTMENT PARTNERS, INC.","DLJ INVESTMENT PARTNERS, INC.","11 MADISON AVENUE, 16TH FLOOR",,NEW YORK,NY,USA,10010,212-325-2000,212-325-6100,,,,,,,Approved,12/8/1995,7/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"440,982,938.00",0,"440,982,938.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,"RECOMMENDATIONS WITH RESPECT TO THE ACQUISITION, RETENTION AND SALE OF INVESTMENTS.",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N
NYRO,108230,801-56518,"DLJ INVESTMENT PARTNERS II, INC.","DLJ INVESTMENT PARTNERS II, INC.","11 MADISON AVENUE, 16TH FLOOR",,NEW YORK,NY,USA,10010,212-325-2000,212-325-6100,,,,,,,Approved,5/10/1999,7/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"104,347,729.00",0,"104,347,729.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,"RECOMMENDATIONS WITH RESPECT TO THE ACQUISITION, RETENTION AND SALE OF INVESTMENTS.",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N
CHRO,23714,801-39223,FREEDOM INVESTORS CORP.,FREEDOM INVESTORS CORP.,"333 BISHOPS WAY, STE 122",,BROOKFIELD,WI,UNITED STATES,53005,262-436-8700,262-436-8701,,,,,,,Approved,7/2/1991,7/12/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"60,000.00",0,"60,000.00",1,0,1,Y,Y,Y,N,Y,Y,N,N,N,N,,101-250,,N,N,Y,Y,N,N,Y,N,N,,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N
NYRO,106291,801-53729,"DLJ DIVERSIFIED PARTNERS, INC.","DLJ DIVERSIFIED PARTNERS, INC.","11 MADISON AVENUE, 16TH FLOOR",,NEW YORK,NY,USA,10010,212-325-2000,212-325-6100,,,,,,,Approved,2/25/1997,7/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"36,668,665.00",0,"36,668,665.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,"RECOMMENDATIONS WITH RESPECT TO THE ACQUISITION, RETENTION AND SALE OF INVESTMENTS.",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N
NYRO,110352,801-57904,"DLJ MB ADVISORS, INC.","DLJ MB ADVISORS, INC.","11 MADISON AVENUE, 16TH FLOOR",,NEW YORK,NY,USA,10010,212-325-2000,212-325-6100,,,,,,,Approved,9/6/2000,7/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"13,780,210,604.00",0,"13,780,210,604.00",211,0,211,N,N,N,N,N,N,N,N,N,Y,"RECOMMENDATIONS WITH RESPECT TO THE ACQUISITION, RETENTION AND SALE OF INVESTMENTS.",,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N
ARO,146051,801-71112,ADVISORY SERVICES NETWORK,"ADVISORY SERVICES NETWORK, LLC",1040 CROWN POINTE PARKWAY,SUITE 1070,ATLANTA,GA,UNITED STATES,30338,770-352-0120,770-352-0038,,,,,,,Approved,2/16/2010,7/12/2010,Y,ADVSERVNET.COM,N,N,N,N,N,N,N,N,N,Y,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,129973,801-62643,DIVIDEND GROWTH ADVISORS,"DIVIDEND GROWTH ADVISORS, LLC",58 RIVERWALK BLVD.,"BUILDING 2, SUITE A",RIDGELAND,SC,UNITED STATES,29936-8126,843.645.9700,843.645.9701,,,,,,,Approved,1/2/2004,7/12/2010,Y,WWW.DIVIDENDGROWTHADVISORS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,10-Jun,0,251-500,0,26-50 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"489,934,253.00","13,134,441.00","503,068,694.00",794,4,798,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,118304,801-63318,WILBANKS SECURITIES ADVISORY,"AARON WILBANKS & ASSOCIATES, INC.",4334 NW EXPRESSWAY,SUITE 222,OKLAHOMA CITY,OK,UNITED STATES,73116,405-842-0202,405-842-3009,,,,,,,Approved,7/2/2004,7/12/2010,Y,HTTP://WWW.WSECURITIES.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"44,901,950.00",0,"44,901,950.00",480,0,480,Y,Y,N,Y,Y,N,Y,N,Y,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,N,N,Y,N,Y,N,Y,Y,N,Y,Y,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N
PLRO,109261,801-56755,STONERIDGE INVESTMENT PARTNERS,STONERIDGE INVESTMENT PARTNERS LLC,301 LINDENWOOD DRIVE,SUITE 310,MALVERN,PA,UNITED STATES,19355,610-647-5287,610-647-5973,,,,,,,Approved,8/10/1999,7/12/2010,Y,WWW.STONERIDGEINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,FAMILY LIMITED PARTNERSHIP,Y,N,N,N,N,N,Y,SEE 5.I(2) SCHEDULE D,Y,"439,913,970.00",0,"439,913,970.00",61,0,61,N,Y,N,Y,N,N,N,N,N,Y,SUB-ADVISORY SERVICES TO AN RIA,,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,140800,801-68107,"PARALLEL ADVISORS, LLC","PARALLEL ADVISORS, LLC","150 SPEAR STREET, SUITE 950",,SAN FRANCISCO,CA,UNITED STATES,94105,415-839-8439,415-449-6650,,,,,,,Approved,6/26/2007,7/12/2010,Y,WWW.PARALLELADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,SELECTION OF OTHER ADVISORS,Y,"99,683,331.00","6,216,975.00","105,900,306.00",318,46,364,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,115991,801-61415,"NAVIGATOR WEALTH MANAGEMENT, LLC","NAVIGATOR WEALTH MANAGEMENT, LLC",7601 LEWINSVILLE RD,SUITE 205,MCLEAN,VA,UNITED STATES,22102,703-847-0965,703-847-8902,,,,,,,Approved,8/28/2002,2/24/2010,Y,WWW.NAVIGATORWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,FEE DISCOUNTS FOR PURCHASES OF INVESTMENTS THROUGH HBI,Y,0,"150,000,000.00","150,000,000.00",0,80,80,Y,Y,N,N,N,N,Y,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108866,801-56455,YENTIS & ASSOCIATES INC,YENTIS & ASSOCIATES INC,11130 COLDWATER RD,SUITE 101,FT WAYNE,IN,USA,46845,260-637-4440,260-637-9931,,,,,,,Approved,4/15/1999,2/24/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,TRUST,Y,N,N,Y,N,N,N,,Y,"49,790,180.00","463,259,684.00","513,049,864.00",4,131,135,N,N,N,Y,N,N,N,N,N,Y,FUND SELECTION AND MONITORING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,121841,801-63581,DESERANNO WEALTH MANAGEMENT,DESERANNO CORPORATION,18720 MACK AVENUE,SUITE 100,GROSSE POINTE FARMS,MI,UNITED STATES,48236,313-885-0114,313-885-4940,,,,,,,Approved,10/29/2004,2/24/2010,Y,WWW.DESERANNO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"77,057,572.00",0,"77,057,572.00",401,0,401,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,119033,801-60934,"LOS ANGELES CAPITAL MANAGEMENT AND EQUITY RESEARCH, INC.","LOS ANGELES CAPITAL MANAGEMENT AND EQUITY RESEARCH, INC.",11150 SANTA MONICA BOULEVARD,SUITE 200,LOS ANGELES,CA,UNITED STATES,90025,310-479-9998,310-479-9930,,,,,,,Approved,2/25/2002,2/24/2010,Y,WWW.LACAPM.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,11-25 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,FOUNDATIONS AND MULTI-EMPLOYER PLANS,Y,N,N,N,N,Y,N,,Y,"5,957,081,488.00",0,"5,957,081,488.00",52,0,52,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,126973,801-62045,"THE VERNALIS GROUP, LLC","THE VERNALIS GROUP, LLC",2901 OHIO BLVD,SUITE 280,TERRE HAUTE,IN,USA,47803,812-242-9113,812-231-0127,,,,,,,Approved,5/15/2003,2/24/2010,Y,WWW.VERNALISGROUP.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"17,000,000.00",0,"17,000,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,119687,801-67599,"DANIELS & ERICKSON FINANCIAL ADVISORS, LLC","DANIELS & ERICKSON FINANCIAL ADVISORS, LLC",12221 MERIT DRIVE,SUITE 760,DALLAS,TX,USA,75251,214-750-8985,214-739-6555,,,,,,,Approved,3/12/2007,2/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY REFERRAL FEES,Y,"88,286,135.00","1,000,000.00","89,286,135.00",91,1,92,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152538,801-71004,BTG PACTUAL US ASSET MANAGEMENT CORP.,BTG PACTUAL US ASSET MANAGEMENT CORP.,601 LEXINGTON AVENUE,57TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-293-4600,212-293-4609,,,,,,,Approved,1/19/2010,2/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"570,000,000.00",0,"570,000,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,Y,HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,128220,801-68304,"COLLINS CAPITAL MANAGEMENT, INC.","COLLINS CAPITAL MANAGEMENT, INC.","7077 BONNEVAL ROAD, SUITE 340",,JACKSONVILLE,FL,UNITED STATES,32216,904-493-7500,904-493-7501,,,,,,,Approved,9/24/2007,2/24/2010,Y,WWW.COLLINSCMI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"29,760,870.00",0,"29,760,870.00",243,0,243,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,Y,CONSULTING AND RECORDKEEPING,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,147824,801-69450,EAGLE RIDGE INVESTMENT MANAGEMENT LLC,EAGLE RIDGE INVESTMENT MANAGEMENT LLC,274 RIVERSIDE AVENUE,2ND FLOOR,WESTPORT,CT,USA,6880,203-227-4515,203-227-2690,,,,,,,Approved,8/5/2008,2/24/2010,Y,WWW.EAGLERIMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"272,727,560.00",0,"272,727,560.00",90,0,90,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,149218,801-69974,"CLARK CAPITAL CONSULTING, LLC","CLARK CAPITAL CONSULTING, LLC",,,,,,,321-231-1311,,,,,,,,120-Day Approval,2/26/2009,2/17/2009,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,"25,000,000.00","25,000,000.00",0,3,3,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,144791,801-68636,"TOWER WEALTH MANAGERS, INC.","TOWER WEALTH MANAGERS, INC.",9400 MISSION ROAD,,PRAIRIE VILLAGE,KS,UNITED STATES,66206,816-751-4259,816-751-4279,,,,,,,Approved,1/7/2008,2/24/2010,Y,WWW.TOWERWEALTHMANAGERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,More than 500,"1,500",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"841,278,388.00",0,"841,278,388.00","1,367",0,"1,367",N,Y,N,Y,N,Y,N,N,N,N,,0,,Y,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,132974,801-63849,JETSTREAM CAPITAL LLC,JETSTREAM CAPITAL LLC,12 CADILLAC DRIVE,SUITE 280,BRENTWOOD,TN,USA,37027,615-425-3400,615-425-3401,,,,,,,Approved,1/19/2005,2/24/2010,Y,WWW.JETSTREAMCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"604,092,257.00",0,"604,092,257.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,147532,801-69444,MAINLINE WEST FUND MANAGER LLC,MAINLINE WEST FUND MANAGER LLC,700 17TH STREET,SUITE 1500,DENVER,CO,UNITED STATES,80202-3501,720-536-3380,303-531-8260,,,,,,,Approved,8/20/2008,2/17/2009,Y,WWW.MAINLINEWEST.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,PARTICIPATE IN CASH DISTRIBUTIONS FROM CLIENT FUNDS,Y,"46,585,000.00",0,"46,585,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,104730,801-21669,"BARRY M. CORKERN & CO., INC.",CORKERN BARRY M ADVISORY SERVICES INC,2300 ANDOVER,SUITE 100,LITTLE ROCK,AR,UNITED STATES,72227,[501] 664-7866,[501] 663-3566,,,,,,,Approved,7/16/1984,2/24/2010,Y,WWW.BCORKERN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,PRIVATE FOUNDATIONS,Y,Y,N,N,N,N,N,,Y,0,"101,838,014.00","101,838,014.00",0,53,53,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,110418,801-16512,"PALMER JONES & ASSOCIATES, INC.",JONES PALMER & ASSOCIATES INC,,,,,,,843-757-0050,843-757-0051,,,,,,,Approved,11/6/1981,2/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,N,N,N,N,,Y,"87,141,153.00","597,307.00","87,738,460.00",167,3,170,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,Y,FINANCIAL ADVISOR,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,115559,801-44737,"AMERICAN FINANCIAL & TAX STRATEGIES, INC.","AMERICAN FINANCIAL & TAX STRATEGIES, INC.",1650 BROADWAY,SUITE 1405,NEW YORK,NY,UNITED STATES,10019,212-315-0345,212-315-0405,,,,,,,Approved,10/6/1993,2/24/2010,Y,WWW.THEINTELLIGENTDECISION.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"74,822,119.00",0,"74,822,119.00",141,0,141,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,139627,801-69742,"BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC","BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC",102 SE 13TH STREET,,PANORA,IA,UNITED STATES,50216,641-755-4635,641-755-3623,,,,,,,Approved,11/14/2008,2/24/2010,Y,WWW.BROKERSIFS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IA,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE OF ASSETS MANAGED BY THIRD-PARTY ADVISOR FIRMS,Y,0,"27,337,566.00","27,337,566.00",0,115,115,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107287,801-44378,CHANDLER ASSET MANAGEMENT INC,CHANDLER ASSET MANAGEMENT INC,6225 LUSK BOULEVARD,,SAN DIEGO,CA,UNITED STATES,92121-2796,858.546.3737,858.546.3741,,,,,,,Approved,7/22/1993,2/23/2010,Y,WWW.CHANDLERASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,HOSPITALS,Y,Y,N,Y,N,N,N,,Y,"4,393,676,465.00","611,544,873.00","5,005,221,338.00",769,13,782,N,Y,N,Y,N,N,N,N,N,Y,CONSULTING,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106305,801-53866,"THE BANC FUNDS COMPANY, L.L.C.","THE BANC FUNDS COMPANY, L.L.C.",20 NORTH WACKER DRIVE,SUITE 3300,CHICAGO,IL,UNITED STATES,60606-3105,312-855-6202,312-855-6610,,,,,,,Approved,2/14/1997,2/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,26-50 percent,0 percent,,Y,N,N,N,N,N,Y,SHARE OF NET CAPITAL GAINS,Y,"500,000,000.00",0,"500,000,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,118081,801-68170,"WOMACK INVESTMENT ADVISERS, INC","WOMACK INVESTMENT ADVISERS, INC",1366 E. 15TH STREET,,EDMOND,OK,UNITED STATES,73013,405-340-1717,405-340-6091,,,,,,,Approved,7/27/2007,2/23/2010,Y,WWW.WOMACKADVISERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"50,281,000.00",0,"50,281,000.00",358,0,358,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,109854,801-55760,APS ASSET MANAGEMENT INC,APS ASSET MANAGEMENT INC,1301 CAPITAL OF TEXAS HWY,STE B-221,AUSTIN,TX,UNITED STATES,78746,512-314-4375,512-314-4462,,,,,,,Approved,8/11/1998,2/23/2010,Y,HTTP://WWW.APS-IS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"38,556,775.00","194,390,555.00","232,947,330.00",2,1,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y
CHRO,123176,801-64556,MENTOR CAPITAL MANAGEMENT INC.,MENTOR CAPITAL MANAGEMENT INC.,105 S. YORK ST.,SUITE 450,ELMHURST,IL,USA,60126,630-530-1191,630-530-1442,,,,,,,Approved,8/24/2005,2/23/2010,Y,WWW.MENTORADVISERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"35,424,080.00","35,424,080.00",0,405,405,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,105294,801-8072,PORTFOLIOS INC,PORTFOLIOS INC,750 N ST PAUL,STE 1300,DALLAS,TX,UNITED STATES,75201-3250,214-720-9101,214-871-8948,,,,,,,Approved,12/8/1971,2/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"158,406,068.00",0,"158,406,068.00",48,0,48,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
MIRO,108412,801-57040,"A.T. WHITEHEAD, INC.",WHITEHEAD A T INC,"4320 EL PRADO BLVD., SUITE 19",,TAMPA,FL,UNITED STATES,33629,813-839-7122,813-839-6313,P. O. BOX 2245,,SISTERS,OR,UNITED STATES,97759,Approved,12/3/1999,2/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"28,370,983.00",0,"28,370,983.00",107,0,107,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,150422,801-70262,NORTHLINE WEALTH MANAGEMENT LLC,NORTHLINE WEALTH MANAGEMENT LLC,"15 SW COLORADO AVE, #200",,BEND,OR,UNITED STATES,97702,888-407-5463,888-407-5435,,,,,,,Approved,6/17/2009,2/23/2010,Y,WWW.NORTHLINEWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"36,039,237.00",0,"36,039,237.00",180,0,180,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,148278,801-69596,"LIGHTBOX CAPITAL MANAGEMENT, LLC","LIGHTBOX CAPITAL MANAGEMENT, LLC",444 MADISON AVENUE,41ST FLOOR,NEW YORK,NY,USA,10022,212-616-8000,212-616-8018,,,,,,,Approved,10/15/2008,2/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"142,514,951.00",0,"142,514,951.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N
NYRO,109952,801-60050,"QUADRANT CAPITAL MANAGEMENT, LLC","QUADRANT CAPITAL MANAGEMENT, LLC",7 NORTH MOUNTAIN AVENUE,2ND FLOOR,MONTCLAIR,NJ,USA,7042,973-783-8030,973-783-8035,,,,,,,Approved,3/2/2001,2/23/2010,Y,QUADRANTCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"177,984,166.00","2,891,683.00","180,875,849.00",277,11,288,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,113037,801-66470,THE BRAUNER COMPANY,THE BRAUNER COMPANY,"255 SHORELINE DRIVE, SUITE 150",,REDWOOD CITY,CA,USA,94065,650-574-0800,650-574-7282,,,,,,,Approved,4/6/2006,2/23/2010,Y,WWW.BRAUNERCOMPANY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"5,012,992.00","31,087,672.00","36,100,664.00",17,95,112,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,136729,801-64684,"STANLEY F. GREEN, LLC","STANLEY F. GREEN, LLC",700 LARKSPUR LANDING CIRCLE,STE. 285,LARKSPUR,CA,USA,94939-7826,415-461-7826,415-534-1700,,,,,,,Approved,9/8/2005,2/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"77,607,433.00","2,937,661.00","80,545,094.00",249,7,256,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,129836,801-62665,SHAUNESSY INVESTMENT COUNSEL,SHAUNESSY INVESTMENT COUNSEL INC.,933 17TH AVENUE SW,SUITE 504,CALGARY,,CANADA,T2T 5R6,403-802-3108,403-802-3119,,,,,,,Approved,1/23/2004,2/23/2010,Y,WWW.SHAUNESSY.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"ALBERTA, CANADA",5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,CLOSED END TRUST,Y,N,N,N,N,N,N,,Y,"122,261,978.00",0,"122,261,978.00",12,0,12,N,Y,N,N,N,N,N,N,N,Y,CLOSED END TRUSTS & FIRST NATIONS,0,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,125198,801-66621,"GENESIS FINANCIAL ADVISORY SERVICES, LLC.","GENESIS FINANCIAL ADVISORY SERVICES, LLC.",20 EAST 46TH STREET,SUITE 1401,NEW YORK,NY,UNITED STATES,10017,212-871-9898,212-871-9522,,,,,,,Approved,5/16/2006,2/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"25,425,855.00",0,"25,425,855.00",97,0,97,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,Y,N,N,Y,N,N,Y,N,Y,MORTGAGE SOLICITOR FOR BLS FUNDING CORP.,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,120826,801-63723,"ELDER PLANNING ADVISORS OF MAINE, INC.","ELDER PLANNING ADVISORS OF MAINE, INC.",1006 BROADWAY,,SOUTH PORTLAND,ME,USA,04106-4205,207-767-8225,207-767-6074,,,,,,,Approved,1/3/2005,2/23/2010,Y,WWW.EPAME.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,ME,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"31,345,337.00",0,"31,345,337.00",362,0,362,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106555,801-51809,WHITE OAKS WEALTH ADVISORS INC,WHITE OAKS WEALTH ADVISORS INC,"IDS CENTER, 80 SOUTH EIGHTH STREET",SUITE 1725,MINNEAPOLIS,MN,UNITED STATES,55402-2123,612-455-6900,612-455-6901,,,,,,,Approved,3/29/1996,2/23/2010,Y,WWW.WHITEOAKSWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"222,289,060.00","848,393.00","223,137,453.00",238,3,241,Y,Y,N,Y,N,Y,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105376,801-17430,"MILES CAPITAL, INC.","MILES CAPITAL, INC.",1415 28TH STREET,SUITE 200,WEST DES MOINES,IA,UNITED STATES,50266-1461,[515] 244-5426,[877] 656-9691,,,,,,,Approved,8/5/1982,2/23/2010,Y,WWW.MILES-CAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,10-Jun,0,More than 500,500,26-50 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,BANK TRUST DEPT,Y,N,N,Y,N,Y,Y,PROJECT CONSULTING FEES,Y,"3,723,939,620.00","830,689,469.00","4,554,629,089.00",612,2,614,N,Y,Y,Y,N,Y,Y,Y,N,Y,CHARITABLE FOUNDATIONS AND ENDOWMENTS,0,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,130380,801-65039,FLINT FINANCIAL INVESTMENTS MANAGEMENT CORPORATION,FLINT FINANCIAL INVESTMENTS MANAGEMENT CORPORATION,12629 NEW BRITTANY BOULEVARD,,FORT MYERS,FL,USA,33907,239-936-2777,239-936-7075,,,,,,,Approved,1/3/2006,2/23/2010,Y,WWW.FLINTFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"62,205,334.00","13,473,392.00","75,678,726.00",172,51,223,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105516,801-19765,PRIMECAP MANAGEMENT CO,PRIMECAP MANAGEMENT CO,225 SOUTH LAKE AVE STE 400,,PASADENA,CA,UNITED STATES,91101-3005,626-304-9222,626-577-1741,,,,,,,Approved,9/14/1983,2/23/2010,Y,HTTP://WWW.PRIMECAPMANAGEMENT.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,FOREIGN GOVERNMENT ENTITIES,Y,N,N,N,N,N,N,,Y,"62,821,797,726.00",0,"62,821,797,726.00",26,0,26,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,117825,801-67333,"COLHOUN, ROBINS, DAVENPORT & CO., LLC","COLHOUN, ROBINS, DAVENPORT & CO., LLC",505 OLIVE ST.,,WINSTON-SALEM,NC,UNITED STATES,27103,336-765-7595,336-765-8399,,,,,,,Approved,11/20/2006,2/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"53,455,277.00","53,455,277.00",0,208,208,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,Y,Y,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,120035,801-62387,RUBY CORPORATION,RUBY CORPORATION,23775 COMMERCE PARK ROAD,,BEACHWOOD,OH,USA,44122,216-595-8282,216-378-5178,,,,,,,Approved,10/6/2003,3/6/2007,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"48,000,000.00",0,"48,000,000.00",820,0,820,N,Y,N,N,N,N,N,N,Y,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110152,801-55273,CALIFORNIA FINANCIAL ADVISORS,"MALOON, POWERS, PITRE & HIGGINS, LLC","2303 CAMINO RAMON, SUITE 250",,SAN RAMON,CA,UNITED STATES,94583,925.275.1000,925.275.9109,,,,,,,Approved,2/18/1998,3/16/2010,Y,WWW.CALFINAD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"434,423,646.00","264,790,381.00","699,214,027.00","1,278",950,"2,228",Y,Y,N,N,N,N,N,N,N,Y,CONSULTING,More than 500,1000,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144082,801-68344,LUMINA FUND MANAGEMENT LLC,LUMINA FUND MANAGEMENT LLC,48 WALL STREET,SUITE 1100,NEW YORK,NY,USA,10005,212-918-4645,212-918-4801,,,,,,,Approved,9/12/2007,3/16/2010,Y,WWW.LUMINAFUND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,51-75 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"86,749,260.00",0,"86,749,260.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,119449,801-61084,"AMERICAN FINANCIAL MANAGEMENT GROUP, LTD.","AMERICAN FINANCIAL MANAGEMENT GROUP, LTD.",1205 WESTLAKES DRIVE,SUITE 365,BERWYN,PA,USA,19312,610-296-3393,610-640-0753,,,,,,,Approved,4/15/2002,3/16/2010,Y,WWW.AFGIFG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,26-100,0,11-25 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,0,"54,198,244.00","54,198,244.00",0,87,87,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109329,801-57510,KAYE CAPITAL MANAGEMENT,KAYE CAPITAL MANAGEMENT,11835 WEST OLYMPIC BLVD,SUITE 385 EAST,LOS ANGELES,CA,USA,90064,310-207-5293,310-231-1213,,,,,,,Approved,4/21/2000,3/16/2010,Y,WWW.KAYECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"89,466,731.00","17,182,500.00","106,649,231.00",134,12,146,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,138617,801-65786,"ASI INVESTMENTS, LLC","ASI INVESTMENTS, LLC",3675 MOUNT DIABLO BOULEVARD,SUITE 300,LAFAYETTE,CA,UNITED STATES,94549,925-299-7782,925-962-0658,,,,,,,Approved,1/30/2006,3/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,LICENSE FEE,Y,0,"135,000,000.00","135,000,000.00",0,2,2,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,112558,801-42266,"INVESTMENT MANAGEMENT CONSULTANTS, LTD.","INVESTMENT MANAGEMENT CONSULTANTS, LTD.",2505 W. ALAMO AVENUE,,LITTLETON,CO,UNITED STATES,80120,303-707-0360,303-707-1339,,,,,,,Approved,9/3/1992,3/16/2010,Y,WWW.IMC-LIMITED.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),S CORPORATION,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"42,206,727.00","42,206,727.00",0,424,424,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
ARO,106837,801-40329,INVESTOR ADVISORY GROUP,"INVESTOR ADVISORY GROUP, LLC",421A S SHARON AMITY ROAD,,CHARLOTTE,NC,UNITED STATES,28211,704-366-1120,704-366-1159,,,,,,,Approved,12/31/1991,3/16/2010,Y,WWW.THEIAG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"83,536,000.00","83,536,000.00",0,433,433,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,143409,801-67715,LEWIS ASSET MANAGEMENT,"LEWIS ASSET MANAGEMENT, LLC",250 LAFAYETTE CIRCLE,SUITE 300-B,LAFAYETTE,CA,UNITED STATES,94549,925-284-4033,925-284-4034,,,,,,,Approved,4/3/2007,3/16/2010,Y,WWW.LEWISASSETMANAGEMENT.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"39,000,000.00","2,000,000.00","41,000,000.00",150,27,177,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N
CHRO,106946,801-10677,BEADELL A D INVESTMENT COUNSEL INC,BEADELL A D INVESTMENT COUNSEL INC,10224 N PORT WASHINGTON ROAD,,MEQUON,WI,USA,53092,262-241-0331,262-241-0332,,,,,,,Approved,4/4/1975,3/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"151,926,348.00",0,"151,926,348.00",70,0,70,N,Y,N,N,N,N,N,N,N,Y,"TRUSTS, ESTATES AND NON-PROFIT ORGANIZATIONS",51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,127268,801-64494,"HERITAGE FINANCIAL SERVICES, INC.","HERITAGE FINANCIAL SERVICES, INC.",477 WASHINGTON STREET,STE #15,NORWOOD,MA,USA,2062,781-255-0214,781-255-0627,,,,,,,Approved,7/19/2005,3/16/2010,Y,WWW.HERITAGEFINANCIAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,More than 500,600,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"508,607,363.00",0,"508,607,363.00","2,291",0,"2,291",Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143356,801-68018,EVA ADVISERS LLC,EVA ADVISERS LLC,120 FIFTH AVENUE,SUITE 600,NEW YORK,NY,UNITED STATES,10011,646-467-6751,646-467-6737,,,,,,,Approved,6/27/2007,3/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,FIXED FEE DETERMINED BY # OF POSITIONS,Y,"120,811,586.00",0,"120,811,586.00",2,0,2,N,Y,N,Y,N,N,N,N,N,Y,MANAGE EQUITY HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,131377,801-70791,SOUTHERN TRUST FINANCIAL PLANNING,"SOUTHERN TRUST FINANCIAL PLANNING, INC.","1800 2ND STREET, SUITE 892",,SARASOTA,FL,UNITED STATES,34236,941-308-0041,941-308-0047,,,,,,,Approved,11/12/2009,3/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"33,056,684.00",0,"33,056,684.00",305,0,305,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,149463,801-69928,ALPINE WEALTH MANAGEMENT LLC,ALPINE WEALTH MANAGEMENT LLC,530 LYTTON AVE.,STE. 200,PALO ALTO,CA,UNITED STATES,94301,650-351-7988,650-529-9880,,,,,,,Approved,2/5/2009,3/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"10,000,000.00","30,000,000.00","40,000,000.00",10,25,35,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106455,801-37429,PRIME BUCHHOLZ & ASSOCIATES INC,PRIME BUCHHOLZ & ASSOCIATES INC,25 CHESTNUT STREET,,PORTSMOUTH,NH,UNITED STATES,3801,603-433-1143,603-433-8661,,,,,,,Approved,9/28/1990,3/16/2010,Y,WWW.PRIMEBUCHHOLZ.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,251-500,0,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,,N,N,N,Y,N,Y,Y,A PERCENTAGE OF ASSETS UNDER ADVISEMENT,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,Y,"GENERAL INVESTMENT CONSULTING - INVESTMENT PROGRAM DESIGN, ASSET ALLOCATION, MANAGER SEARCH/EVALUATION, PERFORMANCE MONITORING",0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,104630,801-30438,ROSENWALD CAPITAL MANAGEMENT INC,ROSENWALD CAPITAL MANAGEMENT INC,121 WEST TORRANCE BLVD,SUITE 100,REDONDO BEACH,CA,UNITED STATES,90277,310-318-9000,310-318-1156,,,,,,,Approved,7/31/1987,3/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,26-50 percent,26-50 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"200,511,980.00",0,"200,511,980.00",5,0,5,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,119485,801-61152,"EXECUTIVE ASSET MANAGEMENT, INC.","EXECUTIVE ASSET MANAGEMENT, INC.",110 TREALOUT DR,SUITE 101,FENTON,MI,USA,48430,810-750-1744,810-885-6175,,,,,,,Approved,5/10/2002,3/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,VARYING FEES FOR EDUCATIONAL WORKSHOPS AND SEMINARS,Y,"23,922,636.00","2,120,490.00","26,043,126.00",269,4,273,Y,Y,N,N,Y,Y,N,N,N,Y,EDUCATIONAL WORKSHOPS AND SEMINARS,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110827,801-14956,GEOCAPITAL LLC,GEOCAPITAL LLC,747 THIRD AVENUE,24TH FLOOR,NEW YORK,NY,UNITED STATES,10017-9998,212-486-4455,212-486-4469,,,,,,,Approved,12/5/1979,3/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"9,789,984.00","142,048,483.00","151,838,467.00",39,12,51,N,Y,N,N,N,N,N,N,N,Y,RESEARCH ADVISORY SERVICES TO PRIVATE PLACEMENT LIMITED PARTNERSHIPS,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108216,801-18013,TOWNSEND ASSET MANAGEMENT CORP.,TOWNSEND ASSET MANAGEMENT CORP.,5120 BUR OAK CIRCLE,,RALEIGH,NC,USA,27612,919-782-9689,919-783-0226,,,,,,,Approved,12/6/1982,3/16/2010,Y,WWW.ASSETMGR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"87,265,414.00",0,"87,265,414.00",538,0,538,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,149370,801-70307,"WEST WIND WEALTH MANAGEMENT, LLC","WEST WIND WEALTH MANAGEMENT, LLC",,,,,,,757-619-0456,,,,,,,,Approved,6/26/2009,3/16/2010,Y,WWW.WESTWINDWEALTH.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,0,0,0,0,0,0,10-Jan,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,036,289.00",0,"1,036,289.00",3,0,3,Y,Y,N,N,N,N,N,N,N,Y,DELIVERY OF PERSONALIZED PORTFOLIO RECOMMENDATIONS THROUGH AN INTERACTIVE WEBSITE,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110265,801-57760,KDP ASSET MANAGEMENT INC,KDP ASSET MANAGEMENT INC,24 ELM STREET,,MONTPELIER,VT,UNITED STATES,5602,802-223-0440,802-229-6060,,,,,,,Approved,7/25/2000,1/25/2010,Y,WWW.KDPAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"412,512,707.00",0,"412,512,707.00",38,0,38,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143250,801-67800,"AMERICAN INDEPENDENCE CAPITAL MANAGEMENT, LLC","AMERICAN INDEPENDENCE CAPITAL MANAGEMENT, LLC","335 MADISON AVENUE, MEZZANINE",,NEW YORK,NY,UNITED STATES,10017,646-747-3475,646-747-3478,,,,,,,Approved,5/11/2007,1/25/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"113,644,738.00",0,"113,644,738.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104877,801-19835,"MICHAEL J. CREW, INVESTMENT ADVISOR",CREW MICHAEL JOHN,205 WORCESTER COURT,UNIT C-3,FALMOUTH,MA,UNITED STATES,2540,508-548-2218,508-548-2289,,,,,,,Approved,9/28/1983,1/25/2010,Y,HTTP://WWW.OAKWOODGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"134,732,495.00",0,"134,732,495.00",106,0,106,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,139762,801-66315,"EXPLORADOR CAPITAL MANAGEMENT, LLC","EXPLORADOR CAPITAL MANAGEMENT, LLC",113 BARKSDALE PROFESSIONAL CENTER,,NEWARK,DE,UNITED STATES,19711,415-392-1300,415-392-1306,AV. FIGUEROA ALCORTA 3351,SUITE 001,BUENOS AIRES,,ARGENTINA,1425,Approved,3/29/2006,1/25/2010,Y,WWW.EXPLORADOR.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"58,000,000.00",0,"58,000,000.00",2,0,2,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,126927,801-62312,PRIVATE WEALTH ADVISORS,"PRIVATE WEALTH ADVISORS, INC.",4900 PERRY HIGHWAY,SUITE 300,PITTSBURGH,PA,UNITED STATES,15229,412-931-2700,412-931-2772,,,,,,,Approved,9/29/2003,1/25/2010,Y,WWW.PWAUSA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,000",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"588,527,000.00","80,005,000.00","668,532,000.00","2,412",7,"2,419",Y,Y,N,Y,Y,Y,N,N,N,Y,"INSURANCE, ESTATE PLANNING",More than 500,1000,N,N,N,N,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,Y,N,Y,N,Y,N,N,Y,N,Y,Y,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,117388,801-66329,"PARADIGM WEALTH ADVISORS, LLC","PARADIGM WEALTH ADVISORS, LLC",12231 MANCHESTER ROAD,,DES PERES,MO,USA,63131,314-966-3400,314-966-0422,,,,,,,Approved,3/8/2006,1/25/2010,Y,WWW.PARADIGMCLIENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"62,987,203.00","2,104,931.00","65,092,134.00",117,2,119,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104655,801-19434,JLB & ASSOCIATES INC,JLB & ASSOCIATES INC,"44670 ANN ARBOR RD, STE 190",,PLYMOUTH,MI,UNITED STATES,48170,734-454-9191,734-454-9194,,,,,,,Approved,7/27/1983,1/25/2010,Y,WWW.JLBINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"295,620,000.00",0,"295,620,000.00",169,0,169,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106695,801-41562,"FERGUSON, ANDREWS INVESTMENT ADVISERS, INC",FERGUSON ANDREWS INVESTMENT ADVISERS INC,"1000 EDNAM CENTER, STE 200",,CHARLOTTESVILLE,VA,UNITED STATES,22903-4613,434-293-7944,434-977-6089,P. O. BOX 5146,,CHARLOTTESVILLE,VA,UNITED STATES,22905-5146,Approved,5/22/1992,1/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"45,455,200.00",0,"45,455,200.00",87,0,87,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108090,801-54603,PARADIGM FINANCIAL ADVISORS LLC,PARADIGM FINANCIAL ADVISORS LLC,12231 MANCHESTER ROAD,,DES PERES,MO,USA,63131,314-966-3400,314-966-0422,,,,,,,Approved,7/1/1997,1/25/2010,Y,WWW.PFACLIENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"13,381,625.00","82,474,137.00","95,855,762.00",30,82,112,Y,Y,N,N,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,Y,FINANCIAL & ESTATE PLANNING,N,N,Y,N,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,133387,801-63715,OMNICAP GROUP LLC,OMNICAP GROUP LLC,139 HERMOSA AVE,,HERMOSA BEACH,CA,UNITED STATES,90254,310-318-3091,866-813-3613,,,,,,,Approved,12/3/2004,1/25/2010,Y,WWW.OMNICAP.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,51-75 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"664,417,650.00",0,"664,417,650.00",3,0,3,N,N,N,Y,N,N,N,N,N,Y,FINANCIAL ADVISORY AND INVESTMENT ADVISORY SERVICES,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107387,801-48913,"HV CAPITAL MANAGEMENT, INC.","HV CAPITAL MANAGEMENT, INC.","117 GRAND STREET, SUITE 201",,GOSHEN,NY,UNITED STATES,10924,845-294-6127,845-294-1438,P.O. BOX 268,,GOSHEN,NY,UNITED STATES,10924,Approved,4/7/1995,1/25/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,11-25 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"306,024,937.00","3,779,354.00","309,804,291.00",940,5,945,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,114925,801-61453,CONGRESS SPRINGS CAPITAL LLC.,"CONGRESS SPRINGS CAPITAL, LLC",,,,,,,207-846-6655,207-846-6655,,,,,,,Approved,10/2/2002,1/25/2010,Y,HTTP://CONGRESSSPRINGSCAPITAL.COM/INDEX.HTML,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,BY CHARGING A CONSULTATION FEE CALCULATED AS A PERCENTAGE OF A C,Y,0,"85,000,000.00","85,000,000.00",0,62,62,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,137814,801-65080,"TLC GROUP INVESTMENT ADVISORS, LLC","TLC GROUP INVESTMENT ADVISORS, LLC",270 WALKER DRIVE,,STATE COLLEGE,PA,UNITED STATES,16801,814-231-2265,814-231-2233,,,,,,,Approved,1/4/2006,3/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,11-25 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"23,117,969.00","51,780,931.00","74,898,900.00",121,75,196,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,129789,801-62672,CSM CAPITAL CORPORATION,CSM CAPITAL CORPORATION,625 MADISON AVENUE,3RD FLOOR,NEW YORK,NY,UNITED STATES,10022-1801,212-400-9551,212-813-9242,,,,,,,Approved,1/16/2004,3/16/2010,Y,WWW.CSMCAPITALCORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"460,000,000.00",0,"460,000,000.00",12,0,12,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES AND OTHER ENTITIES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,119077,801-60938,MILLBURN RIDGEFIELD CORPORATION,MILLBURN RIDGEFIELD CORPORATION,411 WEST PUTNAM AVENUE,,GREENWICH,CT,UNITED STATES,6830,203-625-8215,203-625-8220,,,,,,,Approved,3/8/2002,3/16/2010,Y,WWW.MILLBURNCORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"224,315,603.00",0,"224,315,603.00",5,0,5,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107764,801-56130,TRAPHAGEN FINANCIAL GROUP,TRAPHAGEN INVESTMENT ADVISORS LLC,234 KINDERKAMACK RD,,ORADELL,NJ,UNITED STATES,7649,201-262-1040,201-265-4533,,,,,,,Approved,1/7/1999,3/16/2010,Y,WWW.TRAPHAGEN-FINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"203,188,419.00",0,"203,188,419.00",833,0,833,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105707,801-18446,"OGOREK WEALTH MANAGEMENT, LLC","OGOREK WEALTH MANAGEMENT, LLC",SHERIDAN MEADOWS CORPORATE PARK NORTH,"6400 SHERIDAN DRIVE, SUITE 224",WILLIAMSVILLE,NY,UNITED STATES,14221-4842,716-626-5000,716-626-5509,,,,,,,Approved,3/11/1983,3/16/2010,Y,WWW.OGOREK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"207,339,275.00",0,"207,339,275.00",421,0,421,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,131407,801-63120,"PRICE WEALTH MANAGEMENT, INC.","PRICE WEALTH MANAGEMENT, INC.",111 CONGRESS,SUITE 3000,AUSTIN,TX,UNITED STATES,78701-4050,512-320-8550,512-597-0564,,,,,,,Approved,5/18/2004,3/16/2010,Y,WWW.PRICEWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"626,004,831.00","42,900,602.00","668,905,433.00",16,2,18,Y,Y,N,Y,N,Y,N,N,N,Y,NON-DISCRETIONARY INVESTMENT CONSULTING SERVICES,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105318,801-13697,WAKLEY & ROBERTON INC,WAKLEY & ROBERTON INC,500 108TH AVENUE NE,SUITE 1840,BELLEVUE,WA,UNITED STATES,98004-5532,425-455-4875,425-646-6724,,,,,,,Approved,1/31/1978,3/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"88,857,622.00",0,"88,857,622.00",58,0,58,N,Y,N,Y,N,N,N,N,N,Y,SPECIFIC CONSULTATION AND ADMIN. SERVICES REGARDING INVESTMENT AND FINANCIAL CONCERNS OF THE CLIENT.,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,114739,801-61391,RAMAJAL,RAMAJAL LLC,800 WEST SIXTH ST.,SUITE 728,LOS ANGELES,CA,UNITED STATES,90017-2713,213-488-0100,213-488-4902,,,,,,,Approved,8/14/2002,3/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"76,486,502.00",0,"76,486,502.00",19,0,19,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108849,801-56815,"BOGLE INVESTMENT MANAGEMENT, L.P.",BOGLE INVESTMENT MANAGEMENT L P,2310 WASHINGTON ST.,SUITE 310,NEWTON LOWER FALLS,MA,UNITED STATES,2462,781-283-5000,781-283-5010,,,,,,,Approved,9/27/1999,3/16/2010,Y,WWW.BOGLEFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,QUASI GOVERNMENTAL ENTITIES,Y,N,N,N,N,Y,N,,Y,"685,826,477.00",0,"685,826,477.00",8,0,8,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,148713,801-71249,"SUMMA GLOBAL ADVISORS, LLC","SUMMA GLOBAL ADVISORS, LLC",,,,,,,503-636-2022,503-635-6473,PO BOX 69022,,PORTLAND,OR,UNITED STATES,97239,Approved,4/7/2010,3/16/2010,Y,HTTP://SUMMAGLOBAL.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"79,753,925.00","12,557,517.00","92,311,442.00",225,58,283,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,134787,801-67323,THE MUTUAL FUND STORE,TMFS - LOUISVILLE LLC,10285 CHAMPION FARMS DRIVE,,LOUISVILLE,KY,UNITED STATES,40241,502-425-2512,502-425-2572,,,,,,,Approved,12/6/2006,3/16/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,500,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"85,196,499.00",0,"85,196,499.00","1,083",0,"1,083",Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,132373,801-63380,"SEDONA ASSET MANAGEMENT SERVICES, LLC","SEDONA ASSET MANAGEMENT SERVICES, LLC",,,,,,,480-614-5818,480-614-5818,,,,,,,Approved,8/11/2004,3/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"26,348,334.00",0,"26,348,334.00",44,0,44,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,132845,801-63543,"D F BURCH ADVISORS, LTD.","D F BURCH ADVISORS, LTD.",8111 PRESTON ROAD,SUITE 805,DALLAS,TX,USA,75225-6316,214-696-1725,214-696-0684,,,,,,,Approved,9/30/2004,3/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,LIMITED PARTNERSHIP,Y,N,N,Y,N,Y,N,,Y,"41,500,000.00","8,500,000.00","50,000,000.00",1,3,4,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR A LIMITED PARTNERSHIP,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,144588,801-68174,THE PERSONAL WEALTH COACH,"THE WEALTH COACH, LLC",918 NORTH MAIN STREET,,SALADO,TX,USA,76571,254-947-1111,254-947-0332,P.O. BOX 1029,,SALADO,TX,USA,76571-1029,Approved,7/27/2007,3/16/2010,Y,HTTP://WWW.THEPERSONALWEALTHCOACH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"62,936,723.00","2,673,057.00","65,609,780.00",656,25,681,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,128561,801-62750,MBG RETIREMENT,"MBG RETIREMENT, INC.",5151 SAN FELIPE,17TH FLOOR,HOUSTON,TX,UNITED STATES,77056,713-693-1650,281-664-4442,,,,,,,Approved,2/6/2004,3/16/2010,Y,WWW.MADISONBENEFITS.NET,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,148533,801-69675,BLUEFOOT PARTNERS LLC,BLUEFOOT PARTNERS LLC,514- 19TH AVE E,SUITE D,SEATTLE,WA,UNITED STATES,98112,206-322-5505,206-322-1131,,,,,,,Approved,10/23/2008,3/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"28,132,990.00",0,"28,132,990.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGER FOR PRIVATE POOLED INVESTMENT VEHICLE,0,,N,N,N,N,N,N,N,N,N,,N,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
LARO,123907,801-64695,"CARMEL CAPITAL PARTNERS, LLC","CARMEL CAPITAL PARTNERS, LLC",4225 EXECUTIVE SQUARE,SUITE 960,LA JOLLA,CA,USA,92037,858-457-7544,858-457-7522,,,,,,,Approved,9/23/2005,3/16/2010,Y,WWW.CARMELCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"78,631,000.00",0,"78,631,000.00",153,0,153,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,138419,801-65126,"FILAMENT, LLC","FILAMENT, LLC",701 PIKE STREET,SUITE 2225,SEATTLE,WA,UNITED STATES,98101,206-436-2300,206-436-2301,,,,,,,Approved,1/12/2006,3/16/2010,Y,WWW.FILAMENTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"502,680,768.00","283,172,404.00","785,853,172.00",141,45,186,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,144984,801-68361,"WELLESLEY INVESTMENT PARTNERS, LLC","WELLESLEY INVESTMENT PARTNERS, LLC",47 CHURCH STREET,,WELLESLEY,MA,UNITED STATES,2482,781-431-1325,781-237-9549,,,,,,,Approved,9/17/2007,2/22/2010,Y,WWW.WELLESLEYINVESTMENTPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,Up to 10 percent,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"34,597,791.00",0,"34,597,791.00",25,0,25,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,121412,801-63331,"STONEGATE WEALTH MANAGEMENT, LLC","STONEGATE WEALTH MANAGEMENT, LLC",17-17 ROUTE 208,SUITE 250,FAIR LAWN,NJ,USA,7410,201-791-0085,201-625-6303,,,,,,,Approved,7/2/2004,2/22/2010,Y,WWW.STONEGATEWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"201,300,215.00","4,120,130.00","205,420,345.00",900,20,920,Y,Y,N,Y,Y,Y,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108317,801-58133,"CPA INVESTMENT SOLUTIONS, LLC","CPA INVESTMENT SOLUTIONS, LLC",1002 FLORAL VALE BLVD,,YARDLEY,PA,UNITED STATES,19067,215-497-5050,215-497-5059,,,,,,,Approved,11/28/2000,2/22/2010,Y,WWW.CPAINVESTMENTSOLUTIONS.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"2,452,648.00","32,329,055.00","34,781,703.00",11,105,116,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145590,801-68614,"NYHART CONSULTING, LLC","NYHART CONSULTING, LLC",8415 ALLISON POINTE BLVD.,SUITE 300,INDIANAPOLIS,IN,UNITED STATES,46250,317-845-3500,317-845-3650,,,,,,,Approved,12/17/2007,2/22/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,FLAT FEES,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,Y,HOURLY CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106658,801-48299,THE ELLERSON GROUP INC,THE ELLERSON GROUP INC,705 MELVIN AVE,SUITE 101,ANNAPOLIS,MD,USA,21401-1534,410-280-3103,410-280-9024,,,,,,,Approved,2/21/1995,2/22/2010,Y,WWW.ELLERSONGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"84,212,807.00","4,908,861.00","89,121,668.00",72,2,74,Y,Y,N,N,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137799,801-65815,"ARGONAUT MANAGEMENT, L.P.","ARGONAUT MANAGEMENT, L.P.",546 FIFTH AVENUE,17TH FLOOR,NEW YORK,NY,UNITED STATES,10036,(212) 317-2012,(212) 317-8092,,,,,,,Approved,1/30/2006,2/22/2010,Y,WWW.ARGONAUTCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"650,150,000.00",0,"650,150,000.00",8,0,8,N,N,N,N,N,N,N,N,N,Y,INVESTMENT MANAGER OF PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,152545,801-70946,STEELPATH FUND ADVISORS LLC,STEELPATH FUND ADVISORS LLC,2100 MCKINNEY AVENUE,SUITE 1401,DALLAS,TX,UNITED STATES,75201,214-740-6040,214-740-6041,,,,,,,Approved,1/7/2010,5/5/2010,Y,WWW.STEELPATH.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"80,000,000.00",0,"80,000,000.00",3,0,3,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109600,801-54962,CARNEGIE CAPITAL ADVISORS LLC,CARNEGIE CAPITAL ADVISORS LLC,SOUTH PARK TOWERS 12TH FLOOR,6000 FAIRVIEW RD,CHARLOTTE,NC,UNITED STATES,28210,704-643-6464,866 422 7452,PO BOX 11967,,CHARLOTTE,NC,UNITED STATES,28220,Approved,10/15/1997,5/5/2010,Y,WWW.CARNEGIECAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"47,891,697.00",0,"47,891,697.00",167,0,167,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,137996,801-64907,STEELPATH CAPITAL MANAGEMENT,STEELPATH CAPITAL MANAGEMENT LLC,2100 MCKINNEY AVENUE,SUITE 1401,DALLAS,TX,UNITED STATES,75201,214-740-6040,214-740-6041,,,,,,,Approved,11/22/2005,5/5/2010,Y,WWW.STEELPATH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"73,242,177.00",0,"73,242,177.00",42,0,42,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT ADVICE TO PRIVATE FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,128097,801-66144,"CAPSTONE WEALTH MANAGEMENT GROUP, LLC","CAPSTONE WEALTH MANAGEMENT GROUP, LLC",908 NE 4TH ST.,SUITE 201,BEND,OR,UNITED STATES,97701,541-330-0266,541-330-0254,,,,,,,Approved,2/1/2006,5/5/2010,Y,WWW.CAPSTONEADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"54,318,932.00","15,791,132.00","70,110,064.00",471,49,520,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,152971,801-71130,"BROADHAVEN CAPITAL PARTNERS GP I, LLC","BROADHAVEN CAPITAL PARTNERS GP I, LLC",5215 OLD ORCHARD ROAD,SUITE 630,SKOKIE,IL,UNITED STATES,60077,847-581-4242,847-581-4250,,,,,,,Approved,2/23/2010,5/5/2010,Y,WWW.BROADHAVEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"105,000,000.00",0,"105,000,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,Y,HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105182,801-35773,"OPTIMUM INVESTMENT ADVISORS, LLC","OPTIMUM INVESTMENT ADVISORS, LLC",100 SOUTH WACKER DRIVE,SUITE 2100,CHICAGO,IL,UNITED STATES,60606,312-782-1515,312-782-9797,,,,,,,Approved,12/28/1989,5/5/2010,Y,WWW.OPTIMUMINVESTMENT.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,183,474,043.00","1,712,640.00","2,185,186,683.00",847,10,857,Y,Y,Y,Y,N,Y,Y,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,149371,801-69901,"ENNIS KNUPP SERVICES, LLC","ENNIS KNUPP SERVICES, LLC",10 S. RIVERSIDE PLAZA,SUITE 1600,CHICAGO,IL,UNITED STATES,60606-3830,312-715-3324,312-715-1952,,,,,,,Approved,2/13/2009,5/5/2010,Y,HTTP://WWW.ENNISKNUPP.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,N,N,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,136634,801-65879,"RGM CAPITAL, LLC","RGM CAPITAL, LLC",6621 WILLOW PARK DRIVE,SUITE ONE,NAPLES,FL,UNITED STATES,34109,239-593-1280,239-593-0563,,,,,,,Approved,2/1/2006,5/5/2010,Y,NONE,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"141,449,013.00",0,"141,449,013.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES AND SEPARATELY MANAGED ACCOUNTS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,133587,801-63763,MEDLEY & BROWN,"MEDLEY & BROWN,LLC",795 WOODLANDS PARKWAY SUITE 104,,RIDGELAND,MS,USA,39157,601-982-4123,601-366-0013,P. O. BOX 16725,,JACKSON,MS,USA,39236-6725,Approved,1/3/2005,5/5/2010,Y,WWW.MEDLEYBROWN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MS,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"395,765,861.00",0,"395,765,861.00",492,0,492,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135760,801-64706,"SANSAR CAPITAL MANAGEMENT, L.L.C.","SANSAR CAPITAL MANAGEMENT, L.L.C.",152 WEST 57TH STREET,8TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-399-8980,917-849-5120,,,,,,,Approved,9/13/2005,5/5/2010,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,AN AFFILIATE OF ADVISER RECEIVES PERFORMANCE-BASED ALLOCATIONS.,Y,"1,016,000,000.00",0,"1,016,000,000.00",7,0,7,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES TO POOLED INVESTMENT VEHICLES.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,125986,801-65128,"NIGHTWATCH CAPITAL ADVISORS, LLC","NIGHTWATCH CAPITAL ADVISORS, LLC",5314 RIVER RUN DRIVE,SUITE 350,PROVO,UT,UNITED STATES,84604,801-805-1300,801-228-1987,,,,,,,Approved,1/9/2006,5/5/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"7,690,485.00",0,"7,690,485.00",3,0,3,N,N,N,Y,N,N,N,N,N,Y,NON-DISCRETIONARY AND NON-CONTINUOUS ADVICE REGARDING SECURITIES SELECTION.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,140844,801-67148,TITANIUM CAPITAL,TITANIUM CAPITAL PARTNERS LLP,38 BERKELEY SQUARE,,LONDON,,UNITED KINGDOM,W1J 5AE,44 (0) 207529 6370,44 (0) 207529 6388,,,,,,,Approved,10/13/2006,5/8/2007,Y,WWW.TITANIUMCAPITAL.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"68,736,154.00",0,"68,736,154.00",5,0,5,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106550,801-21522,JNBA FINANCIAL ADVISORS INC,JNBA FINANCIAL ADVISORS INC,8500 NORMANDALE LAKE BLVD,STE 1950,BLOOMINGTON,MN,UNITED STATES,55437,952-844-0995,952-844-0996,,,,,,,Approved,6/29/1984,5/5/2010,Y,WWW.JNBA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,More than 500,500,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"296,700,055.00",0,"296,700,055.00","1,668",0,"1,668",Y,Y,N,N,Y,N,N,N,N,Y,MATTERS NOT INVOLVING SECURITIES,251-500,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153790,801-71418,"CHELSEA ASSET MANAGEMENT COMPANY, LLC","CHELSEA ASSET MANAGEMENT COMPANY, LLC",515 MADISON AVENUE,29TH FLOOR,NEW YORK,NY,UNITED STATES,10022,619 977-1704,858 225-3973,P.O. BOX 675453,,RANCHO SANTA,CA,UNITED STATES,92067,120-Day Approval,5/11/2010,5/5/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,128719,801-62423,"ALPHA PARTNERS, LLC","ALPHA PARTNERS, LLC","600 WEST LAFAYETTE, SUITE 108",,DETROIT,MI,UNITED STATES,48226,313-963-4911,313-963-3430,,,,,,,Approved,10/6/2003,5/5/2010,Y,WWW.ALPHAPARTNERSLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,More than 75 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"200,000,000.00",0,"200,000,000.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,107987,801-54831,"FAIRHOLME CAPITAL MANAGEMENT, L.L.C.","FAIRHOLME CAPITAL MANAGEMENT, L.L.C.",4400 BISCAYNE BOULEVARD,9TH FLOOR,MIAMI,FL,UNITED STATES,33137,305-358-3000,305-358-8002,,,,,,,Approved,8/21/1997,5/5/2010,Y,WWW.FAIRHOLMEFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,251-500,0,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"13,048,000,000.00",0,"13,048,000,000.00",383,0,383,N,Y,Y,Y,N,N,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,26104,801-67045,THE GARBACZ GROUP INC.,THE GARBACZ GROUP INC.,655 CRAIG ROAD,SUITE 104,ST. LOUIS,MO,USA,63141,314-991-1303,314-991-1505,,,,,,,Approved,7/28/2006,5/5/2010,Y,WWW.GARBACZGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,Y,Y,SOLICITOR/REFERRAL FEES,Y,"25,002,070.00",0,"25,002,070.00",85,0,85,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105925,801-50288,NORTHSTAR CAPITAL INC,NORTHSTAR CAPITAL INC,84 STATE STREET,,BOSTON,MA,UNITED STATES,2109,617-723-3100,617-723-3114,,,,,,,Approved,10/13/1995,5/5/2010,Y,HTTP://WWW.NORTHSTARCAPITALINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"38,002,565.00","11,030,655.00","49,033,220.00",168,9,177,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,138638,801-65091,CORNERSTONE ADVISORS ASSET MANAGEMENT INC.,CORNERSTONE ADVISORS ASSET MANAGEMENT INC.,"74 WEST BROAD STREET, SUITE 340",,BETHLEHEM,PA,UNITED STATES,18018,(610) 694-0900,(610) 867-8614,,,,,,,Approved,1/4/2006,5/5/2010,Y,WWW.CORNERSTONE-COMPANIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"977,381,891.00","1,498,650,213.00","2,476,032,104.00",415,78,493,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109325,801-57400,MCQUEEN FINANCIAL ADVISORS,MCQUEEN FINANCIAL ADVISORS,26676 WOODWARD AVE,,ROYAL OAK,MI,UNITED STATES,48067,248-548-8400,248-282-0397,,,,,,,Approved,3/27/2000,5/5/2010,Y,WWW.M-F-A.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"5,048,429.00","1,237,044,000.00","1,242,092,429.00",9,44,53,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,142550,801-67436,"ADMIRAL CAPITAL MANAGEMENT, LLC","ADMIRAL CAPITAL MANAGEMENT, LLC","41 W. PUTNAM AVE, SUITE 300",,GREENWICH,CT,UNITED STATES,6830,203-422-7290,866-585-3523,,,,,,,Approved,1/5/2007,5/5/2010,Y,WWW.ADMIRALCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"150,394,683.00",0,"150,394,683.00",3,0,3,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGER TO PRIVATE POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,151081,801-70526,"ASSET MANAGEMENT PARTNERS, LLC","ASSET MANAGEMENT PARTNERS, LLC",968 POSTAL ROAD,MRAE SUITE 220,ALLENTOWN,PA,UNITED STATES,18109,800-257-2574,610-422-2633,,,,,,,Approved,9/2/2009,5/5/2010,Y,WWW.MRAERESOURCES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"982,579,000.00","982,579,000.00",0,7,7,N,Y,N,Y,N,N,Y,Y,N,Y,INVESTMENT REVIEWS AND VALUATIONS,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,125648,801-62147,"PKS ADVISORY SERVICES, LLC","PKS ADVISORY SERVICES, LLC",18 CORPORATE WOODS BOULEVARD,,ALBANY,NY,USA,12211,(518)426-5791,(518)436-3868,,,,,,,Approved,6/20/2003,5/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"1,000",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"196,505,539.00","94,172,957.00","290,678,496.00","1,263",402,"1,665",Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,N,Y,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,124205,801-61693,WTAS LLC,WTAS LLC,1600 TYSONS BOULEVARD,SUITE 300,MCLEAN,VA,UNITED STATES,22102,571-382-0020,703-442-0181,,,,,,,Approved,1/9/2003,5/5/2010,Y,WWW.WTAS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,251-500,0,Nov-50,0,5-Jan,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,"ENDOWMENTS, OTHER NOT-FOR-PROFIT ORGANIZATIONS AND FAMILY PARTNERSHIPS",Y,Y,N,Y,N,N,Y,PER DIEM BASIS,Y,0,"844,664,320.00","844,664,320.00",0,104,104,Y,Y,N,Y,N,Y,Y,N,N,Y,SEMINARS AND EDUCATIONAL PROGRAMS,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124064,801-69004,"MICHIGAN ADVISORS, INC","MICHIGAN ADVISORS, INC",21415 CIVIC CENTER DRIVE,SUITE 200,SOUTHFIELD,MI,USA,48076,248-358-4393,248-358-4374,,,,,,,Approved,4/8/2008,5/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SET UP & INITIAL CONSULTATION FEE,Y,"22,593,127.00","26,957,967.00","49,551,094.00",165,267,432,Y,Y,N,Y,Y,Y,N,N,Y,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109416,801-55753,CAPITAL MANAGEMENT LLC,CAPITAL MANAGEMENT LLC,"628 GREEN VALLEY ROAD, SUITE 204",,GREENSBORO,NC,UNITED STATES,27408,336-856-2911,336-856-9199,,,,,,,Approved,7/24/1998,5/5/2010,Y,WWW.CAPITALMGMTINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"49,623,194.00","17,401,517.00","67,024,711.00",236,65,301,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,137815,801-65625,LEGACY PRIVATE WEALTH MANAGEMENT,"GRIMALDI, ROBERT, ORLANDO",35251 EDYTHE DRIVE,,FARMINGTON HILLS,MI,USA,48331,248-553-0861,248-553-0862,,,,,,,Approved,1/30/2006,10/27/2006,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MI,UNITED STATES,5-Jan,0,0,0,0,0,0,0,0,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"27,000,000.00","27,000,000.00",0,52,52,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106561,801-48186,CADENCE CAPITAL MANAGEMENT LLC,CADENCE CAPITAL MANAGEMENT LLC,265 FRANKLIN STREET,11TH FLOOR,BOSTON,MA,UNITED STATES,02110-3113,(617) 624-3500,(617) 624-3591,,,,,,,Approved,11/14/1994,3/31/2010,Y,WWW.CADENCECAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,101-250,0,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,238,515,778.00","618,811,675.00","5,857,327,453.00",148,5,153,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,145083,801-68452,"WEST RIM CAPITAL ADVISORS, L.P.","WEST RIM CAPITAL ADVISORS, L.P.",3400 N. ASHTON BLVD.,SUITE 400,LEHI,UT,UNITED STATES,84043,801-407-8400,801-407-8417,,,,,,,Approved,10/18/2007,3/31/2010,Y,WWW.SORENSONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"145,313,852.00",0,"145,313,852.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,145085,801-68453,"WEST RIM CAPITAL ASSOCIATES II, L.P.","WEST RIM CAPITAL ASSOCIATES II, L.P.",3400 N. ASHTON BLVD.,SUITE 400,LEHI,UT,UNITED STATES,84043,801-407-8400,801-407-8417,,,,,,,Approved,10/18/2007,3/31/2010,Y,WWW.SORENSONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"145,313,852.00",0,"145,313,852.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110489,801-11781,"BECKER CAPITAL MANAGEMENT, INC.",BECKER CAPITAL MANAGEMENT INC,1211 SW 5TH AVENUE,SUITE 2185,PORTLAND,OR,UNITED STATES,97204,503-223-1720,503-223-3624,,,,,,,Approved,4/19/1977,3/31/2010,Y,WWW.BECKERCAP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,251-500,0,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,Y,N,Y,Y,CONSULTING,Y,"2,002,028,961.00",0,"2,002,028,961.00",874,0,874,Y,Y,Y,Y,N,N,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111980,801-53325,"CYPRESSTREE INVESTMENT MANAGEMENT, LLC","CYPRESSTREE INVESTMENT MANAGEMENT, LLC",ONE BOSTON PLACE,16TH FLOOR,BOSTON,MA,UNITED STATES,2108,617-371-9300,617-371-9362,,,,,,,Approved,12/11/1996,3/31/2010,Y,HTTP://WWW.CYPTREE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,STRUCTURED FINANCE COMPANIES,Y,N,N,N,N,Y,N,,Y,"2,335,082,898.00",0,"2,335,082,898.00",12,0,12,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MGMT/RESEARCH&SUPPORT SVC FOR POOLED INVESTMENT VEHICLES/SPECIAL PURPOSE FINANCE COS./AN AFFILIATED INVESTMENT ADVISER,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,116105,801-60624,"FRIESS ASSOCIATES OF DELAWARE, LLC","FRIESS ASSOCIATES OF DELAWARE,LLC",3711 KENNETT PIKE,,GREENVILLE,DE,UNITED STATES,19807,302-656-3017,302-656-7644,P.O. BOX 4166,,GREENVILLE,DE,UNITED STATES,19807,Approved,10/5/2001,3/31/2010,Y,WWW.BRANDYWINEFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,11-25 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,EXPENSES PLUS 10 PERCENT OF THOSE EXPENSES,Y,"5,024,094,046.00",0,"5,024,094,046.00",4,0,4,N,N,Y,N,N,N,N,N,N,Y,OTHER INVESTMENT ADVISER AND A DELAWARE BUSINESS TRUST,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107753,801-36203,"THE SPANGLER GROUP, INC.","THE SPANGLER GROUP, INC.",,,,,,,206-720-6114,206-720-6101,,,,,,,Approved,3/15/1990,3/31/2010,Y,WWW.SPANGLERGROUP.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,Y,N,,Y,"92,565,137.00","7,169,221.00","99,734,358.00",136,29,165,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,148142,801-69534,BREEDEN EUROPEAN VENTURES LLC,BREEDEN EUROPEAN VENTURES LLC,100 NORTHFIELD STREET,,GREENWICH,CT,UNITED STATES,6830,203-618-0065,203-618-0063,,,,,,,Approved,8/22/2008,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"290,587,065.00",0,"290,587,065.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,124627,801-62048,"WHITESTAR ADVISORS, LLC","WHITESTAR ADVISORS, LLC",902 CLINT MOORE ROAD,SUITE 220,BOCA RATON,FL,USA,33487,561-999-9949,561-999-9948,,,,,,,Approved,5/9/2003,3/31/2010,Y,WWW.WHITESTARLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"350,000,000.00","425,000,000.00","775,000,000.00",11,1,12,N,N,N,N,Y,Y,N,N,N,Y,REAL ESTATE INVESTMENTS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,107679,801-35487,SAYBROOK CAPITAL CORP,SAYBROOK CAPITAL CORP,2000 FRONTIS PLAZA BLVD,SUITE 106,WINSTON SALEM,NC,UNITED STATES,27103,336-659-0290,336-659-0282,,,,,,,Approved,11/9/1989,3/31/2010,Y,WWW.SAYBROOKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"252,000,000.00","118,000,000.00","370,000,000.00",130,19,149,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111746,801-45236,"NATIONAL INVESTMENT SERVICES, INC","NATIONAL INVESTMENT SERVICES, INC",777 E. WISCONSIN AVENUE,SUITE 2350,MILWAUKEE,WI,USA,53202-5310,414-765-1980,414-765-1999,PO BOX 3110,,MILWAUKEE,WI,USA,53201-3110,Approved,11/22/1993,3/31/2010,Y,WWW.NISI.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,ENDOWMENT,Y,N,N,N,N,Y,N,,Y,"2,764,400,000.00",0,"2,764,400,000.00",105,0,105,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,145330,801-68434,"SOUND ASSET MANAGEMENT GROUP, LLC","SOUND ASSET MANAGEMENT GROUP, LLC",8754 BAY 16TH STREET,SUITE B,BROOKLYN,NY,UNITED STATES,11214,718-331-3700,718-236-6595,,,,,,,Approved,10/18/2007,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,OTHER INVESTMENT ADVISER,Y,N,N,N,N,N,N,,Y,"47,138,793.00",0,"47,138,793.00",248,0,248,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106598,801-42832,PRIVATE ASSET MANAGEMENT INC,PRIVATE ASSET MANAGEMENT INC,5348 CARROLL CANYON ROAD,SUITE 200,SAN DIEGO,CA,UNITED STATES,92121-1733,858-750-4200,858-750-4250,,,,,,,Approved,12/3/1992,3/31/2010,Y,PAMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"621,847,408.00","57,323,905.00","679,171,313.00","1,652",266,"1,918",N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108371,801-54979,ZAIS GROUP,ZAIS GROUP LLC,2 BRIDGE AVE. SUITE #322,,RED BANK,NJ,UNITED STATES,07701-1106,732-450-7452,732-747-7619,,,,,,,Approved,10/21/1997,3/31/2010,Y,WWW.ZAISGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,UNIVERSITY ENDOWMENTS,Y,N,N,Y,N,Y,Y,STRUCTURING FEES; RESERVE PAYMENTS,Y,"7,581,053,511.00",0,"7,581,053,511.00",55,0,55,N,N,N,Y,N,N,N,N,N,Y,SALE OF DATA AND ANALYTIC SERVICES,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,139021,801-65744,BREEDEN CAPITAL MANAGEMENT LLC,BREEDEN CAPITAL MANAGEMENT LLC,100 NORTHFIELD STREET,,GREENWICH,CT,UNITED STATES,6830,203-618-0065,203-618-0063,,,,,,,Approved,1/26/2006,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,293,355,496.00",0,"1,293,355,496.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,19299,801-61971,"ESTRADA HINOJOSA & COMPANY, INC.","ESTRADA HINOJOSA & COMPANY, INC.","1717 MAIN ST.,",SUITE 4700,DALLAS,TX,UNITED STATES,75201-7361,214-658-1670,214-658-1671,,,,,,,Approved,4/15/2003,3/31/2010,Y,WWW.EHMUNI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"1,345,197,123.00","1,345,197,123.00",0,10,10,N,N,N,Y,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,114673,801-32082,NOVOS PLANNING ASSOCIATES INC,NOVOS PLANNING ASSOCIATES INC,28 WEST 44TH STREET,SUITE 709,NEW YORK,NY,UNITED STATES,10036,212-355-1806,212-626-7806,,,,,,,Approved,5/20/1988,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"81,594,068.00","81,594,068.00",0,65,65,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,115570,801-69632,LINK FINANCIAL CORPORATION,LINK FINANCIAL CORPORATION,17304 PRESTON ROAD,SUITE 615,DALLAS,TX,UNITED STATES,75252-5625,972-381-4620,972-381-4629,,,,,,,Approved,10/15/2008,3/31/2010,Y,WWW.LINKRESOURCEGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PROJECT RATES OR ESTIMATES OF COMPREHENSIVE FINANCIAL PLANNING,Y,"34,035,680.00",152,"34,035,832.00",66,1,67,Y,Y,N,Y,Y,Y,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N
CHRO,109834,801-46040,HIGHLAND CONSULTING ASSOCIATES INC.,HIGHLAND CONSULTING ASSOCIATES INC.,"159 CROCKER PARK BLVD., SUITE 350",,CLEVELAND,OH,USA,44145-8132,440-808-1500,440-808-1550,,,,,,,Approved,3/18/1994,3/31/2010,Y,WWW.HIGHLANDUSA.NET,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,51-75 percent,DEFINED CONTRIBUTION PLAN SPONSORS,N,Y,N,Y,N,N,Y,A PERCENTAGE OF ASSETS FEE FOR INVESTMENT ADVISORY CONSULTING,Y,0,"79,300,000.00","79,300,000.00",0,19,19,Y,Y,N,Y,Y,Y,N,N,N,Y,INVESTMENT CONSULTING SERVICES TO DEFINED CONTRIBUTION PLAN SPONSORS,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,130841,801-62915,CAPITAL FINANCIAL MANAGEMENT,"SHELDON, KIRK ROY",2221 CAMINO DEL RIO SOUTH,SUITE 303,SAN DIEGO,CA,UNITED STATES,92108-3718,619-295-4883,619-299-9344,,,,,,,Approved,3/17/2004,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"31,006,000.00","31,006,000.00",0,281,281,Y,Y,N,N,Y,Y,N,N,N,N,,101-250,,N,N,N,Y,N,Y,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,105587,801-66411,ZPR INVESTMENT MANAGEMENT INC,ZPR INVESTMENT MANAGEMENT INC,1642 N VOLUSIA AVE,SUITE 102,ORANGE CITY,FL,UNITED STATES,32763-3841,386-775-1177,386-775-7749,,,,,,,Approved,4/12/2006,3/31/2010,Y,WWW.ZPRIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"74,435,492.00",0,"74,435,492.00",111,0,111,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,37216,801-70715,SANTANDER INVESTMENT SECURITIES INC.,SANTANDER INVESTMENT SECURITIES INC.,45 EAST 53RD STREET,,NEW YORK,NY,UNITED STATES,10022-4604,212-407-7812,212-407-7870,,,,,,,Approved,11/4/2009,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,25-Nov,0,0 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,SOVEREIGN WEALTH FUNDS,N,N,N,Y,N,N,Y,FEES (PROVIDED FOR FIRM RESEARCH),Y,"236,369,732.00",0,"236,369,732.00",1,0,1,N,N,N,Y,N,N,N,N,N,Y,RESEARCH,,,N,N,Y,N,Y,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
BRO,133790,801-63830,"NEW ENGLAND PRIVATE WEALTH ADVISORS, LLC","NEW ENGLAND PRIVATE WEALTH ADVISORS, LLC","36 WASHINGTON STREET, SUITE 395",,WELLESLEY,MA,UNITED STATES,2481,781-416-1700,781-416-1718,,,,,,,Approved,1/27/2005,3/31/2010,Y,WWW.NEPWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"369,252,051.00","169,706,855.00","538,958,906.00","1,191",274,"1,465",Y,Y,N,N,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,130131,801-62752,"WELLINGTON CAPITAL MANAGEMENT, INC","WELLINGTON CAPITAL MANAGEMENT, INC.",7272 WISCONSIN AVENUE,SUITE 300,BETHESDA,MD,UNITED STATES,20814,301-941-1997,,,,,,,,Approved,1/30/2004,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"33,949,534.00","5,685,000.00","39,634,534.00",116,10,126,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107103,801-24483,"STERLING JOHNSTON CAPITAL MANAGEMENT, L.P.","STERLING JOHNSTON CAPITAL MANAGEMENT, L.P.",50 CALIFORNIA STREET,SUITE 3325,SAN FRANCISCO,CA,UNITED STATES,94111-4713,(415) 477-2300,(415) 477-2332,,,,,,,Approved,6/28/1985,3/31/2010,Y,WWW.STERLINGJOHNSTON.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,11-25 percent,26-50 percent,0 percent,11-25 percent,0 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"491,334,263.00",0,"491,334,263.00",27,0,27,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107325,801-47993,300 NORTH CAPITAL,"300 NORTH CAPITAL, LLC",300 NORTH LAKE AVE,PENTHOUSE,PASADENA,CA,UNITED STATES,91101-5677,626-449-8500,626-395-5603,,,,,,,Approved,12/9/1994,3/31/2010,Y,WWW.300NORTHCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"559,472,759.00",0,"559,472,759.00",16,0,16,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108023,801-55482,"COBBLESTONE CAPITAL ADVISORS, LLC","COBBLESTONE CAPITAL ADVISORS, LLC",140 ALLENS CREEK RD,,ROCHESTER,NY,UNITED STATES,14618-3304,585-473-3333,585-473-1662,,,,,,,Approved,5/8/1998,3/31/2010,Y,WWW.COBBLESTONECAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"722,315,777.00",0,"722,315,777.00","1,104",0,"1,104",Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106109,801-53321,CHOATE INVESTMENT ADVISORS,CHOATE INVESTMENT ADVISORS LLC,TWO INTERNATIONAL PLACE,,BOSTON,MA,UNITED STATES,2110,617-973-4900,617-248-4000,,,,,,,Approved,11/29/1996,3/31/2010,Y,WWW.CHOATE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,LAW FIRM,Y,N,N,Y,N,N,N,,Y,"1,537,443,804.00","263,749,230.00","1,801,193,034.00","1,062",208,"1,270",N,Y,N,Y,N,Y,Y,N,N,Y,INVESTMENT ADVICE TO ATTORNEYS IN THEIR CAPACITY AS FIDUCIARIES (NON - DISCRETIONARY),,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,136707,801-67366,SOUTHRIDGE WEALTH MANAGEMENT LLC,SOUTHRIDGE WEALTH MANAGEMENT LLC,850 THIRD AVENUE,16TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-994-9870,212-994-9879,,,,,,,Approved,1/3/2007,3/31/2010,Y,WWW.SOUTHRIDGEGROUP.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"2,457,696.00",0,"2,457,696.00",3,0,3,N,Y,N,N,N,N,N,N,N,N,,0,,Y,N,N,N,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,128876,801-62497,"THE PRIVATE INVESTMENT GROUP, INC.","THE PRIVATE INVESTMENT GROUP, INC.",1065 E CENTERVILLE STATION RD,,CENTERVILLE,OH,UNITED STATES,45459,937-434-0500,937-428-9200,,,,,,,Approved,11/7/2003,3/31/2010,Y,WWW.PRIVATEINVESTMENTGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"76,396,204.00","9,337,636.00","85,733,840.00",226,26,252,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,115840,801-68560,THE HENDERSON GROUP,"HG INTERNATIONAL, INC.",1600 N  COALTER STREET,SUITE 301,STAUNTON,VA,USA,24401,540-887-8300,540-887-7560,P. O. BOX 2605,,STAUNTON,VA,,24402,Approved,11/30/2007,3/31/2010,Y,WWW.THEHENDERSONGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"27,254,000.00","1,608,500.00","28,862,500.00",209,38,247,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105830,801-29349,SPECTRUM CAPITAL MANAGEMENT,SPECTRUM CAPITAL MANAGEMENT,13620 LINCOLN WAY,SUITE 290,AUBURN,CA,USA,95603,530-888-9000,530-888-7487,,,,,,,Approved,4/10/1987,3/25/2010,Y,WWW.SPECTRUMCAP.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"32,087,055.00","28,679,576.00","60,766,631.00",42,4,46,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111578,801-58177,"CHESLEY, TAFT & ASSOCIATES, LLC","CHESLEY, TAFT & ASSOCIATES, LLC",10 S. LASALLE STREET,SUITE 3250,CHICAGO,IL,USA,60603,312-873-1260,312-873-1250,,,,,,,Approved,12/8/2000,3/25/2010,Y,WWW.CHESLEYTAFT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"566,358,299.00","73,627,371.00","639,985,670.00",657,89,746,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,114122,801-60557,SSARIS ADVISORS LLC,SSARIS ADVISORS LLC,187 DANBURY ROAD,"SUITE 2C, COURTSIDE BLDG.",WILTON,CT,UNITED STATES,06897-4079,203-328-7200,203-328-7299,,,,,,,Approved,9/11/2001,3/25/2010,Y,WWW.SSARIS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,Nov-50,0,26-100,0,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"636,306,000.00","856,000,000.00","1,492,306,000.00",26,1,27,N,N,N,Y,N,Y,N,N,N,Y,FUTURES & OPTIONS ON FUTURES INCLUDING FUTURES ONLY MANAGED ACCTS; PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124647,801-61709,"LODESTAR INVESTMENT COUNSEL, LLC","LODESTAR INVESTMENT COUNSEL, LLC",150 S. WACKER DRIVE,SUITE 3050,CHICAGO,IL,UNITED STATES,60606,312-630-9666,312-630-9669,,,,,,,Approved,12/30/2002,3/25/2010,Y,WWW.LDSTR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,PARTNERSHIP,Y,N,N,Y,N,N,N,,Y,"703,882,245.00",0,"703,882,245.00",707,0,707,N,Y,N,Y,N,N,Y,N,N,Y,CONSULTING SERVICES TO BANK TRUST DEPARTMENT,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109294,801-57530,"DAVID WITHERBEE & ASSOCIATES, INC.","DAVID WITHERBEE & ASSOCIATES, INC.","100 MAIN STREET, SUITE 330",,CONCORD,MA,UNITED STATES,1742,978-371-2551,978-371-2883,,,,,,,Approved,4/28/2000,3/25/2010,Y,WWW.DWITHERBEE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"150,000,000.00",0,"150,000,000.00",140,0,140,Y,Y,N,Y,N,N,N,N,N,Y,MATTERS NOT INVOLVING SECURITIES.,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,116714,801-69031,BOWEN FULLER WEALTH ADVISORS,"BOWEN FINANCIAL SERVICES, LLC",2840 POLO PARKWAY,,MIDLOTHIAN,VA,UNITED STATES,23113,804-897-2850,877-682-4908,,,,,,,Approved,4/3/2008,3/25/2010,Y,WWW.BOWENFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"31,692,032.00","428,640.00","32,120,672.00",42,1,43,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109340,801-57332,LA JOLLA INSTITUTE FOR WEALTH MANAGEMENT,"PROFESSIONAL PLANNING COUNSEL, INC.","7946 IVANHOE AVENUE,",SUITE 216,LA JOLLA,CA,UNITED STATES,92037,858-459-8818,858-459-2818,,,,,,,Approved,4/21/2000,3/25/2010,Y,WWW.LAJOLLAWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"37,612,460.00","37,612,460.00",0,135,135,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,Y,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145581,801-68807,"FLC INVESTMENT MANAGEMENT COMPANY, LLC","FLC INVESTMENT MANAGEMENT COMPANY, LLC",3750 WEST DEERFIELD ROAD,,RIVERWOODS,IL,UNITED STATES,60015-3598,800-233-3750,847-520-1916,,,,,,,Approved,2/21/2008,3/25/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,700,000.00",0,"3,700,000.00",2,0,2,N,N,Y,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,147368,801-69307,"J.P. SCOTT & COMPANY, LLC","J.P. SCOTT & COMPANY, LLC",3 LAKEWAY CENTRE COURT,SUITE 200,AUSTIN,TX,USA,78746,512-306-0608,512-306-9262,,,,,,,Approved,6/25/2008,3/25/2010,Y,WWW.JPSCOTTCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"35,300,000.00",0,"35,300,000.00",60,0,60,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,149098,801-69867,PIERMONT INC. D/B/A PIERMONT RETIREMENT PLAN SERVICES,PIERMONT INC. D/B/A PIERMONT RETIREMENT PLAN SERVICES,135 CROSSWAYS PARK DRIVE,SUITE 102,WOODBURY,NY,UNITED STATES,11797,516-496-7800,516-496-7803,,,,,,,Approved,1/7/2009,3/25/2010,Y,WWW.PIERMONTRPS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,Y,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,150955,801-70426,PRESERVATION CAPITAL MANAGEMENT LP,PRESERVATION CAPITAL MANAGEMENT LP,200 CRESCENT COURT,SUITE 1600,DALLAS,TX,UNITED STATES,75201,214-740-7325,214-740-7313,,,,,,,Approved,8/28/2009,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"99,800,000.00",0,"99,800,000.00",6,0,6,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,115927,801-64837,"NATIONAL ASSET MANAGEMENT, INC.","NATIONAL ASSET MANAGEMENT, INC.",1001 4TH AVENUE,SUITE 2200,SEATTLE,WA,UNITED STATES,98154,206-343-8092,206-343-6136,,,,,,,Approved,11/3/2005,11/20/2009,Y,WWW.NAMADVISORGUIDE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,0,0,5-Jan,0,51-250,0,More than 500,"3,500",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,TRUSTS,Y,Y,Y,Y,N,Y,N,,Y,"278,863,595.00","92,969,085.00","371,832,680.00","2,949",568,"3,517",Y,Y,N,Y,Y,Y,Y,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,146913,801-70914,"PORTFOLIO CASHFLOW MANAGEMENT, LLC","PORTFOLIO CASHFLOW MANAGEMENT, LLC","401 E. CORPORATE DR, SUITE 100",,LEWISVILLE,TX,UNITED STATES,75057,888-622-0292,817-887-5706,,,,,,,Approved,12/23/2009,3/25/2010,Y,WWW.PORTFOLIOCASHFLOW.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,"36,612,934.00",0,"36,612,934.00",169,0,169,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106812,801-52176,SUMMIT CAPITAL MANAGEMENT LLC,SUMMIT CAPITAL MANAGEMENT LLC,600 UNIVERSITY STREET,SUITE 2304,SEATTLE,WA,UNITED STATES,98101-4112,206-447-6200,206-447-6204,,,,,,,Approved,6/11/1996,3/25/2010,Y,WWW.SUMMITCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"530,843,000.00","16,784,000.00","547,627,000.00",545,33,578,N,Y,N,Y,N,N,N,N,N,Y,"INVT ADV TO THE GP OF PRIVATE LPS SUMMIT WORLD PTNS FD LP, SUMMIT SPECIAL SITUATIONS FD LP, AND ECHELON PARTNERS LP",0,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,144485,801-68100,"EXCELSIOR CAPITAL ADVISORS, LLC","EXCELSIOR CAPITAL ADVISORS, LLC",4651 N. FEDERAL HWY.,,BOCA RATON,FL,USA,33431,561-353-4440,561-353-4445,,,,,,,Approved,7/12/2007,3/25/2010,Y,WWW.EXCELSIORCAPITALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"117,315,393.00",0,"117,315,393.00",247,0,247,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,125799,801-67132,WEALTH CARE LLC,WEALTH CARE LLC,,,,,,,321-543-1099,815-301-3777,,,,,,,Approved,9/8/2006,3/25/2010,Y,WWW.WEALTHCARELLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"100,000,000.00",0,"100,000,000.00",258,0,258,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,142994,801-67560,"INSIGHT VENTURE MANAGEMENT, LLC","INSIGHT VENTURE MANAGEMENT, LLC",680 FIFTH AVENUE,8TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-230-9200,212-230-9272,,,,,,,Approved,2/8/2007,3/25/2010,Y,WWW.INSIGHTPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,010,127,059.00",0,"2,010,127,059.00",15,0,15,N,N,N,N,N,N,N,N,N,Y,ADVISE AND MANAGE POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
LARO,147101,801-69113,"PNMAC CAPITAL MANAGEMENT, LLC","PNMAC CAPITAL MANAGEMENT, LLC","27001 AGOURA ROAD, SUITE 350",,CALABASAS,CA,UNITED STATES,91301,818-224-7442,818-337-2138,,,,,,,Approved,5/6/2008,3/25/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,11-25 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"748,330,280.00",0,"748,330,280.00",4,0,4,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105173,801-11310,"WILLIAM J. BURTON, M.A.",BURTON WILLIAM JOE,,,,,,,251-344-4785; 251-460-8500,,P. O. BOX 8413,,MOBILE,AL,UNITED STATES,36689-0413,Approved,4/16/1976,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,AL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"77,629,214.00","77,629,214.00",0,47,47,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,144009,801-67931,"STRATFORD CONSULTING, LLC","STRATFORD CONSULTING, LLC",15303 DALLAS PARKWAY,SUITE 460,ADDISON,TX,USA,75001,972-960-3780,972-960-3790,,,,,,,Approved,5/29/2007,3/25/2010,Y,WWW.STRATFORDCONSULTING.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"147,244,997.00","23,412,427.00","170,657,424.00",360,117,477,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107563,801-49990,GHP INVESTMENT ADVISORS INC,GHP INVESTMENT ADVISORS INC,1670 BROADWAY,SUITE 3000,DENVER,CO,UNITED STATES,80202,303-831-5000,303-831-5082,,,,,,,Approved,8/28/1995,3/25/2010,Y,WWW.GHPIA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"437,021,219.00","4,000,899.00","441,022,118.00","1,523",3,"1,526",Y,Y,N,Y,Y,N,Y,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,31012,801-63974,"FINANCIAL TELESIS, INC.",JHW FINANCIAL SERVICES INC.,4340 REDWOOD HIGHWAY,A23,SAN RAFAEL,CA,UNITED STATES,94903,415-526.0750,415-492-1229,,,,,,,Approved,3/2/2005,3/25/2010,Y,WWW.FINANCIALTELESISINC.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,51-250,0,51-250,0,Nov-50,0,0,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"74,000,000.00","74,000,000.00",0,133,133,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,Y,N,N,,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,141971,801-68605,"PRIVATE WEALTH ADVISORS, LLC","PRIVATE WEALTH ADVISORS, LLC",7447 N. FIRST,SUITE 202,FRESNO,CA,USA,93720,559-451-3463,559-432-1938,,,,,,,Approved,1/2/2008,3/25/2010,Y,WWW.PWADVISORSINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"14,551,835.00","121,490,677.00","136,042,512.00",133,"1,094","1,227",Y,Y,N,N,N,Y,N,N,N,N,,251-500,,Y,Y,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106228,801-11816,VAN STRUM & TOWNE INC,VAN STRUM & TOWNE INC,505 SANSOME STREET,SUITE 1001,SAN FRANCISCO,CA,UNITED STATES,94111,415-981-3455,415-981-3425,,,,,,,Approved,6/30/1976,3/25/2010,Y,WWW.VANSTRUM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"187,763,939.00","43,669,159.00","231,433,098.00",136,19,155,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107520,801-34127,DEVON ASSOCIATES,DEVON CONSULTING LTD,250 MILL STREET,,ROCHESTER,NY,UNITED STATES,14614,585.777.4000,585.385.2995,,,,,,,Approved,3/23/1989,3/25/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"90,000,000.00","90,000,000.00",0,14,14,N,N,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,126565,801-65950,"BURLINGAME ASSET MANAGEMENT, LLC","BURLINGAME ASSET MANAGEMENT, LLC",ONE MARKET STREET,"SPEAR TOWER, SUITE 3750",SAN FRANCISCO,CA,USA,94105,415-490-2590,415-490-2596,,,,,,,Approved,1/23/2006,3/25/2010,Y,WWW.BAM-LLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"188,700,000.00",0,"188,700,000.00",6,0,6,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,137677,801-64862,"BEAR CREEK ASSET MANAGEMENT, LLC","BEAR CREEK ASSET MANAGEMENT, LLC",1200 17TH STREET,SUITE 970,DENVER,CO,UNITED STATES,80202,303-459-7333,303-459-7339,,,,,,,Approved,11/29/2005,2/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"4,115,000,000.00",0,"4,115,000,000.00",60,0,60,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,124471,801-61979,"EQUITAS CAPITAL ADVISORS,LLC","EQUITAS CAPITAL ADVISORS,LLC",909 POYDRAS STREET,SUITE 1850,NEW ORLEANS,LA,UNITED STATES,70112,504-569-9600,504-569-9650,,,,,,,Approved,4/17/2003,2/24/2010,Y,WWW.EQUITAS-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,101-250,0,Up to 10 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,26-50 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"4,135,080,474.00","53,067,391.00","4,188,147,865.00",42,37,79,Y,N,N,Y,Y,Y,N,N,N,Y,WRAP FEE PROGRAM,10-Jan,,N,N,N,N,N,N,N,N,Y,REGISTERED INVESTMENT ADVISOR,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,125772,801-68091,"PENSION PARTNERS, LLC","PENSION PARTNERS, LLC",430 WEST 14TH STREET,5TH FL,NEW YORK,NY,UNITED STATES,10014,212-255-5000,212-656-1665,,,,,,,Approved,7/9/2007,2/24/2010,Y,WWW.PENSIONPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"42,591,331.00","198,246.00","42,789,577.00",179,5,184,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,147277,801-69196,"GLOBAL REAL ESTATE FUND MANAGEMENT, LLC","ASCENT INVESTMENT ADVIORS, LLC",8400 EAST CRESCENT PARKWAY,SUITE 600,GREENWOOD VILLAGE,CO,UNITED STATES,80111,303-220-3863,720-528-4001,,,,,,,Approved,6/9/2008,2/24/2010,Y,WWW.ASCENTRE.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,200,000.00",0,"1,200,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,127145,801-63991,SOWELL MANAGEMENT SERVICES,"SOWELL FINANCIAL SERVICES, LLC",5509 SPRINGVALE ROAD,SUITE A,NORTH LITTLE ROCK,AR,USA,72116,501-219-2434,501-812-6380,,,,,,,Approved,5/27/2005,2/24/2010,Y,WWW.SOWELLMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AR,UNITED STATES,10-Jun,0,5-Jan,0,0,0,10-Jun,0,More than 500,"2,000",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,TRUST ACCOUNTS,Y,Y,N,Y,N,N,N,,Y,"338,313,620.00","19,398,667.00","357,712,287.00","2,091",40,"2,131",Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122246,801-69806,"PAKOLA, STEICHEN & COMPANY LLP","PAKOLA, STEICHEN & COMPANY LLP",1550 AMERICAN BOULEVARD EAST,SUITE 640,BLOOMINGTON,MN,UNITED STATES,55425,952-851-1385,952-854-7824,,,,,,,Approved,2/13/2009,2/24/2010,Y,WWW.LPL.COM/PAKOLA.STEICHEN,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"80,000,000.00",0,"80,000,000.00",320,0,320,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147926,801-69617,"AP INSTITUTIONAL ADVISORS, LLC","AP INSTITUTIONAL ADVISORS, LLC",25 NW RIVERSIDE DRIVE,SUITE 202,EVANSVILLE,IN,UNITED STATES,47708,812-402-8040,812-402-8044,,,,,,,Approved,9/23/2008,2/24/2010,Y,WWW.MANAGERACCESS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"5,200,000.00",0,"5,200,000.00",1,0,1,N,N,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,135147,801-67018,"ALLEN CAPITAL MANAGEMENT, LLC","ALLEN CAPITAL MANAGEMENT, LLC",121 SW MORRISON STREET,SUITE 875,PORTLAND,OR,USA,97204,503-292-1041,503-243-6708,,,,,,,Approved,7/17/2006,2/24/2010,Y,WWW.ALLENCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"51,300,000.00",0,"51,300,000.00",119,0,119,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,TRUST COMPANY,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106787,801-26376,AMERICAN INVESTORS ADVISORS INC,AMERICAN INVESTORS ADVISORS INC,44 WALL STREET 2ND FLOOR,,NEW YORK,NY,UNITED STATES,10005,212-495-5000,212-785-3294,,,,,,,Approved,2/12/1986,2/24/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"4,961,461.00",0,"4,961,461.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,117236,801-62527,"KBOC, LLC","KOLTUN, BUCKMAN, ORTIZ CONSULTANTS, L.L.C.",2555 SEVERN AVENUE,SUITE 100,METAIRIE,LA,USA,70002,(504) 457-6252,(504) 457-6249,,,,,,,Approved,11/19/2003,2/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"58,325,621.00","58,325,621.00",0,30,30,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105027,801-23661,WILKINSON OWEN T & ASSOCIATES INC,WILKINSON OWEN T & ASSOCIATES INC,513 SOUTH MYRTLE AVE,SUITE B,MONROVIA,CA,UNITED STATES,91016,626-408-1595,626-408-1594,,,,,,,Approved,3/12/1985,2/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,CONSULTING FEES,Y,"52,029,871.00",0,"52,029,871.00",56,0,56,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,121480,801-62758,"KIELY CAPITAL MANAGEMENT, INC.","KIELY CAPITAL MANAGEMENT, INC.",51 DUMONT PLACE,,MORRISTOWN,NJ,USA,07960-4125,(973) 455-1894,(973) 644-2499,,,,,,,Approved,2/6/2004,2/24/2010,Y,WWW.KIELYCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"51,474,167.00",0,"51,474,167.00",62,0,62,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115361,801-66457,"ACCESS FINANCIAL SERVICES, INC.","ACCESS FINANCIAL SERVICES, INC.",1650 WEST 82ND STREET,SUITE 850,MINNEAPOLIS,MN,USA,55431,952-885-2732,952-885-0995,,,,,,,Approved,4/24/2006,2/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"119,929,965.00","2,619,485.00","122,549,450.00",617,14,631,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,113109,801-61532,"SUNPORT CAPITAL, LLC","SUNPORT CAPITAL, LLC",19134 STONE OAK,SUITE 201,SAN ANTONIO,TX,USA,78258,210-524-4550,210-524-9184,,,,,,,Approved,10/15/2002,2/24/2010,Y,WWW.SUNPORT.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"85,000,000.00",0,"85,000,000.00",109,0,109,N,Y,N,N,N,N,N,N,N,Y,INVESTMENT SUPERVISORY SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,129872,801-63077,FREESTONE INVESTMENTS,FREESTONE INVESTMENTS LLC,1918 EIGHTH AVE,SUITE 3400,SEATTLE,WA,UNITED STATES,98101,206-398-1100,206-398-0310,,,,,,,Approved,5/10/2004,2/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"437,524,145.00",0,"437,524,145.00",10,0,10,N,N,N,Y,N,N,N,N,N,Y,"FREESTONE INVESTMENTS IS THE GP OF PRIVATE INVESTMENT FUNDS ""PRIVATE FUNDS"" AS DEFINED UNDER SEC RULE 203B(3)-(1)",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112271,801-66548,"CHICAGO WEALTH MANAGEMENT, INC.","CHICAGO WEALTH MANAGEMENT, INC.",TWO NORTH RIVERSIDE PLAZA,SUITE 1620,CHICAGO,IL,UNITED STATES,60606,312-376-8350,312-377-1965,,,,,,,Approved,5/19/2006,2/24/2010,Y,WWW.CHICAGOWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"80,200,000.00",0,"80,200,000.00",140,0,140,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,Y,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108943,801-55589,"LBMC INVESTMENT ADVISORS, LLC",LBMC INVESTMENT ADVISORS LLC,5250 VIRGINIA WAY,,BRENTWOOD,TN,UNITED STATES,37027,615-377-4603,615-309-2500,P.O. BOX 1869,,BRENTWOOD,TN,UNITED STATES,37024-1869,Approved,5/26/1998,2/24/2010,Y,WWW.LBMC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"257,660,789.00","65,974,787.00","323,635,576.00",411,64,475,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106408,801-44279,FAIRFIELD FINANCIAL ADVISORS,FAIRFIELD FINANCIAL ADVISORS LTD,THE WELLESLEY OFFICE PARK,"20 WILLIAM STREET, STE 260",WELLESLEY,MA,UNITED STATES,2481,781-431-1119,781-431-7611,,,,,,,Approved,7/26/1993,2/24/2010,Y,WWW.FAIRFIELDFINADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"89,650,632.00","89,650,632.00",0,382,382,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,123850,801-67928,"ZIMENT FINANCIAL ADVISORS, INC.","ZIMENT FINANCIAL ADVISORS, INC.","116 VILLAGE BLVD., SUITE 200",,PRINCETON,NJ,USA,8540,609-514-0944,609-716-9793,P.O. BOX 87,,PRINCETON JUNCTION,NJ,USA,8550,Approved,5/25/2007,2/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"36,241,593.00",0,"36,241,593.00",49,0,49,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,108369,801-20866,"THOMAS J. HERZFELD ADVISORS, INC.","THOMAS J. HERZFELD ADVISORS, INC.",10491 SW 97TH AVENUE,,MIAMI,FL,UNITED STATES,33176,305-271-1900,305-270-1040,P.O. BOX 161465,,MIAMI,FL,UNITED STATES,33116,Approved,4/9/1984,2/24/2010,Y,WWW.HERZFELD.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,Y,N,N,N,Y,CONSULTING FEES,Y,"71,423,691.00",0,"71,423,691.00",66,0,66,N,Y,Y,Y,N,N,Y,N,N,Y,CONSULTING ON SUBJECTS RELATED TO CLOSED-END FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
FWRO,114276,801-61800,LIFEWAY FINANCIAL CORPORATION,LIFEWAY FINANCIAL CORPORATION,ONE LEGACY TOWN CENTER,"7160 DALLAS PARKWAY, SUITE 520",PLANO,TX,USA,75024,972-378-3677,972-378-4988,,,,,,,Approved,2/20/2003,2/24/2010,Y,WWW.LIFEWAYFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"84,297,844.00",0,"84,297,844.00",234,0,234,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109650,801-55629,BANKER INVESTMENT GROUP,BANKER INVESTMENT GROUP INC,1241 CUMBERLAND AVENUE,SUITE B,WEST LAFAYETTE,IN,UNITED STATES,47906,765-497-0197,765-464-0308,,,,,,,Approved,6/16/1998,2/24/2010,Y,WWW.BANKERINVESTMENTGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"58,869,254.00",0,"58,869,254.00",340,0,340,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105062,801-17784,TFC FINANCIAL MANAGEMENT INC,TFC FINANCIAL MANAGEMENT INC,30 FEDERAL STREET,,BOSTON,MA,USA,2110,617-210-6700,617-210-6750,,,,,,,Approved,10/12/1982,2/24/2010,Y,WWW.TFCFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"468,089,166.00","45,999,111.00","514,088,277.00",694,1,695,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104927,801-17591,ESD ADVISORY SERVICES INC,ESD ADVISORY SERVICES INC,"7272  WISCONSIN AVENUE, SUITE 300",,BETHESDA,MD,UNITED STATES,20814,301-941-1903,301-656-0183,,,,,,,Approved,8/31/1982,3/25/2010,Y,EDOVE@ESDADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"39,781,801.00","39,781,801.00",0,130,130,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107367,801-54142,ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC,ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC,909 THIRD AVENUE 32ND FLOOR,,NEW YORK,NY,UNITED STATES,10022,212-908-0443,212-908-0195,,,,,,,Approved,4/14/1997,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"420,508,612.00",0,"420,508,612.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,2580,801-8102,LINCOLN LIFE,THE LINCOLN NATIONAL LIFE INSURANCE COMPANY,1300 S CLINTON STREET,,FORT WAYNE,IN,UNITED STATES,46802,260-455-2000,260-455-6777,P.O. BOX 1110,,FORT WAYNE,IN,UNITED STATES,46801,Approved,12/11/1971,3/31/2010,Y,WWW.LINCOLNLIFE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,More than 1000,"3,000",Nov-50,0,251-500,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,896,573,053.00",0,"2,896,573,053.00",18,0,18,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
SFRO,108100,801-56319,OSBORNE PARTNERS,OSBORNE PARTNERS CAPITAL MANAGEMENT LLC,580 CALIFORNIA ST,STE 1900,SAN FRANCISCO,CA,UNITED STATES,94104,415-362-5637,415-362-5996,,,,,,,Approved,2/15/1999,3/25/2010,Y,WWW.OSBORNEPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,790,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,ENDOWMENT FUNDS/401(K) PLANS,Y,Y,N,Y,N,Y,N,,Y,"729,055,930.00","208,017,498.00","937,073,428.00",718,72,790,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109540,801-56734,"SMITH & HOWARD WEALTH MANAGEMENT, LLC","SMITH & HOWARD WEALTH MANAGEMENT, LLC",171 17TH STREET,SUITE 900,ATLANTA,GA,UNITED STATES,30363,404-874-6244,404-874-1658,,,,,,,Approved,8/2/1999,3/31/2010,Y,WWW.SMITHHOWARDWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"182,144,000.00",0,"182,144,000.00",150,0,150,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,146816,801-69097,PW GLOBAL ADVISORS,PW CAPITAL LLC,101 FEDERAL STREET,STE. 1900,BOSTON,MA,UNITED STATES,2110,617-478-4850,617-478-4851,,,,,,,Approved,5/1/2008,3/31/2010,Y,WWW.PWGADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"35,000,000.00","98,500,000.00","133,500,000.00",85,255,340,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,148651,801-69729,"SANDERS BOOZE CAPITAL ADVISORS, LLC","SANDERS BOOZE CAPITAL ADVISORS, LLC","10851 MASTIN ST, SUITE 270",,OVERLAND PARK,KS,UNITED STATES,66210,913-663-2376,1-877-822-1807,,,,,,,Approved,11/26/2008,3/31/2010,Y,WWW.SANDERSBOOZE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,REFERRAL FEES,Y,"84,593,350.00",0,"84,593,350.00",202,0,202,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,134531,801-64022,ACCESS CAPITAL ADVISORS (GUERNSEY)LTD,ACCESS CAPITAL ADVISORS (GUERNSEY)LTD,13-15 VICTORIA ROAD,,ST PETER PORT,,GUERNSEY,GY1 3ZD,+44(0)1481-713-843,+44(0)1481-715-219,,,,,,,Approved,3/7/2005,3/31/2010,Y,WWW.ACCESS-CAPITAL-PARTNERS.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,GUERNSEY,Nov-50,0,10-Jun,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,060,528,939.00",0,"1,060,528,939.00",27,0,27,N,N,N,N,N,N,N,N,N,Y,MANAGEMENT OF FUNDS OF PRIVATE EQUITY FUNDS FOR INSTITUTIONAL INVESTORS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,137554,801-65459,WOODBOURNE MANAGEMENT INTERNATIONAL LP,WOODBOURNE MANAGEMENT INTERNATIONAL LP,1919 14TH STREET,SUITE 300,BOULDER,CO,USA,80302,303-939-8273,303-449-4253,,,,,,,Approved,2/1/2006,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LP,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"31,301,858.00",0,"31,301,858.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,PORT MGMT/PRIVATE INVST FDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,140092,801-66873,"WATERSHED ASSET MANAGEMENT, L.L.C.","WATERSHED ASSET MANAGEMENT, L.L.C.","ONE MARITIME PLAZA, SUITE 1525",,SAN FRANCISCO,CA,UNITED STATES,94111,415-391-8900,415-391-3919,,,,,,,Approved,6/16/2006,3/31/2010,Y,WWW.WCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,11-25 percent,11-25 percent,PRIVATE FUNDS,Y,N,N,N,N,Y,N,,Y,"1,627,095,842.00",0,"1,627,095,842.00",7,0,7,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109028,801-54738,KRC INVESTMENT ADVISERS LLC,KRC INVESTMENT ADVISERS LLC,4851 HOLABIRD AVENUE,,BALTIMORE,MD,UNITED STATES,21224,410 558-3830,410 558-3835,,,,,,,Approved,8/6/1997,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,APPLICANT MAY RECEIVE 12(B)-1 FEES,Y,"3,299,269.00","100,989,413.00","104,288,682.00",53,53,106,N,N,N,N,N,Y,N,N,N,Y,CASH MANAGEMENT,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109675,801-60036,MOIRAI CAPITAL MANAGEMENT LLC,MOIRAI CAPITAL MANAGEMENT LLC,708 MONTGOMERY STREET,THIRD FLOOR,SAN FRANCISCO,CA,UNITED STATES,94111,415-981-1541,415-981-1542,,,,,,,Approved,2/28/2001,3/31/2010,Y,WWW.MOIRAI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"43,804,454.00","16,480,782.00","60,285,236.00",19,58,77,N,Y,N,N,N,N,N,N,N,Y,FAMILY OFFICE:  WEALTH MANAGEMENT,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,143157,801-67556,"ARCO CAPITAL MANAGEMENT, LLC","ARCO CAPITAL MANAGEMENT, LLC",48 ROAD 165,"CITY VIEW PLAZA II, SUITE #6000",GUAYNABO,PR,USA,00968-8060,787-993-9650,787-993-9651,,,,,,,Approved,2/8/2007,3/31/2010,Y,WWW.ARCOCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PR,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,INVESTMENT ADVISOR,Y,N,N,N,N,Y,Y,(1) EQUITY GRANTS BY CLIENT; (2) SUB-ADVISORY FEES,Y,"72,846,059.00",0,"72,846,059.00",1,0,1,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108828,801-57447,MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC,MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC,1585 BROADWAY,"ATTN: REAL ESTATE FUNDS, 37TH FLOOR",NEW YORK,NY,UNITED STATES,10036,212-761-4700,212-761-0511,,,,,,,Approved,4/21/2000,3/31/2010,Y,WWW.MORGANSTANLEY.COM/REALESTATE/,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,251-500,0,251-500,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ACQUISITION FEES,Y,"1,840,319.00",0,"1,840,319.00",7,0,7,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,140202,801-67413,"CALVO FUNDS, LLC","CALVO FUNDS, LLC",777 BRICKELL AVENUE,SUITE 1010,MIAMI,FL,UNITED STATES,33131,305-808-9858,305-808-9783,,,,,,,Approved,1/19/2007,3/31/2010,Y,WWW.CALVOFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"32,311,799.00",0,"32,311,799.00",5,0,5,N,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107618,801-37668,"WEALTH DIMENSIONS GROUP, LTD.","WEALTH DIMENSIONS GROUP, LTD.",11300 CORNELL PARK DRIVE,SUITE 300,CINCINNATI,OH,UNITED STATES,45242-1858,513-554-6000,513-554-6006,,,,,,,Approved,11/8/1990,3/31/2010,Y,WWW.WEALTHDIMENSIONS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"217,561,000.00","80,625,000.00","298,186,000.00","1,037",1,"1,038",Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,138787,801-65245,"SOF MANAGEMENT, LLC","SOF MANAGEMENT, LLC",600 TRAVIS,SUITE 5800,HOUSTON,TX,UNITED STATES,77002,713-224-3100,713-250-4298,,,,,,,Approved,2/15/2006,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"74,046,569.00",0,"74,046,569.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
DRO,140612,801-68025,"WEALTH NAVIGATION, LLC","WEALTH NAVIGATION, LLC",500 N. MARKETPLACE DRIVE,SUITE 101,CENTERVILLE,UT,UNITED STATES,84014,801-335-8200,801-299-3414,,,,,,,Approved,6/20/2007,3/31/2010,Y,WWW.WEALTHNAVIGATION.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,10-Jun,0,101-250,0,26-50 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"65,000,000.00",0,"65,000,000.00",220,0,220,Y,Y,N,Y,Y,Y,N,N,N,Y,FAMILY OFFICE SERVICES,26-50,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,Y,N,Y,N,Y,N,Y,N,N,Y,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,135202,801-64608,PCG INTERNATIONAL LLC,PCG INTERNATIONAL LLC,616 H. STREET N.W.,SUITE 450,WASHINGTON,DC,UNITED STATES,20001,202-824-1600,202-824-4300,1200 PROSPECT STREET,SUITE 200,LA JOLLA,CA,UNITED STATES,92037,Approved,9/23/2005,3/31/2010,Y,WWW.PCGFUNDS.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,More than 75 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,Y,N,Y,N,Y,Y,OTHER TRANSACTION FEES (E.G. MONITORING),Y,"178,993,892.00",0,"178,993,892.00",3,0,3,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107423,801-18641,CONNING ASSET MANAGEMENT,"CONNING, INC.",ONE FINANCIAL PLAZA,755 MAI STREET,HARTFORD,CT,UNITED STATES,6103,860-299-2000,860-299-2479,,,,,,,Approved,3/21/1983,3/31/2010,Y,HTTP://WWW.CONNING.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,51-250,0,51-250,0,10-Jun,0,0,0,101-250,0,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,,Y,Y,Y,Y,N,Y,Y,NEGOTIATED FEES,Y,"74,320,923,000.00","410,866,000.00","74,731,789,000.00",120,2,122,N,N,N,Y,N,N,N,N,N,Y,CONSULTING AND RESEARCH SERVICES,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,105670,801-31104,PRUDENTIAL INVESTMENTS LLC,PRUDENTIAL INVESTMENTS LLC,"100 MULBERRY STREET, 14TH FL",GATEWAY CENTER 3,NEWARK,NJ,UNITED STATES,7102,973-367-7525,973-367-8663,,,,,,,Approved,12/31/1987,3/31/2010,Y,WWW.PRUDENTIAL.COM/INVESTMENTS,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,251-500,0,51-250,0,51-250,0,0,0,101-250,0,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,OFFSHORE FUNDS,Y,N,N,Y,N,N,Y,MANAGED ACCOUNT PLATFORM SERVICES FEES,Y,"110,182,950,000.00",0,"110,182,950,000.00",145,0,145,N,N,Y,N,N,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,MANAGED ACCOUNT PLATFORM SERVICES,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
MIRO,113833,801-29099,SLAVIC MUTUAL FUNDS MANAGEMENT CORP.,SLAVIC MUTUAL FUNDS MANAGEMENT CORP.,1075 BROKEN SOUND PARKWAY NW,SUITE 100,BOCA RATON,FL,UNITED STATES,33487-3540,561-241-9244,561-241-1070,,,,,,,Approved,4/3/1987,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,5-Jan,0,Nov-50,0,0,0,251-500,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"385,000,000.00",0,"385,000,000.00","2,555",0,"2,555",N,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109644,801-57986,ATLANTIC TRUST PRIVATE WEALTH MANAGEMENT,"STEIN ROE INVESTMENT COUNSEL, INC.",ONE SOUTH WACKER DRIVE,SUITE 3500,CHICAGO,IL,UNITED STATES,60606,312-368-7700,312-368-7750,,,,,,,Approved,10/27/2000,3/31/2010,Y,SRIC.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,5-Jan,0,Nov-50,0,More than 500,"3,500",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"5,553,804,965.00","996,505,073.00","6,550,310,038.00","3,343",205,"3,548",Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,132008,801-63666,METALMARK MANAGEMENT LLC,METALMARK MANAGEMENT LLC,"1177 AVENUE OF THE AMERICAS, 40TH FLOOR",,NEW YORK,NY,UNITED STATES,10036,212-823-1900,212-823-1901,,,,,,,Approved,1/3/2005,3/31/2010,Y,WWW.METALMARKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"686,538,000.00",0,"686,538,000.00",9,0,9,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVICE TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139390,801-66273,LONGVIEW PARTNERS L.P.,LONGVIEW PARTNERS L.P.,THAMES COURT,1 QUEENHITHE,LONDON,,UNITED KINGDOM,EC4V 3RL,+44 (0) 207 809 4100,+44 (0) 207 809 4199,,,,,,,Approved,3/24/2006,3/31/2010,Y,WWW.LONGVIEW-PARTNERS.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,,UNITED KINGDOM,10-Jun,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,26-50 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,EDUCATIONAL INSTITUTION,Y,N,N,N,N,Y,N,,Y,"4,573,384,546.00","148,446,580.00","4,721,831,126.00",50,12,62,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110108,801-56728,PRIVATE CAPITAL MANAGEMENT INC,PRIVATE CAPITAL MANAGEMENT INC,2600 EAGAN WOODS DR STE 150,,EAGAN,MN,USA,55121-1167,651-452-0212,651-452-0219,,,,,,,Approved,8/17/1999,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,Y,"MANAGEMENT FEES, CONSULTING FEES",Y,"627,269,697.00",0,"627,269,697.00",46,0,46,N,Y,N,Y,N,N,N,N,N,Y,"PRIVATE EQUITY, MEZZANINE DEBT",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,127396,801-62248,"MOUNT YALE PORTFOLIO ADVISORS, LLC","MOUNT YALE PORTFOLIO ADVISORS, LLC",1125 17TH STREET SUITE 1400,,DENVER,CO,USA,80202,(303)382-2880,(303)382-2888,,,,,,,Approved,8/1/2003,3/31/2010,Y,WWW.MTYALE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,Nov-50,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"148,390,918.00",0,"148,390,918.00",96,0,96,N,N,N,N,Y,N,N,N,N,Y,"RECOMMENDATION OF OTHER INVESTMENT ADVISERS, ASSET ALLOCATION RECOMMENDATION, MONITORING OF OTHER INVESTMENT ADVISERS",,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110950,801-30887,CRUICE FINANCIAL ORGANIZATION OR CRUICE FINANCIAL PLANNING,"CRUICE INVESTMENT ADVISORS, LTD.","315 POST ROAD WEST, 1ST FLOOR",,WESTPORT,CT,UNITED STATES,6880,203-656-0033/221-0202,203-221-0234,PO BOX 1145,,DARIEN,CT,UNITED STATES,06820-1145,Approved,11/13/1987,3/31/2010,Y,WWW.CRUICEFINANCIALPLANNER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"75,999,775.00","13,543,348.00","89,543,123.00",276,49,325,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,137794,801-66846,B&K SECURITIES,"B&K SECURITIES, INC.",8133 LEESBURG PIKE,SUITE 360,TYSONS CORNER,VA,USA,22182,703-992-6849,703-991-7269,,,,,,,Approved,6/13/2006,11/2/2006,Y,WWW.BKSEC.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,Y,SALES OF RESEARCH REPORTS,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,138804,801-65489,"PASSPORT MANAGEMENT, LLC","PASSPORT MANAGEMENT, LLC",30 HOTALING PLACE,SUITE 300,SAN FRANCISCO,CA,UNITED STATES,94111-2201,415-321-4600,415-321-4620,,,,,,,Approved,1/23/2006,3/31/2010,Y,WWW.PASSPORTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,271,065,171.00",0,"2,271,065,171.00",20,0,20,N,N,N,N,N,N,N,N,N,Y,MANAGEMENT OF PRIVATE POOLED INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N
BRO,112312,801-49607,HUTCHENS INVESTMENT MANAGEMENT INC,HUTCHENS INVESTMENT MANAGEMENT INC,99 N. STATE STREET,,CONCORD,NH,UNITED STATES,3301,603-227-5256,603-227-5259,,,,,,,Approved,7/10/1995,3/31/2010,Y,WWW.HUTCHCO.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"63,037,024.00",0,"63,037,024.00",34,0,34,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,119626,801-61018,HAMBRECHT & QUIST CAPITAL MANAGEMENT LLC,HAMBRECHT & QUIST CAPITAL MANAGEMENT LLC,2 LIBERTY SQUARE,9TH FLOOR,BOSTON,MA,UNITED STATES,2109,617-772-8500,617-772-8577,,,,,,,Approved,3/29/2002,3/31/2010,Y,WWW.HQCM.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"622,769,956.00",0,"622,769,956.00",2,0,2,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,133536,801-63864,"GENERAL ATLANTIC SERVICE COMPANY, LLC","GENERAL ATLANTIC  SERVICE COMPANY, LLC",3 PICKWICK PLAZA,,GREENWICH,CT,UNITED STATES,6830,203-629-8600,203-622-8818,,,,,,,Approved,2/14/2005,3/31/2010,Y,WWW.GENERALATLANTIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,26-50 percent,ENDOWMENTS / FAMILY OFFICES,Y,N,N,N,N,Y,N,,Y,"7,958,061,763.00",0,"7,958,061,763.00",34,0,34,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT ADVISORY AND ADMINISTRATIVE SERVICES TO CLIENTS WHO SERVE AS LIMITED PARTNERS OF INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,119040,801-70843,KRING FINANCIAL MANAGEMENT,"WJK MANAGEMENT CO., INC.",4045 ORCHARD ROAD SE,SUITE 220,SMYRNA,GA,UNITED STATES,30080,770-333-0113,770-333-9557,,,,,,,Approved,12/7/2009,3/31/2010,Y,WWW.KRINGFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"26,255,000.00","26,255,000.00",0,103,103,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110416,801-20706,PACIFIC CORPORATE GROUP LLC,PACIFIC CORPORATE GROUP LLC,1200 PROSPECT ST,SUITE 200,LA JOLLA,CA,USA,92037,858-456-6000,858-456-6018,,,,,,,Approved,3/5/1984,3/31/2010,Y,WWW.PCGFUNDS.COM,N,Y,N,N,Y,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,51-75 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,INTERNATIONAL ENTITIES,Y,Y,N,Y,N,Y,Y,OTHER TRANSACTION FEES (E.G. MONITORING),Y,"1,049,439,183.00","18,773,711,809.00","19,823,150,992.00",13,10,23,N,N,Y,Y,Y,N,N,N,N,Y,INVESTMENT SUPERVISORY SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109530,801-55245,BAUPOST GROUP LLC,BAUPOST GROUP LLC,10 ST. JAMES AVE. SUITE 1700,,BOSTON,MA,UNITED STATES,2116,(617) 210-8300,(617) 451-7333,,,,,,,Approved,1/2/1998,3/31/2010,Y,WWW.BAUPOST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,SEE SCHEDULE D,Y,"21,230,794,342.00",0,"21,230,794,342.00",12,0,12,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR OTHER POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,134484,801-65488,"PASSPORT CAPITAL, LLC","PASSPORT CAPITAL, LLC",30 HOTALING PLACE,SUITE 300,SAN FRANCISCO,CA,UNITED STATES,94111-2201,415-321-4600,415-321-4620,,,,,,,Approved,1/23/2006,3/31/2010,Y,WWW.PASSPORTCAPITAL.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"366,994,102.00",0,"366,994,102.00",5,0,5,N,N,N,Y,N,N,N,N,N,Y,MANAGEMENT OF PRIVATE POOLED INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N
LARO,110994,801-9752,HAROLD DAVIDSON & ASSOCIATES INC,HAROLD DAVIDSON & ASSOCIATES INC,1900 AVENUE OF THE STARS,SUITE 2400,LOS ANGELES,CA,USA,90067,310-553-5551,310-553-3901,,,,,,,Approved,2/24/1974,3/31/2010,Y,WWW.HDAINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"225,684,394.00",0,"225,684,394.00",756,0,756,N,Y,N,N,N,N,N,N,N,Y,"INVESTMENT COUNSELING SERVICES MAY INCLUDE INVESTING IN REAL ESTATE THROUGH AN AFFILIATE, HDA PROPERTIES.",0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,125011,801-61908,PEMBROKE ADVISORS,"PEMBROKE ADVISORS, INC.",,,,,,,832-717-4455,832-201-8582,20333 STATE HIGHWAY 249,SUITE 200,HOUSTON,TX,UNITED STATES,77070,Approved,3/24/2003,3/31/2010,Y,WWW.PEMBROKEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"29,737,563.00","598,534.00","30,336,097.00",75,15,90,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,120440,801-61153,RESEARCH AFFILIATES,"RESEARCH AFFILIATES, LLC",620 NEWPORT CENTER DRIVE,SUITE 900,NEWPORT BEACH,CA,UNITED STATES,92660,949 325 8700,949 554 0192,,,,,,,Approved,5/10/2002,3/31/2010,Y,WWW.RESEARCHAFFILIATES.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,0 percent,51-75 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"3,647,381,054.00","24,470,816,514.00","28,118,197,568.00",26,24,50,N,Y,Y,Y,N,N,N,N,N,Y,"PORTFOLIO MGMT OF LTD PARTNERSHIPS, NON-DISCRETIONARY INVESTMENT ADVISE TO CORPORATIONS AND LICENSING OF INTELLECTUAL PROPERTY",0,,N,Y,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,125803,801-66696,"MASON, L. HARDY","MASON, L. HARDY",,,,,,,304-876-9268,,,,,,,,Approved,5/10/2006,1/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,WV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"42,400,000.00","500,000.00","42,900,000.00",4,2,6,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,130019,801-62886,"KSA CAPITAL MANAGEMENT, LLC","KSA CAPITAL MANAGEMENT, LLC",4 ESSEX AVENUE,"4TH FLOOR, SUITE 403",BERNARDSVILLE,NJ,UNITED STATES,7924,908-766-3331,908-766-4738,,,,,,,Approved,3/26/2004,1/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,26-50 percent,0 percent,11-25 percent,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"210,000,000.00",0,"210,000,000.00",5,0,5,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT OF OTHER POOLED INVESTMENT VEHICLE,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,21602,801-33882,"MARCO CONSULTING GROUP, INC.","MARCO CONSULTING GROUP, INC.",550 WEST WASHINGTON,9TH FLOOR,CHICAGO,IL,UNITED STATES,60661,312-575-9000,312-575-9840,,,,,,,Approved,2/13/1989,1/29/2010,Y,MARCOCONSULTING.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,251-500,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"4,884,248,623.00",0,"4,884,248,623.00",527,0,527,N,N,N,N,Y,Y,N,N,N,Y,PROXY VOTING AND INDEPENDENT FIDUCIARY,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,150416,801-70226,ARMADA ADVISORS,"ARMADA ADVISORS, INC.",610 NORTH SPRING STREET,,PENSACOLA,FL,UNITED STATES,32501,850-497-6167,888-290-3666,,,,,,,Approved,5/29/2009,1/29/2010,Y,WWW.ARMADAADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"11,304,095.00","34,705,394.00","46,009,489.00",233,241,474,Y,Y,N,Y,Y,Y,N,N,N,Y,ASSET ALLOCATION ADVICE,10-Jan,,Y,Y,N,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,120648,801-61168,"FEDERAL STREET ADVISERS, INC.","FEDERAL STREET ADVISERS, INC.",750 WASHINGTON BOULEVARD,6TH FLOOR,STAMFORD,CT,UNITED STATES,6901,203-961-0408,203-961-0424,,,,,,,Approved,5/20/2002,1/29/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"20,000,000.00",0,"20,000,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,112599,801-30155,"CHARLES DEROSE, INC.","CHARLES DEROSE, INC.",,,,,,,800-678-3620,843-722-0588,P.O. BOX 1158,,ANNA MARIA,FL,USA,34216-1158,Approved,9/3/1987,1/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"26,811,619.00",0,"26,811,619.00",75,0,75,N,Y,N,N,N,N,N,N,N,Y,HOURLY CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,135122,801-64238,"FINANCIAL SECURITY SERVICES, LLC","FINANCIAL SECURITY SERVICES, LLC",,,,,,,561-630-8422,775-640-8796,,,,,,,Approved,5/13/2005,1/29/2010,Y,WWW.WEALTHMANAGERS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"35,411,753.00",0,"35,411,753.00",63,0,63,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,113347,801-60362,"COMMONWEALTH ADVISORY GROUP, LTD.","COMMONWEALTH ADVISORY GROUP, LTD.",1910 COCHRAN ROAD,"MANOR OAK ONE, SUITE 620",PITTSBURGH,PA,USA,15220,412-531-6040,412-531-6122,,,,,,,Approved,6/26/2001,1/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"170,351,227.00","170,351,227.00",0,924,924,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108562,801-54484,ALLIANCE FAMILY INVESTMENT MANAGEMENT,ALLIANCE INTERNATIONAL LTD,121 TOWNE SQUARE WAY,,PITTSBURGH,PA,UNITED STATES,15227,412-885-4863,412-881-4636,,,,,,,Approved,5/23/1997,1/29/2010,Y,HTTPS://WWW.ALLIANCEFAMILYINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,0,"60,687,204.00","60,687,204.00",0,72,72,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,112302,801-60500,"FEDERAL STREET PARTNERS, LLC","FEDERAL STREET PARTNERS, LLC",750 WASHINGTON BOULEVARD,6TH FLOOR,STAMFORD,CT,UNITED STATES,6901,203-961-0408,203-961-0424,,,,,,,Approved,9/28/2001,1/29/2010,Y,WWW.FEDERAL-STREET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,11-25 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,375,000,000.00","321,000,000.00","1,696,000,000.00",7,2,9,N,N,N,Y,N,Y,N,N,N,Y,HEDGE FUNDS,,,N,N,N,N,Y,N,N,N,N,,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,106007,801-57335,PAN GEO INVESTMENT INC,PAN GEO INVESTMENT INC,,,,,,,604-321-0666; 778-848-9671,,"#688, UNIT 4 - 350 S.E. MARINE DR",,"VANCOUVER, BC",,CANADA,V5X 2S5,Approved,4/11/2000,1/29/2010,Y,WWW.PANGEOINVESTMENT.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"BRITISH COLUMBIA, CANADA",5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,Y,Y,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,Y,Y,N,Y,SERVICE AS PER PANGEOINVESTMENT.COM,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N
HQ,109170,801-56305,JV INVESTMENT ADVISORS,VISCONTI JAMES ANTHONY,123 QUEEN STREET WEST,"THE SHERATON CENTER, STE 333","TORONTO, ONTARIO",,CANADA,M5H 3M9,416-491-9595,NONE,,,,,,,Approved,3/26/1999,3/6/2008,Y,HTTP://WWW.SMALLCAPOFTHEWEEK.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,,"ONTARIO, CANADA",5-Jan,0,5-Jan,0,0,0,5-Jan,0,More than 500,"1,500",0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,,Y,Y,N,Y,N,N,Y,HAVE MOVED TO NON-SUBSCRIPTION SERVICE IN 2001,N,0,0,0,0,0,0,N,N,Y,Y,N,Y,Y,N,N,Y,CORPORATE ADVISORY,0,,N,N,Y,N,N,N,N,N,Y,CORPORATE ADVISORY,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,149019,801-69812,"LIONSBRIDGE ASSET MANAGEMENT, LLC","LIONSBRIDGE ASSET MANAGEMENT, LLC",4230 PABLO PROFESSIONAL COURT,SUITE 202,JACKSONVILLE,FL,UNITED STATES,32224,904-562-5194,904-562-5191,,,,,,,Approved,1/12/2009,1/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"63,300,000.00",0,"63,300,000.00",133,0,133,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,119145,801-66562,IVY LEAGUE FINANCIAL ADVISORS LLC,IVY LEAGUE FINANCIAL ADVISORS LLC,11 NORTH WASHINGTON STREET,SUITE 250,ROCKVILLE,MD,USA,20850,301-258-1300,301-990-9664,,,,,,,Approved,4/10/2006,1/29/2010,Y,WWW.IVYFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"72,221,538.00",0,"72,221,538.00",477,0,477,Y,Y,N,Y,Y,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,121529,801-63153,"ALTRIUS CAPITAL MANAGEMENT, INC.","ALTRIUS CAPITAL MANAGEMENT, INC.",1323 COMMERCE DRIVE,,NEW BERN,NC,USA,28562,252-638-7598,252-638-6739,,,,,,,Approved,5/27/2004,1/29/2010,Y,WWW.ALTRIUS-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"105,000,000.00",0,"105,000,000.00",668,0,668,N,Y,N,Y,N,N,N,N,N,Y,GENERAL CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,108026,801-69800,ARNOLD WEITZ & CO,ARNOLD WEITZ & CO,414 S 14 STREET,,OMAHA,NE,UNITED STATES,68102-2606,402-392-2244,402-392-0320,,,,,,,Approved,1/2/2009,1/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"23,589,278.00","72,611,962.00","96,201,240.00",55,3,58,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109610,801-57473,ULLAND INVESTMENT ADVISORS,ULLAND INVESTMENT ADVISORS INC,4550 IDS CENTER,80 S 8TH STREET,MINNEAPOLIS,MN,USA,55402,612-312-1400,612-204-3464,,,,,,,Approved,4/14/2000,1/29/2010,Y,WWW.ULLANDINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"85,827,151.00",0,"85,827,151.00",260,0,260,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,108600,801-17065,PENINSULA ASSET MANAGEMENT INC,PENINSULA ASSET MANAGEMENT INC,1111 3RD AVENUE WEST,SUITE 340,BRADENTON,FL,UNITED STATES,34205,(941) 748-8680,(941) 748-2654,,,,,,,Approved,4/27/1982,1/29/2010,Y,WWW.PENINSULAASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"136,307,295.00","9,907,087.00","146,214,382.00",386,27,413,N,Y,N,N,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,114310,801-60485,PARAMETRIC,PARAMETRIC PORTFOLIO ASSOCIATES LLC,1151 FAIRVIEW AVENUE NORTH,,SEATTLE,WA,USA,98109,206-694-5575,206-694-5581,,,,,,,Approved,8/17/2001,1/29/2010,Y,WWW.PARAMETRICPORTFOLIO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,More than 500,"2,500",0 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"29,916,133,113.00",0,"29,916,133,113.00","16,610",0,"16,610",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,151662,801-70696,THE PHILLIPS GROUP ADVISORS,TPG ADVISORS LLC,21031 VENTURA BLVD. SUITE 315,,WOODLAND HILLS,CA,UNITED STATES,91364,(818) 444-0280,,,,,,,,Approved,10/22/2009,2/4/2010,Y,WWW.TPGADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"50,000,000.00","50,000,000.00","100,000,000.00",250,250,500,Y,Y,N,N,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N
HQ,112284,801-55108,ROYAL BANK OF CANADA INVESTMENT MANAGEMENT(USA) LIMITED,ROYAL BANK OF CANADA INVESTMENT MANAGEMENT(USA) LIMITED,71 QUEEN VICTORIA STREET,,LONDON,,UNITED KINGDOM,EC4V 4DE,44 20 7653 4000,44 20 7236 1768,71 QUEEN VICTORIA STREET,,LONDON,,UNITED KINGDOM,EC4V4DE,Approved,2/13/1998,2/5/2010,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"113,573,070.00","530,192,131.00","643,765,201.00",10,48,58,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,124815,801-61788,"E. BATOFF & CO., INC.","E. BATOFF & CO., INC.",,,,,,,305-948-4818,305-948-3598,,,,,,,Approved,2/3/2003,2/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"84,000,000.00",0,"84,000,000.00",21,0,21,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,126508,801-62046,FRANKLIN PARK,"FRANKLIN PARK ASSOCIATES, LLC",THREE BALA PLAZA,SUITE 500 WEST,BALA CYNWYD,PA,USA,19004,610-822-0500,610-822-0499,,,,,,,Approved,5/9/2003,2/5/2010,Y,WWW.FRANKLINPARKLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,51-75 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"82,255,100.00","3,646,129,482.00","3,728,384,582.00",3,9,12,N,N,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,125714,801-66303,"SPIVAK ASSET MANAGEMENT, LLC","SPIVAK ASSET MANAGEMENT, LLC",172 WEST MAIN STREET,,AVON,CT,USA,6001,860-676-9756,860-676-2107,,,,,,,Approved,2/1/2006,2/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"51,949,839.00",0,"51,949,839.00",112,0,112,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,136553,801-64650,"DOMINION WEALTH MANAGEMENT, INC.","DOMINION WEALTH MANAGEMENT, INC.",1801 ROBERT FULTON DRIVE,SUITE 350,RESTON,VA,UNITED STATES,20191,703-673-7999,703-673-7998,,,,,,,Approved,9/1/2005,2/5/2010,Y,WWW.DOMINIONWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SELECTION OF OTHER ADVISORS,Y,"49,000,000.00","1,000,000.00","50,000,000.00",275,25,300,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,135555,801-64473,U.S. INSTITUTIONAL CORPORATION,U.S. INSTITUTIONAL CORPORATION,12444 POWERSCOURT DRIVE,SUITE 250,ST. LOUIS,MO,USA,63131,314-965-0426,314-965-0039,,,,,,,Approved,7/7/2005,2/5/2010,Y,WWW.USINSTITUTIONAL.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,,N,N,N,Y,N,N,Y,PERCENTAGE FEE BASED UPON THE VALUE OF ASSETS CONSULTED ON,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,Y,"U.S. INSTITUTIONAL PROVIDES COMPREHENSIVE INVESTMENT CONSULTING SERVICES TO TAX-EXEMPT, TAXABLE ENTITIES AND BUSINESSES",,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,142682,801-67464,KERNTKE OTTO MCGLONE WEALTH MANAGEMENT GROUP,KERNTKE OTTO MCGLONE WEALTH MANAGEMENT GROUP,3701 EAST EVERGREEN DRIVE,SUITE 500A,APPLETON,WI,UNITED STATES,54913,920-733-3865,920-733-3882,,,,,,,Approved,1/19/2007,2/5/2010,Y,WWW.KERNTKEOTTOMCGLONE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"97,000,000.00",0,"97,000,000.00","1,400",0,"1,400",Y,Y,N,Y,N,Y,Y,N,N,N,,51-100,,N,N,N,Y,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,143418,801-67782,PIERMONT CAPITAL MANAGEMENT LLC,PIERMONT CAPITAL MANAGEMENT LLC,12444 POWERSCOURT DRIVE,SUITE 251,ST. LOUIS,MO,UNITED STATES,63131,314-965-6847,314-965-0039,,,,,,,Approved,4/24/2007,2/5/2010,Y,WWW.PIERMONTCAPITAL.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"23,794,701.00",0,"23,794,701.00",6,0,6,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,149006,801-69823,"BLACKSTREET CAPITAL ADVISORS, II, LLC","BLACKSTREET CAPITAL ADVISORS II, LLC",5425 WISCONSON AVENUE,SUITE 701,CHEVY CHASE,MD,UNITED STATES,20815,240-223-1330,240-223-1331,,,,,,,Approved,1/5/2009,2/5/2010,Y,WWW.BLACKSTREETCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,"106,380,000.00",0,"106,380,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,GENERAL PARTNER OF PRIVATE EQUITY FUND,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,112018,801-60280,CORINTHIAN CAPITAL COMPANY,CORINTHIAN CAPITAL COMPANY,1401 17TH STREET,SUITE 480,DENVER,CO,UNITED STATES,80202,303-298-9950,303-298-9961,,,,,,,Approved,5/31/2001,2/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),SUB S CORPORATION,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"49,666,262.00",0,"49,666,262.00",70,0,70,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137855,801-64967,UFG ADVISORS LIMITED,UFG ADVISORS LIMITED,"VICTORIA PLACE, 31 VICTORIA STREET",,HAMILTON,,BERMUDA,HM 10,74956623030,74956623397,,,,,,,Approved,1/4/2006,2/5/2010,Y,WWW.UFGAM.COM,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,BERMUDA,Nov-50,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"437,667,285.00",0,"437,667,285.00",18,0,18,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,120986,801-67406,"RETIREMENT SOLUTIONS, INC.","RETIREMENT SOLUTIONS, INC.","5857 OWENS AVE, SUITE 110",,CARLSBAD,CA,UNITED STATES,92008,760-603-0700,760-603-0710,,,,,,,Approved,1/3/2007,2/5/2010,Y,WWW.2RSI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"31,732,325.00","31,732,325.00",0,118,118,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,131672,801-66394,THE MUTUAL FUND STORE - GRAND RAPIDS,"TMFS-GRAND RAPIDS, LLC",1200 EAST PARIS,# 7,GRAND RAPIDS,MI,USA,49546,616-949-5959,616-949-6040,,,,,,,Approved,3/16/2006,2/5/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"57,600,000.00",0,"57,600,000.00",841,0,841,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104834,801-29144,WEDGEWOOD INVESTORS INC,WEDGEWOOD INVESTORS INC,"100 STATE STREET, SUITE 506",,ERIE,PA,UNITED STATES,16507-1466,[814]456-3651,[814]459-9343,,,,,,,Approved,4/3/1987,2/5/2010,Y,WEDGEWOODERIE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"76,812,664.00",0,"76,812,664.00",246,0,246,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,150665,801-71106,"JCM ADVISORS OF CRYSTAL RIVER, LLC","JCM ADVISORS OF CRYSTAL RIVER, LLC",2450 NORTH CITRUS HILLS BOULEVARD,,HERNANDO,FL,UNITED STATES,34442-5348,352-746-4460,352-746-0816,,,,,,,Approved,2/22/2010,2/5/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,108038,801-56858,INVESTMENT ADVISORY PROFESSIONALS LLC,INVESTMENT ADVISORY PROFESSIONALS LLC,400 S DIXIE HWY,SUITE 322,BOCA RATON,FL,UNITED STATES,33432,561-391-4477,561-391-8232,,,,,,,Approved,9/22/1999,2/5/2010,Y,HTTP://WWW.IAPLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"117,000,000.00",0,"117,000,000.00",93,0,93,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,111543,801-57324,LEVITT CAPITAL MANAGEMENT LLC,LEVITT CAPITAL MANAGEMENT LLC,101 N. FEDERAL HIGHWAY,SUITE 700,BOCA RATON,FL,USA,33432,561-893-9901,561-893-9596,,,,,,,Approved,3/6/2000,2/5/2010,Y,LCMADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"437,937,676.00",0,"437,937,676.00",229,0,229,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT CONSULTATIONS & PORTFOLIO MANAGEMENT FOR PRIVATE POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,108976,801-66779,BREITER CAPITAL MANAGEMENT INC.,BREITER CAPITAL MANAGEMENT INC,101 SOUTH BAY BLVD. / SUITE B-4,,ANNA MARIA,FL,USA,34216,941-778-1900,941-778-1801,P.O. BOX 818,,ANNA MARIA,FL,USA,34216,Approved,6/1/2006,2/5/2010,Y,WWW.BREITERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SHARE IN THIRD PARTY ADVISORY FEES,Y,"57,178,075.00",0,"57,178,075.00",353,0,353,N,Y,N,N,Y,Y,N,N,N,Y,ALLOCATION ADVICE TO OTHER RIAS; SPEAKING ENGAGEMENTS; HOURLY CONSULTING,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111406,801-60161,"ARTERBURN AND WATTERS, LLP","ARTERBURN AND WATTERS, LLP",17 LOWER GOLF ROAD,,PLEASANTON,CA,USA,94566,925-462-1120,925-462-1918,,,,,,,Approved,4/9/2001,2/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,"FAMILY PARTNERSHIPS, TRUSTS",N,Y,N,N,N,N,N,,Y,0,"74,000,000.00","74,000,000.00",0,140,140,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109616,801-57993,DBA CAP ADVISORS,"CAPOZZOLI ADVISORY FOR PENSIONS, INC.",21500 HAGGERTY ROAD,ST. 100,NORTHVILLE,MI,USA,48167,248-305-8900,248-305-8904,,,,,,,Approved,9/29/2000,2/5/2010,Y,WWW.CAPADVISORS.ORG,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,Y,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,Y,REAL ESTATE ADVISORY,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,127650,801-70050,"HERITAGE CAPITAL, LLC","HERITAGE CAPITAL, LLC",1 BRADLEY ROAD SUITE 202,,WOODBRIDGE,CT,UNITED STATES,6525,203-389-3553,203-389-3550,,,,,,,Approved,4/14/2009,2/5/2010,Y,WWW.INVESTFORTOMORROW.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"58,317,656.00","1,144,830.00","59,462,486.00",170,3,173,N,Y,Y,Y,N,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
ARO,106492,801-40916,CS CAPITAL MANAGEMENT INC,CS CAPITAL MANAGEMENT INC,"ONE OVERTON PARK, SUITE 240",3625 CUMBERLAND BOULEVARD,ATLANTA,GA,UNITED STATES,30339,770-818-4040,770-818-4041,,,,,,,Approved,3/3/1992,2/5/2010,Y,WWW.CSCAPITALINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"37,834,719.00","639,557,129.00","677,391,848.00",1,3,4,N,N,N,Y,N,N,N,N,N,Y,REAL ESTATE INVESTMENT ADVISORY,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,114801,801-60481,"ARLINGTON CAPITAL MANAGEMENT, INC.","ARLINGTON CAPITAL MANAGEMENT, INC.",21 S. EVERGREEN AVENUE,SUITE 210,ARLINGTON HEIGHTS,IL,USA,60005-7800,847-670-4030,847-670-4034,,,,,,,Approved,8/10/2001,7/30/2009,Y,WWW.ARLINGTON-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"29,539,524.00",0,"29,539,524.00",290,0,290,Y,Y,N,Y,N,Y,Y,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,152850,801-71107,"PLAN YOUR FEDERAL RETIREMENT, LLC","PLAN YOUR FEDERAL RETIREMENT, LLC",431 WEST SEVENTH STREET,SUITE 100,ANCHORAGE,AK,UNITED STATES,99501,907-278-1351,907-278-4237,,,,,,,Approved,2/12/2010,2/5/2010,Y,WWW.PLANYOURFEDERALRETIREMENT.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,AK,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,Y,RETIREMENT PLANNING FOR FEDERAL EMPLOYEES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138110,801-65071,HORIZON CAPITAL,HORIZON CAPITAL MANAGEMENT AND RESEARCH LIMITED,"ETON TOWER, SUITE 1601","8 HYSAN AVENUE, CAUSEWAY BAY",HONG KONG,,CHINA,0,852-2241-4961,852-2241-4975,,,,,,,Approved,2/17/2006,2/22/2007,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,"155,000,000.00","155,000,000.00",0,3,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150488,801-70242,CARNEGIE INVESTMENT COUNSEL,"CARNEGIE CAPITAL ASSET MANAGEMENT, LLC",25550 CHAGRIN BOULEVARD,SUITE 101,BEACHWOOD,OH,UNITED STATES,44122,216-367-4114,216-523-8380,,,,,,,Approved,4/30/2009,2/5/2010,Y,WWW.CARNEGIE-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"213,231,568.00",0,"213,231,568.00",851,0,851,Y,Y,N,Y,Y,Y,Y,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150759,801-70392,"RIVERSIDE PORTFOLIO MANAGEMENT, LLC","RIVERSIDE PORTFOLIO MANAGEMENT, LLC",10 S. RIVERSIDE PLAZA,SUITE 700,CHICAGO,IL,UNITED STATES,60606,312-327-0430,312-327-0435,,,,,,,Approved,7/29/2009,2/5/2010,Y,WWW.RIVERSIDEPORTFOLIOMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,Y,ADMINISTRATIVE SERVICES FEE,Y,"731,737,438.00","384,155,314.00","1,115,892,752.00",36,11,47,N,N,N,Y,N,Y,N,N,N,Y,MANAGEMENT OF UNREGISTERED INVESTMENT COMPANIES IN FUND OF FUNDS STRUCTURES,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,3441,801-68175,SMITH MOORE & CO.,SMITH MOORE & CO.,"7777 BONHOMME AVE., SUITE 2400",,CLAYTON,MO,USA,63105,314-727-5225,314-863-8342,,,,,,,Approved,8/8/2007,7/31/2009,Y,WWW.SMITHMOORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"36,095,000.00",0,"36,095,000.00",238,0,238,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,Y,Y,Y,N,N,N,Y,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,N,N,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
FWRO,108125,801-54702,SHAMROCK ASSET MANAGEMENT LLC,SHAMROCK ASSET MANAGEMENT LLC,14643 DALLAS PARKWAY,SUITE 570,DALLAS,TX,UNITED STATES,75254,214-265-9400,214-265-9494,,,,,,,Approved,7/9/1997,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"170,082,207.00","27,529,388.00","197,611,595.00",253,32,285,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107649,801-52511,MG FINANCIAL LLC,MG FINANCIAL LLC,300 GRANITE STREET,SUITE 408,BRAINTREE,MA,UNITED STATES,2184,781-848-1163,781-848-1119,,,,,,,Approved,7/26/1996,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,ANNUAL RETAINER FOR SERVICES NOT COVERED BY AN ASSET BASED FEE.,Y,0,"123,254,165.00","123,254,165.00",0,60,60,Y,N,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,146340,801-68814,BUSHIDO CAPITAL PARTNERS LLC,BUSHIDO CAPITAL PARTNERS LLC,21 DUPONT CIRCLE NW,SUITE 500,WASHINGTON,DC,UNITED STATES,20036,202-828-6200,202-828-6208,,,,,,,Approved,1/28/2008,3/24/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"6,460,000.00",0,"6,460,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,MANAGEMENT OF HEDGE FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107397,801-40182,UNITED AMERICAN CAPITAL CORP,UNITED AMERICAN CAPITAL CORP,75 E WILSON BRIDGE ROAD,"SUITES C-2, C-3",WORTHINGTON,OH,UNITED STATES,43085,614-885-7596,614-885-7599,,,,,,,Approved,11/19/1991,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,Up to 10 percent,"HEALTH CARE PROVIDERS, EDUCATIONAL INSTITUTIONS",Y,N,N,Y,N,N,N,,Y,"2,566,602,089.00","223,464,053.00","2,790,066,142.00",22,12,34,N,N,N,Y,N,N,N,N,N,Y,FIXED INCOME MANAGEMENT OF PUBLIC FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114097,801-60421,GLASS MANAGEMENT COMPANY,GLASS MANAGEMENT COMPANY,1250 NE LOOP 410,SUITE 333,SAN ANTONIO,TX,USA,78209-1544,210-930-5141,210-930-5142,,,,,,,Approved,7/19/2001,3/24/2010,Y,WWW.GLASSMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"44,599,571.00","7,997,412.00","52,596,983.00",67,2,69,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110906,801-55351,"CYPRESS MANAGEMENT ADVISORS, LLC","CYPRESS MANAGEMENT ADVISORS, LLC",100 PINE STREET,SUITE 2700,SAN FRANCISCO,CA,UNITED STATES,94111,415-229-9000,415-434-8043,,,,,,,Approved,3/17/1998,3/24/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,PERFORMANCE-BASED PARTNER PROFIT ALLOCATION,Y,"10,721,708.00",0,"10,721,708.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,SERVES AS GEN. PARTNER OF INVESTMENT LIMITED PARTNERSHIPS,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
NYRO,113742,801-28490,"FX CONCEPTS, LLC","FX CONCEPTS, LLC",225 W. 34TH ST. SUITE 710,,NEW YORK,NY,UNITED STATES,10122,212-554-6800,212-554-6905,,,,,,,Approved,12/11/1986,3/24/2010,Y,WWW.FX-CONCEPTS.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,26-50 percent,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,,Y,N,Y,N,N,Y,N,,Y,"7,691,285,482.00",0,"7,691,285,482.00",68,0,68,N,N,N,Y,N,N,N,N,N,Y,MANAGEMENT OF FOREIGN EXCHANGE EXPOSURE,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,133399,801-65017,"LIFETIME WEALTH PLANNING AND MANAGEMENT, LLC","LIFETIME WEALTH PLANNING AND MANAGEMENT, LLC",120 WATERFRONT STREET,SUITE 410,NATIONAL HARBOR,MD,UNITED STATES,20745,301-567-0706,703-652-6280,,,,,,,Approved,11/10/2005,3/24/2010,Y,HTTP://WWW.LTWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"40,682,482.00","40,682,482.00",0,332,332,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,144725,801-68232,THIRD RIVER CAPITAL MANAGEMENT,"THIRD RIVER CAPITAL MANAGEMENT, LLC",221 N. LASALLE STREET,SUITE 1906,CHICAGO,IL,UNITED STATES,60601,312-628-6700,312-628-6710,,,,,,,Approved,7/1/2007,3/24/2010,Y,WWW.THIRDRIVERCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,ADVISOR TO ALL CAP VALUE FUND LP,Y,N,N,N,N,N,N,,Y,"57,983,664.00",0,"57,983,664.00",44,0,44,N,Y,N,Y,N,N,N,N,N,Y,ADVISOR TO ALL CAP VALUE FUND LP,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,146528,801-68894,"ROYAL OAK CAPITAL MANAGEMENT, LLC","ROYAL OAK CAPITAL MANAGEMENT, LLC",801 17TH STREET NW,SUITE 202,WASHINGTON,DC,UNITED STATES,20006,202-842-9880,202-842-9873,,,,,,,Approved,3/20/2008,3/24/2010,Y,WWW.ROYALOAKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"32,035,023.00","11,097,188.00","43,132,211.00",10,9,19,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108708,801-52909,MORGAN STANLEY VENTURE CAPITAL III INC,MORGAN STANLEY VENTURE CAPITAL III INC,1585 BROADWAY,"39TH FLOOR, ATTN:  DEBRA ABRAMOVITZ",NEW YORK,NY,UNITED STATES,10036,212-761-7070,212-507-3971,,,,,,,Approved,9/30/1996,3/24/2010,Y,WWW.MORGANSTANLEY.COM/INSTITUTIONAL/VENTUREPARTNERS/,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ADMINISTRATIVE FEES,Y,"31,399,965.00",0,"31,399,965.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107568,801-30582,NAVELLIER & ASSOCIATES INC,NAVELLIER & ASSOCIATES INC,"1 E. LIBERTY, THIRD FLOOR",,RENO,NV,UNITED STATES,89501,775-785-2300,775-562-8212,,,,,,,Approved,10/30/1987,3/24/2010,Y,WWW.NAVELLIER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,More than 500,"5,000",26-50 percent,11-25 percent,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,643,000,000.00",0,"2,643,000,000.00","4,995",0,"4,995",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,151208,801-70581,"NAVELLIER SELECT MANAGEMENT, LLC","NAVELLIER SELECT MANAGEMENT, LLC",1 E. LIBERTY,3RD FLOOR,RENO,NV,UNITED STATES,89501,775-785-2300,775-562-8212,,,,,,,Approved,10/8/2009,3/24/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,800,000.00",0,"1,800,000.00",4,0,4,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,Y,Y,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107537,801-50045,NAVELLIER HEDGE MANAGEMENT INC,NAVELLIER HEDGE MANAGEMENT INC,"ONE EAST LIBERTY, 3RD FLOOR",,RENO,NV,UNITED STATES,89501,775-785-2300,775-562-8212,,,,,,,Approved,4/18/1996,3/24/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,10-Jun,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,800,000.00",0,"1,800,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,123636,801-63436,ELLIOTT COVE CAPITAL MANAGEMENT,ELLIOTT COVE CAPITAL MANAGEMENT LLC,1000 SECOND AVENUE,SUITE 1440,SEATTLE,WA,UNITED STATES,98104,206-267-2683,206-267-1967,,,,,,,Approved,8/23/2004,3/24/2010,Y,WWW.ELLIOTTCOVE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"75,209,269.00",0,"75,209,269.00",972,0,972,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,126740,801-63534,"KULT WEALTH MANAGEMENT GROUP, LLC","KULT WEALTH MANAGEMENT GROUP, LLC",1135 LEGION DRIVE SUITE 201,,ELM GROVE,WI,USA,53122,(262) 787-0704,(262) 787-0951,,,,,,,Approved,9/24/2004,3/24/2010,Y,WWW.KULTWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"28,813,871.00","7,439,148.00","36,253,019.00",43,5,48,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108809,801-56337,EARLY ADOPTER FUND MANAGER INC,EARLY ADOPTER FUND MANAGER INC,1585 BROADWAY,"39TH FLOOR, ATTN:  DEBRA ABRAMOVITZ",NEW YORK,NY,UNITED STATES,10036,212-761-7070,212-507-3971,,,,,,,Approved,3/15/1999,3/24/2010,Y,WWW.MORGANSTANLEY.COM/INSTITUTIONAL/VENTUREPARTNERS/,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,123,048.00",0,"2,123,048.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,145463,801-68485,"BERKSHIRE ASSET MANAGEMENT, LLC","BERKSHIRE ASSET MANAGEMENT, LLC",46 PUBLIC SQUARE,SUITE 700,WILKES-BARRE,PA,UNITED STATES,18701-2609,570-825-2600,570-825-2286,,,,,,,Approved,7/1/2007,3/24/2010,Y,WWW.BERKSHIREAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"523,284,000.00","54,280,000.00","577,564,000.00",268,29,297,N,Y,N,Y,N,Y,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105559,801-31427,OPPENHEIMER ASSET MANAGEMENT,OPPENHEIMER ASSET MANAGEMENT INC.,200 PARK AVENUE  24TH FLOOR,,NEW YORK,NY,UNITED STATES,10166,212-667-4395,212-667-4959,,,,,,,Approved,3/17/1988,3/24/2010,Y,WWW.OPCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"20,000",11-25 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"5,461,739,866.00","2,735,135,923.00","8,196,875,789.00","14,592","16,426","31,018",Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,Y,Y,N,N,N,Y,N,N,N,N
NYRO,142924,801-67552,TRINITY CAPITAL PARTNERS,TERENCE MICHAEL GATT,59 STATE ST.,SUITE A-10,TULLY,NY,USA,13159,315-510-6799,,,,,,,,Approved,3/5/2007,6/30/2008,Y,WWW.SEQUOIAASSETMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,Y,N,,Y,"27,000,000.00","15,000,000.00","42,000,000.00",15,10,25,Y,Y,N,Y,N,N,Y,N,Y,N,,10-Jan,,N,N,N,N,Y,Y,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123259,801-62122,R.A.S. FUND MANAGEMENT,"STRAUSS, RICHARD ALAN",,,,,,,773-334-1125,773-334-1125,,,,,,,Approved,6/11/2003,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"59,452,809.00",0,"59,452,809.00",115,0,115,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,135098,801-67395,SVL INVESTMENT MANAGEMENT,SVL HOLDING CORPORATION,1620 N. PLACENTIA AVE.,SUITE 100,PLACENTIA,CA,UNITED STATES,92870,714-986-2222,714-996-1966,,,,,,,Approved,1/31/2007,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"39,456,000.00",0,"39,456,000.00",218,0,218,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
DRO,129246,801-64118,"CORNERSTONE FINANCIAL GROUP,LLC","CORNERSTONE FINANCIAL GROUP,LLC","11225 DAVENPORT STREET,",SUITE 102,OMAHA,NE,UNITED STATES,68154,402-758-0700,402-758-0743,,,,,,,Approved,4/21/2005,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"45,554,802.00",0,"45,554,802.00",477,0,477,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112525,801-60401,"MORNINGSTAR INVESTMENT SERVICES,INC","MORNINGSTAR INVESTMENT SERVICES, INC",22 W WASHINGTON ST,13TH FLOOR,CHICAGO,IL,UNITED STATES,60602-1605,312-696-6000,312-696-6630,,,,,,,Approved,7/9/2001,3/24/2010,Y,WWW.MP.MORNINGSTAR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,251-500,0,More than 500,"17,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,102,050,838.00",0,"2,102,050,838.00","16,769",0,"16,769",N,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,Y,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,106580,801-40973,REYNOLDS INVESTMENT MANAGEMENT INC,REYNOLDS INVESTMENT MANAGEMENT INC,"27 CLEVELAND STREET, STE 202",,GREENVILLE,SC,UNITED STATES,29601,864-232-8670,864-232-8387,,,,,,,Approved,3/6/1992,3/24/2010,Y,HTTP://WWW.RIMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"205,932,762.00",0,"205,932,762.00",166,0,166,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143885,801-68210,CLAWSON ADVISORY SERVICES,ONE WOODWARD ADVISORS LLC,,,,,,,212-794-5225,866-720-5315,,,,,,,Approved,8/14/2007,3/24/2010,Y,HTTP://WWW.CLAWSONADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"2,924,000.00","106,332,000.00","109,256,000.00",12,29,41,Y,Y,N,N,N,Y,N,N,N,Y,ASSET ALLOCATION,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,130550,801-63340,E & G ADVISORS LP,E & G ADVISORS LP,"230 WESTCOTT, SUITE 220",,HOUSTON,TX,USA,77007,713-880-5819,713-880-9198,,,,,,,Approved,7/16/2004,3/24/2010,Y,WWW.EANDGADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"55,497,869.00",0,"55,497,869.00",128,0,128,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,133359,801-63682,TRACKBULL INTERNATIONAL LLC,TRACKBULL INTERNATIONAL LLC,,,,,,,866-620-0059,866-620-0058,P.O.BOX 536,,HERZLIYA,,ISRAEL,46105,Approved,1/3/2005,3/24/2010,Y,WWW.TRACKBULL.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"8,329,463.00","1,439,566.00","9,769,029.00",9,2,11,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107840,801-21759,"TALON ASSET MANAGEMENT, LLC","TALON ASSET MANAGEMENT, LLC","ONE NORTH FRANKLIN, SUITE 900",,CHICAGO,IL,USA,60606,312-422-5400,312-422-5415,,,,,,,Approved,8/1/1984,3/24/2010,Y,WWW.TALONMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"1,114,108,000.00","3,065,000.00","1,117,173,000.00",595,2,597,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,143360,801-67613,WALLINGTON ASSET MANAGEMENT,"WALLINGTON ASSET MANAGEMENT, LLC","8900 KEYSTONE CROSSING, SUITE 1015",,INDIANAPOLIS,IN,USA,46240,317-575-8670,317-575-8671,,,,,,,Approved,3/2/2007,3/24/2010,Y,WWW.WALLINGTONASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"328,988,902.00",0,"328,988,902.00",488,0,488,Y,Y,N,Y,Y,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110059,801-21569,L. COOPER INVESTMENTS,COOPER LARRY CLARK,,,,,,,210-828-9479,210-826-7739,,,,,,,Approved,6/29/1984,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"65,227,567.00",0,"65,227,567.00",28,0,28,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,142824,801-67678,MORGAN STANLEY INFRASTRUCTURE INC.,MORGAN STANLEY INFRASTRUCTURE INC.,1585 BROADWAY,ANNE VALENTINE ANDREWS 39TH FLOOR,NEW YORK,NY,UNITED STATES,10036,212-761-8877,212 507-2132,,,,,,,Approved,4/4/2007,3/24/2010,Y,HTTP://WWW.MORGANSTANLEY.COM/INFRASTRUCTURE/,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ADMINISTRATIVE (ACQUISITION) FEES,Y,"1,674,838,869.00",0,"1,674,838,869.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104945,801-27485,LONGFELLOW INVESTMENT MANAGEMENT CO. LLC,LONGFELLOW INVESTMENT MANAGEMENT CO. LLC,20 WINTHROP SQUARE,3RD FLOOR,BOSTON,MA,UNITED STATES,2110,617-695-3504,617-695-3507,,,,,,,Approved,7/21/1986,3/24/2010,Y,WWW.LONGFELLOWINVESTMENT.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,11-25 percent,51-75 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"2,953,000,000.00",0,"2,953,000,000.00",95,0,95,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,124778,801-63817,"ST. JOHN & ASSOCIATES, INC.","ST. JOHN & ASSOCIATES, INC.",500 SUN VALLEY DRIVE SUITE D-3 & D-4,,ROSWELL,GA,UNITED STATES,30076,770-642-7631,770-993-9807,,,,,,,Approved,2/4/2005,3/24/2010,Y,STJOHNFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,INVESTMENT MANAGEMENT CONSULTING,Y,Y,N,Y,N,N,Y,ANNUAL RETAINERS,Y,"41,675,500.00","1,659,500.00","43,335,000.00",425,11,436,Y,Y,N,Y,Y,Y,N,N,N,Y,INVESTMENT & FINANCIAL CONSULTING,26-50,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,117191,801-61181,"AFFINITY INVESTMENT GROUP, LLC","AFFINITY INVESTMENT GROUP, LLC","18 HAMPTON ROAD, UNIT 7",,EXETER,NH,USA,3833,603-778-6436,603-418-0084,,,,,,,Approved,5/17/2002,3/24/2010,Y,WWW.AFFINITYINVESTMENTGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,0,"78,906,889.00","78,906,889.00",0,"1,020","1,020",Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,134868,801-65394,"SPYGLASS MANAGEMENT, LP","SPYGLASS MANAGEMENT, LP",510 BERING DRIVE,SUITE 230,HOUSTON,TX,USA,77057,713-268-1644,713-268-1636,,,,,,,Approved,2/24/2006,11/10/2006,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"35,200,000.00",0,"35,200,000.00",3,0,3,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,122418,801-61821,FINANCIAL HORIZONS-WEALTH BUILDING STRATEGIES LLC,FINANCIAL HORIZONS-WEALTH BUILDING STRATEGIES LLC,12667 ALCOSTA BOULEVARD,SUITE 500,SAN RAMON,CA,USA,94583,925-790-2892,925-790-2893,,,,,,,Approved,2/21/2003,2/17/2010,Y,WWW.FHLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"132,279,000.00","12,764,000.00","145,043,000.00",145,10,155,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,112567,801-57292,FUND ADVISORS OF AMERICA INC,FUND ADVISORS OF AMERICA INC,1800 PEMBROOK DR. SUITE 300,,ORLANDO,FL,USA,32810,407.667.4729,407.667.4728,,,,,,,Approved,3/7/2000,2/17/2010,Y,WWW.FUNDADVISORSOFAMERICA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,500,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"58,366,432.00",0,"58,366,432.00",763,0,763,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,151663,801-70736,"WORLD TREE FINANCIAL, LLC","WORLD TREE FINANCIAL, LLC",1817 BERTRAND DRIVE,UNIT B,LAFAYETTE,LA,UNITED STATES,70506,337-504-2918,337-504-3734,,,,,,,Approved,11/5/2009,2/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"26,825,183.00","6,799,677.00","33,624,860.00",178,14,192,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,124813,801-61915,BIG SKY ASSET MANAGEMENT LLC,BIG SKY ASSET MANAGEMENT LLC,12667 ALCOSTA BOULEVARD,SUITE 500,SAN RAMON,CA,USA,94583,925-790-2892,925-790-2893,,,,,,,Approved,3/21/2003,2/17/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"4,121,000.00","23,936,000.00","28,057,000.00",4,2,6,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,109549,801-58048,ATLANTIC CAPITAL MANAGEMENT,"ATLANTIC CAPITAL MANAGEMENT OF FLORIDA, INC.",580 VILLAGE BLVD,SUITE 315,WEST PALM BEACH,FL,UNITED STATES,33409,561-686-6844,561-686-7142,,,,,,,Approved,11/9/2000,2/17/2010,Y,WWW.CLIENT-CENTERED.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"48,869,880.00","13,562,489.00","62,432,369.00",46,2,48,N,Y,N,N,N,N,N,N,N,Y,FIXED FEE INVESTMENT CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,136346,801-64526,"NATIONAL WEALTH MANAGEMENT, LLC","NATIONAL WEALTH MANAGEMENT, LLC",250 MOONACHIE RD.,,MOONACHIE,NJ,USA,7074,201-329-7880,201-329-7885,,,,,,,Approved,7/29/2005,2/17/2010,Y,WWW.NWMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"101,694,755.00","14,800,680.00","116,495,435.00",509,3,512,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
PLRO,125749,801-66739,"EAGLE ROCK FINANCIAL ADVISERS, LTD.","EAGLE ROCK FINANCIAL ADVISERS, LTD.",26-E EAST ROSEVILLE ROAD,,LANCASTER,PA,UNITED STATES,17601,717-569-4577,717-569-4688,,,,,,,Approved,6/7/2006,2/17/2010,Y,WWW.EAGLEROCKFINADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"26,220,695.00","2,373,645.00","28,594,340.00",216,14,230,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,104876,801-30807,CULLEN FORTIER ASSET MANAGEMENT,FORTIER PAUL ANTHONY,5655 LINDERO CANYON RD.,SUITE 521-11,WESTLAKE VILLAGE,CA,UNITED STATES,91362,(818) 889-8319,(818) 889-8326,,,,,,,Approved,11/5/1987,2/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"15,659,000.00","18,500,000.00","34,159,000.00",37,1,38,N,Y,N,N,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,Y,N
ARO,113106,801-60350,"ALLEN, MOONEY & BARNES INVESTMENT ADVISORS, LLC","ALLEN, MOONEY & BARNES INVESTMENT ADVISORS, LLC",135 SOUTH MADISON STREET,,THOMASVILLE,GA,UNITED STATES,31792,866-277-1500,229-225-1525,P.O. BOX 1116,,THOMASVILLE,GA,UNITED STATES,31799-1116,Approved,6/13/2001,2/17/2010,Y,WWW.AMBWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,"REVOCABLE, IRREVOCABLE TRUSTS, ESTATES",Y,Y,N,Y,N,N,N,,Y,"250,000,000.00",0,"250,000,000.00",275,0,275,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,Y,N,Y,N,N,N,N,N,,N,N,N,Y,N,Y,N,Y,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107802,801-54735,JMR FINANCIAL INC,JMR FINANCIAL INC,,,,,,,202-547-7071,202-478-0792,,,,,,,Approved,7/28/1997,1/10/2008,Y,WWW.JMR-FINANCIAL.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,Y,Y,N,N,N,,N,0,0,0,0,0,0,N,N,Y,Y,N,N,N,N,N,Y,PROXY VOTING AND PROXY RESEARCH SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105413,801-31311,POTOMAC FUND MANAGEMENT,POTOMAC FUND MANAGEMENT INC,21 N. HANSON ST,SUITE 203,EASTON,MD,USA,21601,1-888-768-6622,410-820-8961,,,,,,,Approved,2/4/1988,2/17/2010,Y,WWW.POTOMACFUND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,10-Jun,0,5-Jan,0,0,0,51-250,0,More than 500,"1,500",51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"178,663,842.00","20,505,232.00","199,169,074.00","1,734",1,"1,735",N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105275,801-21037,INNIS INVESTMENTS,INNIS CHARLES THOMAS,,,,,,,513-232-2913,513-232-2911,,,,,,,Approved,6/7/1984,2/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"71,000,000.00",0,"71,000,000.00",270,0,270,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112262,801-61390,INVESTOR SELECT ADVISORS LIMITED,INVESTOR SELECT ADVISORS LIMITED,110 EAST 55TH STREET,14TH FLOOR,NEW YORK,NY,USA,10022,212-744-9100,212-744-9520,,,,,,,Approved,8/13/2002,7/29/2008,Y,WWW.INVESTORSELECTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,10-Jun,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"7,600,000.00","422,400,000.00","430,000,000.00",1,9,10,N,N,N,N,N,Y,N,N,N,Y,SELECT HEDGE FUNDS ON BEHALF OF ITS CLIENT ACCOUNTS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,147910,801-69456,EAST COAST ASSET MANAGEMENT,EAST COAST ASSET MANAGEMENT,16 MARTIN STREET,,ESSEX,MA,UNITED STATES,1929,978-801-0860,978-801-3111,PO BOX 566,,ESSEX,MA,UNITED STATES,1929,Approved,8/5/2008,3/23/2010,Y,WWW.EASTCOASTASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"92,000,000.00","15,000,000.00","107,000,000.00",170,30,200,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107571,801-42110,AXIA ADVISORY CORP,AXIA ADVISORY CORP,10293 N. MERIDIAN ST.,SUITE 275,INDIANAPOLIS,IN,USA,46290,317-630-2800,317-630-2808,,,,,,,Approved,8/11/1992,3/23/2010,Y,HTTP://WWW.AXIAADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"185,216,966.00","452,574,229.00","637,791,195.00",62,104,166,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,144885,801-69090,"WHM CAPITAL ADVISORS, LLC","WHM CAPITAL ADVISORS, LLC","1310 LADY STREET, SUITE 800",,COLUMBIA,SC,USA,29201,803-799-1301,803-799-1303,P.O. BOX 7426,,COLUMBIA,SC,,29202,Approved,5/9/2008,3/23/2010,Y,WWW.WHMCA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"39,000,000.00",0,"39,000,000.00",90,0,90,Y,Y,N,Y,N,N,N,N,N,Y,BUSINESS VALUATION,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,125465,801-66883,"PIEDMONT INVESTMENT ADVISORS, LLC","PIEDMONT INVESTMENT ADVISORS, LLC",19455 DEERFIELD AVENUE,SUITE 307,LANSDOWNE,VA,UNITED STATES,20176,(703) 729-8333,(703) 729-8355,,,,,,,Approved,6/23/2006,3/23/2010,Y,WWW.ISYOUR401KOKAY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,NEGOTIATED,Y,"87,000,000.00",0,"87,000,000.00",440,0,440,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106779,801-48855,LINSCOMB & WILLIAMS,LINSCOMB & WILLIAMS INC,1400 POST OAK BLVD,SUITE 1000,HOUSTON,TX,UNITED STATES,77056,713-840-1000,713-840-7802,,,,,,,Approved,5/2/1995,3/23/2010,Y,WWW.LINSCOMB-WILLIAMS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,500",11-25 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,614,689,705.00","128,957,153.00","1,743,646,858.00","3,852",604,"4,456",Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,114148,801-68551,DEW WEALTH MANAGEMENT,"INNOVATIVE WEALTH STRATEGIES, LLC",8800 E. RAINTREE DRIVE,SUITE 115,SCOTTSDALE,AZ,USA,85260,480-614-9119,480-614-2288,,,,,,,Approved,11/26/2007,3/23/2010,Y,WWW.DEWWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"46,593,830.00","46,593,830.00",0,493,493,Y,Y,N,N,N,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,129980,801-62627,EVALUATION ASSOCIATES LLC,EVALUATION ASSOCIATES LLC,"200 CONNECTICUT AVENUE, SUITE 700",,NORWALK,CT,UNITED STATES,06854-1958,203-855-2200,203-855-2301,,,,,,,Approved,12/18/2003,3/23/2010,Y,WWW.EVALUATIONASSOCIATES.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,51-75 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,Y,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,Y,PERFORMANCE ATTRIBUTION AND PERFORMANCE ANALYSIS STUDIES. ASSET ALLOCATION AND RISK MODELING.,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,107005,801-16374,CORNERSTONE ADVISORY CORP,CORNERSTONE ADVISORY CORP,,,,,,,336-644-6537,336-644-6073,,,,,,,Approved,9/9/1981,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"77,005,283.00",0,"77,005,283.00",80,0,80,Y,Y,N,N,Y,Y,N,N,N,Y,FURNISHES ADVICE TO CLIENTS ON MATTERS NOT INVOLVING SECURITIES,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,105500,801-11574,DEMARCHE ASSOCIATES INC,DEMARCHE ASSOCIATES INC,6320 LAMAR AVE,,OVERLAND PARK,KS,UNITED STATES,66202-4247,[913] 384-4994,[913] 981-1382,PO BOX 7027,,KANSAS CITY,MO,UNITED STATES,64113,Approved,4/30/1976,3/23/2010,Y,WWW.DEMARCHE.COM,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Corporation,,KS,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,101-250,0,0 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,11-25 percent,INVESTMENT MANAGERS,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,Y,Y,Y,Y,CORPORATE FINANCE/ INVESTOR RELATIONS CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,146110,801-70516,SILVERMINE CAPITAL MANAGEMENT,"SILVERMINE CAPITAL MANAGEMENT, LLC",281 TRESSER BLVD.,SUITE 1102,STAMFORD,CT,UNITED STATES,6901,203-399-3012,203-399-3002,,,,,,,Approved,9/3/2009,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,150,000,000.00",0,"3,150,000,000.00",6,0,6,N,N,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,109080,801-55455,"RICHARD P. SLAUGHTER ASSOCIATES, INC.",SLAUGHTER RICHARD P ASSOCIATES INC,9606 N. MO PAC EXPY.,SUITE 550,AUSTIN,TX,UNITED STATES,78759-5964,512-918-0000,512-918-0001,,,,,,,Approved,4/20/1998,3/23/2010,Y,WWW.SLAUGHTERINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"200,889,439.00","673,437.00","201,562,876.00","1,059",6,"1,065",Y,Y,N,Y,Y,N,Y,N,N,N,,251-500,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,128713,801-67522,PITCH FINANCIAL SERVICES LLC,PITCH FINANCIAL SERVICES LLC,"210 MALAPARDIS ROAD, SUITE 102",,CEDAR KNOLLS,NJ,USA,7927,973-292-0049,973-292-0071,,,,,,,Approved,2/15/2007,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"32,327,241.00","32,327,241.00",0,220,220,Y,Y,N,N,N,N,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111282,801-55930,K R FINANCIAL LLC,K R FINANCIAL LLC,,,,,,,609-924-2500,609-924-4125,P.O. BOX 7787,,PRINCETON,NJ,UNITED STATES,8540,Approved,10/19/1998,3/23/2010,Y,WWW.SHAREDFAMILYOFFICE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,FAMILY LIMITED PARTNERSHIPS,Y,N,N,Y,N,N,N,,Y,"98,000,000.00",0,"98,000,000.00",26,0,26,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,144758,801-68322,"1607 CAPITAL PARTNERS, LLC","1607 CAPITAL PARTNERS, LLC",4991 LAKE BROOK DR.,SUITE 125,GLEN ALLEN,VA,UNITED STATES,23060,804.525.1740,804.934.0014,,,,,,,Approved,9/14/2007,3/23/2010,Y,WWW.1607CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,367,000,000.00",0,"1,367,000,000.00",25,0,25,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT ADVICE TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110998,801-21621,"ARS FINANCIAL SERVICES, INC.","ARS FINANCIAL SERVICES, INC.",500 NORTH BROADWAY,SUITE 260,JERICHO,NY,UNITED STATES,11753,516-932-5130,516-932-7706,,,,,,,Approved,7/13/1984,3/23/2010,Y,WWW.ARSFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,More than 500,"1,500",11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"56,121,708.00","437,398,467.00","493,520,175.00",267,"6,298","6,565",Y,Y,N,Y,Y,N,N,N,N,N,,More than 500,1000,N,N,N,Y,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,125221,801-61943,"BYRNE ASSET MANAGEMENT, LLC","BYRNE ASSET MANAGEMENT, LLC","34 CHAMBERS ST., SUITE 207",,PRINCETON,NJ,UNITED STATES,8540,609-497-1776,609-497-1770,,,,,,,Approved,4/7/2003,3/23/2010,Y,WWW.BYRNEASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"105,393,470.00",0,"105,393,470.00",67,0,67,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,128421,801-62385,"COLEMAN RIVER CAPITAL, LLC","COLEMAN RIVER CAPITAL, LLC",,,,,,,214-522-7843,214-520-7803,,,,,,,Approved,10/2/2003,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"50,260,957.00",0,"50,260,957.00",50,0,50,N,Y,N,N,N,Y,N,N,N,Y,HEDGE FUND,,,N,N,N,Y,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105554,801-17911,MARTIN J D & CO,MARTIN J D & CO,615 GRISWOLD STREET,STE 408,DETROIT,MI,UNITED STATES,48226-3979,313-961-1117,313-961-3795,,,,,,,Approved,11/17/1982,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"39,226,713.00",0,"39,226,713.00",90,0,90,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150646,801-70321,"RIVERPARK ADVISORS, LLC","RIVERPARK ADVISORS, LLC",156 WEST 56TH STREET,17TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-484-2100,212-484-2151,,,,,,,Approved,6/22/2009,3/23/2010,Y,WWW.RIVERPARKLLC.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"10,872,818.00",0,"10,872,818.00",4,0,4,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105725,801-16350,"SIT INVESTMENT ASSOCIATES, INC","SIT INVESTMENT ASSOCIATES, INC",3300 IDS CENTER,80 SOUTH EIGHTH STREET,MINNEAPOLIS,MN,USA,55402,612-332-3223,612-344-1210,,,,,,,Approved,9/18/1981,3/23/2010,Y,WWW.SITINVEST.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,51-250,0,Nov-50,0,10-Jun,0,0,0,26-100,0,0 percent,11-25 percent,0 percent,11-25 percent,11-25 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,Y,SEE RESPONSE TO ITEM 1.D. PART II,Y,"3,602,581,869.00",0,"3,602,581,869.00",79,0,79,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124018,801-61660,"JVL ASSOCIATES, LLC","JVL ASSOCIATES, LLC",1535 44TH ST SW SUITE 400,,WYOMING,MI,UNITED STATES,49509,616-261-2800,616-261-2866,,,,,,,Approved,12/10/2002,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"78,000,000.00",0,"78,000,000.00",84,0,84,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,144240,801-68019,"SUNSET PARTNERS CAPITAL MANAGEMENT, LLC","SUNSET PARTNERS CAPITAL MANAGEMENT, LLC",3000 DUNDEE ROAD,SUITE 203,NORTHBROOK,IL,UNITED STATES,60062,847-412-9545,847-412-9434,,,,,,,Approved,6/15/2007,3/23/2010,Y,WWW.SUNSETPARTNERS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"83,000,000.00","11,000,000.00","94,000,000.00",75,2,77,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151237,801-70490,"MINICHMACGREGOR WEALTH MANAGEMENT, LLC","MINICHMACGREGOR WEALTH MANAGEMENT, LLC",24 HAMILTON STREET,SUITE 5B,SARATOGA SPRINGS,NY,UNITED STATES,12866,(518) 499-4565,518-430-0090,,,,,,,Approved,8/20/2009,3/23/2010,Y,WWW.MMWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"64,557,024.00",0,"64,557,024.00",934,0,934,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137646,801-65503,"LONGBOW CAPITAL PARTNERS, L.P.","LONGBOW CAPITAL PARTNERS, L.P.",598 MADISON AVENUE,,NEW YORK,NY,USA,10022,212-245-3700,212-245-1081,,,,,,,Approved,1/23/2006,3/23/2010,Y,WWW.LONGBOWCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"662,000,000.00",0,"662,000,000.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,ADVISING PRIVATE INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,120253,801-64363,"RIGGS CAPITAL MANAGEMENT, LLC","RIGGS CAPITAL MANAGEMENT, LLC",5132 N. 300 W. #260,,PROVO,UT,UNITED STATES,84604,801-221-7923,801-221-7944,,,,,,,Approved,6/24/2005,3/23/2010,Y,WWW.RIGGSCAPMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"94,000,000.00","2,000,000.00","96,000,000.00",528,12,540,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143670,801-71148,"SEACREST INVESTMENT MANAGEMENT, LLC","SEACREST INVESTMENT MANAGEMENT, LLC",3010 WESTCHESTER AVENUE,SUITE 307,PURCHASE,NY,UNITED STATES,10577-2524,914-502-1900,914-251-1312,,,,,,,Approved,3/1/2010,2/19/2010,Y,WWW.SEACRESTIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"62,103,000.00",0,"62,103,000.00",93,0,93,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR INVESTMENT PARTNERSHIP,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,140781,801-66848,"WHALEROCK POINT PARTNERS, LLC","WHALEROCK POINT PARTNERS, LLC",ONE TURKS HEAD PLACE,SUITE 1050,PROVIDENCE,RI,UNITED STATES,02903-2205,401-228-7799,401-228-7648,,,,,,,Approved,6/12/2006,2/19/2010,Y,WWW.WRPOINT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,RI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"327,237,717.00",0,"327,237,717.00",119,0,119,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,123747,801-67244,"THE SOCIAL EQUITY GROUP, INC.","THE SOCIAL EQUITY GROUP, INC.",2550 9TH STREET,SUITE 204A,BERKELEY,CA,USA,94710,(510) 644-9484,(510) 644-9487,,,,,,,Approved,11/21/2006,2/19/2010,Y,SOCIALEQUITY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"39,200,000.00",0,"39,200,000.00",84,0,84,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT ADVICE,,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
DRO,137685,801-65130,AMERICA FIRST FINANCIAL INSTITUTIONS MANAGEMENT LLC,AMERICA FIRST FINANCIAL INSTITUTIONS MANAGEMENT LLC,1004 FARNAM ST. SUITE 400,,OMAHA,NE,UNITED STATES,68102,402-930-3020,402-930-3010,,,,,,,Approved,1/13/2006,2/19/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"12,444,428.00",0,"12,444,428.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,130779,801-62907,NEOSHO CAPITAL LLC,NEOSHO CAPITAL LLC,4250 EXECUTIVE SQUARE,SUITE 545,LA JOLLA,CA,UNITED STATES,92037,858 657 9040,858 657 9041,,,,,,,Approved,4/5/2004,2/19/2010,Y,WWW.NEOSHOCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"67,479,000.00","4,257,000.00","71,736,000.00",14,22,36,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109767,801-9168,"CONTRAVISORY INVESTMENT MANAGEMENT, INC.","CONTRAVISORY INVESTMENT MANAGEMENT, INC.",99 DERBY STREET,SUITE 302,HINGHAM,MA,UNITED STATES,2043,781-740-1786,781-749-4910,,,,,,,Approved,3/25/1973,2/19/2010,Y,WWW.CONTRAVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,Nov-50,0,251-500,0,Up to 10 percent,11-25 percent,Up to 10 percent,26-50 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"324,549,564.00","210,871,489.00","535,421,053.00",370,7,377,N,Y,Y,Y,N,N,Y,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108957,801-58032,GIOKAS WEALTH ADVISORS,GIOKAS WEALTH ADVISORS,6580 MAIN ST,,WILLIAMSVILLE,NY,UNITED STATES,14221,716-634-4562,716-634-1803,,,,,,,Approved,10/26/2000,2/19/2010,Y,WWW.GIOKASFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"87,239,444.00","4,232,039.00","91,471,483.00",314,16,330,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,109910,801-60047,"FRONTIER ASSET MANAGEMENT, LLC","FRONTIER ASSET MANAGEMENT, LLC","201 N CONNOR ST, SUITE 250",,SHERIDAN,WY,UNITED STATES,82801,307-673-5675,307-673-5963,,,,,,,Approved,3/9/2001,2/19/2010,Y,WWW.FRONTIERASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,51-250,0,More than 500,"1,400",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"349,998,419.00","242,129,279.00","592,127,698.00","1,356",34,"1,390",N,Y,N,Y,Y,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107462,801-55485,WINDSOR FINANCIAL GROUP LLC,WINDSOR FINANCIAL GROUP LLC,225 SOUTH 6TH STREET,SUITE 3800,MINNEAPOLIS,MN,USA,55402,612-347-7979,612-347-7983,,,,,,,Approved,4/24/1998,2/19/2010,Y,WWW.WFGWEB.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",51-75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"375,491,426.00","1,292,664,617.00","1,668,156,043.00",661,15,676,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,136106,801-64668,"STIEVEN CAPITAL ADVISORS, L.P.","STIEVEN CAPITAL ADVISORS, L.P.",12412 POWERSCOURT DRIVE,SUITE 250,ST. LOUIS,MO,UNITED STATES,63131,314-779-2420,314-856-9996,,,,,,,Approved,9/7/2005,2/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"94,263,364.00",0,"94,263,364.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,149193,801-22799,PARNASSUS INVESTMENTS,PARNASSUS INVESTMENTS,"1 MARKET STREET, SUITE 1600",,SAN FRANCISCO,CA,UNITED STATES,94105,415-778-0200,415-778-0228,,,,,,,Approved,11/20/1984,2/19/2010,Y,WWW.PARNASSUS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,280,050,093.00",0,"3,280,050,093.00",6,0,6,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111277,801-57515,SONATA CAPITAL GROUP INC,SONATA CAPITAL GROUP INC,2001 6TH AVE,SUITE 3410,SEATTLE,WA,UNITED STATES,98121,206-256-4400,206-256-4416,,,,,,,Approved,4/21/2000,2/19/2010,Y,SONATACAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,10-Jun,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"110,833,263.00",0,"110,833,263.00",269,0,269,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,127447,801-62151,"SUSTAINABLE GROWTH ADVISERS, LP","SUSTAINABLE GROWTH ADVISERS, LP",301 TRESSER BOULEVARD,SUITE 1310,STAMFORD,CT,USA,6901,203-348-4742,203-348-4732,,,,,,,Approved,6/18/2003,2/19/2010,Y,WWW.SGADVISERS.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,SUBADVISE WRAP ACCOUNT PLATFORMS,Y,N,N,N,N,N,N,,Y,"1,711,248,000.00","54,276,000.00","1,765,524,000.00",19,3,22,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,149507,801-70399,"LEGACY FINANCIAL STRATEGIES, LLC","LEGACY FINANCIAL STRATEGIES, LLC",3515 WEST 75TH STREET,SUITE 212,PRAIRIE VILLAGE,KS,UNITED STATES,66208,913-403-0600,913-403-0700,,,,,,,Approved,7/23/2009,2/19/2010,Y,WWW.LEGACYKC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"44,450,698.00","44,450,698.00",0,168,168,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,118032,801-66490,BRUCE A. KRAIG ASSOCIATES,"KRAIG, BRUCE ARTHUR",,,,,,,610-644-3468,610-644-6867,,,,,,,Approved,5/16/2006,2/19/2010,Y,WWW.KRAIGASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,NEGOTIATED RATES BASED ON ESTIMATED PROJECT TIME; 12(B)-1 FEES,Y,"31,920,038.00",0,"31,920,038.00",50,0,50,Y,Y,N,N,N,N,N,N,N,Y,ADVISER PROVIDES CONSULTING SERVICES IN RESPONSE TO SPECIFIC QUESTIONS ASKED BY CONSUMERS THROUGH A WEBSITE PLATFORM,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109523,801-58076,"MATRIX CAPITAL ADVISORS, LLC","MATRIX CAPITAL ADVISORS, LLC",200 SOUTH WACKER DRIVE,SUITE 726,CHICAGO,IL,UNITED STATES,60606,(312)612-6100,(312)612-6101,,,,,,,Approved,11/14/2000,2/19/2010,Y,WWW.MATRIXCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"209,733,000.00","82,699,000.00","292,432,000.00",46,4,50,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,121202,801-68099,"CHRISTINE MESSMER, P.C.","CHRISTINE MESSMER, P.C.",101 OAK STREET,,COLLEGEVILLE,PA,UNITED STATES,19426,610-489-7925,610-489-7968,,,,,,,Approved,7/12/2007,2/19/2010,Y,WWW.CHRISTINEMESSMER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"39,355,146.00","39,355,146.00",0,394,394,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,141090,801-67359,"GOLDSMITH & HARRIS ASSET MANAGEMENT, LLC","GOLDSMITH & HARRIS ASSET MANAGEMENT, LLC",80 PINE STREET,,NEW YORK,NY,USA,10005-1702,212-514-5515,212-509-9235,,,,,,,Approved,1/5/2007,11/21/2006,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,10-Jan,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"15,257,030.00",0,"15,257,030.00",22,0,22,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUND,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
LARO,122718,801-63499,INVESTMENT MANAGEMENT CONSULTANTS,INVESTMENT MANAGEMENT CONSULTANTS,5440 W. SAHARA AVENUE,SUITE 102,LAS VEGAS,NV,USA,89146,702-869-0330,702-869-3332,,,,,,,Approved,9/10/2004,2/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,401(K) PLANS,Y,Y,N,Y,N,N,N,,Y,"45,160,735.00","34,802,608.00","79,963,343.00",7,249,256,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110395,801-51102,STRATEGIC INVESTMENT COUNSEL CORP,STRATEGIC INVESTMENT COUNSEL CORP,,,,,,,214-328-2400,214-328-3233,P. O. BOX 180241,,DALLAS,TX,USA,75218-0241,Approved,1/25/1996,2/19/2010,Y,WWW.STRINCO.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,11-25 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,334,877,107.00",0,"2,334,877,107.00",52,0,52,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISOR TO RETIREMENT PLANS AND INDIVID,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,147964,801-69540,"DAN M. WAHBA FINANCIAL SERVICES, LLC","DAN M. WAHBA FINANCIAL SERVICES, LLC",,,,,,,631-209-0643,631-209-0623,,,,,,,Approved,8/27/2008,2/19/2010,Y,WWW.DMWCFP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,0,"47,500,000.00","47,500,000.00",0,28,28,Y,Y,N,N,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,11826,801-61540,"A.H. HAYNES & CO., INC.","A.H. HAYNES & CO., INC.","711 FIFTH AVENUE, 5TH FLOOR",,NEW YORK,NY,USA,10022,212-826-2909,212-826-2419,,,,,,,Approved,10/18/2002,2/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"93,856,969.00","445,649,050.00","539,506,019.00",3,2,5,N,N,N,N,N,N,N,N,N,Y,INVESTMENT IN HEDGE FUNDS (FUND OF FUNDS),,,N,N,Y,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,142957,801-67692,"NORDBERG & VANDENBERG, INC.","NORDBERG & VANDENBERG, INC.",3505 COOLIDGE ROAD,SUITE 100,EAST LANSING,MI,USA,48823,517-337-1767,517-337-4837,,,,,,,Approved,3/30/2007,2/19/2010,Y,WWW.NVINVESTMENTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"25,228,880.00",0,"25,228,880.00",117,0,117,N,Y,N,Y,Y,N,N,N,N,Y,CONSULTATION SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,144543,801-68149,"MILLER PORTFOLIO ADVISORS, LLC","MILLER PORTFOLIO ADVISORS, LLC",3909 SUNSET RIDGE RD,SUITE 102,RALEIGH,NC,UNITED STATES,27607,919-571-1820,919-571-4368,,,,,,,Approved,7/11/2007,2/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"67,373,538.00",0,"67,373,538.00",41,0,41,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106918,801-69878,"DOMINION WEALTH ADVISORS, INC.","DOMINION WEALTH ADVISORS, INC.",1100 NW LOOP 410,SUITE 800,SAN ANTONIO,TX,UNITED STATES,78213,(210)265-8050,(210)348-7776,,,,,,,Approved,1/26/2009,2/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"82,538,644.00",0,"82,538,644.00",471,0,471,N,Y,N,Y,N,Y,N,N,N,N,,0,,Y,N,N,N,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,113802,801-69524,"STONEFIELD INVESTMENT ADVISORY, INC.","STONEFIELD INVESTMENT ADVISORY, INC.",425 2ND STREET SE,SUITE 1200,CEDAR RAPIDS,IA,UNITED STATES,52401,319-377-7811,319-377-7834,,,,,,,Approved,9/15/2008,1/19/2010,Y,WWW.STONEFIELDINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,More than 500,750,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"45,000,000.00",0,"45,000,000.00",750,0,750,Y,Y,N,Y,Y,Y,Y,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119818,801-67328,IRONGATE INTERNATIONAL LLC,IRONGATE INTERNATIONAL LLC,3422 RIVER DRIVE,,MOLINE,IL,USA,61265-1747,309-762-0111,309-762-0127,,,,,,,Approved,1/3/2007,1/19/2010,Y,NONE,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"106,693,633.00","55,050,414.00","161,744,047.00",13,11,24,N,Y,N,Y,Y,Y,N,N,N,Y,INVESTMENT CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105072,801-11714,THE CHARTIST,CHARTIST INC,5122 KATELLA AVE.  #200,,LOS ALAMITOS,CA,UNITED STATES,90740,562-596-2385,562-596-1280,P.O. BOX 758,,SEAL BEACH,CA,UNITED STATES,90740,Approved,7/1/1976,1/19/2010,Y,WWW.THECHARTIST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,"1,000",11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,Y,N,N,N,N,,Y,"276,243,000.00",0,"276,243,000.00","1,058",0,"1,058",N,Y,N,N,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,140619,801-66719,"SEABANK CAPITAL MANAGEMENT, INC.","SEABANK CAPITAL MANAGEMENT, INC.",301-1959-152ND STREET,,WHITE ROCK,,CANADA,V4A9E3,604-541-9952,604-541-5642,,,,,,,Approved,5/23/2006,1/19/2010,Y,WWW.SEABANKCAPITAL.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"BRITISH COLUMBIA, CANADA",5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"11,747,592.00","4,266,683.00","16,014,275.00",50,17,67,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,41835,801-45766,"TIMOTHY PARTNERS, LTD.","TIMOTHY PARTNERS, LTD.",1055 MAITLAND CENTER COMMONS,,MAITLAND,FL,UNITED STATES,32751,407-644-1986,407-644-4574,,,,,,,Approved,2/7/1994,1/19/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,FL,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"501,213,309.00",0,"501,213,309.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,142713,801-67781,PARISH & COMPANY LLC,PARISH & COMPANY LLC,10260 SW GREENBURG RD,SUITE 400,PORTLAND,OR,UNITED STATES,97223,503-293-8492,503-293-3507,,,,,,,Approved,4/24/2007,1/19/2010,Y,WWW.BILLPARISH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"61,154,000.00","9,390,000.00","70,544,000.00",79,16,95,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,149579,801-70029,"ETHOS CAPITAL GROUP, LLC","ETHOS CAPITAL GROUP, LLC",100 EAST HUNTINGTON AVENUE,,JONESBORO,AR,UNITED STATES,72401,501.476.1909,928.597.6242,,,,,,,Approved,4/16/2009,1/19/2010,Y,WWW.ETHOSCAPITALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"51,446,970.00",0,"51,446,970.00",34,0,34,Y,Y,N,Y,Y,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,118673,801-61299,BERG FAIRCLOTH INVESTMENT ADVISORS CORP.,BERG FAIRCLOTH INVESTMENT ADVISORS CORP.,44135 WOODRIDGE PARKWAY,SUITE 200,LEESBURG,VA,UNITED STATES,20176,703-821-1040,703-821-1610,,,,,,,Approved,7/3/2002,1/19/2010,Y,WWW.B-F-C.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"27,000,000.00","125,000.00","27,125,000.00",460,2,462,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112554,801-58290,"NORTH COUNTRY INVESTMENT ADVISERS, INC.","NORTH COUNTRY INVESTMENT ADVISERS, INC.",C/O GLENS FALLS NATIONAL BANK,250 GLEN STREET,GLENS FALLS,NY,UNITED STATES,12801-2161,518-745-1000,518-745-7096,250 GLEN STREET,P. O. BOX 2161,GLENS FALLS,NY,UNITED STATES,12801-2161,Approved,1/22/2001,2/8/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"213,524,937.00",0,"213,524,937.00",1,0,1,N,N,Y,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,128472,801-62481,PRUDENT MONEY FINANCIAL SERVICES,"RPBROOKS FINANCIAL, INC.",909 LAKE CAROLYN PARKWAY,SUITE 230,IRVING,TX,USA,75039,972-386-0384,972-386-9787,,,,,,,Approved,12/3/2003,2/8/2010,Y,WWW.RPBROOKSFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,SALE OF BOOKS & PRODUCTS AND PUBLIC SPEAKING FEES,Y,"58,700,069.00","416,671.00","59,116,740.00",389,9,398,Y,Y,N,Y,N,N,Y,N,N,Y,"AUTHOR, PUBLIC SPEAKING",25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,128223,801-62668,"NORTHERN CROSS, LLC","NORTHERN CROSS, LLC",125 SUMMER STREET SUITE 1410,,BOSTON,MA,UNITED STATES,2110,617-951-0099,617-412-4886,,,,,,,Approved,1/7/2004,2/8/2010,Y,NORTHERNCROSSLLC.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"28,468,361,069.00",0,"28,468,361,069.00",12,0,12,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,117205,801-64267,"NORTHSTAR FINANCIAL PLANNING, INC.","NORTHSTAR FINANCIAL PLANNING, INC.",1 COMMONS DRIVE,"UNIT #10, BUILDING B",LONDONDERRY,NH,USA,3053,603-216-9226,603-584-9173,,,,,,,Approved,5/12/2005,2/8/2010,Y,WWW.NORTHSTARFP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"58,000,000.00",0,"58,000,000.00",180,0,180,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,145748,801-69595,OLD ROCK ASSET MANAGEMENT LLC,OLD ROCK ASSET MANAGEMENT LLC,,,,,,,203-485-9598,203-629-3809,,,,,,,Approved,10/2/2008,2/8/2010,Y,WWW.OLDROCKASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"39,545,060.00","4,845,638.00","44,390,698.00",37,3,40,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105165,801-70194,DRESDNER & CO INC,DRESDNER & CO INC,19A MODEL AVENUE,,HOPEWELL,NJ,UNITED STATES,8525,609-466-1500,609-466-1507,,,,,,,Approved,5/13/2009,2/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"32,869,311.00",0,"32,869,311.00",56,0,56,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104642,801-26618,CLARKE ARTHUR D & CO,ARTHUR DAVIS CLARKE,,,,,,,617-424-6926,617-424-0265,388 BEACON STREET,,BOSTON,MA,UNITED STATES,2116,Approved,3/28/1986,2/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"31,481,346.00",0,"31,481,346.00",24,0,24,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105696,801-25724,"KERSHNER, GROSSO & CO.",KENNERMAN ASSOCIATE INC,480 BROADWAY,STE 310,SARATOGA SPRING,NY,USA,12866-2285,518-584-2600,518-584-1478,,,,,,,Approved,9/24/1986,2/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"138,487,866.00",0,"138,487,866.00",257,0,257,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115367,801-66541,"BRENEMAN WINBUSH WEALTH MANAGEMENT, LLP","BRENEMAN WINBUSH WEALTH MANAGEMENT, LLP",1530 GREENVIEW DRIVE SW,SUITE 205,ROCHESTER,MN,UNITED STATES,55902,507-280-4322,507-280-8099,,,,,,,Approved,5/4/2006,2/8/2010,Y,WWW.BRENDAVIS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,Y,Y,Y,N,Y,COMBINATION OF COM AND FEES,Y,"84,754,915.00",0,"84,754,915.00",363,0,363,Y,Y,N,Y,Y,Y,Y,N,N,N,,51-100,,Y,Y,N,Y,N,N,Y,N,N,,N,N,Y,N,N,Y,N,N,N,Y,N,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,117814,801-60843,"ASCENDANT CAPITAL PARTNERS, LLC",ACP INVESTMENTS LP,150 N. RADNOR CHESTER RD.,SUITE C-220,RADNOR,PA,UNITED STATES,19087,610-688-4180,610-688-4710,,,,,,,Approved,1/10/2002,2/8/2010,Y,WWW.ACPFUNDS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"43,222,785.00",0,"43,222,785.00",3,0,3,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108459,801-55154,FOOTHILLS ASSET MANAGEMENT LTD,FOOTHILLS ASSET MANAGEMENT LTD,8767 E. VIA DE VENTURA,SUITE 175,SCOTTSDALE,AZ,UNITED STATES,85258,480-777-9870,480-777-9863,,,,,,,Approved,1/6/1998,2/8/2010,Y,WWW.FAML.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"126,020,666.00","1,561,094.00","127,581,760.00",173,3,176,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,125024,801-64407,THE MUTUAL FUND STORE- FORT WAYNE,"TMFS-FORT WAYNE, LLC",2890 E. DUPONT RD,,FORT WAYNE,IN,UNITED STATES,46825,260-459-3939,260-459-8434,,,,,,,Approved,6/17/2005,2/8/2010,Y,MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"61,600,000.00",0,"61,600,000.00",878,0,878,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,128826,801-62760,"ESSEX FINANCIAL ADVISORS, L.L.C.","ESSEX FINANCIAL ADVISORS, L.L.C.",58 MAIN STREET,,TOPSFIELD,MA,USA,1983,978-887-6940,978-887-0425,,,,,,,Approved,2/12/2004,2/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"79,416,150.00",0,"79,416,150.00",232,0,232,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,107952,801-32593,NASHVILLE CAPITAL CORP,NASHVILLE CAPITAL CORP,"209 10TH AVE S, SUITE 332",,NASHVILLE,TN,USA,37203-4163,615-259-9084,615-259-9085,,,,,,,Approved,9/2/1988,2/8/2010,Y,WWW.NASHCAP.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"121,132,353.00",0,"121,132,353.00",6,0,6,N,N,Y,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,116572,801-68403,"BOSTON RETIREMENT ADVISORS,LLC","BOSTON RETIREMENT ADVISORS,LLC",85 STILES ROAD,SUITE 202,SALEM,NH,UNITED STATES,3079,603-896-6400,603-894-7000,,,,,,,Approved,9/28/2007,2/8/2010,Y,WWW.INVESTWITHPAUL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,500,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"36,784,599.00",0,"36,784,599.00",510,0,510,Y,Y,N,Y,N,N,N,N,N,N,,More than 500,500,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110200,801-58027,SCHELLER HARRIS AND ASSOCIATES / SCHELLER FINANCIAL SERVICES,SCHELLER FINANCIAL SERVICES INC.,12909 SW 68TH PARKWAY,SUITE 150,PORTLAND,OR,UNITED STATES,97223,503-297-5288,503-291-0211,,,,,,,Approved,1/9/2004,2/8/2010,Y,WWW.SCHELLERFINANCIALSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,Y,AS NEGOTIATED WITH CLIENT,Y,"24,793,873.00","7,108,323.00","31,902,196.00",187,28,215,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y
NYRO,124454,801-61985,"ALLEN INVESTMENT MANAGEMENT, LLC","ALLEN INVESTMENT MANAGEMENT, LLC","711 FIFTH AVENUE, 8TH FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-832-8000,212-832-8023,,,,,,,Approved,4/11/2003,2/8/2010,Y,WWW.ALLENARBITRAGE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"678,759,420.00",0,"678,759,420.00",2,0,2,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,126003,801-62499,GOLDBERG CAPITAL MANAGEMENT,"GOLDBERG, LEONARD L",,,,,,,860-673-0141,860-673-0141,,,,,,,Approved,11/7/2003,2/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"57,421,680.00",0,"57,421,680.00",119,0,119,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,104788,801-36597,FIRST STATE INVESTMENT ADVISORS INC,FIRST STATE INVESTMENT ADVISORS INC,7136 SOUTH YALE,SUITE 102,TULSA,OK,USA,74136,918-492-1466,918-492-1678,,,,,,,Approved,6/18/1990,2/8/2010,Y,WWW.FIRSTSTATE-OK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"49,703,819.00",0,"49,703,819.00",199,0,199,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108076,801-40703,CARDINAL CAPITAL MANAGEMENT INC,CARDINAL CAPITAL MANAGEMENT INC,2626 GLENWOOD AVENUE,SUITE 380,RALEIGH,NC,UNITED STATES,27608,919-532-7500,919-532-7501,,,,,,,Approved,1/30/1992,2/8/2010,Y,WWW.CARDINALCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"120,795,117.00","12,566,541.00","133,361,658.00",396,54,450,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,144260,801-68133,"MILWAUKEE PRIVATE WEALTH MANAGEMENT, INC","MILWAUKEE PRIVATE WEALTH MANAGEMENT, INC",1500 W. MARKET STREET,SUITE 250,MEQUON,WI,UNITED STATES,53092,262-478-0640,262-478-0650,,,,,,,Approved,7/5/2007,2/8/2010,Y,WWW.MPWMI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,FLAT FEES,Y,"74,031,039.00","14,208,615.00","88,239,654.00",255,82,337,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107607,801-51183,SAGE FINANCIAL ADVISORS INC,SAGE FINANCIAL ADVISORS INC,110 COUNTRY ESTATES CIRCLE,SUITE 3,RENO,NV,USA,89511,775-324-7244,775-853-4029,,,,,,,Approved,2/9/1996,2/8/2010,Y,WWW.SAGEFINANCIALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"80,871,196.00","1,541,412.00","82,412,608.00",497,3,500,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107703,801-43397,AMES PLANNING ASSOCIATES INC,AMES PLANNING ASSOCIATES INC,"9 VOSE FARM ROAD, SUITE 130",P. O. BOX 396,PETERBOROUGH,NH,UNITED STATES,03458-0396,603-924-9939,603-924-9938,,,,,,,Approved,2/24/1993,2/8/2010,Y,WWW.AMESPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"97,793,987.00","1,656,250.00","99,450,237.00",181,7,188,Y,Y,N,Y,Y,Y,N,N,N,Y,ON OCCASION PUBLISH CLIENT NEWSLETTER AND/OR NEWSLETTER FOR PROSPECTIVE CLIENTS,101-250,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105342,801-16724,HAMILTON ADVISORS INC,HAMILTON ADVISORS INC,,,,,,,[203] 629-1112,[203] 629-1469,,,,,,,Approved,1/26/1982,3/30/2010,Y,WWW.HAMILTONADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"92,075,000.00",0,"92,075,000.00",37,0,37,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108335,801-10966,GARY EUGENE GIBBONS DBA THE COLERIDGE GROUP,GIBBONS GARY EUGENE,,,,,,,480-596-6874,480-596-6873,,,,,,,Approved,11/21/1975,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,26-50 percent,0 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"30,607,337.00",0,"30,607,337.00",9,0,9,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,133740,801-64084,EMERITI RETIREMENT HEALTH SOLUTIONS,EMERITI CONSORTIUM FOR RETIREMENT HEALTH SOLUTIONS,"103 EXECUTIVE DR., SUITE 503",,NEW WINDSOR,NY,USA,12553,845-567-6666,845-567-4844,,,,,,,Approved,4/8/2005,3/30/2010,Y,WWW.EMERITIHEALTH.ORG,N,N,N,N,N,N,N,N,N,Y,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,More than 500,"12,000",More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,WELFARE PLANS (OTHER THAN PLAN PARTICIPANTS),N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,Y,N,N,Y,PLEASE SEE PAGE 5 OF SCHEDULE D,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,120234,801-62723,MULVIHILL CAPITAL MANAGEMENT (U.S.) INC.,MULVIHILL CAPITAL MANAGEMENT (U.S.)INC,121 KING STREET WEST,SUITE 2600,"TORONTO, ONTARIO",,CANADA,M5H 3T9,416-681-3900,416-681-3901,,,,,,,Approved,1/27/2004,3/30/2010,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
LARO,107650,801-50869,"QUALITY GROWTH MANAGEMENT, INC.",QUALITY GROWTH MANAGEMENT INC,16236 SAN DIEGUITO RD.,SUITE 5-24,RANCHO SANTA FE,CA,UNITED STATES,92091,(858) 759-0617,(858) 832-8053,P.O. BOX 9676,,RANCHO SANTA FE,CA,UNITED STATES,92067-4676,Approved,12/26/1995,3/30/2010,Y,"HTTP://WWW.QUALITYGROWTH.COM, HTTP://WWW.QGMI.COM",N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"148,243,179.00",0,"148,243,179.00",184,0,184,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,131751,801-68494,"VODIA CAPITAL, LLC","VODIA CAPITAL, LLC",97 LOWELL ROAD,SECOND FLOOR,CONCORD,MA,USA,1742,978-318-0900,978-318-0901,P.O. BOX 488,,CONCORD,MA,USA,1742,Approved,11/15/2007,3/30/2010,Y,HTTP://WWW.VODIACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"25,799,827.00",0,"25,799,827.00",105,0,105,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,Y,MR. MATIAS TEACHES FOR AMA & WRONSKI ASSOC,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112998,801-19111,ATLANTIC CAPITAL MANAGEMENT INC.,ATLANTIC CAPITAL MANAGEMENT INC.,100 CORPORATE PARKWAY SUITE 302,,AMHERST,NY,UNITED STATES,14226-1200,716-835-8560,716-835-8803,,,,,,,Approved,6/13/1983,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"35,630,781.00",0,"35,630,781.00",81,0,81,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,115119,801-60532,WELCH & FORBES LLC,WELCH & FORBES LLC,45 SCHOOL STREET,,BOSTON,MA,UNITED STATES,2108,617-523-1635,617-742-6243,,,,,,,Approved,8/31/2001,3/30/2010,Y,HTTP:WWW.WELCHFORBES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,More than 500,"1,000",Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"2,673,636,443.00","365,209,169.00","3,038,845,612.00","2,153",178,"2,331",N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,146805,801-69052,"TRINITY CHARITABLE FUND ADVISORS, LLC","TRINITY CHARITABLE FUND ADVISORS, LLC",,,,,,,918-314-1220,,,,,,,,Approved,4/14/2008,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"30,000,000.00",0,"30,000,000.00",25,0,25,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,113606,801-60358,KBC ASSET MANAGEMENT INTERNATIONAL LTD.,KBC ASSET MANAGEMENT INTERNATIONAL LTD.,JOSHUA DAWSON HOUSE,DAWSON STREET,DUBLIN 2,,IRELAND,,011-353-1-4384400,011-353-1-4394400,"140 EAST 45TH ST,","2 GRAND CENTRAL TOWER,",NEW YORK,NY,USA,10017-3144,Approved,6/18/2001,3/30/2010,Y,WWW.KBCAM.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,IRELAND ,51-250,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,11-25 percent,26-50 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,11-25 percent,CANADIAN MUTUAL FUND,Y,N,N,N,N,N,N,,Y,"907,426,172.00",0,"907,426,172.00",20,0,20,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,Y,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138195,801-65915,CASTALIA ADVISORS LLC,CASTALIA ADVISORS LLC,800 WESTCHESTER AVENUE,SUITE N-715,RYE BROOK,NY,UNITED STATES,10573-1376,914-733-7380,914-251-0308,,,,,,,Approved,4/21/2006,3/30/2010,Y,WWW.CASTALIAPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"130,311,904.00",0,"130,311,904.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,138532,801-68545,"OSAGE ENERGY PARTNERS, L.P.","OSAGE ENERGY PARTNERS, L.P.",25227 GROGANS MILL ROAD,SUITE 125,THE WOODLANDS,TX,UNITED STATES,77380,281-296-1687,281-296-1601,,,,,,,Approved,12/16/2007,3/30/2010,Y,WWW.OSAGEENERGY.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,11-25 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"20,500,000.00",0,"20,500,000.00",2,0,2,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,145,801-60395,"LINCOLN FINANCIAL DISTRIBUTORS, INC.","LINCOLN FINANCIAL DISTRIBUTORS, INC.",130 N RADNOR CHESTER ROAD,,RADNOR,PA,UNITED STATES,19087,(484) 583-3647,(484) 583-3997,"350 CHURCH STREET, MLB1",,HARTFORD,CT,UNITED STATES,6103,Approved,7/12/2001,3/30/2010,Y,WWW.LFD.COM,N,N,N,N,N,N,N,N,N,Y,N,N,N,Corporation,,CT,UNITED STATES,501-1000,0,0,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,NONE,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,NONE,,,N,N,Y,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,N,Y,Y,N,Y,Y,N,Y,N,N,N,Y,N,N,N,Y
LARO,135200,801-64504,JONES & COMPANY,"JONES COMMODITIES, INC.",9484 DOUBLE R BOULEVARD,SUITE B,RENO,NV,USA,89521,775-746-7676,775-746-7680,,,,,,,Approved,8/30/2005,3/30/2010,Y,WWW.JONESFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"65,000,000.00",0,"65,000,000.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,"JONES COMMODITIES, INC. PROVIDES INVESTMENT ADVISORY SERVICES TO FOUR POOLED INVESTMENT VEHICLES",,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,112322,801-61061,"REAL ESTATE MANAGEMENT SERVICES GROUP, LLC","REAL ESTATE MANAGEMENT SERVICES GROUP, LLC","1100 FIFTH AVENUE SOUTH, SUITE 305",,NAPLES,FL,USA,34102-6407,239-262-3017,239-263-4572,,,,,,,Approved,4/12/2002,3/30/2010,Y,WWW.REMSGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,51-75 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"258,055,077.00","89,589,000.00","347,644,077.00",44,2,46,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,109661,801-47199,HANSEN WEALTH MANAGEMENT,"HANSEN, BRIAN BENNETT",,,,,,,801-756-2458,801-756-2459,,,,,,,Approved,9/2/1994,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"27,282,401.00","2,895,657.00","30,178,058.00",22,1,23,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,113060,801-57463,"R.H. HANSFORD & CO., INC","R.H. HANSFORD & CO., INC",,,,,,,305-868-9200,305-864-6622,,,,,,,Approved,4/14/2000,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"29,281,592.00",0,"29,281,592.00",152,0,152,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,125459,801-61870,"CHRISTIAN INVESTMENT CONSULTANTS, LLC","CHRISTIAN INVESTMENT CONSULTANTS, LLC",907 NORTH ELM,SUITE 100,HINSDALE,IL,USA,60521,630-371-1585,630-371-5001,,,,,,,Approved,3/14/2003,3/30/2010,Y,WWW.CHRISTIANINVESTMENTCONSULTANTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"67,374,534.00",0,"67,374,534.00",160,0,160,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108057,801-54740,ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC,ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC,1345 AVENUE OF THE AMERICAS,3RD FLOOR,NEW YORK,NY,UNITED STATES,10105,(212) 739-3000,(212) 739-3948,680 NEWPORT CENTER DRIVE,SUITE 250,NEWPORT BEACH,CA,UNITED STATES,92660,Approved,8/18/1997,3/30/2010,Y,WWW.ALLIANZINVESTORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,Nov-50,0,More than 500,"60,000",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,Y,INVESTMENT MODEL DELIVERY SERVICES,Y,"26,605,092,520.00","566,084,760.00","27,171,177,280.00","58,683","1,253","59,936",N,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT MODEL DELIVERY SERVICES,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N
DRO,151191,801-70649,"M3F, INC.","M3F, INC.",215 S. STATE STREET,SUITE 1170,SALT LAKE CITY,UT,UNITED STATES,84111,202-246-9200,202-355-6666,,,,,,,Approved,10/8/2009,3/30/2010,Y,WWW.M3FUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"132,804,394.00",0,"132,804,394.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATELY OFFERED FUNDS.,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105081,801-31452,"PENN CAPITAL MANAGEMENT COMPANY, INC.","PENN CAPITAL MANAGEMENT COMPANY, INC.",3 CRESCENT DRIVE,SUITE 400,PHILADELPHIA,PA,UNITED STATES,19112,215-302-1500,215-468-1873,,,,,,,Approved,2/12/1988,3/30/2010,Y,WWW.PENNCAPITAL.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,Nov-50,0,More than 500,"4,500",0 percent,51-75 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,283,487,405.00","300,555,133.00","4,584,042,538.00","4,500",14,"4,514",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,127134,801-62187,"FOUNDATION WEALTH MANAGEMENT, LLC","FOUNDATION WEALTH MANAGEMENT, LLC",8000 MARYLAND AVENUE,SUITE 620,ST. LOUIS,MO,UNITED STATES,63105,314-726-6789,314-726-6785,,,,,,,Approved,7/10/2003,3/30/2010,Y,WWW.FWMRIA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"116,649,000.00","12,279,000.00","128,928,000.00",383,102,485,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105606,801-31969,BRETON CO,"BRETON FINANCIAL, INC.",105 ATSION ROAD STES B&D,,MEDFORD,NJ,USA,8055,609-654-1212,609-654-5709,,,,,,,Approved,5/13/1988,3/30/2010,Y,WWW.BRETONFINANCIAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,PERCENTAGE OF NET WORTH,Y,0,"120,791,091.00","120,791,091.00",0,55,55,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,120851,801-63323,ENTRUST FINANCIAL GROUP,"ENTRUST FINANCIAL GROUP, INC.",24400 HIGHPOINT RD,,BEACHWOOD,OH,UNITED STATES,44122,216-292-6450,216-360-7330,,,,,,,Approved,7/16/2004,3/30/2010,Y,WWW.ENTRUSTFINANCIAL-INC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,11-25 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"47,437,999.00","47,437,999.00",0,274,274,Y,Y,N,N,Y,Y,N,N,N,Y,"ESTATE PLANNING, TAX PLANNING AND PREPARATION",51-100,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109824,801-49090,"CARDINAL CAPITAL MANAGEMENT, L.L.C.","CARDINAL CAPITAL MANAGEMENT, L.L.C.",ONE GREENWICH OFFICE PARK,,GREENWICH,CT,UNITED STATES,6831,203-863-8984,203-861-4112,,,,,,,Approved,4/27/1995,3/30/2010,Y,HTTP://WWW.CARDCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,115,894,933.00",0,"1,115,894,933.00",149,0,149,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,127679,801-63068,EMANCIPATION CAPITAL LLC,EMANCIPATION CAPITAL LLC,825 THIRD AVENUE,33RD FLOOR,NEW YORK,NY,UNITED STATES,10022-7519,212-605-0661,212-605-0667,,,,,,,Approved,5/3/2004,3/30/2010,Y,WWW.EMANCIPATIONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"60,000,000.00",0,"60,000,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,132160,801-66966,PLEASANTON FINANCIAL ADVISORS,"PLEASANTON FINANCIAL ADVISORS,  LLC","1811 SANTA RITA RD, SUITE 211",,PLEASANTON,CA,UNITED STATES,94566,925-846-3768,925-600-7574,,,,,,,Approved,7/13/2006,3/30/2010,Y,WWW.PLEASANTONFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,Y,RETAINER,Y,"56,799,970.00",0,"56,799,970.00",242,0,242,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109677,801-33774,"STRATEGIC INVESTMENT ADVISORS, INC.","STRATEGIC FINANCIAL SERVICES, INC.",114 BUSINESS PARK DRIVE,,UTICA,NY,UNITED STATES,13502,(315)724-1776,(315)735-7739,,,,,,,Approved,2/17/1989,3/30/2010,Y,WWW.INVESTSTRATEGIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,251-500,0,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,Y,NEGOTIATED FEES FOR MONITORING SERVICES,Y,"607,497,558.00","47,084,924.00","654,582,482.00","1,146",260,"1,406",N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,128051,801-65429,"SSR CAPITAL PARTNERS, LP","SSR CAPITAL PARTNERS, LP",4514 COLE AVENUE,SUITE 1000,DALLAS,TX,UNITED STATES,75205,972-776-8000,972-776-8010,,,,,,,Approved,2/14/2006,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,10-Jun,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"173,526,810.00",0,"173,526,810.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122500,801-67390,"OLD OAK FINANCIAL PLANNING, INC.","OLD OAK FINANCIAL PLANNING, INC.",7077 FIELDCREST DR.,SUITE 400,BRIGHTON,MI,UNITED STATES,48116,810-220-4400,810-220-8818,,,,,,,Approved,1/3/2007,3/30/2010,Y,OLDOAKFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"23,027,800.00","22,781,103.00","45,808,903.00",116,86,202,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131124,801-63022,PRINCE STREET CAPITAL MANAGEMENT LLC,PRINCE STREET CAPITAL MANAGEMENT LLC,152 WEST 57TH STREET 28TH FLOOR,,NEW YORK,NY,UNITED STATES,10019,212-931-8652,212-931-8649,,,,,,,Approved,4/15/2004,3/30/2010,Y,WWW.PRINCEFUND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"240,000,000.00",0,"240,000,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,141854,801-67779,WL ROSS & CO. LLC,WL ROSS & CO. LLC,"1166 AVENUE OF THE AMERICAS, 27TH FLOOR",27TH FLOOR,NEW YORK,NY,UNITED STATES,10036,212-826-1100,212-317-4891,,,,,,,Approved,4/25/2007,3/30/2010,Y,WWW.WLROSS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,SPECIAL PURPOSE VEHICLES,Y,N,N,Y,N,Y,Y,CO-INVESTMENT VEHICLES,Y,"8,339,540,000.00",0,"8,339,540,000.00",28,0,28,N,N,N,N,N,N,N,N,N,Y,"PRIVATE EQUITY, HEDGE FUNDS, STRUCTURING AND RECOMMENDING CO-INVESTMENTS",0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108673,801-23491,"WAFRA INVESTMENT ADVISORY GROUP, INC.","WAFRA INVESTMENT ADVISORY GROUP, INC.",345 PARK AVENUE 41ST FLOOR,,NEW YORK,NY,UNITED STATES,10154-0101,212-759-3700,212-813-9488,,,,,,,Approved,2/15/1985,3/30/2010,Y,WWW.WAFRA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,26-50 percent,"FOREIGN GOV'T AGENCIES, NON-US DOMICILED FUNDS AND COS., FUNDS OF FUNDS, LEASE TRANSACTIONS, REAL ESTATE & PRIVATE EQUITY FUNDS",Y,N,N,Y,N,Y,Y,"REAL ESTATE COMMISSIONS, CONSULTING AND OTHER FEES",Y,"3,621,800,571.00","2,931,489,660.00","6,553,290,231.00",40,29,69,N,N,N,Y,N,Y,N,N,N,Y,"REAL ESTATE AND LEASES , NON-U.S. FUNDS AND FUND OF FUNDS, CONSULTING AND PRIVATE EQUITY ADVISORY SERVICES",,,N,N,N,N,N,Y,N,N,N,,Y,N,Y,Y,N,Y,N,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,110164,801-32111,BURGESS CHAMBERS & ASSOCIATES INC,BURGESS CHAMBERS & ASSOCIATES INC,601 N NEW YORK AVE,SUITE 200,WINTER PARK,FL,UNITED STATES,32789,407-644-0111,407-644-0694,,,,,,,Approved,5/23/1988,3/30/2010,Y,WWW.BURGESSCHAMBERS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,0 percent,,Y,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
SFRO,150762,801-70395,"ARTIENCE CAPITAL MANAGEMENT, LLC","ARTIENCE CAPITAL MANAGEMENT, LLC",ONE MARKET ST.,"SPEAR TOWER, SUITE 3600",SAN FRANCISCO,CA,UNITED STATES,94105,(800) 337-0353,(800) 337-1332,,,,,,,Approved,7/16/2009,3/25/2010,Y,WWW.ARTIENCECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"38,791,000.00","11,800,000.00","50,591,000.00",102,2,104,N,Y,N,Y,N,Y,N,N,N,Y,SUB ADVISORY SERVICES,,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110927,801-62112,"SCHULTZE ASSET MANAGEMENT, LLC","SCHULTZE ASSET MANAGEMENT, LLC",3000 WESTCHESTER AVENUE,,PURCHASE,NY,USA,10577,914-701-5260,914-701-5269,,,,,,,Approved,6/9/2003,3/25/2010,Y,WWW.SAMCO.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,26-50 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"157,957,994.00",0,"157,957,994.00",11,0,11,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105466,801-482,"BECK, MACK & OLIVER LLC","BECK, MACK & OLIVER LLC",360 MADISON AVE,,NEW YORK,NY,UNITED STATES,10017-7111,212-661-2640,212-953-2511,,,,,,,Approved,11/1/1940,3/25/2010,Y,WWW.BECKMACK.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,More than 500,"2,000",51-75 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,453,174,600.00","10,004,325.00","3,463,178,925.00","2,073",15,"2,088",N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,138048,801-69060,"SANDY RIVER INVESTMENT CONSULTING, LLC","SANDY RIVER INVESTMENT CONSULTING, LLC",,,,,,,207-293-2173,207-293-2173,,,,,,,Approved,4/23/2008,3/25/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,ME,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,MARKET INDEX PROVIDER,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,Y,Y,N,N,N,Y,"INVESTMENT EDUCATION, ADVICE TO MARKET INDEX PROVIDER",10-Jan,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,130825,801-62923,"ROCK POINT ADVISORS, LLC","ROCK POINT ADVISORS, LLC",ONE LAWSON LANE SUITE 125,,BURLINGTON,VT,UNITED STATES,05401-4014,802-864-2266,802-864-1116,P.O. BOX 700,,BURLINGTON,VT,UNITED STATES,05402-0700,Approved,4/30/2004,3/25/2010,Y,WWW.ROCKPOINTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VT,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"214,744,296.00","541,502.00","215,285,798.00",340,1,341,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110270,801-30367,FINANCIAL MANAGEMENT PROFESSIONALS INC,FINANCIAL MANAGEMENT PROFESSIONALS INC,6034 WEST COURTYARD DRIVE,SUITE 380,AUSTIN,TX,USA,78730,512-329-5174,512-329-5176,,,,,,,Approved,8/17/1987,3/25/2010,Y,WWW.FMPROFESSIONALS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"316,605,000.00","40,678,000.00","357,283,000.00","1,891",2,"1,893",Y,Y,N,Y,N,N,N,N,N,Y,PRIVATE PLACEMENT MANAGEMENT,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109332,801-57673,AMERICAN PLANNING GROUP INC,AMERICAN PLANNING GROUP INC,666 GLENBROOK ROAD,,STAMFORD,CT,UNITED STATES,6906,203-323-6666,203-359-1996,,,,,,,Approved,6/20/2000,3/25/2010,Y,WWW.AMERICANPLANNINGGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"56,579,375.00","56,579,375.00",0,152,152,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,105962,801-45326,PARAGON WEALTH MANAGEMENT,PARAGON CAPITAL MANAGEMENT INC,3651 NORTH 100 EAST,SUITE 275,PROVO,UT,USA,84604,801-375-2500,801-370-1111,,,,,,,Approved,12/8/1993,3/25/2010,Y,HTTP://WWW.PARAGONWEALTH.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"61,316,004.00","2,590,476.00","63,906,480.00",307,1,308,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,143543,801-68251,"BELLATORE FINANCIAL, INC.","BELLATORE FINANCIAL, INC.",333 WEST SAN CARLOS STREET,SUITE 1625,SAN JOSE,CA,UNITED STATES,95110,408-998-7700,866-849-1079,,,,,,,Approved,9/4/2007,3/25/2010,Y,WWW.BELLATORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,More than 500,"2,800",51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"236,744,356.00","301,930,853.00","538,675,209.00","1,530","1,273","2,803",N,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112847,801-26502,BERLA INVESTMENT CONSULTING,BERLA GEORGE ALEXANDER,35 QUAIL COURT,SUITE 100,WALNUT CREEK,CA,USA,94596,925-947-0326,925-947-0523,P.O. BOX 4067,,WALNUT CREEK,CA,USA,94596-0067,Approved,3/10/1986,3/25/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,TRUSTS,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106527,801-40271,PINNACLE WEST ASSET MANAGEMENT INC,PINNACLE WEST ASSET MANAGEMENT INC,152 N. DURBIN STREET,SUITE 410,CASPER,WY,USA,82601,307-235-3300,307-473-7500,PO BOX 51407,,CASPER,WY,USA,82605,Approved,11/26/1991,3/25/2010,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,Corporation,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,11-25 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"40,522,342.00",0,"40,522,342.00",150,0,150,N,Y,N,Y,N,N,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,1834,801-61159,"UNIVEST INVESTMENTS, INC.","UNIVEST INVESTMENTS, INC.",14 NORTH MAIN STREET,P.O. BOX 64197,SOUDERTON,PA,UNITED STATES,18964,215-721-2438,215-721-4010,,,,,,,Approved,5/10/2002,3/25/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,25-Nov,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,"ENRICHMENT FUND, MISSION ACCOUNTS FOR COLLEGE",Y,N,N,N,N,N,N,,Y,0,"23,008,450.00","23,008,450.00",0,26,26,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,107833,801-57664,BLUE OCEAN CAPITAL,"CPA ASSET MANAGEMENT GROUP, LLC",101 N. CLEMATIS STREET,SUITE 220,WEST PALM BEACH,FL,USA,33401,561-659-3301,561-659-3609,P.O. BOX 3505,,WEST PALM BEACH,FL,USA,33402-3505,Approved,6/22/2000,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"257,420,390.00","4,547,008.00","261,967,398.00",450,37,487,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,117222,801-66991,"TWRU PRIVATE WEALTH MANAGEMENT, LLC","TWRU PRIVATE WEALTH MANAGEMENT, LLC",527 E. AIRPORT AVE,,BATON ROUGE,LA,UNITED STATES,70806,225-926-1050,225-923-1808,,,,,,,Approved,8/11/2006,3/25/2010,Y,WWW.TWRU.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"58,756,025.00","2,419,844.00","61,175,869.00",439,99,538,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111969,801-8706,PERSONAL ASSET MANAGEMENT CORP,PERSONAL ASSET MANAGEMENT CORP,,,,,,,908-273-2947,908-273-0526,,,,,,,Approved,7/12/1972,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"4,573,604.00","28,492,471.00","33,066,075.00",3,19,22,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110782,801-55142,COGESFONDS INC,COGESFONDS INC,45 DALHOUSIE,,QUEBEC,,CANADA,G1K 8S3,418-694-9000,418-694-9827,,,,,,,Approved,1/6/1998,11/29/2006,Y,WWW.COGESFONDS.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"132,421,147.00",0,"132,421,147.00",157,0,157,N,Y,N,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,137307,801-64827,MAXOUT SAVINGS ADVISORS LLC,MAXOUT SAVINGS ADVISORS LLC,5599 SAN FELIPE,SUITE 110,HOUSTON,TX,UNITED STATES,77056,713-627-0400,713-468-1335,,,,,,,Approved,11/25/2005,3/25/2010,Y,MAXOUTSAVINGS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"37,341,778.00","3,362,237.00","40,704,015.00",247,4,251,N,Y,N,Y,Y,Y,Y,N,N,Y,MANAGEMENT OF PRIVATE COMPANY STOCK,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,3866,801-11375,"KMS FINANCIAL SERVICES, INC","KMS FINANCIAL SERVICES, INC.",2001 SIXTH AVE STE 2801,,SEATTLE,WA,UNITED STATES,98121,[206]441-2885,[206]448-4764,,,,,,,Approved,4/6/1976,3/25/2010,Y,WWW.KMS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,251-500,0,251-500,0,251-500,0,0,0,More than 500,"14,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,"862,219,257.00","977,338,906.00","1,839,558,163.00","5,892","4,494","10,386",Y,Y,N,Y,Y,Y,N,N,Y,N,,More than 500,1000,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,Y,N,Y,Y,N,N,N,Y,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,127639,801-65527,"CORRIENTE ADVISORS, LLC","CORRIENTE ADVISORS, LLC",201 MAIN STREET,SUITE 1800,FORT WORTH,TX,UNITED STATES,76102,817.870.0400,817.870.0401,,,,,,,Approved,1/24/2006,3/25/2010,Y,WWW.CORRIENTECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"435,681,969.00",0,"435,681,969.00",12,0,12,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES TO POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,106530,801-49875,HOLDERNESS INVESTMENTS CO,HOLDERNESS INVESTMENTS CO,102 STATE ST,,GREENSBORO,NC,UNITED STATES,27408,336-574-1400,336-574-1441,,,,,,,Approved,8/14/1995,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"96,352,279.00","1,913,757.00","98,266,036.00",208,24,232,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,130174,801-62696,"MONACO CAPITAL MANAGEMENT, LLC","MONACO CAPITAL MANAGEMENT, LLC",621 LYNNHAVEN PKWY.,SUITE 208,VIRGINIA BEACH,VA,UNITED STATES,23452,757-333-7676,757-333-7677,,,,,,,Approved,1/14/2004,3/25/2010,Y,WWW.MONACOCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"29,079,326.00","30,251,891.00","59,331,217.00",134,713,847,Y,Y,N,Y,Y,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105087,801-15722,BRISTOL GROUP INC,BRISTOL GROUP INC,400 MONTGOMERY STREET,SUITE 400,SAN FRANCISCO,CA,USA,94104,415-398-1022,415-398-3421,,,,,,,Approved,1/12/1981,3/25/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,Y,Y,PERCENTAGE OF CONTRIBUTED CAPITAL AND DISTRIBUTABLE CASH FLOW.,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,"REAL ESTATE INVESTMENT MANAGEMENT SERVICES, PRIMARILY TO PUBLIC AND PRIVATE PENSION FUNDS.",0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122655,801-66416,CHAPMAN & CHAPMAN ADVISORS LLC,CHAPMAN & CHAPMAN ADVISORS LLC,2307 EAST AURORA RD,SUITE B-13,TWINSBURG,OH,UNITED STATES,44087,440-287-7603,330-405-3399,,,,,,,Approved,3/20/2006,3/25/2010,Y,WWW.CHAPMANANDCHAPMANADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"51,004,942.00","51,004,942.00",0,160,160,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112601,801-47808,"CONSULTING FIDUCIARIES, INC.","CONSULTING FIDUCIARIES, INC.","400 SKOKIE BLVD., STE 260",,NORTHBROOK,IL,UNITED STATES,60062,847-559-9835,847-559-9840,,,,,,,Approved,11/28/1994,3/25/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"50,300,000.00",0,"50,300,000.00",3,0,3,N,N,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108092,801-55322,DIBENEDETTO & ASSOCIATES LTD,DIBENEDETTO & ASSOCIATES LTD,6845 WEAVER ROAD,SUITE 300,ROCKFORD,IL,UNITED STATES,61114,815-654-8850,815-654-8795,,,,,,,Approved,2/2/1998,3/25/2010,Y,TRUSTDNB.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"123,638,258.00",0,"123,638,258.00",663,0,663,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,116882,801-60782,"RESMARK EQUITY PARTNERS, LLC","RESMARK EQUITY PARTNERS, LLC",10880 WILSHIRE BL. SUITE 1420,,LOS ANGELES,CA,UNITED STATES,90024,310-474-8400 EXT 202,310-474-8440,,,,,,,Approved,1/4/2002,3/25/2010,Y,WWW.RESMARKLLC.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,51-75 percent,26-50 percent,0 percent,,N,N,N,Y,N,Y,N,,Y,"361,560,000.00",0,"361,560,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110494,801-52693,MONUMENT INVESTMENTS INC.,MONUMENT INVESTMENTS INC.,"3198 ROYAL LANE, SUITE 211",,DALLAS,TX,UNITED STATES,75229,214-360-9360,214-360-9121,,,,,,,Approved,8/20/1996,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"32,583,495.00",0,"32,583,495.00",68,0,68,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,109238,801-57511,THE MUTUAL FUND STORE,"THE MUTUAL FUND STORE-KANSAS CITY, LLC",7301 COLLEGE BOULEVARD,SUITE 220,OVERLAND PARK,KS,USA,66210,913-319-8100,913-319-8181,,,,,,,Approved,4/21/2000,3/25/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,More than 500,"3,712",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"650,778,223.00",0,"650,778,223.00","8,944",0,"8,944",Y,Y,N,N,Y,Y,N,N,N,Y,GENERAL CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106942,801-45798,PORTFOLIO STRATEGIES INC NY,PORTFOLIO STRATEGIES INC NY,,,,,,,845-352-1919,845-352-5181,,,,,,,Approved,1/1/1994,3/25/2010,Y,WWW.PSI-INVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,More than 500,"1,000",51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"282,748,405.00",0,"282,748,405.00","2,472",0,"2,472",N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106178,801-47749,PROSPECT ASSET MANAGEMENT INC,PROSPECT ASSET MANAGEMENT INC,410 ATKINSON DRIVE,SUITE 434,HONOLULU,HI,UNITED STATES,96814,808-955-7077,808-955-7081,,,,,,,Approved,11/3/1994,5/26/2010,Y,WWW.PROSPECTJAPAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,HI,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"238,463,510.00",0,"238,463,510.00",6,0,6,N,N,N,Y,N,N,N,N,N,Y,UNREGISTERED POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,129612,801-62982,FORTRESS INVESTMENT GROUP,FIG LLC,1345 AVENUE OF THE AMERICAS,46TH FLOOR,NEW YORK,NY,UNITED STATES,10105,212-798-6100,917-591-8633,,,,,,,Approved,4/27/2004,5/26/2010,Y,HTTP://WWW.FORTRESS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,501-1000,0,51-250,0,0,0,5-Jan,0,101-250,0,0 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,26-50 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,INSTITUTIONAL MANAGED ACCOUNTS AND STRUCTURED PRODUCTS,Y,N,N,Y,N,Y,N,,Y,"41,600,000,000.00",0,"41,600,000,000.00",240,0,240,N,N,Y,Y,N,Y,N,N,N,Y,CONSULTING SERVICES,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,107104,801-13399,TIRSCHWELL & LOEWY INC,TIRSCHWELL & LOEWY INC,400 PARK AVENUE,,NEW YORK,NY,USA,10022-4406,212-888-7940,212-688-6417,,,,,,,Approved,10/13/1977,1/6/2010,Y,WWW.TIRSCHWELLANDLOEWY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,"FOUNDATIONS, ENDOWMENTS, UNIVERSITIES",Y,N,N,N,N,N,N,,Y,"395,712,465.00",0,"395,712,465.00",357,0,357,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110434,801-43057,EXCOMP ASSET MANAGEMENT LTD,EXCOMP ASSET MANAGEMENT LTD,1010 FRANKLIN AVENUE- SUITE 410,,GARDEN CITY,NY,USA,11530,516-535-7900,516-535-7901,,,,,,,Approved,1/12/1993,5/27/2010,Y,WWW.EXCOMPAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"112,162,000.00",0,"112,162,000.00",483,0,483,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,149046,801-69838,KRILOGY FINANCIAL LLC,KRILOGY FINANCIAL LLC,"600 EMERSON ROAD, STE. 110",,ST. LOUIS,MO,UNITED STATES,63141,314-884-2800,314-884-2819,,,,,,,Approved,1/12/2009,1/6/2010,Y,WWW.KRILOGY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"26,175,488.00","26,175,488.00",0,258,258,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138805,801-65491,GSA CAPITAL PARTNERS LLP,GSA CAPITAL PARTNERS LLP,11 BERKELEY STREET,1ST FLOOR,LONDON,,UNITED KINGDOM,W1J 8DS,00-44-20-7959-8800,00-44-20-7959-8856,,,,,,,Approved,1/25/2006,5/27/2010,Y,WWW.GSACAPITAL.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,51-250,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,TRADER BONUS,Y,"614,100,000.00",0,"614,100,000.00",17,0,17,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105495,801-24721,"RACHOR INVESTMENT ADVISORY SERVICES, LLC","RACHOR INVESTMENT ADVISORY SERVICES, LLC",2357 STONE BRIDGE DRIVE,,FLINT,MI,UNITED STATES,48532,810 732-7777,810-732-7757,P. O. BOX 320100,,FLINT,MI,UNITED STATES,48532,Approved,7/8/1985,5/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"76,898,261.00","110,375,422.00","187,273,683.00",511,"1,182","1,693",Y,Y,N,Y,Y,Y,N,N,N,Y,ESTATE PLANNING,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,149586,801-70035,"EMETH CAPITAL, LLC","EMETH CAPITAL, LLC",,,,,,,972-2-652-9085,,,,,,,,Approved,4/16/2009,1/6/2010,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,Y,N,N,Y,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,113299,801-64567,EDELMAN FINANCIAL SERVICES LLC,EDELMAN FINANCIAL SERVICES LLC,4000 LEGATO ROAD,9TH FLOOR,FAIRFAX,VA,UNITED STATES,22033-2892,703-818-0800,703-818-1910,,,,,,,Approved,8/23/2005,5/27/2010,Y,WWW.RICEDELMAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,"12,500",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,Y,Y,Y,N,N,,Y,"4,028,000,000.00","478,000,000.00","4,506,000,000.00","25,500","13,000","38,500",Y,Y,N,Y,N,Y,Y,N,N,N,,More than 500,11500,Y,Y,N,Y,N,N,Y,N,Y,MARKETS AND SELLS THE RIC-E TRUST.  SEE SCHD. F.,N,N,Y,Y,N,Y,N,N,N,N,Y,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
MIRO,147958,801-69582,"WILLOW STREET ADVISORS, LLC","WILLOW STREET ADVISORS, LLC","9132 STRADA PLACE, 2ND FLOOR",,NAPLES,FL,UNITED STATES,34108,(239) 596-9080,(239) 596-9083,,,,,,,Approved,10/2/2008,1/6/2010,Y,WWW.WILLOWSTREETADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"156,162,455.00",0,"156,162,455.00",95,0,95,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104859,801-15930,EATON VANCE MANAGEMENT,EATON VANCE MANAGEMENT,TWO INTERNATIONAL PLACE,,BOSTON,MA,UNITED STATES,2110,617-482-8260,617-338-8054,,,,,,,Approved,2/20/1981,5/27/2010,Y,WWW.EATONVANCE.COM,N,Y,N,N,Y,N,N,Y,N,N,N,N,N,Other (specify),BUSINESS TRUST,MA,UNITED STATES,501-1000,0,51-250,0,51-250,0,5-Jan,0,More than 500,900,0 percent,11-25 percent,Up to 10 percent,More than 75 percent,26-50 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,PERCENTAGE OF PORTFOLIO INCOME,Y,"113,394,458,293.00","472,092,700.00","113,866,550,993.00","1,903",156,"2,059",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105915,801-38192,FULREADER & KOMMA MANAGEMENT INC,FULREADER & KOMMA MANAGEMENT INC,642 KREAG ROAD,,PITTSFORD,NY,UNITED STATES,14534,585-381-4180,585-381-4197,,,,,,,Approved,2/14/1991,5/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"73,475,466.00",0,"73,475,466.00",285,0,285,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104853,801-43127,BOSTON MANAGEMENT AND RESEARCH,BOSTON MANAGEMENT AND RESEARCH,TWO INTERNATIONAL PLACE,,BOSTON,MA,UNITED STATES,2110,617-482-8260,617-338-8054,,,,,,,Approved,1/21/1993,5/27/2010,N,,N,Y,N,N,Y,N,N,Y,N,N,N,N,N,Other (specify),BUSINESS TRUST,MA,UNITED STATES,51-250,0,51-250,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,PERCENTAGE OF PORTFOLIO INCOME,Y,"57,357,039,265.00",0,"57,357,039,265.00",78,0,78,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,132047,801-63334,EATON VANCE INVESTMENT COUNSEL,EATON VANCE INVESTMENT COUNSEL,TWO INTERNATIONAL PLACE,,BOSTON,MA,UNITED STATES,2110,617-482-8260,617-338-8054,,,,,,,Approved,7/13/2004,5/27/2010,Y,WWW.EATONVANCECOUNSEL.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Other (specify),MASSACHUSETTS BUSINESS TRUST,MA,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,More than 500,"1,500",Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,"SEE PART II, SCHEDULE F, ITEM 1",Y,"3,000,981,758.00","472,092,700.00","3,473,074,458.00","1,678",156,"1,834",Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,134445,801-65821,"VERDIS INVESTMENT MANAGEMENT, LLC","VERDIS INVESTMENT MANAGEMENT, LLC",200 FOUR FALLS CORPORATE CENTER,SUITE 201,WEST CONSHOHOCKEN,PA,USA,19428,610-397-1600,610-260-6860,,,,,,,Approved,1/27/2006,5/27/2010,Y,WWW.VERDISINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"243,358,915.00","63,340,811.00","306,699,726.00",6,2,8,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,34815,801-57637,"ING FINANCIAL ADVISERS, LLC","ING FINANCIAL ADVISERS, LLC",ONE ORANGE WAY,C1S,WINDSOR,CT,UNITED STATES,6095,860-580-2819,860-580-0442,,,,,,,Approved,5/30/2000,5/27/2010,Y,WWW.ING.COM/US,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,More than 1000,"2,000",251-500,0,251-500,0,0,0,More than 500,"6,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"209,420,112.00","978,603,518.00","1,188,023,630.00",802,"4,848","5,650",Y,Y,N,Y,N,Y,N,N,N,Y,RECOMMEND ASSET MGMT. PROGRAMS. GIVE ADVICE TO OTHER B/DS AND RET. PLAN PARTICIPANTS ON ASSET ALLOCATIONS/INVESTMENT SELECTIONS.,251-500,,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
CHRO,111623,801-30378,PERRITT CAPITAL MANAGEMENT INC,PERRITT CAPITAL MANAGEMENT INC,"300 S. WACKER DR., SUITE 2880",,CHICAGO,IL,UNITED STATES,60606-6703,312-669-1650,312-669-1235,,,,,,,Approved,10/1/1987,5/27/2010,Y,WWW.PERRITTCAP.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"435,158,412.00",0,"435,158,412.00",214,0,214,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,147366,801-69228,THE CAMBRIDGE STRATEGY (ASSET MANAGEMENT) LIMITED,THE CAMBRIDGE STRATEGY (ASSET MANAGEMENT) LIMITED,1ST FLOOR 26 MOUNT ROW,,LONDON,,UNITED KINGDOM,W1K 3SQ,44 020 7290 3444,44 020 7495 8079,,,,,,,Approved,6/26/2008,6/24/2008,Y,WWW.THECAMBRIDGESTRATEGY.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),LTD,,UNITED KINGDOM,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"189,000,000.00",0,"189,000,000.00",10,0,10,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107061,801-36035,GOSTING CAPITAL MANAGEMENT,GOSTING DONALD LOUIS JR,,,,,,,214-343-2040,214-341-9721,,,,,,,Approved,2/16/1990,1/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"28,500,064.00",0,"28,500,064.00",26,0,26,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,121538,801-70973,"ADVANCED FINANCIAL SOLUTIONS, INC.","ADVANCED FINANCIAL SOLUTIONS, INC.",4700 N. CLOVERDALE RD,SUITE 205,BOISE,ID,UNITED STATES,83713-1081,208-376-0091,208-376-0092,,,,,,,Approved,1/7/2010,1/6/2010,Y,WWW.AFS-IDAHO.COM OR WWW.ADVANCEDFINANCIALSOLUTIONSINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,ID,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"22,446,878.00","2,553,145.00","25,000,023.00",147,144,291,Y,Y,Y,Y,N,Y,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,Y,EVERBANK ADVISOR/EMPLOYEE,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110867,801-32212,ORION INVESTMENT CO,ORION INVESTMENT CO,7800 FORSYTH AVE,8TH FLOOR,ST LOUIS,MO,USA,63105,314-725-3800,314-725-3802,,,,,,,Approved,7/18/1988,5/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"165,886,545.00","854,450.00","166,740,995.00",288,1,289,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,132551,801-63495,"CHANGING PARAMETERS, LLC","CHANGING PARAMETERS, LLC",250 OAK GROVE AVENUE,SUITE A,MENLO PARK,CA,USA,94025,650-327-7705,650-327-3858,,,,,,,Approved,9/10/2004,1/6/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"151,201,639.00",0,"151,201,639.00",539,0,539,Y,Y,Y,Y,N,Y,N,N,Y,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,120186,801-61258,DEUTSCHE ASSET MANAGEMENT (KOREA) COMPANY LIMITED,DEUTSCHE ASSET MANAGEMENT (KOREA) COMPANY LIMITED,"19/F, YOUNGPOONG BUILDING","33, SEORIN-DONG, CHONGRO-KU",SEOUL,,"KOREA, SOUTH",110-752,822 724 7460,822 724 7474,,,,,,,Approved,7/9/2002,5/27/2010,Y,WWW.DEAM-KOREA.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"KOREA, SOUTH",Nov-50,0,10-Jun,0,0,0,Nov-50,0,101-250,0,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,974,587,778.00",0,"3,974,587,778.00",89,0,89,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
ARO,112758,801-60393,"SIGNATUREFD, LLC","SIGNATUREFD, LLC","600 PEACHTREE STREET, NE",SUITE 2700,ATLANTA,GA,UNITED STATES,30308-2265,404-253-7600,404-253-7601,,,,,,,Approved,7/6/2001,3/29/2010,Y,SIGNATUREFD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"826,007,769.00","174,030,012.00","1,000,037,781.00",345,1,346,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,Y,MORTGAGE BROKER,Y,N,Y,Y,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109212,801-64097,"GARDNER & ROBERTSON, INC.","GARDNER & ROBERTSON, INC.","707 E. MAIN STREET, 20TH FL",,RICHMOND,VA,UNITED STATES,23219,804-344-3800,804-343-3308,P.O. BOX 1459,,RICHMOND,VA,UNITED STATES,23218-1459,Approved,5/10/2005,4/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,Y,N,N,N,N,,Y,"66,362,408.00",0,"66,362,408.00",184,0,184,N,Y,N,Y,N,N,Y,N,N,N,,,,N,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,118494,801-61700,"QMA INVESTMENT MANAGEMENT, LLC","QMA INVESTMENT MANAGEMENT, LLC",3720 WENDWOOD LANE,SUITE 305,CHARLOTTE,NC,USA,28211,704-807-3531,,,,,,,,Approved,1/10/2003,12/11/2006,Y,WWW.QMALLC.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"2,695,941.00",0,"2,695,941.00",16,0,16,N,Y,N,Y,N,N,N,N,Y,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104947,801-10798,SMITH DONALD & CO INC,SMITH DONALD & CO INC,152 W. 57TH STREET,22ND FLOOR,NEW YORK,NY,UNITED STATES,10019,212-284-0990,212-284-0998,,,,,,,Approved,5/29/1975,4/8/2010,Y,WWW.DONALDSMITHANDCO.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,452,321,447.00",0,"3,452,321,447.00",37,0,37,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,152801,801-71333,RLC CAPITAL MANAGEMENT,RICHARD LARSEN CULLEN,,,,,,,323-851-7308,,,,,,,,Approved,4/14/2010,4/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,000,000.00",0,"25,000,000.00",30,0,30,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,139454,801-66158,NORTH RIVER CAPITAL LLC,NORTH RIVER CAPITAL MANAGEMENT L.P.,750 LEXINGTON AVENUE,16TH FLOOR,NEW YORK,NY,USA,10022,212-488-5509,212-504-3113,,,,,,,Approved,2/1/2006,4/29/2008,Y,WWW.NRCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,"100,000,000.00","100,000,000.00",0,2,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,105552,801-29198,"AMERICAN BEACON ADVISORS, INC.","AMERICAN BEACON ADVISORS, INC.","4151 AMON CARTER BLVD, MD 2450",,FORT WORTH,TX,UNITED STATES,76155-2601,817-391-6100,817-391-6131,"4151 AMON CARTER BLVD, MD 2450",,FORT WORTH,TX,UNITED STATES,76155-2601,Approved,3/10/1987,4/8/2010,Y,WWW.AMERICANBEACONADVISORS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,26-50 percent,0 percent,26-50 percent,11-25 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"39,373,578,135.00","424,175,493.00","39,797,753,628.00",27,1,28,N,N,Y,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,146982,801-69192,GOODREID INVESTMENT COUNSEL CORP.,GOODREID INVESTMENT COUNSEL CORP.,47 COLBORNE STREET,SUITE 400,TORONTO,,"ONTARIO, CANADA",M5E 1P8,(416) 364-0890,(416) 364-1788,,,,,,,Approved,5/23/2008,11/18/2009,Y,WWW.GOODREID.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,10-Jun,0,5-Jan,0,0,0,10-Jun,0,101-250,0,Up to 10 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"71,304,677.00","15,664,934.00","86,969,611.00",166,38,204,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,Y,INVESTMENT COUNSEL PORTFOLIO MANAGER (ICPM),N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138319,801-66335,PM CAPITAL LIMITED,PM CAPITAL LIMITED,"60 CARRINGTON STREET, LEVEL 13",,"SYDNEY, NSW",,AUSTRALIA,2000,61 2 8243 0888,61 2 9291 9125,,,,,,,Approved,2/27/2006,9/27/2007,Y,WWW.PMCAPITAL.COM.AU,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,AUSTRALIA,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,484,700,000.00","813,000,000.00","3,297,700,000.00",6,7,13,N,N,N,N,N,N,N,N,N,Y,ABSOLUTE PERFORMANCE MANAGER/PRIVATE FUND ADVISER,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,133490,801-63841,"MITCHELL, PORTER & WILLIAMS, INC.","MITCHELL, PORTER & WILLIAMS, INC.","11601 WILSHIRE BLVD., SUITE 500",,LOS ANGELES,CA,UNITED STATES,90025,310-235-1438,310-943-3281,,,,,,,Approved,2/4/2005,11/18/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,Y,N,Y,N,,Y,0,"26,300,000.00","26,300,000.00",0,125,125,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,Y,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,141125,801-67037,"HOYLECOHEN, LLC","HOYLECOHEN, LLC",9350 WAXIE WAY,SUITE 500,SAN DIEGO,CA,UNITED STATES,92123,858-576-7300,858-576-4888,,,,,,,Approved,7/21/2006,4/8/2010,Y,HOYLECOHEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,More than 500,"1,000",11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"339,079,478.00","6,257,516.00","345,336,994.00","1,511",21,"1,532",Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,141575,801-71256,"WAMBIA CAPITAL MANAGEMENT, LLC","WAMBIA CAPITAL MANAGEMENT, LLC",,,,,,,301-528-0692,301-528-0692,,,,,,,Approved,6/18/2010,4/8/2010,Y,WWW.WAMBIACAPITAL.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108475,801-56919,FINANCIAL DIRECTIONS LLC,FINANCIAL DIRECTIONS LLC,1228 EAST PRINCE ROAD,,TUCSON,AZ,UNITED STATES,85719,520-408-7777,520-408-7770,,,,,,,Approved,10/18/1999,4/8/2010,Y,WWW.FINANCIALDIRECTIONSLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,More than 500,650,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"117,920,717.00",0,"117,920,717.00",650,0,650,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110454,801-40473,FINANCIAL MANAGEMENT NETWORK INC,FINANCIAL MANAGEMENT NETWORK INC,26041 ACERO,,MISSION VIEJO,CA,USA,92691,949-455-0300,949-716-7413,,,,,,,Approved,12/31/1991,11/18/2009,Y,WWW.FMNCC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,700,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,QUARTERLY FEES,Y,"324,001,576.00",0,"324,001,576.00",661,0,661,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,Y,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,118471,801-61670,"GORDON ASSET MANAGEMENT, LLC","GORDON ASSET MANAGEMENT, LLC",1007 SLATER ROAD,SUITE 200,DURHAM,NC,UNITED STATES,27703,919-313-6650,919-313-6675,,,,,,,Approved,1/2/2003,4/8/2010,Y,WWW.GAMRIA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"111,012,605.00","149,569,988.00","260,582,593.00",257,86,343,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137935,801-65249,RUBICON ASSET MANAGEMENT LIMITED,RUBICON ASSET MANAGEMENT LIMITED,"LEVEL 2, 287-289",NEW SOUTH HEAD ROAD,EDGECLIFF,,AUSTRALIA,2027,+61 2 9302 2100,+61 2 9302 2150,,,,,,,Approved,1/20/2006,9/27/2007,Y,WWW.RUBICONASSET.COM.AU,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,AUSTRALIA,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"26,072,245.00",0,"26,072,245.00",1,0,1,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,141114,801-66986,RUBICON ASSET MANAGEMENT(SINGAPORE) PTE. LTD.,RUBICON ASSET MANAGEMENT(SINGAPORE) PTE. LTD.,"LEVEL 25, NORTH TOWER",ONE RAFFLES QUAY,SINGAPORE,,SINGAPORE,48583,+65 6622 5600,+65 6622 5999,,,,,,,Approved,7/14/2006,9/27/2007,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SINGAPORE,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"26,072,245.00",0,"26,072,245.00",1,0,1,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,153373,801-71336,MYTHEN INVESTMENT ADVISORS AG,MYTHEN INVESTMENT ADVISORS AG,ETTENBERGSTRASSE 16,,"8907 WETTSWIL, ZURICH",,SWITZERLAND,,+41 43 501 5267,+41 43 501 5269,,,,,,,Approved,4/13/2010,4/8/2010,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SWITZERLAND,5-Jan,0,5-Jan,0,0,0,0,0,0,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,143617,801-67796,BENEFIT FUNDING SERVICES GROUP,"BFSG, LLC","2040 MAIN STREET, SUITE #150",,IRVINE,CA,UNITED STATES,92614,949-955-2552,949-955-2553,,,,,,,Approved,4/17/2007,4/8/2010,Y,WWW.BFSG.NET,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,A PERCENTAGE OF ASSETS UNDER CONSULTATION,N,0,0,0,0,0,0,N,N,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,143075,801-71337,FORUM PRIVATE CLIENT GROUP LLC,FORUM PRIVATE CLIENT GROUP LLC,11313 USA PARKWAY,,FISHERS,IN,UNITED STATES,46037-0000,317-558-6322,317-558-6320,P.O. BOX 50738,,INDIANAPOLIS,IN,UNITED STATES,46250,Approved,4/21/2010,4/8/2010,Y,WWW.FORUMCU.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"52,827,330.00","52,827,330.00",0,425,425,Y,Y,N,N,N,N,N,N,N,Y,TAX CONSULTING SERVICES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,117845,801-67382,THE FOCUS GROUP ADVISORS,"WORD, VISE, NETTLES & DEARMAN, LLC",117 WEST FIFTH STREET,SUITE 300,BARTLESVILLE,OK,UNITED STATES,74003,918-336-7877,918-336-7878,,,,,,,Approved,1/9/2007,4/8/2010,Y,WWW.TFGOK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,SOLICITOR/REFERRAL FEES,Y,"66,399,000.00","23,791,728.00","90,190,728.00",345,88,433,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,128270,801-63450,"GENESIS CAPITAL ADVISORS, INC.","GENESIS CAPITAL ADVISORS, INC.",532 PAGE STREET,,STOUGHTON,MA,USA,2072,781-344-1023,781-344-1179,,,,,,,Approved,8/30/2004,4/8/2010,Y,WWW.GENESISADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"86,378,539.00","6,125,715.00","92,504,254.00",428,54,482,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,Y,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,145919,801-71315,CATHY PARETO AND ASSOCIATES,"CATHY PARETO AND ASSOCIATES, INC.",2332 GALIANO STREET,,CORAL GABLES,FL,UNITED STATES,33134,305-728-7234,305-675-7652,,,,,,,Approved,4/8/2010,4/8/2010,Y,WWW.CATHYPARETO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,0,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY REFERRAL FEES,Y,"30,783,349.00",0,"30,783,349.00",167,0,167,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,130762,801-62859,"CAPITAL WEST PARTNERS, LLC","CAPITAL WEST PARTNERS, LLC",6842 E. TANQUE VERDE ROAD,SUITE D,TUCSON,AZ,USA,85715,520-296-9803,520-296-1939,,,,,,,Approved,3/11/2004,2/9/2010,Y,WWW.CAPITALWESTPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"77,966,975.00","11,447,025.00","89,414,000.00",452,65,517,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107882,801-57181,NANTUCKET CAPITAL MANAGEMENT LLC,NANTUCKET CAPITAL MANAGEMENT LLC,"40950 WOODWARD AVENUE, SUITE 307",,BLOOMFIELD HILLS,MI,USA,48304,248-723-9286,248-723-9289,,,,,,,Approved,2/25/2000,2/11/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,26-50 percent,FAMILY LLCS,Y,N,N,N,N,Y,N,,Y,0,"21,569,191.00","21,569,191.00",0,5,5,N,N,N,N,N,Y,N,N,N,Y,"NON-DISCRETIONARY CONSULTING SERVICES OF OTHER MANAGERS, HEDGE FUNDS IN PARTICULAR",0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N
CHRO,112705,801-47741,"DAEDALUS CAPITAL, L.L.C.","DAEDALUS CAPITAL, L.L.C.",500 NORTH BROADWAY,SUITE 1450,ST. LOUIS,MO,USA,63102,314-241-3590,314-241-9527,,,,,,,Approved,11/1/1994,1/3/2008,Y,WWW.DAEDALUSCAPITAL.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ONE-TIME PLACEMENT FEE OF 3% OF INITIAL ASSETS.,Y,"10,000,000.00",0,"10,000,000.00",211,0,211,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
CHRO,147298,801-71128,"MILLINGTON SECURITIES, INC.","MILLINGTON SECURITIES, INC.",222 S MILL ST,,NAPERVILLE,IL,UNITED STATES,60540,630-922-7900,630-922-7979,,,,,,,Approved,2/26/2010,2/11/2010,Y,MILLINGTONSECURITIES.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,Y,N,N,Y,N,N,N,Y,EVALUATION & SURVEILLANCE TO UNIT INVESTMENT TRUSTS,,,N,N,Y,N,N,N,N,N,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,121356,801-64356,"S.F. EHRLICH ASSOCIATES, INC.","S.F. EHRLICH ASSOCIATES, INC.",37 ELM STREET,SUITE 5,WESTFIELD,NJ,USA,7090,908-789-1100,908-789-1115,PO BOX 2278,,WESTFIELD,NJ,USA,7090,Approved,6/13/2005,2/12/2010,Y,SFEHRLICH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"56,389,857.00",0,"56,389,857.00",280,0,280,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,123457,801-68891,"SARD WEALTH MANAGMENT GROUP, LLC","SARD WEALTH MANAGEMENT GROUP, LLC",1100 JOHNSON FERRY ROAD,SUITE 695,ATLANTA,GA,USA,30342,404-843-4483,404-236-7310,,,,,,,Approved,3/11/2008,2/12/2010,Y,WWW.SARDWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"68,729,185.00","23,426,020.00","92,155,205.00",285,601,886,Y,Y,N,Y,Y,Y,Y,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,142644,801-67489,"SOUTHERN FINANCIAL GROUP, LLC","SOUTHERN FINANCIAL GROUP, LLC",TWO PERIMETER PARK SOUTH,SUITE 250 EAST,BIRMINGHAM,AL,UNITED STATES,35243,205.383.1415,205.383.1416,,,,,,,Approved,2/9/2007,2/12/2010,Y,WWW.THESOUTHERNFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"197,082,364.00",0,"197,082,364.00","1,293",0,"1,293",Y,Y,N,N,N,N,N,N,N,Y,CONSULTING,More than 500,1000,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,127817,801-62245,FRANK CAPITAL PARTNERS LLC,FRANK CAPITAL PARTNERS LLC,,,,,,,973-887-7698,973-215-2031,,,,,,,Approved,7/30/2003,2/12/2010,Y,HTTP://WWW.FRANKFUNDS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"8,414,819.00",0,"8,414,819.00",86,0,86,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,142928,801-67520,"KRS CAPITAL MANAGEMENT, LLC","KRS CAPITAL MANAGEMENT, LLC",101 WEST LONG LAKE ROAD,,BLOOMFIELD HILLS,MI,USA,48304,248-433-0621,248-433-0624,,,,,,,Approved,2/9/2007,2/12/2010,Y,WWW.KRSCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"45,622,950.00",0,"45,622,950.00",105,0,105,Y,Y,N,N,N,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,109061,801-53475,GREEN CAY ASSET MANAGEMENT LTD,GREEN CAY ASSET MANAGEMENT LTD,#4 LYFORD CAY SHOPPING CENTRE,WEST BAY STREET,NASSAU,,BAHAMAS,,242-362-6400,242-362-6402,P.O.BOX N-7776,"LYFORD CAY, WEST BAY STREET,",NASSAU,,BAHAMAS,,Approved,12/31/1996,3/23/2010,Y,WWW.GREENCAYASSET.COM,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"BAHAMAS, THE",10-Jun,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"108,229,491.00",0,"108,229,491.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HEDGE FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,121628,801-68759,"FREEMAN, WILL & NIEMEIER, INC.","FREEMAN, WILL & NIEMEIER, INC.",1919 WEST FRANKLIN STREET,,EVANSVILLE,IN,UNITED STATES,47712,812-425-1030,812-421-4115,P.O. BOX 6930,,EVANSVILLE,IN,UNITED STATES,47719-0930,Approved,1/25/2008,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"47,553,497.00","47,553,497.00",0,301,301,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105179,801-11364,DENT D F & CO INC,DENT D F & CO INC,"2 EAST READ STREET, 6TH FLOOR",,BALTIMORE,MD,UNITED STATES,21202,410-837-2544,410-837-6359,,,,,,,Approved,1/15/1980,3/30/2010,Y,WWW.DFDENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,774,000,000.00",0,"2,774,000,000.00",735,0,735,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108311,801-51346,APPEL ASSET MANAGEMENT CORPORATION,APPEL ASSET MANAGEMENT CORPORATION,150 GREAT NECK RD,,GREAT NECK,NY,UNITED STATES,11021,516-487-7146,516-829-1169,,,,,,,Approved,2/27/1996,3/30/2010,Y,WWW.APPELASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"50,326,379.00",0,"50,326,379.00",59,0,59,N,Y,N,Y,N,N,N,N,N,Y,MANAGE INVESTMENT PARTNERSHIPS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108304,801-9382,SIGNALERT CORPORATION,SIGNALERT CORPORATION,150 GREAT NECK ROAD,,GREAT NECK,NY,USA,11021,516-829-6444,516-829-1169,,,,,,,Approved,7/4/1973,3/30/2010,Y,WWW.SIGNALERT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,Y,N,N,Y,N,,Y,"205,926,972.00",0,"205,926,972.00",180,0,180,N,Y,N,Y,N,N,Y,N,N,Y,MANAGE INVESTMENT PARTNERSHIPS,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,138244,801-70247,THE MUTUAL FUND STORE,"TMFS-TOLEDO, LLC",475 W. DUSSEL DRIVE,,MAUMEE,OH,UNITED STATES,43537,419-897-2222,419-897-2215,,,,,,,Approved,6/2/2009,3/30/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"39,873,449.00",0,"39,873,449.00",527,0,527,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,111598,801-44724,F&C MANAGEMENT LIMITED,F&C MANAGEMENT LIMITED,EXCHANGE HOUSE,"8TH FLOOR, PRIMROSE STREET",LONDON,,UNITED KINGDOM,EC2A 2NY,00 44 207 628 8000,00 44 207 628 8188,,,,,,,Approved,11/10/1993,3/30/2010,Y,WWW.FANDC.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,501-1000,0,51-250,0,0,0,0,0,More than 500,"1,000",0 percent,0 percent,0 percent,11-25 percent,11-25 percent,0 percent,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"151,555,150,000.00","6,393,370,000.00","157,948,520,000.00",707,36,743,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106307,801-44169,"AVIEMORE ASSET MANAGEMENT, LLC","AVIEMORE ASSET MANAGEMENT, LLC",,,,,,,518 392-5880,518 392-1328,,,,,,,Approved,6/23/1993,3/30/2010,Y,WWW.ETFMUTUALFUND.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"60,000,000.00",0,"60,000,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,142404,801-68583,"OMNI WEALTH ADVISORS, LLC","OMNI WEALTH ADVISORS, LLC",5401 W. KENNEDY BLVD.,SUITE 530,TAMPA,FL,USA,33609,813-281-0028,813-288-8824,,,,,,,Approved,11/27/2007,3/30/2010,Y,WWW.OMNIADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"35,215,913.00","35,215,913.00",0,178,178,Y,Y,N,N,N,N,N,N,N,Y,TAX PREPARATION,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109588,801-56678,KRAUSS WHITING CAPITAL ADVISORS LLC,KRAUSS WHITING CAPITAL ADVISORS LLC,4 LANDMARK SQUARE,,STAMFORD,CT,USA,06901-2500,203.964.1700,203.964.1701,,,,,,,Approved,7/16/1999,3/30/2010,Y,KRAUSSWHITING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"32,260,178.00",0,"32,260,178.00",98,0,98,Y,Y,N,Y,N,Y,N,N,N,Y,PERFORMANCE MEASUREMENT & REPORTING,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,106775,801-50497,BAUERLE FINANCIAL INC,BAUERLE FINANCIAL INC,505 EAST NEW YORK AVENUE,,DELAND,FL,UNITED STATES,32724,386-734-4548,386-734-0863,,,,,,,Approved,11/1/1995,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"59,448,104.00","7,959,805.00","67,407,909.00",404,127,531,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146077,801-68706,"REACHCAPITAL MANAGEMENT, LP","REACHCAPITAL MANAGEMENT, LP",500 MAMARONECK AVENUE,SUITE 501,HARRISON,NY,USA,10528,914-899-3600,914-899-3603,,,,,,,Approved,1/22/2008,3/30/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"8,850,000.00",0,"8,850,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,141370,801-68065,CHANNEL FUNDS MANAGEMENT LLC,CHANNEL FUNDS MANAGEMENT LLC,100 HIGH STREET,STE 2800,BOSTON,MA,UNITED STATES,2110,617-747-0100,617-747-0800,,,,,,,Approved,7/5/2007,3/30/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"689,964.00",0,"689,964.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,117275,801-69350,"ELK HILL ADVISORS, INC.","ELK HILL ADVISORS, INC.",,,,,,,540-774-4603,540-774-5488,,,,,,,Approved,7/11/2008,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"42,636,666.00","4,971,398.00","47,608,064.00",237,7,244,N,Y,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106936,801-50793,ALLBRIGHT ASSET MANAGEMENT INC,ALLBRIGHT ASSET MANAGEMENT INC,,,,,,,315-593-6795,315-598-1044,,,,,,,Approved,12/18/1995,3/30/2010,Y,WWW.ALLBRIGHT-INC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"27,772,813.00",0,"27,772,813.00",177,0,177,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107124,801-43760,ACORN DERIVATIVES MANAGEMENT CORP,ACORN DERIVATIVES MANAGEMENT CORP,50 MAIN STREET,,WHITE PLAINS,NY,USA,10606,914-949-3516,914-949-3521,,,,,,,Approved,4/30/1993,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,004,000,000.00",0,"2,004,000,000.00",10,0,10,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105641,801-8144,PRINCIPAL MANAGEMENT CORP,PRINCIPAL MANAGEMENT CORP,680 8TH STREET,,DES MOINES,IA,UNITED STATES,50392-2080,515-248-3842,515-248-4745,THE PRINCIPAL FINANCIAL GROUP,711 HIGH STREET,DES MOINES,IA,UNITED STATES,50392-0200,Approved,12/14/1971,3/30/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,251-500,0,10-Jun,0,Nov-50,0,0,0,101-250,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,TRUSTEE OF THE COLLECTIVE INVESTMENT TRUST,Y,N,N,N,N,N,N,,Y,"54,942,053,997.00","34,398,376.00","54,976,452,373.00",106,11,117,N,N,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146083,801-68705,"REACHCAPITAL PW MANAGEMENT, L.P.","REACHCAPITAL PW MANAGEMENT, L.P.",500 MAMARONECK AVENUE,SUITE 501,HARRISON,NY,USA,10528,914-899-3600,914-899-3603,,,,,,,Approved,1/28/2008,3/30/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"146,300,000.00",0,"146,300,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105361,801-14064,"JOHN G. ULLMAN & ASSOCIATES, INC",ULLMAN JOHN & ASSOCIATES INC,51 EAST MARKET ST,,CORNING,NY,UNITED STATES,14830,607-936-3785,607-936-8361,PO BOX 1424,,CORNING,NY,UNITED STATES,14830,Approved,9/20/1978,3/30/2010,Y,WWW.JGUA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"700,000,000.00",0,"700,000,000.00","1,040",0,"1,040",Y,Y,N,Y,N,N,N,N,N,N,,More than 500,1000,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108134,801-56846,STAFFORD CAPITAL MANAGEMENT LLC,STAFFORD CAPITAL MANAGEMENT LLC,600 MONTGOMERY STREET SUITE 1600,,SAN FRANCISCO,CA,UNITED STATES,94111,415-362-6120,415-362-3048,,,,,,,Approved,9/23/1999,3/30/2010,Y,WWW.STAFFORDCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"62,845,641.00",0,"62,845,641.00",43,0,43,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110118,801-58213,PROVIDENT TRUST COMPANY,PROVIDENT TRUST COMPANY,N16 W23217 STONE RIDGE DRIVE,SUITE 310,WAUKESHA,WI,UNITED STATES,53188,262-521-2300,262-521-2301,,,,,,,Approved,12/15/2000,3/30/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,092,734,283.00","924,172.00","1,093,658,455.00",568,1,569,N,Y,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,Y,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,152090,801-70771,"RIVERTON ADVISORS, LLC","RIVERTON ADVISORS, LLC",1603 CAPITAL AVENUE,SUITE 410,CHEYENNE,WY,UNITED STATES,82001,(561) 305-3477,,,,,,,,Approved,11/5/2009,3/30/2010,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WY,UNITED STATES,5-Jan,0,0,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,150046,801-70141,"CLEARVIEW INVESTMENT PARTNERS, LLC","CLEARVIEW INVESTMENT PARTNERS, LLC",250 NEWPORT CENTER DRIVE,SUITE 300,NEWPORT BEACH,CA,UNITED STATES,92660,949-200-1560,949-200-1546,,,,,,,Approved,4/23/2009,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"140,539,600.00","1,045,872.00","141,585,472.00",551,1,552,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107489,801-43618,"RUGGAARD & ASSOCIATES, INC.",RUGGAARD & ASSOCIATES INC,2196 E ENTERPRISE PARKWAY,,TWINSBURG,OH,UNITED STATES,44087,330-487-5888,330-487-5886,,,,,,,Approved,3/31/1993,3/30/2010,Y,HTTP://RUGGAARDFINANCIALADVISORS.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"103,926,619.00","11,430,613.00","115,357,232.00",360,35,395,Y,Y,N,N,N,N,N,N,N,Y,TAX SERVICES,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,137751,801-64988,"THRIVENT ASSET MANAGEMENT, LLC","THRIVENT ASSET MANAGEMENT, LLC",625 FOURTH AVE. SOUTH,,MINNEAPOLIS,MN,UNITED STATES,55415-1665,800-847-4836,612-844-4307,,,,,,,Approved,12/15/2005,3/30/2010,Y,WWW.THRIVENT.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"14,292,813,586.00",0,"14,292,813,586.00",28,0,28,N,Y,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,136859,801-27505,VESTOR CAPITAL CORPORATION,VESTOR CAPITAL CORPORATION,10 S. RIVERSIDE PLAZA,SUITE 1400,CHICAGO,IL,USA,60606-3840,312-641-2400,312-641-3646,,,,,,,Approved,7/11/1986,3/30/2010,Y,WWW.VESTORCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,10-Jun,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"359,918,067.00","16,231,284.00","376,149,351.00",773,37,810,N,Y,N,Y,N,Y,Y,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,110663,801-35883,"DOMAIN CAPITAL ADVISORS, LLC","DOMAIN CAPITAL ADVISORS, LLC",1100 ABERNATHY ROAD NE BLDG.500,SUITE 700,ATLANTA,GA,UNITED STATES,30328-5600,770-551-0007,770-551-0480,,,,,,,Approved,2/9/1990,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"1,257,642,581.00","1,257,642,581.00",0,5,5,N,N,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,116959,801-60908,TAG ASSOCIATES LLC,TAG ASSOCIATES LLC,75 ROCKEFELLER PLAZA,9TH FLOOR,NEW YORK,NY,UNITED STATES,10019-6999,212-275-1500,212-275-1510,,,,,,,Approved,1/1/2002,3/30/2010,Y,WWW.TAGASSOC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"506,492,859.00","5,983,568,923.00","6,490,061,782.00",11,947,958,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,Y,N,N,N,N,,Y,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,125690,801-69032,TWENTY-FIRST CENTURY FINANCIAL ADVISORS INC,TWENTY-FIRST CENTURY FINANCIAL ADVISORS INC,945 MAIN STREET SUITE 104,,MANCHESTER,CT,UNITED STATES,06040-6064,860-646-2100,866-332-1777,,,,,,,Approved,4/14/2008,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"44,300,000.00",0,"44,300,000.00",105,0,105,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,142414,801-67284,"REIK & CO., LLC","REIK & CO., LLC",,,,,,,212-262-4441,212-246-0585,,,,,,,Approved,11/21/2006,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"224,487,642.00","15,253,349.00","239,740,991.00",107,8,115,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,115959,801-60804,SPUR CAPITAL PARTNERS,"SPUR CAPITAL PARTNERS, LLC",2370 NOWATA PLACE,,BARTLESVILLE,OK,USA,74006,918-331-3800,918-331-3848,,,,,,,Approved,12/28/2001,3/30/2010,Y,WWW.SPURCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,FEE STRUCTURE MAY BE NEGOTIATED FOR TAILORED ACCT PROGRAMS,Y,"437,026,035.00",0,"437,026,035.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,INVESTMENT SUPERVISORY SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105686,801-25999,HSBC GLOBAL ASSET MANAGEMENT (USA) INC.,HSBC GLOBAL ASSET MANAGEMENT (USA) INC.,452 FIFTH AVENUE,17TH FLOOR,NEW YORK,NY,UNITED STATES,10018,212-525-5000,212-525-2322,,,,,,,Approved,12/20/1985,3/30/2010,Y,WWW.ASSETMANAGEMENT.HSBC.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"5,500",More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,MISC.,Y,N,N,Y,N,Y,N,,Y,"46,825,615,983.00","105,625,537.00","46,931,241,520.00","5,378",98,"5,476",N,Y,Y,Y,Y,Y,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109008,801-55618,PRINCIPAL REAL ESTATE INVESTORS LLC,PRINCIPAL REAL ESTATE INVESTORS LLC,801 GRAND AVE,,DES MOINES,IA,UNITED STATES,50392,1-800-533-1390,866-850-4024,,,,,,,Approved,11/4/1999,3/30/2010,Y,WWW.PRINCIPALGLOBAL.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,251-500,0,51-250,0,5-Jan,0,5-Jan,0,More than 500,500,51-75 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"2,947,527,905.00","4,266,337,880.00","7,213,865,785.00",581,6,587,N,Y,Y,Y,N,N,N,N,N,Y,PROVIDING MODEL PORTFOLIOS,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115785,801-60701,THRIVENT FINANCIAL FOR LUTHERANS,THRIVENT FINANCIAL FOR LUTHERANS,625 FOURTH AVENUE SOUTH,,MINNEAPOLIS,MN,UNITED STATES,55415,800-847-4836,612-844-4307,,,,,,,Approved,11/13/2001,3/30/2010,Y,WWW.THRIVENT.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,More than 1000,"3,000",51-250,0,501-1000,0,0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"17,507,553,960.00",0,"17,507,553,960.00",41,0,41,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N
PLRO,110281,801-5866,OBRIEN GREENE & CO INC,OBRIEN GREENE & CO INC,218 W. STATE STREET,,MEDIA,PA,UNITED STATES,19063,610-891-7880,610-891-7884,,,,,,,Approved,7/18/1969,3/30/2010,Y,WWW.OBRIENGREENE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"130,965,000.00","94,600,000.00","225,565,000.00",206,15,221,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,123983,801-62829,"KAY QUINN FINANCIAL, LLC","KAY QUINN FINANCIAL, LLC",2000 GLEN ECHO ROAD,SUITE 209,NASHVILLE,TN,UNITED STATES,37215,615-297-3434,615-297-3414,,,,,,,Approved,2/26/2004,3/30/2010,Y,WWW.KAYQUINNFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"50,000,000.00",0,"50,000,000.00",475,0,475,Y,Y,N,N,N,N,N,N,N,Y,ASSET ALLOCATION SERVICES,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105673,801-29357,ADVENT INTERNATIONAL CORP,ADVENT INTERNATIONAL CORP,75 STATE ST,29TH FLOOR,BOSTON,MA,UNITED STATES,2109,617-951-9400,617-951-0566,,,,,,,Approved,5/28/1987,3/31/2010,Y,WWW.ADVENTINTERNATIONAL.COM.AR,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,251-500,0,51-250,0,0,0,0,0,101-250,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"9,674,071,948.00",0,"9,674,071,948.00",135,0,135,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,128227,801-67511,REXFORD CAPITAL INC.,REXFORD CAPITAL INC.,,,,,,,713.838.8383,713.838.8484,,,,,,,Approved,1/31/2007,3/31/2010,Y,WWW.REXFORDCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"24,673,798.00","1,637,741.00","26,311,539.00",31,6,37,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,152982,801-71092,FIRST WESTERN CAPITAL MANAGEMENT COMPANY,FIRST WESTERN CAPITAL MANAGEMENT COMPANY,1900 AVENUE OF THE STARS,SUITE 900,LOS ANGELES,CA,UNITED STATES,90067,310-229-2940,310-229-2950,1200 17TH STREET,SUITE 2650,DENVER,CO,UNITED STATES,80202,Approved,2/19/2010,3/31/2010,Y,WWW.FWCAPMGMT.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,0,0,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"1,239,883,891.00","3,696,377.00","1,243,580,268.00",142,1,143,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,Y,N,N,Y,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104783,801-17691,CAPITAL MANAGEMENT ASSOCIATES INC,CAPITAL MANAGEMENT ASSOCIATES INC,"140 BROADWAY, 44TH FLOOR",,NEW YORK,NY,UNITED STATES,10005,212-320-2000,212-320-3040,,,,,,,Approved,9/2/1982,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"525,606,843.00",0,"525,606,843.00",316,0,316,N,Y,Y,Y,N,N,N,N,N,N,,,,Y,Y,N,Y,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
NYRO,150027,801-70072,OZ MANAGEMENT II LP,OZ MANAGEMENT II LP,"9 WEST 57TH STREET, 39TH FLOOR",,NEW YORK,NY,UNITED STATES,10019,212-790-0000,212-790-0010,,,,,,,Approved,5/19/2009,3/31/2010,Y,WWW.OZCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,251-500,0,51-250,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"6,913,068,710.00",0,"6,913,068,710.00",8,0,8,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,142852,801-67538,AMS ADVISORS LLC,AMS ADVISORS LLC,9600 GREAT HILLS TRAIL,SUITE 150W,AUSTIN,TX,UNITED STATES,78759,512-906-0175,512-906-2938,,,,,,,Approved,2/8/2007,3/31/2010,Y,WWW.AMSADVISORSLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"86,550,000.00","3,200,000.00","89,750,000.00",13,6,19,N,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,128013,801-62285,"FIRST WESTERN INVESTMENT MANAGEMENT, INC.","FIRST WESTERN INVESTMENT MANAGEMENT, INC.",1200 SEVENTEENTH STREET,SUITE 2650,DENVER,CO,UNITED STATES,80202,303-531-8100,303-531-8180,,,,,,,Approved,8/21/2003,3/31/2010,Y,HTTP://WWW.FWTB.COM/AFFILIATES.ASP?OFFICE_ID=7,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"2,344,292,294.00","3,696,377.00","2,347,988,671.00","2,025",1,"2,026",Y,Y,Y,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,Y,Y,N,Y,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,128440,801-62348,"SHOTT CAPITAL MANAGEMENT, LLC","SHOTT CAPITAL MANAGEMENT, LLC",601 CALIFORNIA STREET,SUITE 801,SAN FRANCISCO,CA,UNITED STATES,94108,415-394-7271,415-394-5596,,,,,,,Approved,9/25/2003,3/31/2010,Y,HTTP://WWW.SHOTT-CAPITAL.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,51-75 percent,ENDOWMENTS AND FOUNDATIONS,Y,N,N,Y,N,Y,N,,Y,"1,504,628,891.00",0,"1,504,628,891.00",36,0,36,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105461,801-33250,NUTTER INVESTMENT ADVISORS,NUTTER INVESTMENT ADVISORS LIMITED PARTNERSHIP,"SEAPORT WEST, 155 SEAPORT BOULEVARD",,BOSTON,MA,UNITED STATES,02210-2604,617-439-2100,617-310-9000,,,,,,,Approved,11/14/1988,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"60,323,437.00","1,007,568,090.00","1,067,891,527.00",51,1,52,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,141427,801-67083,"FIRST WESTERN INVESTMENT ADVISORS, LLC","FIRST WESTERN INVESTMENT ADVISORS, LLC",1155 CANYON BLVD,SUITE 300,BOULDER,CO,UNITED STATES,80302,303-441-9400,303-441-9450,1200 17TH STREET,SUITE 2650,DENVER,CO,UNITED STATES,80202,Approved,8/15/2006,3/31/2010,Y,WWW.REBERRUSSELL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,More than 500,800,26-50 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"535,493,300.00",0,"535,493,300.00",834,0,834,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,Y,N,N,Y,N,N,N,Y,N,N,N,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109358,801-58169,"ADAMS STREET PARTNERS, LLC","ADAMS STREET PARTNERS, LLC","ONE NORTH WACKER DRIVE, SUITE 2200",,CHICAGO,IL,UNITED STATES,60606-2823,312-553-7890,312-553-7891,,,,,,,Approved,11/30/2000,3/31/2010,Y,WWW.ADAMSSTREETPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,0,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"20,033,993,378.00","183,865,277.00","20,217,858,655.00",128,3,131,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT ADVISER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,149873,801-70026,NB ALTERNATIVE FUND MANAGEMENT LLC,NB ALTERNATIVE FUND MANAGEMENT LLC,605 THIRD AVENUE,,NEW YORK,NY,UNITED STATES,10158,212-476-9000,212-476-9862,605 THIRD AVENUE,,NEW YORK,NY,UNITED STATES,10158,Approved,4/14/2009,3/31/2010,Y,WWW.NB.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,SOVEREIGN WEALTH FUND AND A COLLECTIVE INVESTMENT SCHEME,Y,N,N,N,N,Y,N,,Y,"3,268,263,124.00",0,"3,268,263,124.00",41,0,41,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111497,801-60272,GROVE STREET ADVISORS,"GROVE STREET ADVISORS, LLC",20 WILLIAM STREET,SUITE 230,WELLESLEY,MA,UNITED STATES,2481,781-263-6100,781-263-6101,,,,,,,Approved,5/21/2001,3/31/2010,Y,WWW.GROVESTREETADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,51-75 percent,11-25 percent,FAMILY OFFICE,Y,N,N,Y,N,Y,N,,Y,"3,980,764,000.00","673,977,000.00","4,654,741,000.00",22,3,25,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108716,801-56657,VALUE TREND CAPITAL MANAGEMENT LP,VALUE TREND CAPITAL MANAGEMENT LP,"480 NORTH MAGNOLIA AVENUE, SUITE 103",,EL CAJON,CA,USA,92020,619-588-9700,619-588-9701,,,,,,,Approved,7/22/1999,3/31/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Partnership,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,0 percent,0 percent,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"8,663,638.00",0,"8,663,638.00",19,0,19,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106649,801-50432,"FRAZIER FINANCIAL ADVISORS, LLC","FRAZIER FINANCIAL ADVISORS, LLC",6025 AVERY ROAD,,DUBLIN,OH,UNITED STATES,43016,614-793-8297,614-793-8299,,,,,,,Approved,10/23/1995,3/31/2010,Y,FRAZIERFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"85,000,000.00","85,000,000.00",0,650,650,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105146,801-24593,SEI INVESTMENTS MANAGEMENT CORP,SEI INVESTMENTS MANAGEMENT CORP,ONE FREEDOM VALLEY DRIVE,,OAKS,PA,UNITED STATES,19456,610-676-1000,484-676-1822,,,,,,,Approved,6/27/1985,3/31/2010,Y,WWW.SEIC.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,251-500,0,51-250,0,Nov-50,0,51-250,0,More than 500,"6,000",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"86,715,923,351.00",0,"86,715,923,351.00","9,480",0,"9,480",Y,Y,Y,Y,N,Y,N,N,N,N,,101-250,,Y,Y,N,N,N,N,N,N,N,,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111110,801-13730,HARRISON MANAGEMENT,HOGAN STEPHEN HARRISON,,,,,,,203-778-9698,203-743-7577,,,,,,,Approved,4/3/1978,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"47,073,400.00",0,"47,073,400.00",101,0,101,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108211,801-18767,"ARIEL INVESTMENTS, LLC","ARIEL INVESTMENTS, LLC",200 EAST RANDOLPH DRIVE,SUITE 2900,CHICAGO,IL,UNITED STATES,60601,312-726-0140,312-726-7473,,,,,,,Approved,4/15/1983,3/31/2010,Y,WWW.ARIELINVESTMENTS.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,101-250,0,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"5,103,060,458.00","2,987,739.00","5,106,048,197.00",156,1,157,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
HQ,112077,801-55577,HENDERSON INVESTMENT MANAGEMENT LTD.,HENDERSON INVESTMENT MANAGEMENT LIMITED,201 BISHOPSGATE,,LONDON,,UNITED KINGDOM,EC2M 3AE,44-207-818-4100,44-207-818-1819,,,,,,,Approved,5/20/1998,3/31/2010,Y,HTTP://WWW.HENDERSON.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,51-250,0,Nov-50,0,0,0,0,0,25-Nov,0,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"6,178,155,825.00",0,"6,178,155,825.00","1,104",0,"1,104",N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,111319,801-54311,AVIVA INVESTORS LONDON LIMITED,AVIVA INVESTORS LONDON LIMITED,1 POULTRY,,LONDON,,UNITED KINGDOM,EC2R 8EJ,+44 (0) 207 809 6000,+44 (0) 207 248 3578,,,,,,,Approved,5/14/1997,3/31/2010,Y,WWW.AVIVAINVESTORS.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,51-250,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,INVESTMENT ADVISERS,Y,N,N,N,N,N,N,,Y,"859,095,779.00",0,"859,095,779.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,130610,801-62840,"APOLLO INVESTMENT MANAGEMENT, L.P.","APOLLO INVESTMENT MANAGEMENT, L.P.",9 WEST 57TH STREET,SUITE 4100,NEW YORK,NY,UNITED STATES,10019,212.515.3200,212.515.3251,,,,,,,Approved,2/23/2004,3/31/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,251-500,0,251-500,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,826,698,000.00",0,"1,826,698,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105999,801-43537,"CHAPIN ASSET MANAGEMENT, INC.","CHAPIN ASSET MANAGEMENT, INC.",,,,,,,203-255-9993,203-255-8896,15 EAST PUTNAM AVENUE,SUITE #264,GREENWICH,CT,UNITED STATES,6830,Approved,3/19/1993,3/31/2010,Y,WWW.CHAPINASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"32,440,626.00","4,625,433.00","37,066,059.00",29,6,35,Y,Y,N,N,N,N,N,N,N,Y,INVESTMENT RESEARCH & ANALYSIS,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111656,801-60338,CASTLEKEEP INVESTMENT ADVISORS,CASTLEKEEP INVESTMENT ADVISORS LLC,257 RIVERSIDE AVENUE,2ND FLOOR,WESTPORT,CT,UNITED STATES,06880-4822,203.682.7200,203.682.7212,,,,,,,Approved,6/12/2001,3/31/2010,Y,WWW.CASTLEKEEPADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,CHAMBER OF COMMERCE,Y,Y,N,N,N,N,N,,Y,"82,986,968.00","406,430,132.00","489,417,100.00",39,55,94,Y,Y,N,Y,N,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107662,801-52204,"PMG ADVISORS, LLC","PMG ADVISORS, LLC",100 FOUR FALLS CORPORATE CENTER,SUITE 600,WEST CONSHOHOCKEN,PA,UNITED STATES,19428-2972,610-260-6240,610-260-6241,,,,,,,Approved,6/21/1996,3/31/2010,Y,WWW.PMGA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,528,727,878.00",0,"1,528,727,878.00",51,0,51,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,135037,801-70160,"WEAVER CAPITAL MANAGEMENT, LLC","WEAVER CAPITAL MANAGEMENT, LLC",5400 LAUREL SPRINGS PARKWAY,SUITE 303,SUWANEE,GA,UNITED STATES,30024,678-341-1333,678-298-7074,,,,,,,Approved,5/14/2009,3/31/2010,Y,WEAVERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"47,838,000.00",0,"47,838,000.00",134,0,134,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112336,801-46303,CONWAY JARVIS LLC,CJ PARTNERS LLC,3147 FAIRVIEW AVE E. SUITE #300,,SEATTLE,WA,UNITED STATES,98102,206-324-9765,206-324-9767,,,,,,,Approved,4/1/1994,3/31/2010,Y,WWW.CONWAYJARVIS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"231,000,000.00",0,"231,000,000.00",226,0,226,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104838,801-22367,WALTER & KEENAN FINANICAL CONSULTING CO,WALTER & KEENAN FINANCIAL CONSULTING CO,211 WEST WASHINGTON AVE,SUITE 2400,SOUTH BEND,IN,UNITED STATES,46601,574-287-5977,574-234-5967,,,,,,,Approved,10/19/1984,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"235,565,517.00",0,"235,565,517.00",172,0,172,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115155,801-64379,FOUNDATION FINANCIAL PLANNING LLP,FOUNDATION FINANCIAL PLANNING LLP,11375 ROBINSON DRIVE,SUITE 210,MINNEAPOLIS,MN,UNITED STATES,55433,763-231-2760,763-231-2770,,,,,,,Approved,7/12/2005,3/31/2010,Y,WWW.FFPWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,MN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"55,009,469.00","1,728,898.00","56,738,367.00",508,34,542,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,144422,801-68118,"D'ANNUNZIO CONSULTING GROUP, LLC","D'ANNUNZIO CONSULTING GROUP, LLC",2111 NORTH 30TH STREET,,TACOMA,WA,UNITED STATES,98403,253-272-1972,253-274-5699,,,,,,,Approved,7/12/2007,3/31/2010,Y,WWW.DANNUNZIOCONSULTING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,PRIVATE FOUNDATIONS,Y,N,N,Y,N,N,N,,Y,0,"1,053,120,635.00","1,053,120,635.00",0,36,36,N,Y,N,Y,Y,N,N,N,N,Y,INVESTMENT CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,108203,801-60003,RETIREMENT ADVISORS OF AMERICA,"PHH INVESTMENTS, LTD.",13155 NOEL ROAD,SUITE 1800,DALLAS,TX,USA,75240,972-233-3367,972-233-3188,,,,,,,Approved,1/2/2001,3/31/2010,Y,WWW.RETIREMENTADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,Nov-50,0,Nov-50,0,0,0,Nov-50,0,More than 500,"2,000",Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,521,279,527.00","38,253,327.00","1,559,532,854.00","3,044",206,"3,250",N,Y,N,N,N,Y,N,N,N,Y,ESTATE PLANNING,101-250,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106356,801-49603,"SKYLINE ASSET MANAGEMENT, L.P.","SKYLINE ASSET MANAGEMENT, L.P.",120 S. LASALLE STREET,SUITE 1320,CHICAGO,IL,UNITED STATES,60603,312-913-0900,312-750-0698,,,,,,,Approved,7/10/1995,3/31/2010,Y,WWW.SKYLINELP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,51-75 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"410,035,000.00",0,"410,035,000.00",4,0,4,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110063,801-28043,ALPHA+ CAPITAL MANAGEMENT,ALPHA+ CAPITAL MANAGEMENT,235 E BROADWAY,SUITE 920,LONG BEACH,CA,UNITED STATES,90802,562-435-5650,562-495-0462,,,,,,,Approved,10/23/1986,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,022,000.00",0,"25,022,000.00",33,0,33,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111007,801-30377,SPECTRUM ASSET MANAGEMENT INC,SPECTRUM ASSET MANAGEMENT INC,1301 DOVE STREET,SUITE 970,NEWPORT BEACH,CA,USA,92660,949-717-3400,949-717-3410,,,,,,,Approved,9/4/1987,3/31/2010,Y,WWW.MYSPECTRUM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"321,375,455.00","963,699.00","322,339,154.00",488,5,493,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,112006,801-56730,JACOB ASSET MANAGEMENT OF NEW YORK LLC,JACOB ASSET MANAGEMENT OF NEW YORK LLC,653 MANHATTAN BEACH BLVD.,#J,MANHATTAN BEACH,CA,UNITED STATES,90266,424-237-2164,310-546-1520,,,,,,,Approved,8/6/1999,3/31/2010,Y,WWW.JACOBAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"55,787,086.00",0,"55,787,086.00",3,0,3,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106805,801-42770,NORTHWEST FINANCIAL SERVICES INC,NORTHWEST FINANCIAL SERVICES INC,9333 N MERIDIAN ST,STE 230,INDIANAPOLIS,IN,UNITED STATES,46260,317-844-0448,317-844-0458,,,,,,,Approved,12/29/1992,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"157,835,844.00","10,224,738.00","168,060,582.00",275,94,369,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111940,801-55092,ISS GOVERNANCE SERVICES,INSTITUTIONAL SHAREHOLDER SERVICES INC.,2099 GAITHER ROAD,SUITE 501,ROCKVILLE,MD,UNITED STATES,20850,301-556-0500,301-556-0491,,,,,,,Approved,12/22/1997,3/31/2010,Y,WWW.RISKMETRICS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,501-1000,0,251-500,0,0,0,5-Jan,0,More than 500,"2,000",0 percent,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,"UNIVERSITIES, LAW FIRMS",N,N,Y,Y,N,N,Y,PER ANALYSIS FOR PROXY ANALYSES; PER VOTE FOR PROXY VOTING;,N,0,0,0,0,0,0,N,N,N,N,Y,N,Y,N,N,Y,"PROXY ANALYSIS, VOTING RECOMMENDATIONS, RESEARCH AND PORTFOLIO SCREENING PRODUCTS",,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,137770,801-64864,PRIVATE WEALTH MANAGEMENT LLC,PRIVATE WEALTH MANAGEMENT LLC,,,,,,,702-734-1475,702-878-1475,,,,,,,Approved,11/10/2005,6/11/2007,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"36,781,510.00","19,000,000.00","55,781,510.00",32,1,33,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,Y,MORTGAGE BROKER,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106753,801-35905,"CHARLES SCHWAB INVESTMENT MANAGEMENT, INC","CHARLES SCHWAB INVESTMENT MANAGEMENT, INC",211 MAIN STREET,,SAN FRANCISCO,CA,UNITED STATES,94105,415-667-7000,415-667-1631,,,,,,,Approved,1/25/1990,3/31/2010,Y,HTTP://WWW.ABOUTSCHWAB.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,5-Jan,0,0,0,More than 500,"3,500",More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"204,178,607,742.00",0,"204,178,607,742.00","3,501",0,"3,501",N,Y,Y,Y,N,Y,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,Y,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109686,801-56910,SAXON WOODS ADVISORS LLC,SAXON WOODS ADVISORS LLC,2500 WESTCHESTER AVENUE,SUITE 215,PURCHASE,NY,UNITED STATES,10577,914-251-0880,914-251-9098,,,,,,,Approved,10/12/1999,3/31/2010,Y,WWW.ALPINEFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"170,123,217.00","11,151,351.00","181,274,568.00",242,135,377,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,N,N,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,120057,801-61075,TAYLOR INVESTMENT ADVISORS LP,TAYLOR INVESTMENT ADVISORS LP,"100 CRESCENT COURT, SUITE 525",,DALLAS,TX,USA,75201,214-775-4200,214-775-4220,,,,,,,Approved,4/12/2002,3/31/2010,Y,WWW.TAYLORADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"230,475,629.00","455,892,356.00","686,367,985.00",15,2,17,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,146543,801-69159,"PARAGON WEALTH STRATEGIES, LLC.","PARAGON WEALTH STRATEGIES, LLC.",10245 CENTURION PKWY N.,STE. 105,JACKSONVILLE,FL,UNITED STATES,32256,904-861-0093,904-861-0098,,,,,,,Approved,5/12/2008,4/24/2010,Y,WWW.WEALTHGUARDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,NEGOTIATED RATES BASED ON EST TIME SPENT ON SPECIFIC PROJECT,Y,"43,399,241.00","3,340,800.00","46,740,041.00",357,20,377,Y,Y,N,Y,N,Y,N,N,N,Y,"DIVORCE FINANCIAL PLANNING, COLLEGE FINANCIAL PLANNING, CONSULTING SVCS IN RESPONSE TO SPECIFIC QUESTIONS ASKED THRU WEB PLATFRM",101-250,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110411,801-38965,NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC,NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC,"2 WORLD FINANCIAL CENTER, BLDG. B",,NEW YORK,NY,UNITED STATES,10281-1198,(212) 667-1414,(212) 667-1429,,,,,,,Approved,6/7/1991,6/29/2010,Y,WWW.NOMURA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,COLLATERALIZED DEBT AND LOAN OBLIGATIONS,Y,N,N,Y,N,Y,N,,Y,"12,333,963,034.00","178,000,884.00","12,511,963,918.00",35,2,37,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N
SFRO,108685,801-56723,SIERRA ASSET MANAGEMENT,"SAM ADVISORS, LLC","40061 HIGHWAY 49, SUITE 101",,OAKHURST,CA,UNITED STATES,93644-9560,559-658-5193,559-658-6193,PO BOX 2389,,OAKHURST,CA,UNITED STATES,93644-2389,Approved,7/28/1999,1/15/2010,Y,WWW.SIERRAAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"86,670,024.00","2,333,893.00","89,003,917.00",719,4,723,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,108529,801-55669,"MARTIN CAPITAL ADVISORS, LLP","MARTIN CAPITAL ADVISORS, LLP",11719 BEE CAVES ROAD,SUITE 300,AUSTIN,TX,UNITED STATES,78738,512-477-7036,210-694-2130,,,,,,,Approved,6/25/1998,6/29/2010,Y,WWW.MARTINCAPITAL.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"17,166,535.00",0,"17,166,535.00",44,0,44,N,Y,N,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,128413,801-68529,MADDOX FINANCIAL GROUP,"MADDOX, BILLY, DOUGLAS   JR",810 W. MAIN ST STE D,,VISALIA,CA,UNITED STATES,93291,559-635-1104,559-635-0498,810 W MAIN ST  STE  D,,VISALIA,CA,UNITED STATES,93291,Approved,12/12/2007,1/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"29,715,000.00","29,715,000.00",0,390,390,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,N,Y,N,N,Y,N
NYRO,110378,801-26326,BUCKINGHAM CAPITAL MANAGEMENT INC,BUCKINGHAM CAPITAL MANAGEMENT INC,750 THIRD AVENUE,,NEW YORK,NY,UNITED STATES,10017,212-922-5525,212-922-5717,,,,,,,Approved,12/31/1985,6/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,26-100,0,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,444,835,000.00",0,"1,444,835,000.00",28,0,28,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,110715,801-56726,"HOWE BARNES CAPITAL MANAGEMENT, INC.","HOWE BARNES CAPITAL MANAGEMENT, INC.","C/O HOWE BARNES HOEFER & ARNETT, INC.","222 SOUTH RIVERSIDE PLAZA, 7TH FLOOR",CHICAGO,IL,UNITED STATES,60606-5808,312-655-3000,312-655-2775,,,,,,,Approved,7/29/1999,1/15/2010,Y,WWW.ABEPCS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"1,500",More than 75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"909,700,000.00","79,300,000.00","989,000,000.00","1,709",235,"1,944",Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,Y,Y,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,113324,801-60376,NOMURA FUNDS RESEARCH AND TECHNOLOGIES AMERICA INC.,NOMURA FUNDS RESEARCH AND TECHNOLOGIES AMERICA INC.,"2 WORLD FINANCIAL CENTER, BLDG. B",,NEW YORK,NY,UNITED STATES,10281-1198,(212) 667-1414,(212) 667-1429,,,,,,,Approved,7/6/2001,6/29/2010,Y,WWW.NOMURA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,INVESTMENT ADVISERS AND FINANCIAL INSTITUTIONS AND LIMITED PARTNERSHIP,Y,N,N,Y,N,Y,Y,A PERCENTAGE OF ASSETS MANAGED BY THIRD PARTIES,Y,"602,368,867.00",0,"602,368,867.00",11,0,11,N,N,N,Y,N,Y,Y,N,N,Y,PERFORMANCE EVALUATIONS,,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N
NYRO,108222,801-12129,NOMURA ASSET MANAGEMENT U.S.A. INC.,NOMURA ASSET MANAGEMENT U.S.A. INC,"2 WORLD FINANCIAL CENTER, BUILDING B",,NEW YORK,NY,USA,10281-1712,212-667-1414,212-667-1429,,,,,,,Approved,9/24/1976,6/29/2010,Y,WWW.NOMURA.COM/NAM-USA,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,51-250,0,5-Jan,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,26-50 percent,11-25 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,261,397,000.00",0,"2,261,397,000.00",25,0,25,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N
DRO,145865,801-68756,FREMONT FINANCIAL ADVISORS INC.,FREMONT FINANCIAL ADVISORS INC.,2220 RIVERVIEW ROAD,,RIVERTON,WY,UNITED STATES,82501,307-856-1234,888-240-6474,,,,,,,Approved,1/25/2008,1/15/2010,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,Other (specify),SCORP,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,A % OF ASSETS UNDER MY MONEY MANAGER'S MANAGEMENT,N,0,0,0,0,0,0,N,N,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107582,801-52723,WEALTH TRUST - ARIZONA LLC,WEALTH TRUST - ARIZONA LLC,8434 E. SHEA BOULEVARD,,SCOTTSDALE,AZ,USA,85260-6634,480-483-7300,(480) 443-4810,,,,,,,Approved,9/9/1996,12/20/2006,Y,WWW.DEGREEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"392,246,973.00","167,484,173.00","559,731,146.00","1,992",79,"2,071",Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,126843,801-71303,EDMUNDS WHITE PARTNERS LLC,EDMUNDS WHITE PARTNERS LLC,10831 RIDGEFIELD PARKWAY,,RICHMOND,VA,UNITED STATES,23233-3501,804-754-0345,804-754-0881,,,,,,,Approved,4/28/2010,6/29/2010,Y,HTTP://WWW.EDMUNDSWHITEPARTNERS.COM/INDEX.HTML,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,Y,COMPENSATION BASED ON ITS RESEARCH SERVICES,Y,"87,433,322.00",0,"87,433,322.00",40,0,40,N,Y,N,Y,N,N,N,N,N,Y,RESEARCH SERVICES,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138885,801-65802,KOTAK MAHINDRA (UK) LIMITED,KOTAK MAHINDRA (UK) LIMITED,PORTSOKEN HOUSE,155-157 MINORIES,LONDON,,UNITED KINGDOM,EC3N 1LS,+44 20 7977 6900,+44 20 7488 1845,,,,,,,Approved,1/30/2006,6/29/2010,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,Y,N,N,,Y,0,"9,485,463.00","9,485,463.00",0,6,6,N,N,N,Y,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,Y,N,Y,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,149379,801-69905,NORTH HARBOR ADVISERS,"NORTH HARBOR ADVISERS, LLC",,,,,,,(866) 801-2320,,,,,,,,Approved,2/13/2009,6/29/2010,Y,WWW.NORTHHARBORADVISERS.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"3,627,000.00",0,"3,627,000.00",65,0,65,Y,Y,N,Y,Y,N,N,N,N,Y,CONSULTATION SERVICES,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108239,801-57763,"FIDUCIARY ADVISORS, INC.","FIDUCIARY ADVISORS, INC.",12813 FLUSHING MEADOWS DR,SUITE 280,ST. LOUIS,MO,UNITED STATES,63131,314-726-5150,314-721-1230,,,,,,,Approved,7/13/2000,6/29/2010,Y,WWW.FIDUCIARYADV.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"194,784,146.00","44,732,700.00","239,516,846.00",68,191,259,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,133975,801-64316,"GIVEN CAPITAL MANAGEMENT, LLC","GIVEN CAPITAL MANAGEMENT, LLC",200 CLOCKTOWER PLACE,SUITE E-208,CARMEL,CA,USA,93923,(831) 625-1530,(831) 625-1531,,,,,,,Approved,6/16/2005,1/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"32,207,466.00","1,444,654.00","33,652,120.00",120,3,123,N,Y,N,N,N,N,N,N,N,Y,HOURLY CONSULTING/PORTFOLIO REVIEW,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,104890,801-18362,"OLSON INVESTMENT ADVISORS, LLC",OLSON INVESTMENT ADVISORS LLC,520 PIKE STREET #2225,,SEATTLE,WA,USA,98101-4093,206-839-4550,206-839-4549,,,,,,,Approved,2/17/1983,1/15/2010,Y,WWW.OLSON-INVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,12B-1 FEES,Y,"94,444,486.00",0,"94,444,486.00",384,0,384,N,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110550,801-8562,"BAILARD, INC.","BAILARD, INC.",950 TOWER  LN,STE 1900,FOSTER CITY,CA,USA,94404-2131,650-571-5800,650-573-7128,,,,,,,Approved,3/3/1972,6/29/2010,Y,WWW.BAILARD.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,SOVERIGN WEALTH FUND,Y,Y,N,Y,N,Y,N,,Y,"1,531,024,342.00","11,221,474.00","1,542,245,816.00",793,17,810,Y,Y,Y,Y,N,N,Y,N,N,Y,PRIVATE INVESTMENT FUNDS,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115511,801-71653,"HEATON ADAMS FINANCIAL SERVICES, LC","HEATON ADAMS FINANCIAL SERVICES, LC",333 WEST FOURTH STREET,,WATERLOO,IA,UNITED STATES,50701-5503,319-232-1943,319-235-6664,,,,,,,Approved,7/20/2010,6/29/2010,Y,WWW.HEATONADAMS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"38,452,240.00",0,"38,452,240.00",148,0,148,Y,Y,N,N,Y,N,N,N,N,Y,"CONSULTING, PORTFOLIO REVIEW",0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110619,801-18115,LEGG MASON CAPITAL MANAGEMENT INC,LEGG MASON CAPITAL MANAGEMENT INC,100 INTERNATIONAL DRIVE,,BALTIMORE,MD,UNITED STATES,21202,866-410-5500,410-454-5372,,,,,,,Approved,12/30/1982,6/29/2010,Y,WWW.LMCM.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,51-75 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,OTHER TAX EXEMPT ENTITIES,Y,N,N,N,N,Y,N,,Y,"15,583,536,095.00",0,"15,583,536,095.00",91,0,91,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,35098,801-64673,WESTERN FINANCIAL ADVISORS,WFP SECURITIES CORPORATION,6020 CORNERSTONE COURT W,SUITE 240,SAN DIEGO,CA,UNITED STATES,92121,858-677-0377,858-677-0479,,,,,,,Approved,8/26/2005,1/15/2010,Y,WFPSECURITES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,"529 PLANS, UGMA, UTMA",Y,Y,N,Y,Y,N,N,,Y,"15,989,935.00","20,210,871.00","36,200,806.00",114,310,424,Y,Y,N,N,N,Y,N,N,N,N,,251-500,,Y,N,Y,N,N,N,Y,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,145340,801-69336,"POTERACK CAPITAL ADVISORY, INC.","POTERACK CAPITAL ADVISORY, INC.",2115 REXFORD ROAD,SUITE 311,CHARLOTTE,NC,UNITED STATES,28211,704-366-5776,704-366-5764,,,,,,,Approved,7/1/2008,6/29/2010,Y,PCA-INC.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"23,239,274.00","63,032,392.00","86,271,666.00",398,406,804,Y,Y,N,Y,N,N,N,N,N,N,,251-500,,Y,Y,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,110854,801-15919,MCMILLION CAPITAL MANAGEMENT INC,MCMILLION CAPITAL MANAGEMENT INC,701 GREEN VALLEY ROAD,SUITE 104,GREENSBORO,NC,UNITED STATES,27408,336-274-2491,336-273-5736,P. O. BOX 21447,,GREENSBORO,NC,UNITED STATES,27420,Approved,4/10/1981,6/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,SCHOOL ENDOWMENTS,Y,N,N,N,N,N,N,,Y,"213,327,333.00",0,"213,327,333.00",309,0,309,N,Y,N,Y,N,N,Y,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,130352,801-62755,MACQUARIE CAPITAL INVESTMENT MANAGEMENT LLC,MACQUARIE CAPITAL INVESTMENT MANAGEMENT LLC,125 W 55TH STREET,LEVEL 10,NY,NY,USA,10019,212-231-1000,212-231-1878,,,,,,,Approved,2/6/2004,6/29/2010,N,,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,048,800,000.00","35,500,000.00","1,084,300,000.00",12,3,15,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
SFRO,111379,801-44942,"NORTHERN CAPITAL MANAGEMENT, INC.","NORTHERN CAPITAL MANAGEMENT, INC.",2700 SOUTH SOUTHEAST BOULEVARD,SUITE 205,SPOKANE,WA,USA,99223-4984,509-456-2526,509-456-2550,,,,,,,Approved,11/5/1993,6/29/2010,Y,WWW.NCM-INC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,More than 500,500,26-50 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,ASSOCIATIONS,Y,N,N,Y,Y,N,Y,REVENUE SHARING FEES THROUGH BD,Y,"247,325,393.00","145,623,959.00","392,949,352.00",567,32,599,Y,Y,N,Y,Y,Y,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,107117,801-39197,CNL FUND ADVISORS COMPANY,CNL FUND ADVISORS COMPANY,450 SOUTH ORANGE AVENUE,,ORLANDO,FL,UNITED STATES,32801-3336,407-650-1000,407-540-7653,P.O. BOX 4920,,ORLANDO,FL,UNITED STATES,32802-4920,Approved,6/19/1991,6/29/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"27,496,328.00",0,"27,496,328.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,Y,N,N,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,132809,801-63541,"K.A. RADIGAN, LLC","K.A. RADIGAN, LLC",,,,,,,516 708 9561,516 708 9562,,,,,,,Approved,11/4/2004,1/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"48,761,433.00",0,"48,761,433.00",80,0,80,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,140923,801-66849,"L & S ADVISORS, INC","L & S ADVISORS, INC",12121 WILSHIRE BLVD,SUITE 1100,LOS ANGELES,CA,USA,90025-1123,310-893-6060,310-893-6070,,,,,,,Approved,6/5/2006,6/29/2010,Y,WWW.LSADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"161,846,954.00","169,025.00","162,015,979.00",189,2,191,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,138823,801-65217,"HIGHLAND GOOD STEWARD MANAGEMENT, LLC","HIGHLAND GOOD STEWARD MANAGEMENT, LLC",2545 HIGHLAND AVENUE,SUITE 200,BIRMINGHAM,AL,UNITED STATES,35205,(205) 933-8664,(205) 933-7688,,,,,,,Approved,1/18/2006,6/29/2010,Y,WWW.HIGHLANDGSM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,26-50 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,"222,569,443.00","222,569,443.00",0,1,1,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107901,801-39752,CONCORD INVESTMENT COUNSEL,CONCORD INVESTMENT COUNSEL,2020 MAIN STREET,SUITE 300,IRVINE,CA,USA,92614,949-852-4100,949-852-4106,,,,,,,Approved,9/4/1991,6/29/2010,Y,WWW.CICHOME.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"136,652,905.00","3,597,364.00","140,250,269.00",498,28,526,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,112214,801-54718,HOULIHAN LOKEY,"HOULIHAN LOKEY HOWARD & ZUKIN FINANCIAL ADVISORS, INC.",1930 CENTURY PARK WEST,,LOS ANGELES,CA,UNITED STATES,90067-6802,310.553.8871,310.553.2173,,,,,,,Approved,7/9/1997,6/29/2010,Y,WWW.HL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,51-250,0,10-Jun,0,51-250,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"28,090,204.00","28,090,204.00",0,3,3,N,N,N,Y,N,N,N,N,N,Y,VALUATION OF SECURITIES AND OTHER ASSETS,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110703,801-15124,LANDER & ASSOCIATES INC,LANDER & ASSOCIATES INC,,,,,,,703-716-4303,703-716-4304,,,,,,,Approved,4/4/1980,6/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"47,404,844.00",0,"47,404,844.00",135,0,135,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110843,801-55047,"DIAM CO., LTD.","DIAM CO., LTD.",NEW TOKYO BUILDING 5TH FLOOR,3-1 MARUNOUCHI 3 CHOME CHIYODA-KU,TOKYO,,JAPAN,100-0005,81-3-3216-0101,81-3-3216-0102,,,,,,,Approved,12/17/1997,6/29/2010,Y,HTTP://WWW.DIAM.CO.JP/ENGLISH/,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,JAPAN,251-500,0,51-250,0,0,0,0,0,More than 500,500,0 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"88,792,960,778.00","13,846,883,148.00","102,639,843,926.00",516,24,540,N,Y,N,Y,N,N,N,N,N,Y,JAPANESE-REGISTERED UNIT TRUSTS AND MUTUAL FUNDS AS WELL AS PRIVATE FUNDS,0,,N,N,N,N,N,N,N,N,Y,PUBLIC AND PRIVATE UNIT TRUSTS,Y,Y,N,Y,N,Y,Y,Y,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N
HQ,134747,801-64550,"SPARX ASSET MANAGEMENT CO., LTD.","SPARX ASSET MANAGEMENT CO., LTD.","GATE CITY OHSAKI, EAST TOWER 16TH FLOOR,","1-11-2,OHSAKI, SHINAGAWA-KU",TOKYO,,JAPAN,141-0032,011-813-5435-8200,011-813-5435-8201,,,,,,,Approved,8/16/2005,6/29/2010,Y,WWW.SPARX.CO.JP,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,JAPAN,51-250,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,128,472,679.00",0,"2,128,472,679.00",63,0,63,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,154380,801-71654,"OXFORD LANE MANAGEMENT, LLC","OXFORD LANE MANAGEMENT, LLC",8 SOUND SHORE DRIVE,SUITE 255,GREENWICH,CT,UNITED STATES,6830,203-983-5275,203-983-5290,,,,,,,Approved,7/22/2010,6/30/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139897,801-67539,ORIGIN ASSET MANAGEMENT LLP,ORIGIN ASSET MANAGEMENT LLP,ONE CAREY LANE,,LONDON,,UNITED KINGDOM,EC2V 8AE,+44 207 812 8500,+44 207 796 4322,,,,,,,Approved,3/12/2007,6/30/2010,Y,WWW.ORIGINAM.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,518,595,744.00",0,"2,518,595,744.00",11,0,11,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,116839,801-64974,"EXECUTIVE FINANCIAL SERVICES, INC.","EXECUTIVE FINANCIAL SERVICES, INC.",,,,,,,603-890-9040,603-890-1527,,,,,,,Approved,12/7/2005,1/15/2010,Y,HTTP://WWW.EXECUTIVEFINANCIAL-ONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"32,075,000.00","32,075,000.00",0,246,246,Y,Y,N,N,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139345,801-66160,MACQUARIE FUNDS MANAGEMENT,MACQUARIE INVESTMENT MANAGEMENT LIMITED,1 SHELLEY STREET,,SYDNEY,,AUSTRALIA,2000,011-612-8237-9001,011-612-8232-9999,,,,,,,Approved,2/1/2006,6/30/2010,Y,WWW.MACQUARIE.COM.AU/AU/CORPORATIONS/MANAGED_FUNDS/INDEX.HTM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,AUSTRALIA,501-1000,0,51-250,0,0,0,0,0,251-500,0,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"55,500,813,035.00","3,022,658,243.00","58,523,471,278.00",250,4,254,N,N,N,Y,N,N,N,N,N,N,,,,Y,N,N,N,N,N,N,N,N,,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
LARO,120952,801-61219,"SCHNIEDERS CAPITAL MANAGEMENT, LLC.","SCHNIEDERS CAPITAL MANAGEMENT, LLC.","201 SOUTH LAKE AVENUE, SUITE 303",,PASADENA,CA,USA,91107,626.584.6168,626.584.6167,,,,,,,Approved,5/31/2002,6/30/2010,Y,WWW.SCHNIEDERSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"85,195,645.00","117,233,132.00","202,428,777.00",288,242,530,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,130171,801-60221,"FINANCIAL DESIGN CAPITAL MANAGEMENT, INC.","FINANCIAL DESIGN CAPITAL MANAGEMENT, INC.",8048 ONE CALAIS AVE. SUITE B,,BATON ROUGE,LA,USA,70809,225 766-1935,225-763-6094,,,,,,,Approved,5/23/2001,12/20/2006,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,LA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"17,357,062.00",0,"17,357,062.00",481,0,481,Y,Y,N,Y,Y,N,N,N,Y,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,125828,801-63080,"CORNERSTONE MANAGEMENT, INC.","FINANCIAL ADVISORY CONSULTANTS,INC.",7074 PEACHTREE INDUSTRIAL BLVD.,SUITE 100,NORCROSS,GA,USA,30071,770-449-7799,770-449-7050,,,,,,,Approved,5/11/2004,4/12/2010,Y,WWW.CORNERSTONEMGT.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"251,880,213.00","1,927,785.00","253,807,998.00","1,038",29,"1,067",Y,Y,N,Y,Y,Y,Y,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,113229,801-70049,BONDWAVE ADVISORS,BONDWAVE LLC,120 E. LIBERTY DRIVE,SUITE 400,WHEATON,IL,UNITED STATES,60187,630-517-7000,630-517-7888,,,,,,,Approved,4/16/2009,4/12/2010,Y,WWW.BONDWAVE.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,PROVIDES FINANCIAL INTERMEDIARIES WITH CERTAIN PORTFOLIO MODELING SERVICES.,N,Y,N,Y,N,N,Y,FIXED CHARGE PER ACCT/PERCENTAGE OF AUA/SUPERVISORY FEES-UITS,N,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,Y,PROVIDES FINANCIAL INTERMEDIARIES WITH CERTAIN PORTFOLIO MODELING SERVICES AND SUPERVISORY SERVICES TO INVESTMENT COMPANIES.,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,111676,801-55603,TERRA NOVA ASSET MANAGEMENT LLC,TERRA NOVA ASSET MANAGEMENT LLC,777 THIRD AVENUE,,NEW YORK,NY,USA,10017,212-355-1234,212-355-8873,,,,,,,Approved,5/28/1998,4/12/2010,Y,WWW.TERRANOVAUSA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"64,140,479.00",0,"64,140,479.00",52,0,52,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,41076,801-56361,RAMIUS SECURITIES LLC,RAMIUS SECURITIES LLC,599 LEXINGTON AVE,21ST FLOOR,NEW YORK,NY,UNITED STATES,10022,212-845-7900,212-845-7986,,,,,,,Approved,4/23/1999,11/25/2009,Y,WWW.RAMIUS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,5-Jan,0,10-Jun,0,5-Jan,0,101-250,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"143,969,035.00",0,"143,969,035.00",154,0,154,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N
HQ,110588,801-42997,NORTHERN CROSS INVESTMENTS LTD,NORTHERN CROSS INVESTMENTS LTD,,,,,,,441-236-2153,441-236-2424,CLARENDON HOUSE,"2 CHURCH STREET, PO BOX HM 666",HAMILTON,,BERMUDA,HM CX,Approved,2/2/1993,4/12/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,,BERMUDA,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,CONSULTANCY FEE FOR ADVICE TO ANOTHER INVESTMENT ADVISER.,Y,"28,866,025,574.00",0,"28,866,025,574.00",3,0,3,N,Y,Y,Y,N,N,N,N,N,Y,CONSULTANT TO INVESTMENT ADVISER,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110319,801-57740,MILLIE CAPITAL MANAGEMENT LLC,MILLIE CAPITAL MANAGEMENT LLC,18 CROW CANYON COURT,SUITE 130,SAN RAMON,CA,UNITED STATES,94583,925-820-0900,925-820-2248,,,,,,,Approved,7/10/2000,4/12/2010,Y,WWW.MILLIECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"171,000,000.00",0,"171,000,000.00",24,0,24,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108693,801-56238,"ATTALUS CAPITAL, L.P.","ATTALUS CAPITAL, L.P.",2929 ARCH STREET,SUITE 1500,PHILADELPHIA,PA,USA,19104,215-495-0800,215-495-0801,,,,,,,Approved,2/2/1999,4/12/2010,Y,WWW.ATTALUSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,605,326,213.00",0,"2,605,326,213.00",141,0,141,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109070,801-68784,WALLMAN INVESTMENT COUNSEL LLC,WALLMAN INVESTMENT COUNSEL LLC,,,,,,,608-798-0499,603-954-8499,,,,,,,Approved,2/6/2008,4/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"92,000,000.00",0,"92,000,000.00",41,0,41,N,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT TO TWO LIMITED PARTNERSHIPS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,145177,801-68367,"BANDON CAPITAL MANAGEMENT, LLC","BANDON CAPITAL MANAGEMENT, LLC",317 SW ALDER STREET,SUITE 1110,PORTLAND,OR,UNITED STATES,97204,503-477-8100,503-477-8068,,,,,,,Approved,9/18/2007,4/12/2010,Y,WWW.BANDONALTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,10-Jun,0,5-Jan,0,0,0,Nov-50,0,More than 500,507,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"106,000,000.00",0,"106,000,000.00",507,0,507,N,Y,Y,N,N,Y,N,N,N,Y,ADVISORY SVCS TO HEDGE FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,151378,801-70869,ECP MANAGER LP,ECP MANAGER LP,1602 L STREET NW,6TH FLOOR,WASHINGTON,DC,UNITED STATES,20036,202-280-6200,202-331-8255,,,,,,,Approved,1/7/2010,11/25/2009,Y,WWW.ECPINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHP (LP),DE,UNITED STATES,10-Jun,0,0,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"903,000,000.00",0,"903,000,000.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES TO PRIVATE POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,151376,801-70870,ECP MANAGER III LP,ECP MANAGER III LP,1602 L STREET NW,6TH FLOOR,WASHINGTON,DC,UNITED STATES,20036,202.280.6200,202-331-8255,,,,,,,Approved,1/7/2010,11/25/2009,Y,WWW.ECPINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP (LP),DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,11-25 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"438,000,000.00",0,"438,000,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES TO PRIVATE POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,152044,801-71350,"URBANAMERICA ADVISORS, LLC","URBANAMERICA ADVISORS, LLC",15601 DALLAS PARKWAY,SUITE 600,ADDISON,TX,UNITED STATES,75001,214-655-1600,469-341-2801,,,,,,,Approved,5/26/2010,4/12/2010,Y,WWW.URBANAMERICA.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,REAL ESTATE FUND,N,N,N,Y,N,N,Y,REIMBURSED FOR COSTS INCURRED IN PERFORMING ADVISORY SERVICES,N,0,0,0,0,0,0,N,N,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,116958,801-69045,COMPREHENSIVE WEALTH MANAGEMENT,"ARFORD & ASSOCIATES COMPREHENSIVE WEALTH MGMT, INC.",4100 194TH ST SW,SUITE 205,LYNNWOOD,WA,UNITED STATES,98036-4613,425-778-6160,425-778-8896,,,,,,,Approved,4/18/2008,4/12/2010,Y,WWW.COMPREHENSIVEWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,More than 500,560,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"201,598,847.00",0,"201,598,847.00","1,577",0,"1,577",Y,Y,N,N,N,N,N,N,N,N,,26-50,,Y,Y,N,N,N,N,Y,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,153149,801-71351,MASECO PRIVATE WEALTH S.A.,MASECO PRIVATE WEALTH S.A.,7 RUE VERSONNEX,6TH FLOOR,GENEVA,,SWITZERLAND,1207,41 (0)22 533 05 73,41 22 533 09 38,,,,,,,Approved,4/19/2010,4/13/2010,Y,MASECOFINANCIAL.COM/SUISSE/HOME.HTML,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SWITZERLAND,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137728,801-64958,KINGS POINT CAPITAL MANAGEMENT LLC,KINGS POINT CAPITAL MANAGEMENT LLC,111 GREAT NECK ROAD,SUITE 310,GREAT NECK,NY,UNITED STATES,11021,516-439-5100,516-439-5102,,,,,,,Approved,12/2/2005,4/13/2010,Y,WWW.KINGSPOINTCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"321,292,254.00","2,137,652.00","323,429,906.00",351,3,354,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,136932,801-65644,"GLAZER CAPITAL, LLC.","GLAZER CAPITAL, LLC.",237 PARK AVENUE,SUITE 900,NEW YORK,NY,UNITED STATES,10017,212-808-7304,212-808-7395,,,,,,,Approved,9/11/2006,4/13/2010,Y,WWW.GLAZERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"250,000,000.00",0,"250,000,000.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,109674,801-60132,PRONET ANALYTICS.COM,PRONET ANALYTICS.COM LIMITED,"30, CITY BUSINESS CENTRE",ST. OLAV'S COURT,LONDON,,UNITED KINGDOM,SE16 2XB,44-(0)20-7232-3090,44-(0)20-7232-3099,,,,,,,Approved,3/29/2001,4/13/2010,Y,WWW.PRONETANALYTICS.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,Nov-50,0,25-Nov,0,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,Y,N,Y,Y,Y,SUBSCRIPTION FEES FOR INTERNET RESEARCH/SERVICES.,N,0,0,0,0,0,0,N,N,N,N,N,N,N,Y,N,Y,PRONET PROVIDES REAL-TIME INFORMATION TOGETHER WITH MARKET INTELLIGENCE AND ANALYSIS OF THE RELEVANT MARKETS.,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138839,801-66029,IKOS CIF LIMITED,IKOS CIF LIMITED,1 IACOVOU TOMBAZI STREET,201 VASHIOTIS BUSINESS CENTRE,LIMASSOL,,CYPRUS,3107,-6938,-6968,,,,,,,Approved,1/31/2006,4/13/2010,Y,WWW.IKOS.COM.CY,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),CYPRUS PRIVATE COMPANY LIMITED BY SHARES,,CYPRUS,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,FIXED FEE PER INVESTOR IN HEDGE FUNDS MANAGED,Y,"342,750,000.00",0,"342,750,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT MANAGER FOR HEDGE FUNDS,,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,118581,801-60900,"SUMMITALLIANCE CAPITAL MANAGEMENT, L.L.C.","SUMMITALLIANCE CAPITAL MANAGEMENT, L.L.C.",14785 PRESTON ROAD,STE. 1000,DALLAS,TX,UNITED STATES,75254,972-663-4300,972-663-4301,,,,,,,Approved,2/1/2002,4/13/2010,Y,WWW.SA-CM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,51-250,0,More than 500,"1,000",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"512,000,000.00",0,"512,000,000.00","3,941",0,"3,941",N,Y,N,Y,N,Y,N,N,N,N,,0,,Y,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106089,801-47357,IMC,INVESTMENT MANAGEMENT CONSULTANTS INC,111 SW COLUMBIA,STE 1080,PORTLAND,OR,UNITED STATES,97201,503-248-9064,503-248-9164,,,,,,,Approved,9/2/1994,3/17/2010,Y,WWW.IMC-INV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"73,896,324.00","317,942,830.00","391,839,154.00",118,289,407,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108024,801-57713,LYDIAN ASSET MANAGEMENT LP,LYDIAN ASSET MANAGEMENT LP,495 POST ROAD EAST,,WESTPORT,CT,USA,6880,203-571-1310,203-571-1387,21 EAST FRONT STREET,6TH FLOOR,RED BANK,NJ,USA,7701,Approved,7/6/2000,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"903,000,000.00",0,"903,000,000.00",6,0,6,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT OF POOLED INVESTMENT VEHICLES (HEDGE FUNDS),,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,127217,801-63453,"POLARIS ADVISORS, LLC","POLARIS ADVISORS, LLC",ONE APPLE HILL DRIVE,SUITE 316,NATICK,MA,UNITED STATES,1760,(508) 481-2299,(508) 655-4066,,,,,,,Approved,8/27/2004,3/17/2010,Y,WWW.POLARISADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"58,193,692.00","17,291,696.00","75,485,388.00",180,29,209,Y,Y,N,Y,N,N,N,N,N,Y,CONSULTING,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,17058,801-60229,"BPU INVESTMENT MANAGEMENT, INC.","BPU INVESTMENT MANAGEMENT, INC.",ONE OXFORD CENTER,"301 GRANT ST., STE. 3300",PITTSBURGH,PA,UNITED STATES,15219,412-288-9150,412-227-4330,,,,,,,Approved,5/18/2001,3/17/2010,Y,WWW.BPUINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"2,000",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,COMMISSION - OFFSET,Y,"444,192,633.00","388,864,327.00","833,056,960.00","2,080",90,"2,170",Y,Y,N,Y,Y,Y,N,N,N,Y,WORKSITE PERSONAL FINANCIAL EDUCATION PROGRAMS,More than 500,500,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
NYRO,112753,801-58286,GOLDENTREE ASSET MANAGEMENT LP,GOLDENTREE ASSET MANAGEMENT LP,300 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10022,212-847-3500,212-847-3494,,,,,,,Approved,1/25/2001,3/17/2010,Y,HTTP://WWW.GOLDENTREE.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"11,068,542,361.00",0,"11,068,542,361.00",41,0,41,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT MANAGEMENT FOR HEDGE FUNDS AND OTHER PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,144171,801-68226,"VILLANOVA FINANCIAL SERVICES, INC.","VILLANOVA FINANCIAL SERVICES, INC.",40 DARBY ROAD,,PAOLI,PA,USA,19301,610-296-6370,610-296-6371,,,,,,,Approved,8/8/2007,3/17/2010,Y,WWW.VILLANOVAFS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,Y,FINANCIAL PLANNING,Y,0,"48,745,290.00","48,745,290.00",0,316,316,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106603,801-40998,"MILLER ADVISORS, INC.",MILLER ADVISORS INC,11 TENTH AVENUE,,KIRKLAND,WA,UNITED STATES,98033,425-822-8122,425-822-1622,,,,,,,Approved,3/11/1992,3/17/2010,Y,WWW.MILLERADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"64,253,100.00","40,107,440.00","104,360,540.00",207,216,423,Y,Y,N,N,N,Y,N,N,N,Y,DIVORCE PLANNING,101-250,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,132512,801-63490,LYZ CAPITAL ADVISORS LLC,LYZ CAPITAL ADVISORS LLC,1055 WASHINGTON BOULEVARD,SUITE 630,STAMFORD,CT,UNITED STATES,06901-2204,203-252-5833,203-351-1178,,,,,,,Approved,9/23/2004,3/17/2010,Y,WWW.LYZ.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"137,391,925.00",0,"137,391,925.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,134161,801-64049,INSIGHT 2811 GP LLC,INSIGHT 2811 GP LLC,755 W. BIG BEAVER ROAD,SUITE 1700,TROY,MI,UNITED STATES,48084,248 687-7200,248 687-7206,,,,,,,Approved,6/2/2005,3/17/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,055,262.00",0,"5,055,262.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108479,801-57179,"MARIETTA INVESTMENT PARTNERS, LLC","MARIETTA INVESTMENT PARTNERS, LLC","100 EAST WISCONSIN AVENUE, SUITE 2650",,MILWAUKEE,WI,UNITED STATES,53202,414-289-9080,414-289-9081,,,,,,,Approved,1/20/2000,3/17/2010,Y,WWW.MARIETTALLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"311,263,221.00",0,"311,263,221.00",349,0,349,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,118014,801-61315,"COPLEY INVESTMENT MANAGEMENT, LLC","COPLEY INVESTMENT MANAGEMENT, LLC",5025 B WRIGHTSVILLE AVE,,WILMINGTON,NC,UNITED STATES,28403,910-452-7147,910-452-7145,,,,,,,Approved,8/2/2002,3/17/2010,Y,WWW.COPLEYINVESTMENTMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"49,438,879.00","9,930,109.00","59,368,988.00",254,11,265,N,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106664,801-47437,"DAVID WENDELL ASSOCIATES, INC.",WENDELL DAVID ASSOCIATES INC,2ND FLOOR,325 CORPORATE DRIVE,PORTSMOUTH,NH,UNITED STATES,3801,603-427-0200,603-433-3013,P.O. BOX 21980,,PORTSMOUTH,NH,UNITED STATES,3802,Approved,8/10/1994,3/17/2010,Y,WWW.DAVIDWENDELL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,CONSULTING,Y,N,N,Y,N,N,N,,Y,"296,222,000.00","30,007,000.00","326,229,000.00",355,25,380,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,140444,801-13545,"FOLGER NOLAN FLEMING DOUGLAS CAPITAL MANAGEMENT, INC.","FOLGER NOLAN FLEMING DOUGLAS CAPITAL MANAGEMENT, INC.",725 15TH STREET N.W.,,WASHINGTON,DC,UNITED STATES,20005,202-626-5220,202-783-5164,,,,,,,Approved,12/12/1977,3/17/2010,Y,WWW.FNFD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"339,675,142.00","12,447,488.00","352,122,630.00",344,3,347,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,111635,801-62905,J. MARK NICKELL & CO.,J. MARK NICKELL & CO.,"104 EAST PARK DRIVE, SUITE 310",,BRENTWOOD,TN,USA,37027,615-371-6622,615-371-6616,,,,,,,Approved,3/26/2004,3/17/2010,Y,JMARKNICKELL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"63,007,277.00",0,"63,007,277.00",51,0,51,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,146680,801-68921,"THE FINANCIAL ADVISORS, LLC","THE FINANCIAL ADVISORS, LLC",15 RAILROAD SREET,,ANDOVER,MA,UNITED STATES,1810,978-475-3242,978-475-3489,,,,,,,Approved,3/11/2008,3/17/2010,Y,WWW.THE-FINANCIAL-ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"200,403,057.00","200,403,057.00",0,358,358,Y,Y,N,N,N,Y,N,N,N,Y,ASSET ALLOCATION AND NON-DISCRETIONARY MANAGER SELECTION,251-500,,Y,Y,N,N,N,N,Y,N,N,,Y,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108353,801-29805,"WILLIAM HARRIS INVESTORS, INC.","WILLIAM HARRIS INVESTORS, INC.",191 N WACKER DRIVE,SUITE 1500,CHICAGO,IL,UNITED STATES,60606-1899,312-621-0590,312-621-0984,,,,,,,Approved,6/19/1987,3/17/2010,Y,WWW.WHICAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,NEGOTIATED FEES FOR OTHER SERVICES PROVIDED.,Y,"1,077,992,874.00","16,930,449.00","1,094,923,323.00",318,19,337,Y,Y,N,Y,N,Y,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,105586,801-5440,BOLLINGER & CO INC,BOLLINGER & CO INC,"717 17TH ST., STE 1535",,DENVER,CO,USA,80202,303-292-0147,303-292-2742,,,,,,,Approved,1/29/1969,1/3/2008,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"29,439,963.00","9,431,901.00","38,871,864.00",14,5,19,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,136650,801-65999,"CROSS SHORE CAPITAL MANAGEMENT, LLC","CROSS SHORE CAPITAL MANAGEMENT, LLC",111 GREAT NECK ROAD,SUITE 210,GREAT NECK,NY,UNITED STATES,11021,516-684-4040,516-684-4041,,,,,,,Approved,2/1/2006,3/17/2010,Y,WWW.XSHORECAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,Nov-50,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"464,000,000.00",0,"464,000,000.00",7,0,7,N,N,N,N,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR OTHER POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,140542,801-67199,"HERITAGE WEALTH MANAGEMENT, LLC","HERITAGE WEALTH MANAGEMENT, LLC","10920 VIA FRONTERA, SUITE 520",,SAN DIEGO,CA,UNITED STATES,92127,858-679-5000,858-679-0300,,,,,,,Approved,10/5/2006,3/17/2010,Y,WWW.HWM-LLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"168,000,000.00",0,"168,000,000.00","1,350",0,"1,350",Y,Y,N,N,N,Y,N,N,N,Y,CLIENT EDUCATIONAL WORKSHOPS,251-500,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106236,801-52937,SAGE ADVISORY SERVICES LTD CO,SAGE ADVISORY SERVICES LTD CO,5900 SOUTHWEST PARKWAY,"BUILDING 1, SUITE 100",AUSTIN,TX,UNITED STATES,78735,512-327-5530,512-327-5702,,,,,,,Approved,9/24/1996,3/17/2010,Y,HTTP://WWW.SAGEADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,0 percent,11-25 percent,Up to 10 percent,0 percent,26-50 percent,Up to 10 percent,11-25 percent,26-50 percent,11-25 percent,Up to 10 percent,CBO COLLATERAL TRUST,Y,N,N,Y,N,N,N,,Y,"7,766,530,000.00","613,830,000.00","8,380,360,000.00","1,907",25,"1,932",N,Y,N,Y,Y,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,116405,801-60784,JEFFERY ASSET MANAGEMENT LLC,JEFFERY ASSET MANAGEMENT LLC,750 THIRD AVENUE,9TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-527-7580,212-527-7581,,,,,,,Approved,1/9/2002,3/17/2010,Y,WWW.JEFFERYASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"77,423,438.00","237,299,797.00","314,723,235.00",13,11,24,N,Y,N,N,N,N,N,N,N,Y,CONSULTING SERVICES TO NONPROFIT ORGANIZATIONS.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105662,801-7941,ON INVESTMENT MANAGEMENT CO,ON INVESTMENT MANAGEMENT CO,ONE FINANCIAL WAY,,CINCINNATI,OH,UNITED STATES,45242,513-794-6658,513-794-4703,P.O. BOX 371,,CINCINNATI,OH,UNITED STATES,45201-0371,Approved,11/14/1971,3/17/2010,Y,WWW.OHIONATIONAL.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,OH,UNITED STATES,251-500,0,251-500,0,251-500,0,0,0,More than 500,"1,000",26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,N,Y,N,N,N,Y,"ACCESS TO LOCKWOOD, MORNINGSTAR, BRINKER CAPITAL, GENWORTH, FUNDQUEST INVESTMENT ADVISORY SERVICES & SYMMETRY PARTNERS",25-Nov,,Y,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
FWRO,111911,801-14063,"FRIEDBERG INVESTMENT MANAGEMENT, INC.","FRIEDBERG INVESTMENT MANAGEMENT, INC.",1717 ST. JAMES PLACE,SUITE 675,HOUSTON,TX,UNITED STATES,77056-3474,713-622-2332,713-622-3332,,,,,,,Approved,9/29/1978,3/17/2010,Y,WWW.FRIEDBERGINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"150,200,413.00",0,"150,200,413.00",580,0,580,N,Y,N,N,N,N,N,N,N,Y,ADVISORY CONSULTING SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,130099,801-62689,"INVESTURE, LLC","INVESTURE, LLC",126 GARRETT STREET,SUITE J,CHARLOTTESVILLE,VA,USA,22902,434-220-0280,434-220-0285,,,,,,,Approved,1/20/2004,3/17/2010,Y,WWW.INVESTURE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,ENDOWMENT,Y,N,N,N,N,Y,N,,Y,"6,122,700,000.00",0,"6,122,700,000.00",20,0,20,N,Y,N,Y,Y,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR OTHER POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111837,801-48611,"COLLEY ASSET MANAGEMENT, INC.","COLLEY ASSET MANAGEMENT, INC.",358 BROADWAY SUITE 304,,SARATOGA SPRINGS,NY,UNITED STATES,12866,518-581-0500,518-581-0525,,,,,,,Approved,4/21/1995,3/17/2010,Y,WWW.COLLEYASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"81,323,609.00","3,115,949.00","84,439,558.00",405,13,418,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N
FWRO,110760,801-40189,FIRST SOUTHWEST ASSET MANAGEMENT INC,FIRST SOUTHWEST ASSET MANAGEMENT INC,325 N. ST. PAUL STREET,SUITE 800,DALLAS,TX,UNITED STATES,75201,214-953-4000,214-840-5044,,,,,,,Approved,12/17/1991,3/17/2010,Y,HTTP://WWW.FSAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,COLLEGES,Y,Y,N,Y,N,N,Y,FIXED TRANSACTION FEE BASED ON A CONTRACTUAL FEE SCHEDULE,Y,0,"6,547,843,193.00","6,547,843,193.00",0,35,35,N,N,N,Y,N,N,N,N,N,Y,"INVESTMENT POLICY REVIEW,PORTFOLIO REVIEW,POLICY COMPLIANCE REVIEW,FLEX REPO BIDDING AGENT,ASSISTANCE WITH BANKING SERVICES, ETC",0,,N,N,N,N,N,N,N,N,Y,PUBLIC FUNDS INVESTMENT MKT & ARBITRAGE REBATE,N,,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,148179,801-69521,SULMONA ASSET MANAGEMENT,SULMONA ASSET MANAGEMENT,13 SKYMARK CT,,UPPER SADDLE RIVER,NJ,USA,7458,201-962-2755,201-962-2755,,,,,,,120-Day Approval,10/3/2008,9/17/2008,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,116183,801-69330,"HULSEY CAPITAL MANAGEMENT, INC.","HULSEY CAPITAL MANAGEMENT, INC.",203 C TULAKA BLVD,,HEBER SPRINGS,AR,USA,72543,501-362-1681,501-362-3484,,,,,,,Approved,7/9/2008,2/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"21,449,526.00","6,206,944.00","27,656,470.00",105,52,157,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,113212,801-60319,"THIRD STREET ADVISORS, LLC","THIRD STREET ADVISORS, LLC",109 NORTH THIRD STREET,,GENEVA,IL,USA,60134,630-513-8815,630-513-8816,,,,,,,Approved,6/1/2001,2/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"53,377,483.00","53,377,483.00",0,248,248,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,Y,N,N,Y,N,N,,N,,N,Y,N,Y,N,N,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106954,801-50624,INVESTORS ADVANTAGE LLC,INVESTORS ADVANTAGE LLC,4131 SPICEWOOD SPRINGS ROAD,SUITE K7,AUSTIN,TX,UNITED STATES,78759,512-794-1188,512-794-3996,,,,,,,Approved,11/28/1995,2/12/2010,Y,WWW.IAINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"67,524,844.00",0,"67,524,844.00",160,0,160,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
BRO,146270,801-68863,"SOUTHPORT STATION FINANCIAL MANAGEMENT, LLC","SOUTHPORT STATION FINANCIAL MANAGEMENT, LLC",368 CENTER STREET,,SOUTHPORT,CT,UNITED STATES,6890,203-254-2333,203-254-2411,,,,,,,Approved,2/28/2008,2/12/2010,Y,WWW.SOUTHPORTSTATION.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"64,150,906.00","6,734,073.00","70,884,979.00",132,68,200,Y,Y,N,Y,N,N,N,N,N,Y,ESTATE PLANNING,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,147749,801-69498,TARGET DATE ANALYTICS LLC,TARGET DATE ANALYTICS LLC,"15 DRIFTWOOD STREET, #1",,MARINA DEL REY,CA,UNITED STATES,90292,310-821-4596,,,,,,,,Approved,8/29/2008,2/12/2010,Y,WWW.ONTARGETINDEX.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,51-75 percent,11-25 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,INVESTMENT ADVISERS,Y,N,N,Y,N,N,N,,Y,"40,000,000.00",0,"40,000,000.00",1,0,1,N,N,Y,Y,Y,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,122477,801-68613,"STONEBRIDGE INVESTMENT COUNSEL, INC.","STONEBRIDGE INVESTMENT COUNSEL, INC.",215 WARD CIRCLE,SUITE 200,BRENTWOOD,TN,USA,37027,615-309-0969,615-309-0929,,,,,,,Approved,1/2/2008,2/12/2010,Y,WWW.STONEBRIDGEADVISERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISORY FEES,Y,"57,814,000.00",0,"57,814,000.00",137,0,137,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106440,801-41423,TSA MANAGEMENT INC,TSA MANAGEMENT INC,725 GLEN COVE AVE,,GLEN HEAD,NY,UNITED STATES,11545,516-676-3332,516-676-3528,,,,,,,Approved,5/7/1992,2/12/2010,Y,WWW.HALLIDAYFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,0,0,More than 500,630,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,PERCENTAGE OF ASSETS UNDER MANAGEMENT,Y,"94,996,844.00","53,546,797.00","148,543,641.00",471,159,630,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,146765,801-69943,"JAMES CAIRD CAPITAL PARTNERS, LLC","JAMES CAIRD CAPITAL PARTNERS, LLC","120 LIBERTY PLACE, SUITE 230",,WHEATON,IL,UNITED STATES,60187,630-784-2200,630-784-2201,,,,,,,Approved,2/27/2009,2/12/2010,Y,WWW.JAMESCAIRDCP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,Y,N,,Y,"88,500,000.00",0,"88,500,000.00",447,0,447,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,141057,801-66936,OMNIVEST GROUP LLC,OMNIVEST GROUP LLC,47 HULFISH STREET,SUITE 210,PRINCETON,NJ,UNITED STATES,8542,609-986-1001,609-921-1731,,,,,,,Approved,7/5/2006,2/12/2010,Y,WWW.OMNIVESTGRP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"292,380,000.00","292,380,000.00",0,22,22,N,Y,N,Y,N,Y,Y,N,N,N,,0,,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,105145,801-57660,"NETWORTH ASSET MANAGEMENT, INC","NETWORTH ASSET MANAGEMENT, INC",870 BALD EAGLE DRIVE,SUITE 5B,MARCO ISLAND,FL,UNITED STATES,34145,239-389-7420,239-389-7423,,,,,,,Approved,6/7/2000,2/12/2010,Y,WWW.NWAM.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"30,644,141.00",0,"30,644,141.00",249,0,249,Y,Y,N,N,N,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,Y,FINANCIAL PLANNING,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
ARO,131103,801-63062,"POINTER CAPITAL, LLC","POINTER CAPITAL, LLC","3050 PEACHTREE ROAD, NW",SUITE 200,ATLANTA,GA,UNITED STATES,30305,404-614-6183,404-523-7877,,,,,,,Approved,4/20/2004,2/12/2010,Y,WWW.POINTERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"85,971,877.00",0,"85,971,877.00",57,0,57,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106972,801-41371,CORBIN & COMPANY,CORBIN & COMPANY,3113 S. UNIVERSITY DRIVE,SUITE 500,FORT WORTH,TX,UNITED STATES,76109,817-335-8282,817-335-8281,,,,,,,Approved,5/15/1992,8/7/2009,Y,WWW.CORBINCOMPANY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,INVESTMENT PARTNERSHIPS,Y,Y,N,Y,N,N,N,,Y,"33,162,684.00","132,203,123.00","165,365,807.00",82,18,100,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109770,801-63145,"WAGNER, LOFTIN INVESTMENT SERVICES",RONALD JOSEPH WAGNER,3478 BUSKIRK AVENUE,SUITE 308,PLEASANT HILL,CA,UNITED STATES,94523,925-930-7176,925-930-6668,,,,,,,Approved,5/18/2004,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"58,318,809.00","20,091,935.00","78,410,744.00",354,192,546,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,Y,N,Y,N,N,Y,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,114257,801-49353,GOODMAN & CO NY LTD.,GOODMAN & CO NY LTD.,1 ADELAIDE STREET EAST,SUITE 2700,"TORONTO, ONTARIO",,CANADA,M5C 2V9,416-365-5100,416-865-3463,,,,,,,Approved,6/5/1995,3/30/2010,Y,WWW.DUNDEEWEALTH.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"20,642,454.00",81,"20,642,535.00",7,1,8,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,N,N,Y,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,140791,801-67776,SIMPLE CAPITAL,"SIMPLE CAPITAL, LLC",ONE APPPLE HILL DR.,SUITE 316,NATICK,MA,UNITED STATES,1760,508-655-7948,508-655-9301,,,,,,,Approved,4/17/2007,3/30/2010,Y,WWW.SIMPLECAPITAL.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"358,708.00",0,"358,708.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,112155,801-55500,PATRIOT INVESTMENT MANAGEMENT GROUP INC,PATRIOT INVESTMENT MANAGEMENT GROUP INC,9721 COGDILL ROAD,SUITE 101,KNOXVILLE,TN,USA,37932,865-777-2479,865-675-0636,,,,,,,Approved,5/20/1998,3/30/2010,Y,WWW.PATRIOTINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,More than 500,800,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"344,594,119.00",0,"344,594,119.00","3,158",0,"3,158",Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,143011,801-67695,"WATERLINE CONSULTING, LLC","WATERLINE CONSULTING, LLC",6701 CENTER DRIVE WEST,SUITE 955,LOS ANGELES,CA,USA,90045,310-256-2570,310-496-2916,,,,,,,Approved,4/2/2007,3/30/2010,Y,WWW.WATERLINEPARTNERS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,N,N,N,Y,N,N,Y,PERCENTAGE OF REVENUE,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,ASSET ALLOCATION AND WEALTH MANAGEMENT CONSULTATION,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,117116,801-62403,"AMERICAN VALUES INVESTMENTS, INC.","AMERICAN VALUES INVESTMENTS, INC.",,,,,,,423-722-1776,423-722-1777,PO BOX 5302,,JOHNSON CITY,TN,UNITED STATES,37602,Approved,9/29/2003,3/30/2010,Y,AMERICANVALUES.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,More than 500,500,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"19,963,841.00",0,"19,963,841.00",167,0,167,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108832,801-55521,ROXBURY CAPITAL MANAGEMENT LLC,ROXBURY CAPITAL MANAGEMENT LLC,6001 SHADY OAK ROAD,STE 200,MINNETONKA,MN,UNITED STATES,55343,952-230-6140,952-230-6141,,,,,,,Approved,5/7/1998,3/30/2010,Y,WWW.ROXCAP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,187,807,378.00",0,"1,187,807,378.00",329,0,329,N,Y,Y,Y,N,N,N,N,N,Y,INVESTMENT RESEARCH & RECOMMENDATIONS,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107162,801-37198,SECURITY ASSET MANAGEMENT,SECURITY ASSET MANAGEMENT INC,400 MADISON AVENUE,SUITE 5C,NEW YORK,NY,UNITED STATES,10017-1983,212-644-5444,212-644-5417,,,,,,,Approved,8/17/1990,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,26-50 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"192,744,386.00","14,642,311.00","207,386,697.00",70,7,77,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111883,801-55543,"AQR CAPITAL MANAGEMENT, LLC","AQR CAPITAL MANAGEMENT, LLC",TWO GREENWICH PLAZA,3RD FLOOR,GREENWICH,CT,USA,6830,203-742-3600,203-742-3100,,,,,,,Approved,5/13/1998,3/30/2010,Y,WWW.AQRCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,0,0,101-250,0,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"21,657,910,369.00",0,"21,657,910,369.00",109,0,109,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,130922,801-63049,BRICOLEUR CAPITAL MANAGEMENT,"BRICOLEUR CAPITAL MANAGEMENT, LLC",16236 SAN DIEGUITO ROAD,"BLDG. 2, SUITE 2-22",RANCHO SANTA FE,CA,USA,92067,858-523-2000,858-756-0344,P.O. BOX 9933,,RANCHO SANTA FE,CA,USA,92067,Approved,4/19/2004,3/30/2010,Y,WWW.BRICOLEUR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,INCENTIVE ALLOCATION (PERFORMANCE BASED COMPENSATION),Y,"92,109,461.00",0,"92,109,461.00",6,0,6,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,119043,801-61480,"WILLIAMS CAPITAL MANAGEMENT, LLC","WILLIAMS CAPITAL MANAGEMENT, LLC",570 7TH AVE.,SUITE 504,NEW YORK,NY,UNITED STATES,10018,212-461-6500,212-461-6034,,,,,,,Approved,9/20/2002,3/30/2010,Y,WWW.WILLCAP.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,TAFT-HARTLEY PLANS,Y,N,N,N,N,N,N,,Y,"2,199,000,000.00",0,"2,199,000,000.00",6,0,6,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106659,801-53272,"DAVIS SELECTED ADVISERS - NY, INC.","DAVIS SELECTED ADVISERS - NY, INC.","609 FIFTH AVENUE, 11TH FLOOR",,NEW YORK,NY,UNITED STATES,10007-1021,212-207-3500,212-207-4685,2949 EAST ELVIRA ROAD,SUITE 101,TUCSON,AZ,UNITED STATES,85756-7159,Approved,11/20/1996,3/30/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,51-250,0,Nov-50,0,101-250,0,0 percent,0 percent,0 percent,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"73,134,381,110.00",0,"73,134,381,110.00",177,0,177,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y
CHRO,45309,801-55574,CLEARY GULL INC.,CLEARY GULL INC.,100 EAST WISCONSIN AVE,,MILWAUKEE,WI,UNITED STATES,53202,414-291-4500,414-270-2209,,,,,,,Approved,5/1/1998,3/30/2010,Y,WWW.CLEARYGULL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,500,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"847,862,000.00",0,"847,862,000.00",506,0,506,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,Y,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,Y,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N
NYRO,107584,801-45224,"INVESCO PRIVATE CAPITAL, INC.","INVESCO PRIVATE CAPITAL, INC.",1166 AVE OF THE AMERICAS,27TH FLOOR,NEW YORK,NY,UNITED STATES,10036,212-278-9000,212-278-3904,,,,,,,Approved,12/3/1993,3/30/2010,Y,WWW.INVESCOPRIVATECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,26-100,0,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"2,351,785,373.00",0,"2,351,785,373.00",49,0,49,N,Y,N,Y,N,N,N,N,N,Y,PRIVATE EQUITY,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,125557,801-61862,MBO CLEARY ADVISORS INC.,MBO CLEARY ADVISORS INC.,100 EAST WISCONSIN AVENUE,SUITE 2400,MILWAUKEE,WI,UNITED STATES,53202,414-291-3848,414-270-2246,,,,,,,Approved,3/4/2003,3/30/2010,Y,WWW.MBOCLEARY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,337,689,000.00","3,046,233,000.00","4,383,922,000.00",64,25,89,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,135374,801-65192,MANSUR CAPITAL CORPORATION,MANSUR CAPITAL CORPORATION,875 N. MICHIGAN AVENUE,SUITE 3620,CHICAGO,IL,UNITED STATES,60611,312-263-2400,312-642-6278,,,,,,,Approved,1/12/2006,3/30/2010,Y,WWW.ONTARIOPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,10-Jun,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"18,067,044.00","10,327,814.00","28,394,858.00",6,4,10,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES.,0,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
SFRO,145096,801-68337,"HUTCHINSON & ZIEGLER FINANCIAL ADVISORS, INC.","HUTCHINSON & ZIEGLER FINANCIAL ADVISORS, INC.","1010 B STREET, SUITE 325",,SAN RAFAEL,CA,UNITED STATES,94901,415-259-3933,866-668-9917,,,,,,,Approved,9/12/2007,3/30/2010,Y,WWW.HZADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"30,900,000.00","1,000,000.00","31,900,000.00",150,8,158,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,139656,801-66290,PHILADELPHIA PARTNERS CAPITAL MANAGEMENT LLC,PHILADELPHIA PARTNERS CAPITAL MANAGEMENT LLC,,,,,,,215-564-5750,215-689-3614,,,,,,,Approved,3/6/2006,3/30/2010,Y,WWW.PHILLYPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,052,665.00",0,"25,052,665.00",100,0,100,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106518,801-45616,NEW ENGLAND CAPITAL,GAGE WILEY GROUP INC,30 PLEASANT ST,,NORTHAMPTON,MA,USA,1060,413-584-9121,413-585-5748,P. O. BOX 1028,,NORTHAMPTON,MA,,1061,Approved,1/12/1994,3/30/2010,Y,WWW.NECMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"108,463,523.00",0,"108,463,523.00",182,0,182,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110628,801-10369,TREVOR STEWART BURTON & JACOBSEN INC,TREVOR STEWART BURTON & JACOBSEN INC,"405 LEXINGTON AVENUE,STE 4700",,NEW YORK,NY,UNITED STATES,10174,212-972-8150,212-557-0215,,,,,,,Approved,11/14/1974,12/18/2009,Y,WWW.TSBJINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,INSURANCE DEPRECIATION RESERVE,Y,N,N,Y,N,N,N,,Y,"564,812,333.00","500,210.00","565,312,543.00",155,2,157,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,140238,801-67259,"ORACLE FINANCIAL SERVICES, LLC","ORACLE FINANCIAL SERVICES, LLC","100 GRAND ST, 4TH FLOOR",,NEW YORK,NY,USA,10013,212-856-9594,212-856-0192,,,,,,,Approved,11/3/2006,12/18/2009,Y,WWW.OFS-NY.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,0,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"9,023,365.00","474,914.00","9,498,279.00",75,5,80,Y,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,117496,801-66879,"HOUSTOUN CAPITAL MANAGEMENT, INC.","HOUSTOUN CAPITAL MANAGEMENT, INC.",7272 WISCONSIN AVENUE,SUITE 300,BETHESDA,MD,USA,20814,301-941-1945,301-941-1962,,,,,,,Approved,6/13/2006,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"40,307,526.00",0,"40,307,526.00",30,0,30,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105291,801-18159,FINANCIAL RESOURCES MANAGEMENT CORP,FINANCIAL RESOURCES MANAGEMENT CORP,,,,,,,888-844-7283,888-210-9667,,,,,,,Approved,1/6/1983,3/30/2010,Y,WWW.FINANCIAL-MANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"31,043,850.00","31,043,850.00",0,57,57,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114446,801-67573,"D.R. SAUR FINANCIAL, INC.","D.R. SAUR FINANCIAL, INC.","12900 PRESTON ROAD, SUITE 400",,DALLAS,TX,UNITED STATES,75230,214-559-3944,214-866-0066,,,,,,,Approved,2/15/2007,3/30/2010,Y,WWW.DRSAURFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,500,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"49,165,543.00",0,"49,165,543.00",995,0,995,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,Y,Y,N,N,Y,N,N,,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105907,801-33347,"KLINGENSTEIN, FIELDS & CO., LLC","KLINGENSTEIN, FIELDS & CO., LLC",EQUITABLE CENTER,787 7TH AVE,NEW YORK,NY,UNITED STATES,10019-6016,212-492-7000,212-492-7007,,,,,,,Approved,12/16/1988,3/30/2010,Y,WWW.KLINGENSTEIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,500,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"3,334,481,000.00","54,708,000.00","3,389,189,000.00","1,561",30,"1,591",N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,131393,801-63091,"CAROLINA WEALTH MANAGEMENT, INC.","CAROLINA WEALTH MANAGEMENT, INC.",1706-A E ARLINGTON BLVD,,GREENVILLE,NC,USA,27858,252-439-1344,252-756-4896,,,,,,,Approved,5/7/2004,3/30/2010,Y,WWW.MYCAROLINAWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"99,353,748.00","99,353,748.00",0,269,269,N,Y,N,Y,Y,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,104731,801-9822,THE FIDUCIARY GROUP,FIDUCIARY SERVICES CORPORATION,310 COMMERCIAL DRIVE,,SAVANNAH,GA,UNITED STATES,31406,(912)303-9000,(912)303-9001,P O BOX 13688,,SAVANNAH,GA,UNITED STATES,31416-0688,Approved,3/10/1974,3/30/2010,Y,WWW.TFGINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"329,753,920.00","22,043,478.00","351,797,398.00",708,25,733,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,144906,801-68369,"MAR VISTA INVESTMENT PARTNERS, LLC","MAR VISTA INVESTMENT PARTNERS, LLC",11150 SANTA MONICA BLVD,SUITE 320,LOS ANGELES,CA,UNITED STATES,90025,310-917-2800,310-231-0100,,,,,,,Approved,10/4/2007,3/30/2010,Y,WWW.MARVISTAINVESTMENTS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,51-75 percent,SUBADVISED,Y,N,N,N,N,N,N,,Y,"668,922,209.00",0,"668,922,209.00",419,0,419,N,Y,Y,Y,N,N,N,N,N,Y,SUB-ADVISORY SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112741,801-60306,"LAZARD ALTERNATIVES, LLC","LAZARD ALTERNATIVES, LLC","30 ROCKEFELLER PLAZA, 59TH FLOOR",,NEW YORK,NY,UNITED STATES,10112,212-632-6000,212-332-1703,,,,,,,Approved,6/12/2001,3/30/2010,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"584,920,150.00","66,999,633.00","651,919,783.00",5,1,6,N,N,Y,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
PLRO,117969,801-62995,"ROOF ADVISORY GROUP, INC.","ROOF ADVISORY GROUP, INC.",507 N. FRONT STREET,,HARRISBURG,PA,UNITED STATES,17101-1011,717-260-9281,717-260-9282,,,,,,,Approved,4/14/2004,3/30/2010,Y,WWW.ROOFADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"162,926,000.00","1,158,000.00","164,084,000.00",107,2,109,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107046,801-49394,HOLLAND & CO LLC,HOLLAND & CO LLC,375 PARK AVE,,NEW YORK,NY,UNITED STATES,10152,212-486-2058,212-486-0744,,,,,,,Approved,6/12/1995,12/18/2009,Y,WWW.THEHOLLANDFUND.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"31,295,588.00",0,"31,295,588.00",1,0,1,N,N,Y,N,N,N,N,N,N,Y,QUARTERLY CONSULTING FOR TRUSTEES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,129558,801-62711,DBS ASSET MANAGEMENT (UNITED STATES) PTE LTD,DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD,8 CROSS STREET,#08-01 PWC BUILDING,SINGAPORE,,SINGAPORE,48424,65-6878-7800,65-6536-9490,,,,,,,Approved,1/26/2004,1/25/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,,SINGAPORE,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"139,382,113.00",0,"139,382,113.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,120545,801-61128,"WESTEND CAPITAL MANAGEMENT, LLC.","WESTEND CAPITAL MANAGEMENT, LLC.",86 GRAHAM ST.  STE. 100,THE PRESIDIO,SAN FRANCSICO,CA,USA,94129,415.856.0426,415.856.0431,,,,,,,Approved,5/10/2002,1/25/2010,Y,WWW.WCMSF.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"160,000,000.00",0,"160,000,000.00",322,0,322,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
DRO,109555,801-57488,GATEWAY FINANCIAL STRATEGIES LLC,GATEWAY FINANCIAL STRATEGIES LLC,526 BRIGGS STREET,SUITE D,ERIE,CO,UNITED STATES,80516,303-828-0077,303-496-6611,PO BOX 957,,ERIE,CO,UNITED STATES,80516,Approved,5/2/2000,1/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"32,832,117.00","1,729,070.00","34,561,187.00",74,2,76,Y,Y,N,N,N,N,Y,N,N,N,,10-Jan,,N,N,N,Y,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,151849,801-70962,"HEAPHY INVESTMENTS, LLC","HEAPHY INVESTMENTS, LLC",32 HAMPDEN STREET,,SPRINGFIELD,MA,UNITED STATES,1103,413-736-8805,413-736-4474,P. O. BOX 1529,,SPRINGFIELD,MA,UNITED STATES,01101-1529,Approved,1/8/2010,1/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"36,471,739.00",0,"36,471,739.00",204,0,204,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104608,801-23637,DESAI CAPITAL MANAGEMENT INCORPORATED,DESAI CAPITAL MANAGEMENT INCORPORATED,410 PARK AVENUE,SUITE 830,NEW YORK,NY,UNITED STATES,10022,212-838-9191,212-838-9807,,,,,,,Approved,2/21/1985,1/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,INVESTMENT RELATED LIMITED LIABILITY COMPANY,Y,N,N,N,N,N,N,,Y,"87,036,982.00",0,"87,036,982.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138604,801-65878,ORION CAPITAL MANAGEMENT L.L.C.,ORION CAPITAL MANAGEMENT L.L.C.,590 MADISON AVENUE,5TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-838-9000,212-758-9347,,,,,,,Approved,1/30/2006,1/26/2010,Y,WWW.ORIONFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"67,000,000.00",0,"67,000,000.00",2,0,2,N,Y,N,N,N,N,N,N,N,Y,INVESTMENT ADVISOR TO ORION CONSTELLATION PARTNERS L.L.C. AND TO ORION CONSTELLATION PARTNERS OFFSHORE LTD. PRIVATE INVST ENTITY,0,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,Y
CHRO,129004,801-71027,"T.T.G. FINANCIAL, INC.","T.T.G. FINANCIAL, INC.",4700 DRESSLER RD NW,SUITE 200,CANTON,OH,UNITED STATES,44718,330-491-2220,330-491-2262,,,,,,,Approved,2/4/2010,1/26/2010,Y,WWW.TEAMTTG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"31,000,000.00",0,"31,000,000.00",65,0,65,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,119650,801-68465,STRATTON LAMB ADVISORS LLC,STRATTON LAMB ADVISORS LLC,,,,,,,978-458-4410,978-458-2410,,,,,,,Approved,11/6/2007,1/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"55,921,926.00",0,"55,921,926.00",56,0,56,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,114068,801-63971,"FIRST FINANCIAL ADVISORS, INC.","FIRST FINANCIAL ADVISORS, INC.",,,,,,,913-338-1030,913-660-0410,,,,,,,Approved,5/11/2005,1/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"41,000,000.00",0,"41,000,000.00",194,0,194,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111268,801-53367,"YOUNGS ADVISORY GROUP, INC.","YOUNGS ADVISORY GROUP, INC.",854 E. EMMAUS AVENUE,,ALLENTOWN,PA,USA,18103,610-791-9940,610-791-3923,,,,,,,Approved,11/27/1996,2/17/2010,Y,WWW.YOUNGSAG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"162,891,575.00","440,000.00","163,331,575.00",540,1,541,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123452,801-62584,"ESTATE COUNSELORS, LLC","ESTATE COUNSELORS, LLC",414 N. MAIN STREET,,THIENSVILLE,WI,UNITED STATES,53092,262-238-6996,262-238-6999,,,,,,,Approved,4/29/2004,2/17/2010,Y,WWW.ESTATECOUNSELORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"31,844,781.00","29,537,824.00","61,382,605.00",3,26,29,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109175,801-57715,THE ADVISORY GROUP,TAG FINANCIAL INC,20955 PATHFINDER ROAD,SUITE 110,DIAMOND BAR,CA,UNITED STATES,91765,909.869.7880,909.869.7680,,,,,,,Approved,7/6/2000,2/17/2010,Y,WWW.TAGFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,% OF ASSETS MONITORED,Y,"9,616,635.00","52,201,876.00","61,818,511.00",37,272,309,Y,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING,26-50,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,131976,801-63706,"D'ORAZIO & ASSOCIATES, INC.","D'ORAZIO & ASSOCIATES, INC.",7600 LEESBURG PIKE,SUITE 460 EAST,FALLS CHURCH,VA,UNITED STATES,22043,703-917-0007,703-918-9399,,,,,,,Approved,12/8/2004,2/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"483,132,917.00",0,"483,132,917.00",960,0,960,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150751,801-70355,LAUREATE WEALTH MANAGEMENT LLC,LAUREATE WEALTH MANAGEMENT LLC,10 SOUTH WACKER DRIVE,SUITE 2250,CHICAGO,IL,UNITED STATES,60606,312-784-3990,312-784-3991,,,,,,,Approved,7/13/2009,2/17/2010,Y,WWW.LAUREATE-WEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,TRUSTS,Y,N,N,N,N,N,N,,Y,0,"26,000,000.00","26,000,000.00",0,45,45,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,144413,801-68087,"GREEN ALPHA ADVISORS, LLC","GREEN ALPHA ADVISORS, LLC",,,,,,,303-993-7856,303-568-0130,,,,,,,Approved,7/6/2007,2/17/2010,Y,WWW.GREENALPHAADVISORS.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"221,450.00",0,"221,450.00",4,0,4,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105091,801-27092,MCCORMICK CAPITAL MANAGEMENT,MCCORMICK CAPITAL MANAGEMENT,1325 4TH AVE,SUITE 1744,SEATTLE,WA,UNITED STATES,98101,206-624-5863,206-626-5352,,,,,,,Approved,6/20/1986,2/17/2010,Y,ELITEFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"61,246,624.00",0,"61,246,624.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110951,801-38685,JAPAN CREDIT RATING AGENCY LTD,JAPAN CREDIT RATING AGENCY LTD,"JIJI PRESS BUILDING, 5-15-8","GINZA, CHUO-KU",TOKYO JAPAN,,JAPAN,104-0061,03-3544-7011,03-3544-7022,,,,,,,Approved,7/15/1991,6/22/2009,Y,HTTP://WWW.JCR.CO.JP,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Corporation,,,JAPAN,51-250,0,51-250,0,0,0,0,0,More than 500,"1,000",0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,CREDIT ANALYSIS AND CREDIT RATING FUNCTIONS,N,N,Y,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,Y,Y,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,151491,801-70598,ARIN RISK ADVISORS LLC,ARIN RISK ADVISORS LLC,300 FOUR FALLS CORPORATE CENTER,SUITE 200,WEST CONSHOHOCKEN,PA,UNITED STATES,19428,610.822.3400,484.351.8093,,,,,,,Approved,9/15/2009,2/17/2010,Y,WWW.ARINLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"40,500,000.00",0,"40,500,000.00",75,0,75,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,112885,801-41030,BERMUDA ASSET MANAGEMENT LTD,BERMUDA ASSET MANAGEMENT LTD,12 BERMUDIANA RD 3RD FLOOR,,HAMILTON,,BERMUDA,HM 11,441-292-4708,441-292-7313,P.O. BOX HM66,,HAMILTON,,BERMUDA,HMAX,Approved,3/12/1992,1/8/2007,Y,WWW.BERMUDAASSET.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,BERMUDA,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,000,000.00",0,"25,000,000.00",9,0,9,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,42186,801-46883,SHERWOLD G W ASSOCIATES INC,SHERWOLD G W ASSOCIATES INC,22994 EL TORO RD,,LAKE FOREST,CA,USA,92630,949-470-0700,949-470-0707,,,,,,,Approved,6/30/1994,2/17/2010,Y,WWW.GWSHERWOLD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"41,663,660.00","4,728,467.00","46,392,127.00",734,329,"1,063",Y,Y,N,Y,Y,N,N,N,N,N,,251-500,,N,N,Y,N,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,149889,801-70576,PRIVATE WEALTH MANAGEMENT OF NORTH CAROLINA LLC,PRIVATE WEALTH MANAGEMENT OF NORTH CAROLINA LLC,,,,,,,252-492-8694,252-738-8929,,,,,,,Approved,9/16/2009,2/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"50,000,250.00",0,"50,000,250.00",203,0,203,Y,Y,N,N,N,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,123824,801-61595,ACKERMAN CAPITAL MANAGEMENT,"ACKERMAN CAPITAL ADVISORS, LLC",5956 SHERRY LANE,SUITE 1600,DALLAS,TX,USA,75225,214-361-5383,214-361-5115,,,,,,,Approved,11/13/2002,2/17/2010,Y,WWW.ACKERMANCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"117,709,499.00",0,"117,709,499.00",213,0,213,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,127586,801-69057,"MACRO FINANCIAL ADVISORS, INC","MACRO FINANCIAL ADVISORS, INC",8525 EXECUTIVE WOODS DRIVE,,LINCOLN,NE,UNITED STATES,68512,402-420-2233,402-817-4694,,,,,,,Approved,4/21/2008,2/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"28,366,381.00",0,"28,366,381.00",341,0,341,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,149891,801-70452,ELM MONEY MANAGEMENT LLC,ELM MONEY MANAGEMENT LLC,16520 BAKE PARKWAY,SUITE 200,IRVINE,CA,UNITED STATES,92618,(949) 528-6712,(949) 528-2597,,,,,,,Approved,8/11/2009,2/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,Y,N,N,,Y,"17,931,654.00","27,057,092.00","44,988,746.00",124,51,175,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,154302,801-71744,"EIG MANAGEMENT COMPANY, LLC","EIG MANAGEMENT COMPANY, LLC","1700 PENNSYLVANIA AVENUE, N.W.",SUITE 800,WASHINGTON,DC,UNITED STATES,20006,202-600-3300,202-600-3404,,,,,,,120-Day Approval,8/16/2010,8/20/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110995,801-57896,ASB CAPITAL MANAGEMENT LLC,ASB CAPITAL MANAGEMENT LLC,"7501 WISCONSIN AVENUE, EAST TOWER",SUITE 200,BETHESDA,MD,USA,20814,240-482-2900,202-482-2904,,,,,,,Approved,9/8/2000,8/20/2010,Y,WWW.ASBCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,101-250,0,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,UNIONS,Y,N,N,N,N,Y,N,,Y,"7,307,581,242.00",0,"7,307,581,242.00",176,0,176,N,Y,N,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110742,801-55134,CHEVY CHASE TRUST COMPANY,CHEVY CHASE TRUST COMPANY,7501 WISCONSIN AVENUE,,BETHESDA,MD,USA,20814,240-497-5000,240-497-5011,,,,,,,Approved,12/24/1997,8/20/2010,Y,WWW.CHEVYCHASETRUST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,Nov-50,0,Nov-50,0,0,0,10-Jun,0,More than 500,"2,000",Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"8,151,268,000.00","109,675,000.00","8,260,943,000.00","1,786",67,"1,853",N,Y,N,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145301,801-68518,"EXCEL FINANCIAL, LLC","EXCEL FINANCIAL, LLC",321 MAIN STREET,,RED WING,MN,UNITED STATES,55066,(651) 388-6441,(888) 688-6441,,,,,,,Approved,11/23/2007,1/25/2010,Y,WWW.EXCELFINANCIALONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"26,052,071.00","2,309,470.00","28,361,541.00",198,37,235,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,17868,801-68122,"U.S. BANCORP INVESTMENTS, INC.","U.S. BANCORP INVESTMENTS, INC.",60 LIVINGSTON AVENUE,EP-MN-WN3C,SAINT PAUL,MN,UNITED STATES,55107,651-495-3083,651-495-8061,,,,,,,Approved,7/23/2007,8/20/2010,Y,HTTP://WWW.USBANK.COM/CGI_W/CFM/INVEST/USB_INVESTMENTS.CFM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,More than 1000,"1,100",501-1000,0,501-1000,0,0,0,More than 500,"2,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"485,546,052.00","485,546,052.00",0,"2,743","2,743",Y,Y,N,Y,N,Y,N,N,N,N,,0,,Y,N,Y,N,N,N,Y,N,N,,N,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N
NYRO,17443,801-61756,"ENSEMBLE FINANCIAL SERVICES, INC.","ENSEMBLE FINANCIAL SERVICES, INC.",179 SULLY'S TRAIL,SUITE 302,PITTSFORD,NY,UNITED STATES,14467,585.419.1010,585.248.0238,,,,,,,Approved,1/24/2003,8/20/2010,Y,WWW.ENSEMBLEFS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,CONSULTING FEES,Y,"247,731,806.00","82,249,893.00","329,981,699.00","1,266",810,"2,076",Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTING SERVICES,25-Nov,,Y,N,Y,N,N,N,Y,N,N,,N,N,Y,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,146019,801-68723,CONFLUENCE INVESTMENT MANAGEMENT LLC,CONFLUENCE INVESTMENT MANAGEMENT LLC,"349 MARSHALL AVENUE, SUITE 302",,SAINT LOUIS,MO,UNITED STATES,63119,314-743-5090,314-743-5205,,,,,,,Approved,1/10/2008,8/20/2010,Y,WWW.CONFLUENCEINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,501-1000,0,10-Jun,0,0,0,5-Jan,0,More than 500,"2,000",51-75 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"553,800,000.00","196,100,000.00","749,900,000.00","2,069",28,"2,097",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,113673,801-60388,"ANALYTIC ASSET MANAGEMENT, INC.","ANALYTIC ASSET MANAGEMENT, INC.",275 MADISON AVENUE,SUITE 1300,NEW YORK,NY,UNITED STATES,10016-1101,212.488.5340,212.682.9692,,,,,,,Approved,6/29/2001,8/20/2010,Y,WWW.ANALYTICASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"287,596,937.00","472,692.00","288,069,629.00",164,2,166,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,136174,801-64510,OFFSHORE INVESTMENT ADVISOR,"BRIDGEWATER, JAMES, LIONEL",,,,,,,284-495-4179,N/A,,,,,,,Approved,7/27/2005,8/20/2010,Y,WWW.OFFSHOREINVESTMENTADVISOR.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,,BRITISH VIRGIN ISLANDS,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,800,000.00",0,"1,800,000.00",24,0,24,Y,Y,N,N,Y,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,MUTUAL FUNDS,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122513,801-62447,"LEHMAN, J.F.","LEHMAN, JOHN FREEMAN",112B WEST WACKERLY RD.,,MIDLAND,MI,UNITED STATES,48640,989-832-2522,989-923-3455,,,,,,,Approved,10/21/2003,1/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"59,969,014.00","59,969,014.00",0,105,105,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110274,801-13458,"GERALD L. RAY & ASSOCIATES, LTD.","GERALD L. RAY & ASSOCIATES, LTD.","1445 ROSS AVENUE, SUITE 5600",,DALLAS,TX,USA,75202,214-954-1900,214-954-1094,,,,,,,Approved,9/9/1977,8/20/2010,Y,GERALDRAY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"409,760,613.00",0,"409,760,613.00",561,0,561,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137682,801-64829,LARCH LANE ADVISORS LLC,LARCH LANE ADVISORS LLC,"800 WESTCHESTER AVENUE, S-618",,RYE BROOK,NY,UNITED STATES,10573,914-798-7600,914-251-1200,,,,,,,Approved,10/19/2005,8/20/2010,Y,WWW.LARCHLANE.COM/,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,26-50 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,088,873,808.00",0,"1,088,873,808.00",24,0,24,N,N,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE POOLED INVESTMENT VEHICLES,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109683,801-51431,STANDARD & POORS INVESTMENT ADVISORY SERVICES LLC,STANDARD & POORS INVESTMENT ADVISORY SERVICES LLC,55 WATER STREET,,NEW YORK,NY,UNITED STATES,10041,212-438-2000,212-438-3140,,,,,,,Approved,3/5/1996,8/20/2010,Y,WWW.STANDARDANDPOORS.COM,Y,Y,N,N,Y,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,0,"7,573,000,000.00","7,573,000,000.00",0,13,13,N,N,Y,Y,N,Y,N,N,N,Y,SEE SCHEDULE D-MISCELLANEOUS FOR EXPLANATION OF RESPONSE TO BOX 3,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107783,801-56307,STERLING FINANCIAL ADVISORS LLC,STERLING FINANCIAL ADVISORS LLC,7024 N 102 CIR,,OMAHA,NE,UNITED STATES,68122,402-970-9300,402-970-9397,,,,,,,Approved,2/25/1999,8/20/2010,Y,WWW.STERLINGFINANCIALWORLD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"26,000,000.00","5,000,000.00","31,000,000.00",100,150,250,Y,Y,N,Y,Y,Y,N,N,N,Y,SEMINAR PROGRAMS,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,109787,801-17277,KECALP INC.,KECALP INC.,4 WORLD FINANCIAL CENTER,23RD FLOOR,NEW YORK,NY,UNITED STATES,10080,(212) 449-4371,(212) 449-7902,KATINA M. NELSON (NC1-002-19-44),101 S. TRYON ST.,CHARLOTTE,NC,UNITED STATES,28255,Approved,6/18/1992,8/20/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,NO COMPENSATION,Y,"13,303,976.00",0,"13,303,976.00",4,0,4,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y
BRO,133196,801-63658,"PYRAMIS GLOBAL ADVISORS, LLC","PYRAMIS GLOBAL ADVISORS, LLC",900 SALEM STREET,,SMITHFIELD,RI,UNITED STATES,2917,401-292-6695,401-292-8256,,,,,,,Approved,12/2/2004,8/20/2010,Y,WWW.PYRAMIS.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,10-Jun,0,101-250,0,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,More than 75 percent,NON-U.S. INVESTMENT FUNDS,Y,N,N,N,N,Y,Y,FEES FOR RESEARCH,Y,"25,519,389,223.00",0,"25,519,389,223.00",191,0,191,N,N,Y,Y,Y,N,N,N,N,Y,PORTFOLIO MANAGEMENT AND RESEARCH FOR NON U.S. MUTUAL FUNDS/INVESTMENT FUNDS/PRIVATELY OFFERED FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,137341,801-69627,"SADDLE PEAK ASSET MANAGEMENT, LLC","SADDLE PEAK ASSET MANAGEMENT, LLC",1299 OCEAN AVENUE,SUITE 313,SANTA MONICA,CA,UNITED STATES,90401,310-656-7600,310-656-7601,,,,,,,Approved,10/10/2008,8/20/2010,Y,WWW.SADDLEPEAKAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"36,520,306.00",0,"36,520,306.00",2,0,2,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,140746,801-71470,WHALE ROCK CAPITAL MANAGEMENT,"WHALE ROCK CAPITAL MANAGEMENT, LLC",TWO INTERNATIONAL PLAZA,24TH FLOOR,BOSTON,MA,UNITED STATES,2110,617-502-9900,617-502-9911,,,,,,,Approved,6/9/2010,8/20/2010,Y,WWW.WHALEROCKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"311,448,904.00",0,"311,448,904.00",6,0,6,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,142170,801-69221,"FINANCIAL ADVISERS OF AMERICA, LLC","FINANCIAL ADVISERS OF AMERICA, LLC",1930 PALOMAR POINT WAY,SUITE 104,CARLSBAD,CA,UNITED STATES,92008,(760) 444-6300,(760) 444-6385,,,,,,,Approved,6/11/2008,8/20/2010,Y,WWW.FAA-USA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,REFERRAL FEES,Y,"31,712,231.00","24,180,166.00","55,892,397.00",146,123,269,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,N,N,N,,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N
CHRO,113941,801-62880,"EQUITRUST FINANCIAL GROUP, LTD.","EQUITRUST FINANCIAL GROUP, LTD.",570 LAKE COOK RD.,SUITE 101,DEERFIELD,IL,UNITED STATES,60015,847-317-0200,847-317-0214,,,,,,,Approved,3/12/2004,8/20/2010,Y,WWW.EQUITRUSTFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,10-Jun,0,101-250,0,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"122,703,266.00","2,106,094.00","124,809,360.00",335,4,339,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,793,801-10746,"STIFEL, NICOLAUS & COMPANY, INCORPORATED","STIFEL, NICOLAUS & COMPANY, INCORPORATED",ONE FINANCIAL PLAZA 501 N BROADWAY,,ST LOUIS,MO,UNITED STATES,63102,314-342-2000,314-342-2830,,,,,,,Approved,5/7/1975,8/20/2010,Y,WWW.STIFEL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,More than 1000,"5,000",501-1000,0,501-1000,0,Nov-50,0,More than 500,"42,000",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,Y,N,,Y,"3,935,078,991.00","8,933,646,822.00","12,868,725,813.00","18,671","37,076","55,747",Y,Y,N,Y,Y,Y,N,N,N,N,,More than 500,1000,Y,Y,Y,N,Y,N,Y,N,N,,N,N,Y,Y,N,Y,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,N,N
MIRO,151255,801-70500,PEBBLE MANAGEMENT GROUP,"PEBBLE MANAGEMENT GROUP, LLC",3500 N. CAUSEWAY BLVD.,SUITE 160,METAIRIE,LA,UNITED STATES,70002,504-401-0179,888-463-0981,,,,,,,Approved,8/24/2009,1/26/2010,Y,WWW.PEBBLEMG.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,500,000.00",0,"1,500,000.00",10,0,10,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,Y,N,N,Y,N,Y,N,N,,Y,N,Y,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106985,801-49080,STANDARD PACIFIC CAPITAL LLC,STANDARD PACIFIC CAPITAL LLC,"101 CALIFORNIA STREET, 36TH FL",,SAN FRANCISCO,CA,UNITED STATES,94111,415-352-7100,415-352-7116,,,,,,,Approved,4/28/1995,1/26/2010,Y,WWW.STANDARDPACIFIC.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,035,439,937.00",0,"1,035,439,937.00",14,0,14,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HEDGE FUND CLIENTS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,153675,801-71423,"SYNERGY FINANCIAL GROUP OF ARIZONA, LLC","SYNERGY FINANCIAL GROUP OF ARIZONA, LLC",8283 N. HAYDEN RD.,SUITE 249,SCOTTSDALE,AZ,UNITED STATES,85258,480-264-6070,480-264-6149,,,,,,,Approved,5/21/2010,8/20/2010,Y,HTTP://WWW.SYNERGYFINANCIALGROUPAZ.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"43,756,218.00","2,358,503.00","46,114,721.00",356,9,365,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,131836,801-63228,RHG ADVISORS LLC,RHG ADVISORS LLC,,,,,,,480-575-5480,480-575-5473,,,,,,,Approved,6/18/2004,8/20/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,FAMILY LIMITED PARTNERSHIPS,Y,Y,N,Y,N,N,N,,Y,"49,140,222.00",0,"49,140,222.00",113,0,113,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106622,801-25427,"CANTLON, MICHAEL FRANCIS",CANTLON FINANCIAL PLANNING,,,,,,,630-584-4508,630-584-7243,,,,,,,Approved,10/4/1985,1/26/2010,Y,WWW.CANTLONFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"54,500,000.00",0,"54,500,000.00",171,0,171,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,145476,801-70695,"BOWERS WEALTH MANAGEMENT, INC.","BOWERS WEALTH MANAGEMENT, INC.",2206 PLAZA DR #300,,ROCKLIN,CA,USA,95765-4404,916-781-8733,800-290-4630,PO BOX 539,,ROCKLIN,CA,USA,95677-7270,Approved,10/8/2009,8/20/2010,Y,BOWERSWEALTH.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"39,800,000.00",0,"39,800,000.00",124,0,124,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107230,801-22384,CORNERSTONE CAPITAL ADVISORS,"MBS FINANCIAL PLANNING SERVICES, INC",1507 BOETTLER ROAD,SUITE G,UNIONTOWN,OH,UNITED STATES,44685,330-896-6250,330-896-6295,,,,,,,Approved,11/2/1984,1/26/2010,Y,WWW.CCADVISORS.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"185,723,378.00","78,606,015.00","264,329,393.00",801,42,843,Y,Y,N,N,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,42179,801-55630,"SECURE PLANNING, INC.",SECURE PLANNING INC,42 MIDDLE ST,,PORTSMOUTH,NH,USA,3801,603-433-5515,603-433-6023,,,,,,,Approved,6/19/1998,1/26/2010,Y,WWW.SECUREPLANNINGINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"107,303,329.00",0,"107,303,329.00",709,0,709,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,Y,N,N,N,Y,N,N,,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,142563,801-67410,HONU WEALTH MANAGEMENT,"WILLIAMS, GARTH ALAN",1 FIRST STREET,SUITE 1,LOS ALTOS,CA,USA,94022,650-917-3400,650-917-3408,,,,,,,Approved,1/8/2007,1/26/2010,Y,HONUWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"25,885,694.00","7,276,239.00","33,161,933.00",156,13,169,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,127317,801-63286,MYOJO ASSET MANAGEMENT HAWAII LLC,MYOJO ASSET MANAGEMENT HAWAII LLC,1441 KAPIOLANI BLVD.,SUITE 808,HONOLULU,HI,UNITED STATES,96814-4404,(808) 956-1313,(808) 956-1331,,,,,,,Approved,6/30/2004,8/20/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,HI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"77,000,000.00",0,"77,000,000.00",5,0,5,N,N,N,N,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR OTHER POOLED VEHICLES (HEDGE FUNDS),,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111692,801-55125,MARSDEN CAPITAL MANAGEMENT,MARSDEN JOHN RICHARD JR,1103 POWELL AVENUE,,ERIE,PA,UNITED STATES,16505,814-836-1800,814-836-1800,,,,,,,Approved,12/16/1997,8/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"28,000,000.00","800,000.00","28,800,000.00",95,1,96,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107424,801-57033,"HDS CAPITAL MANAGEMENT, INC","HDS CAPITAL MANAGEMENT, INC",4808 MOORLAND LN,STE 105,BETHESDA,MD,UNITED STATES,20814,301-652-2535,301-652-2565,,,,,,,Approved,11/30/1999,1/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"7,000,000.00","31,200,000.00","38,200,000.00",49,14,63,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,29931,801-71581,"ANDREW GARRETT, INC.","ANDREW GARRETT, INC.",140 EAST 45TH STREET,11TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-682-8833,646-708-9671,140 EAST 45TH STREET,11TH FLOOR,NEW YORK,NY,UNITED STATES,10017,Approved,7/6/2010,8/23/2010,Y,WWW.ANDREWGARRETT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"33,239,242.00","33,239,242.00",0,137,137,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N
NYRO,141062,801-66977,"U.S. WEALTH GROUP, LLC","U.S. WEALTH GROUP, LLC",7600 JERICHO TURNPIKE,SUITE 303,WOODBURY,NY,UNITED STATES,11797,516-682-9800,866-650-0938,,,,,,,Approved,7/14/2006,1/26/2010,Y,WWW.USWEALTHGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"73,000,000.00",0,"73,000,000.00",140,0,140,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,16741,801-56275,FINTEGRA FINANCIAL SOLUTIONS,"FINTEGRA, LLC",6120 EARLE BROWN DRIVE,SUITE 550,MINNEAPOLIS,MN,USA,55430,763-585-0503,763-585-0509,,,,,,,Approved,2/11/1999,1/26/2010,Y,WWW.FINTEGRA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"111,700,000.00","111,700,000.00",0,522,522,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,Y,N,Y,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
MIRO,35971,801-13542,"DALE K. EHRHART, INC.","DALE K. EHRHART, INC.",101 W VENICE AVE,STE 22,VENICE,FL,UNITED STATES,34285,941-485-8220,941-488-8465,,,,,,,Approved,2/17/1978,1/26/2010,Y,WWW.DKEINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,Nov-50,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"547,224,396.00","7,351,932.00","554,576,328.00",480,125,605,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,Y,N,Y,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
SFRO,151956,801-71765,"STRATEGIC INCOME MANAGEMENT, LLC","STRATEGIC INCOME MANAGEMENT, LLC",,,,,,,206-285-1753,,,,,,,,120-Day Approval,8/30/2010,8/23/2010,Y,WWW.SIM-LLC.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,Up to 10 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,149621,801-71500,ABSOLUTE INVESTMENT MANAGEMENT,ABSOLUTE INVESTMENT MANAGEMENT LLC,6900 WISCONSIN AVENUE,STE 706,BETHESDA,MD,UNITED STATES,20815,301-907-6794,,,,,,,,Approved,6/2/2010,8/23/2010,Y,WWW.ABSOLUTE-IM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"30,922,810.00",0,"30,922,810.00",103,0,103,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,150441,801-70254,DAVIS WEALTH MANAGEMENT,"DWM ADVISORS, LLC",4505 EMPEROR BOULEVARD,SUITE 110,DURHAM,NC,UNITED STATES,27703,919-941-9222,919-941-9333,,,,,,,Approved,6/1/2009,8/23/2010,Y,WWW.DWMADVISORSLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"127,000,000.00",0,"127,000,000.00",770,0,770,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,6255,801-40380,"SCOTT & STRINGFELLOW, LLC","SCOTT & STRINGFELLOW, LLC",901 E. BYRD STREET,"RIVERFRONT PLAZA, WEST TOWER",RICHMOND,VA,UNITED STATES,23219,804-643-1811,804-783-6032,P.O. BOX 1575,,RICHMOND,VA,UNITED STATES,23218-1575,Approved,2/20/1992,8/23/2010,Y,SCOTTSTRINGFELLOW.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,501-1000,0,251-500,0,501-1000,0,5-Jan,0,More than 500,"8,000",51-75 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"2,430,102,299.00","448,153,371.00","2,878,255,670.00","6,481","1,497","7,978",Y,Y,Y,Y,Y,Y,N,N,N,N,,More than 500,500,Y,Y,Y,N,Y,N,Y,N,N,,N,,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N
CHRO,150374,801-70227,PAULSON WEALTH MANAGEMENT LLC,PAULSON WEALTH MANAGEMENT LLC,213 WEST  WESLEY STREET,SUITE 202,WHEATON,IL,UNITED STATES,60187,630-517-2950,630-517-2951,,,,,,,Approved,6/3/2009,1/26/2010,Y,WWW.PAULSONWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"24,000,000.00","7,000,000.00","31,000,000.00",125,14,139,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,154318,801-71598,ASTON ASSET MANAGEMENT,"ASTON ASSET MANAGEMENT, LP",120 N. LASALLE STREET,25TH FLOOR,CHICAGO,IL,UNITED STATES,60602,312-268-1400,312-268-1380,,,,,,,Approved,6/24/2010,6/24/2010,Y,WWW.ASTONASSET.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,0,0,More than 500,900,26-50 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"7,760,300,325.00","54,650,303.00","7,814,950,628.00",743,288,"1,031",N,Y,Y,N,N,Y,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108084,801-56219,FINANCIAL STRATEGY NETWORK LLC,FINANCIAL STRATEGY NETWORK LLC,TWO NORTH RIVERSIDE PLAZA,SUITE 900,CHICAGO,IL,UNITED STATES,60606,312-831-4370,312-454-1885,,,,,,,Approved,1/19/1999,6/24/2010,Y,WWW.FSNPLAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,10-Jun,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISER/MANAGER FEES,Y,"64,894,022.00","107,553,050.00","172,447,072.00",214,369,583,Y,Y,N,N,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106679,801-44798,GROESBECK INVESTMENT MANAGEMENT CORP,GROESBECK INVESTMENT MANAGEMENT CORP,12 RTE. 17 NORTH,SUITE 130,PARAMUS,NJ,USA,7652,201-291-7888,201-291-9777,,,,,,,Approved,9/24/1993,1/26/2010,Y,WWW.GROESBECKIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,More than 500,"2,500",Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,WRAP ACCOUNTS,Y,N,N,Y,N,N,N,,Y,"325,742,697.00",0,"325,742,697.00",654,0,654,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,152429,801-71016,SUCCESSFUL PORTFOLIOS LLC,SUCCESSFUL PORTFOLIOS LLC,SENTINEL SQUARE - SUITE #166,300 SOUTH DUNCAN AVENUE,CLEARWATER,FL,UNITED STATES,33755,727-744-3614,727-483-7455,,,,,,,Approved,1/19/2010,6/24/2010,Y,WWW.SUCCESSFULPORTFOLIOS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"23,000,000.00","16,800,000.00","39,800,000.00",29,24,53,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105816,801-35268,"WILLIAM MANN COMPANY, INC.","WILLIAM MANN COMPANY, INC.",378 MAIN STREET,,NASHUA,NH,UNITED STATES,3060,603-881-5633,603-595-6405,,,,,,,Approved,9/29/1989,6/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"90,227,919.00",0,"90,227,919.00",240,0,240,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,133131,801-71548,"FREEMAN CAPITAL MANAGEMENT, LLC","FREEMAN CAPITAL MANAGEMENT, LLC",85/35 SAI YUAN ROB KOH RD,,RAWAI,,THAILAND,83100,503-616-3850,,1333 NE MLK JR. BLVD.,,PORTLAND,OR,UNITED STATES,97232,Approved,6/16/2010,6/24/2010,Y,WWW.FREEMANCAPITAL.NET,N,N,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,500,000.00",0,"3,500,000.00",35,0,35,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153600,801-71559,"CAPITAL ADVISORS, LTD., LLC","CAPITAL ADVISORS, LTD., LLC",20600 CHAGRIN  BLVD SUITE 1115,,SHAKER HEIGHTS,OH,UNITED STATES,44122,216-295-7900,216-295-8300,,,,,,,120-Day Approval,6/10/2010,6/24/2010,Y,WWW.CAPITALADVISORSLTD.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,130154,801-66134,THE MUTUAL FUND STORE,"SCHIEBER FINANCIAL GROUP, LLC",11113 KENWOOD RD.,,CINCINNATI,OH,UNITED STATES,45242,513-985-0100,513-985-0013,,,,,,,Approved,2/1/2006,6/24/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"115,000,000.00",0,"115,000,000.00","1,501",0,"1,501",Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126084,801-64498,"CARUSO MCLEAN & CO., INC.","CARUSO MCLEAN & CO., INC.",110 LOMOND COURT,,UTICA,NY,UNITED STATES,13502,315-724-5105,315-724-5196,,,,,,,Approved,7/11/2005,6/24/2010,Y,CARUSOMCLEAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"128,419,460.00","128,419,460.00",0,180,180,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,119846,801-61067,IMPERIAL INVESTMENT ADVISORS PRIVATE LIMITED,IMPERIAL INVESTMENT ADVISORS PRIVATE LIMITED,SUITE NO. 6 SATGURU BUSINESS CENTRE,31 REGENCY CHAMBERS,BANDRA (WEST) MUMBAI,,INDIA,400 050,011 91 22 264 21561,,,,,,,,Approved,4/23/2002,6/24/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,,INDIA,5-Jan,0,0,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,REGISTRANT DOES NOT CURRENTLY HAVE CLIENTS.,N,N,N,N,N,N,Y,REGISTRANT DOES NOT CURRENTLY HAVE CLIENTS.,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,REGISTRANT DOES NOT CURRENTLY HAVE ANY CLIENTS.,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,Y,Y,N,N,N,Y,N,N,N,N
LARO,119099,801-67645,KELLEY INVESTMENTS,"KELLEY, CRAIG P",,,,,,,858-350-1010,858-350-1044,,,,,,,Approved,3/7/2007,1/26/2010,Y,WWW.KELLEYINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"33,000,000.00","31,000,000.00","64,000,000.00",234,52,286,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,Y,INVESTMENT ADVISOR REP,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,132519,801-63411,"BRIDGECREEK INVESTMENT MANAGEMENT, LLC","BRIDGECREEK INVESTMENT MANAGEMENT, LLC",SOUTHERN HILLS TOWER,"2431 E. 61ST STREET, SUITE 315",TULSA,OK,UNITED STATES,74136,918-392-1990,918-392-1991,,,,,,,Approved,8/3/2004,1/26/2010,Y,WWW.BRIDGECREEKINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"365,000,000.00",0,"365,000,000.00",58,0,58,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,115725,801-60658,MCW ADVISORS,MCW ADVISORS,,,,,,,828-692-7004,828-692-6004,,,,,,,Approved,11/9/2001,1/26/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"22,465,353.00","22,465,353.00",0,41,41,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,112608,801-45601,"STADION MONEY MANAGEMENT, INC.","STADION MONEY MANAGEMENT, INC.",1061 CLIFF DAWSON RD,,WATKINSVILLE,GA,UNITED STATES,30677,706-583-5144,706-353-9832,,,,,,,Approved,1/31/1994,6/24/2010,Y,WWW.STADIONMONEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,251-500,0,More than 500,"58,000",51-75 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,195,994,811.00","1,026,167,000.00","3,222,161,811.00","58,000",1,"58,001",N,Y,Y,N,N,N,N,N,N,N,,,,Y,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109852,801-46187,KASANOW & ASSOCIATES WEALTH MANAGEMENT,KASANOW HARRY GERSON,3268A PATY DRIVE,,HONOLULU,HI,UNITED STATES,96822,808-988-1331/1511,,,,,,,,Approved,3/29/1994,1/26/2010,Y,HTTP://WWW.KASANOWANDASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,HI,UNITED STATES,5-Jan,0,0,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"54,769,991.00",0,"54,769,991.00",387,0,387,Y,Y,N,N,Y,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104644,801-33838,SCHOFIELD-MACDOUGALL FINANCIAL COUNSELING,MACDOUGALL ALLAN,2364 ROUTE 66,,DELMONT,PA,UNITED STATES,15626,724-468-1300,724-468-1301,2364 ROUTE 66,,DELMONT,PA,UNITED STATES,15626,Approved,3/9/1989,1/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,N,N,N,Y,Y,N,N,,Y,"221,266,954.00",0,"221,266,954.00",375,0,375,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,112143,801-56353,"THE GLOWACKI GROUP, LLC","THE GLOWACKI GROUP, LLC",11400 W. OLYMPIC BOULEVARD,SUITE 1500,LOS ANGELES,CA,USA,90064,310.473.0100,310.479.3145,,,,,,,Approved,3/24/1999,6/24/2010,Y,WWW.GLOWACKIGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"232,845,776.00",0,"232,845,776.00",315,0,315,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,132221,801-67195,"MCDERMOTT INVESTMENT ADVISORS, LLC","MCDERMOTT INVESTMENT ADVISORS, LLC",,,,,,,866-905-7375,,P.O. BOX 1889,,BETHLEHEM,PA,UNITED STATES,18016-1889,Approved,9/25/2006,1/26/2010,Y,WWW.MCDERMOTTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,Y,SHARE IN A FEE CHARGED BY THIRD PARTY ADVISER.,Y,"28,631,800.00","3,083,920.00","31,715,720.00",98,28,126,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,126451,801-62065,"CAPSTONE FINANCIAL SOLUTIONS, LLC","CAPSTONE FINANCIAL SOLUTIONS, LLC",5847 SAN FELIPE,SUITE 4100,HOUSTON,TX,UNITED STATES,77057,713-260-9000,713-260-9050,,,,,,,Approved,5/15/2003,6/24/2010,Y,WWW.CAPSTONEFINANCIALSOLUTIONS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,More than 500,"1,000",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"379,250,462.00","570,447.00","379,820,909.00","1,024",4,"1,028",N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,127517,801-67190,WEALTH MANAGEMENT SOLUTIONS,"WEALTH MANAGEMENT SOLUTIONS, LLC","8550 E. SHEA BOULEVARD, SUITE 130",,SCOTTSDALE,AZ,UNITED STATES,85260,480-609-4334,480-609-4335,,,,,,,Approved,11/1/2006,1/26/2010,Y,WWW.WMSUS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"77,150,000.00","995,000.00","78,145,000.00",460,2,462,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,132159,801-63329,"WEATHERVANE WEALTH MANAGEMENT, LLC","WEATHERVANE WEALTH MANAGEMENT, LLC",,,,,,,610-321-2400,484-341-1161,707 EAGLEVIEW BLVD.,SUITE 104,EXTON,PA,UNITED STATES,19341,Approved,7/2/2004,6/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"60,227,561.00","12,475,363.00","72,702,924.00",207,3,210,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,150266,801-70269,PROFESSIONAL WEALTH MANAGEMENT SERVICES LLC,PROFESSIONAL WEALTH MANAGEMENT SERVICES LLC,211 SOUTH CENTER STREET,SUITE 205B,STATESVILLE,NC,UNITED STATES,28677,704-872-0022,704-872-0121,,,,,,,Approved,6/17/2009,1/26/2010,Y,WWW.PROWEALTHMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"60,897,358.00","581,005.00","61,478,363.00",177,2,179,Y,Y,N,N,Y,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,142389,801-67367,LAJU,LAJU (CAYMAN) LIMITED,STOCKERSTRASSE 23,,ZURICH,,SWITZERLAND,8002,41 44 224 44 44,41 44 224 44 04,,,,,,,Approved,3/9/2007,1/10/2007,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,,CAYMAN ISLANDS,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"75,000,000.00",0,"75,000,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,SERVE AS A GENERAL PARTNER OF A FUND OF FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111242,801-60103,"SSGA FUNDS MANAGEMENT, INC.","SSGA FUNDS MANAGEMENT, INC.",STATE STREET FINANCIAL CENTER,ONE LINCOLN STREET,BOSTON,MA,UNITED STATES,02111-2900,617-786-3000,617-664-0481,,,,,,,Approved,4/6/2001,6/24/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,251-500,0,51-250,0,10-Jun,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,ANNUAL MINIMUM,Y,"168,429,333,320.00",0,"168,429,333,320.00",177,0,177,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,127335,801-68886,FAMILY CFO INC,FAMILY CFO INC,,,,,,,650-218-3551,NO FAX,,,,,,,Approved,3/10/2008,1/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"36,416,618.00",0,"36,416,618.00",91,0,91,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,130751,801-62853,"CLAYVARD FUND MANAGEMENT USA, INC.","CLAYVARD FUND MANAGEMENT USA, INC.","C/O CLAYVARD, LTD.","59-60 CORNHILL, 1ST FLOOR",LONDON,,UK,EC3V 3PD,44 207 283 2481,44 207 283 1525,,,,,,,Approved,3/11/2004,1/26/2010,Y,WWW.CLAYVARD.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,THE COMPANY MAY TAKE AN EQUITY OWNERSHIP IN SOME OF ITS CLIENTS,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,134064,801-63915,CLAYVARD LTD.,CLAYVARD LTD.,59-60 CORNHILL,1ST FLOOR,LONDON,,UK,EC3V 3PD,44-207-283-2481,44-207-283-1525,,,,,,,Approved,2/24/2005,1/26/2010,Y,WWW.CLAYVARD.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),A BRITISH VIRGIN ISLANDS COMPANY,,BRITISH VIRGIN ISLANDS,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,COMPANY MAY TAKE EQUITY OWNERSHIP INTEREST IN SOME OF ITS CLIENT,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,121006,801-61500,"WEBSTERROGERS FINANCIAL ADVISORS, LLC","WEBSTERROGERS FINANCIAL ADVISORS, LLC",1411 SECOND LOOP ROAD,,FLORENCE,SC,USA,29505-2801,843-665-6321,843-656-1101,P.O. BOX 6707,,FLORENCE,SC,USA,29502-6707,Approved,9/27/2002,2/26/2010,Y,WWW.WRFASC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"131,073,090.00",0,"131,073,090.00",372,0,372,Y,Y,N,N,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107067,801-56705,MADISON PORTFOLIO CONSULTANTS INC.,MADISON PORTFOLIO CONSULTANTS INC.,280 PARK AVE,24TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-683-6686,212-683-6927,,,,,,,Approved,7/23/1999,2/26/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,UNION GENERAL FUND,Y,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,111471,801-56673,MORTON WEALTH MANAGEMENT LLC,MORTON WEALTH MANAGEMENT LLC,"628 GREEN VALLEY ROAD, SUITE 206",,GREENSBORO,NC,UNITED STATES,27408,336-294-8585,336-294-4725,,,,,,,Approved,7/13/1999,2/26/2010,Y,WWW.MORTONWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"148,224,538.00","15,672,384.00","163,896,922.00",457,51,508,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,133025,801-65182,KALOS MANAGEMENT,"KALOS MANAGEMENT, INC.",3780 MANSELL ROAD,SUITE 150,ALPHARETTA,GA,USA,30022,678-356-1100,678-356-1105,,,,,,,Approved,1/10/2006,2/26/2010,Y,WWW.KALOSMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,600,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"48,505,323.00",0,"48,505,323.00",516,0,516,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,142288,801-67312,"JULIUS ARTHUR SEIBERT & COMPANY, LLC","JULIUS ARTHUR SEIBERT & COMPANY, LLC",8044 MONTGOMERY ROAD,SUITE 700,CINCINNATI,OH,UNITED STATES,45236,(513) 277-0916,866-446-8986,,,,,,,Approved,11/16/2006,2/26/2010,Y,WWW.JASEIBERTCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"39,765,304.00","2,716,219.00","42,481,523.00",241,24,265,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,114956,801-63942,KEITH KELVIN ANDERSON,KEITH KELVIN ANDERSON,,,,,,,505-984-2563,505-984-2563,,,,,,,Approved,2/25/2005,2/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NM,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"50,000,000.00",0,"50,000,000.00",62,0,62,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,145521,801-68599,HOLLOW BROOK ASSOCIATES LLC,HOLLOW BROOK ASSOCIATES LLC,551 MADISON AVENUE,8TH  FLOOR,NEW YORK,NY,UNITED STATES,10022,212-364-1840,212-364-1849,,,,,,,Approved,1/8/2008,2/26/2010,Y,WWW.HOLLOWBROOKLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,BONUS PAYMENT IF PERFORMANCE EXCEEDS CLIENT APPROVED BENCHMARK.,Y,"277,000,000.00",0,"277,000,000.00",329,0,329,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114832,801-66500,"PPG INVESTMENTS, LLC","PPG INVESTMENTS, LLC",,,,,,,972-781-1993,972-781-1993,,,,,,,Approved,5/1/2006,2/26/2010,Y,WWW.PPGINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"64,247,000.00",0,"64,247,000.00",124,0,124,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,144853,801-68352,ADDISON CAPITAL,ADDISON CAPITAL CO.,301 OXFORD VALLEY RD.,SUITE 801B,YARDLEY,PA,UNITED STATES,19067,215-321-3359,215-525-4424,,,,,,,Approved,9/27/2007,2/26/2010,Y,WWW.ADDISONCAPITALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"112,500,000.00","241,000.00","112,741,000.00",313,4,317,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110908,801-20509,CORNERSTONE ADVISORS INC,CORNERSTONE ADVISORS INC,225 - 108TH AVENUE NE,SUITE 400,BELLEVUE,WA,UNITED STATES,98004-5782,425-646-7600,425-646-7601,,,,,,,Approved,2/3/1984,2/26/2010,Y,WWW.BUILDBEYOND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"2,013,000,000.00",0,"2,013,000,000.00","1,649",0,"1,649",Y,Y,N,N,N,Y,N,N,N,Y,SEE SCHEDULE D MISC. FOR SUMMARY DESCRIPTION OF SERVICES,251-500,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,104592,801-51061,CHILTON CAPITAL MANAGEMENT LLC,CHILTON CAPITAL MANAGEMENT LLC,1177 WEST LOOP SOUTH,SUITE 1310,HOUSTON,TX,UNITED STATES,77027,713-650-1995,713-650-1739,,,,,,,Approved,2/9/1996,2/26/2010,Y,WWW.CHILTONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,101-250,0,11-25 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"468,000,000.00","11,000,000.00","479,000,000.00",539,39,578,N,Y,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,142487,801-69946,"MKKS INVESTMENT ADVISORY SERVICES, INC","MKKS INVESTMENT ADVISORY SERVICES, INC","15260 VENTURA BOULEVARD, 1040",,SHERMAN OAKS,CA,UNITED STATES,91403,818-382-7800,818-382-7810,,,,,,,Approved,3/12/2009,2/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"308,632,007.00","308,632,007.00",0,126,126,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,Y,N,N,Y,CPA OFFERING TAX SERVICES,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107273,801-40948,FRUTH INVESTMENT MANAGEMENT,FRUTH INVESTMENT MANAGEMENT,"820 GESSNER, SUITE 1640",,HOUSTON,TX,UNITED STATES,77024,713-464-2283,713-464-4453,,,,,,,Approved,3/10/1992,2/26/2010,Y,WWW.RJFRUTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"162,691,776.00","4,228,267.00","166,920,043.00",536,53,589,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,136931,801-66089,SOLDAN CORP.,SOLDAN CORP.,2700 N. MILITARY TRAIL,SUITE 230,BOCA RATON,FL,USA,33431,561-241-2425,561-241-2710,,,,,,,Approved,2/8/2006,2/26/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"19,932,872.00",0,"19,932,872.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114408,801-66903,"PHILLIPS RAY CAPITAL MANAGEMENT, INC.","PHILLIPS RAY CAPITAL MANAGEMENT, INC.",3108 WEST 6TH STREET,SUITE 250,FORT WORTH,TX,USA,76107,817-338-4223,817-338-8259,,,,,,,Approved,6/29/2006,2/26/2010,Y,WWW.PHILLIPSRAY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"55,137,079.00",0,"55,137,079.00",188,0,188,N,Y,N,Y,N,N,N,N,N,Y,CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,145837,801-70052,"SORTINO INVESTMENT ADVISORS, LLC","SORTINO INVESTMENT ADVISORS, LLC",,,,,,,949-481-5051,949-481-5959,,,,,,,Approved,4/16/2009,2/26/2010,Y,WWW.SORTINOIA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,270,000.00","200,000,000.00","203,270,000.00",6,2,8,N,N,N,Y,N,N,N,N,N,Y,ASSET ALLOCATION STRATEGIES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,142681,801-67409,"ELY PRUDENT PORTFOLIOS, LLC","ELY PRUDENT PORTFOLIOS, LLC",10 DECLARATION DRIVE,SUITE D,CHICO,CA,UNITED STATES,95973-4931,530-895-0636,530-895-2713,,,,,,,Approved,1/12/2007,2/26/2010,Y,WWW.ELYPORTFOLIOS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"34,529,971.00","5,789,752.00","40,319,723.00",169,22,191,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105428,801-20893,"SPERO-SMITH INVESTMENT ADVISERS, INC.","SPERO-SMITH INVESTMENT ADVISERS, INC.","3601 GREEN ROAD, SUITE 102",,BEACHWOOD,OH,UNITED STATES,44122-5719,216-464-6266,216-464-5387,,,,,,,Approved,4/4/1984,2/26/2010,Y,WWW.SPEROSMITH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"326,002,273.00","4,511,126.00","330,513,399.00","1,212",73,"1,285",Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146145,801-68755,"VERTICAL CDO MANAGEMENT ACQUISITION-E, LLC","VERTICAL CDO MANAGEMENT ACQUISITION-E, LLC",437 MADISON AVENUE,39TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-786-5300,212-786-5301,,,,,,,Approved,2/1/2008,8/18/2009,Y,WWW.VERTICALCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,CDO FUNDS WHICH ARE SPECIAL PURPOSE VEHICLES ESTABLISHED TO HOLD COLLATERAL AND ISSUE COLLATERALIZED DEBT OBLIGATIONS,Y,N,N,N,N,Y,N,,Y,"907,478,000.00",0,"907,478,000.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,COLLATERAL MANAGER TO CDO FUNDS WHICH ARE SPVS ESTABLISHED TO HOLD COLLATERAL & ISSUE COLLATERALIZED DEBT OBLIGATIONS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137578,801-67381,TSAI CAPITAL CORPORATION,TSAI CAPITAL CORPORATION,"590 MADISON AVENUE, 21ST FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-521-4251,212-898-0381,,,,,,,Approved,1/3/2007,2/18/2010,Y,HTTP://WWW.TSAICAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,INVESTMENT PARTNERSHIPS,Y,N,N,N,N,N,N,,Y,"32,049,576.00",0,"32,049,576.00",26,0,26,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138788,801-65516,SOFAER GLOBAL RESEARCH,SOFAER GLOBAL RESEARCH (UK) LIMITED,9 UPPER BELGRAVE STREET,,LONDON,,UNITED KINGDOM,SW1X 8BD,44-(0)20-7259-4462,44-(0)20-7259-4413,,,,,,,Approved,1/27/2006,2/18/2010,Y,WWW.SOFAER.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,10-Jun,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"255,333,815.00",0,"255,333,815.00",4,0,4,N,N,N,Y,N,N,N,N,N,Y,PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,137433,801-71143,"BROADLEAF PARTNERS, LLC","BROADLEAF PARTNERS, LLC","9 AURORA STREET, SUITE #5",,HUDSON,OH,UNITED STATES,44236,330-650-0921,330-650-0936,,,,,,,Approved,2/25/2010,2/18/2010,Y,WWW.BROADLEAFPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,ASSETS UNDER SUPERVISION,Y,"29,962,702.00","30,540,861.00","60,503,563.00",92,156,248,N,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,124391,801-61842,CAMELOT MANAGEMENT CORPORATION,CAMELOT MANAGEMENT CORPORATION,3 PICKWICK PLAZA 4TH FLOOR,,GREENWICH,CT,UNITED STATES,6830,203-863-7400,203-863-7474,,,,,,,Approved,3/10/2003,2/18/2010,Y,WWW.CAMELOTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"88,294,662.00",0,"88,294,662.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,141014,801-68116,"EAGLESTONE WEALTH ADVISORS, INC.","EAGLESTONE WEALTH ADVISORS, INC.",,,,,,,301-924-2160,202-204-6322,,,,,,,Approved,7/13/2007,2/18/2010,Y,WWW.EAGLESTONEWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"62,500,000.00",0,"62,500,000.00",185,0,185,Y,Y,N,N,Y,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,142917,801-67534,GIFFORD FONG ASSOCIATES,GIFFORD FONG ASSOCIATES,3658 MT. DIABLO BLVD.,SUITE 200,LAFAYETTE,CA,UNITED STATES,94549,925-299-7800,925-299-7815,,,,,,,Approved,2/22/2007,2/18/2010,Y,WWW.GFONG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"132,042,891.00",0,"132,042,891.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,147134,801-69357,"FIDUCIA GROUP, LLC","FIDUCIA GROUP, LLC",EIGHT PENN CENTER WEST,SUITE 101,PITTSBURGH,PA,UNITED STATES,15276,412-428-9511,412-379-1014,,,,,,,Approved,7/11/2008,2/18/2010,Y,WWW.FIDUCIARETIREMENT.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,116913,801-62158,"ANCHOR BAY CAPITAL, INC.","ANCHOR BAY CAPITAL, INC.",5780 FLEET ST.,SUITE 308,CARLSBAD,CA,USA,92008,760-602-3470,760-602-7811,,,,,,,Approved,6/19/2003,2/18/2010,Y,WWW.ANCHORBAYCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"55,777,872.00",0,"55,777,872.00",138,0,138,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150429,801-70377,"V2 CAPITAL, LLC","V2 CAPITAL, LLC",2700 PATRIOT BLVD,SUITE 420,GLENVIEW,IL,UNITED STATES,60026,847-201-3620,847-724-3706,,,,,,,Approved,7/30/2009,2/18/2010,Y,WWW.V2CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"355,100,000.00",0,"355,100,000.00",3,0,3,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,140168,801-67535,"BURKETT FINANCIAL SERVICES, LLC","BURKETT FINANCIAL SERVICES, LLC",128 EAST MAIN STREET,SUITE 201,ROCK HILL,SC,UNITED STATES,29730,803-980-3232,803-325-1665,,,,,,,Approved,1/29/2007,2/18/2010,Y,WWW.BURKETTFS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"80,870,727.00",0,"80,870,727.00",155,0,155,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,N,N,N,,N,,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106283,801-39017,"BULTMAN INVESTMENT MANAGEMENT, INC.","BULTMAN INVESTMENT MANAGEMENT, INC.","735 N WATER STREET, SUITE 1401",,MILWAUKEE,WI,UNITED STATES,53202-4106,414-220-4288,414-220-4277,,,,,,,Approved,6/7/1991,2/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"170,667,383.00","170,667,383.00",0,254,254,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,106454,801-23973,HAYEK KALLEN INVESTMENT MANAGEMENT L.L.C.,HAYEK KALLEN INVESTMENT MANAGEMENT L.L.C.,121 FAIRHOPE AVE,,FAIRHOPE,AL,UNITED STATES,36532,251-928-8999,251-928-8991,,,,,,,Approved,7/3/1985,2/18/2010,Y,WWW.HAYEKKALLEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"187,870,680.00",0,"187,870,680.00",228,0,228,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111275,801-54780,MARLCROFT ASSET MANAGEMENT LLC,MARLCROFT ASSET MANAGEMENT LLC,133 EAST 58TH STREET,SUITE 1102,NEW YORK,NY,USA,10022,212-980-3100,212-980-8729,,,,,,,Approved,8/6/1997,2/18/2010,Y,WWW.MARLCROFT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"113,002,552.00","162,708,728.00","275,711,280.00",84,131,215,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137275,801-65884,HELIOS ADVISORS LLC,HELIOS ADVISORS LLC,780 THIRD AVENUE,,NEW YORK,NY,UNITED STATES,10017,212-883-9040,212-883-7635,,,,,,,Approved,1/31/2006,2/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"490,974,212.00",0,"490,974,212.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,UNREGISTERED INVESTMENT VEHICLE,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,148833,801-69859,"VIMA, LLC","VIMA, LLC",3150 LIVERNOIS ST.,SUITE 215,TROY,MI,UNITED STATES,48083,248-526-6700,248-526-6702,,,,,,,Approved,1/21/2009,2/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"40,818,369.00","670,500.00","41,488,869.00",430,7,437,Y,Y,N,N,N,N,N,N,N,Y,INSURANCE,51-100,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108233,801-63489,EMBREE FINANCIAL GROUP,"MOODY INVESTMENT ADVISORS, INC.",440 N WELLS ST,SUITE 530,CHICAGO,IL,UNITED STATES,60654,312-527-5565,312-527-5591,,,,,,,Approved,9/23/2004,2/18/2010,Y,EMBREEFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),S CORPORATION,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,Y,N,,Y,"117,500,000.00","117,500,000.00","235,000,000.00",223,22,245,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,Y,Y,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109515,801-56609,F.N.B. INVESTMENT ADVISORS INC,F.N.B. INVESTMENT ADVISORS INC,ONE F.N.B. BOULEVARD,,HERMITAGE,PA,UNITED STATES,16148,(888)983-3555,(724)983-3517,532 MAIN STREET,SUITE 5,JOHNSTOWN,PA,UNITED STATES,15901,Approved,7/6/1999,2/18/2010,Y,WWW.FNB-ONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,10-Jun,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,TRUST COMPANY,Y,N,N,N,N,N,N,,Y,"1,383,110,000.00","247,000.00","1,383,357,000.00",50,1,51,N,Y,N,Y,N,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108690,801-57556,"GRASSI INVESTMENT MANAGEMENT, LLC","GRASSI INVESTMENT MANAGEMENT, LLC","1804 NORTH SHORELINE BLVD., SUITE 140",,MOUNTAIN VIEW,CA,USA,94043,650-934-0770,650-934-0777,,,,,,,Approved,5/11/2000,2/18/2010,Y,WWW.GRASSIINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"292,678,998.00","20,156,289.00","312,835,287.00",354,3,357,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109214,801-57183,"WRENN FINANCIAL STRATEGIES, INC.","WRENN FINANCIAL STRATEGIES, INC.","8352 SIX FORKS ROAD, SUITE 201",,RALEIGH,NC,UNITED STATES,27615,919-848-9999,919-848-0758,,,,,,,Approved,1/21/2000,2/18/2010,Y,WWW.WRENNFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"67,423,632.00","13,297,822.00","80,721,454.00",541,54,595,Y,Y,N,N,N,N,Y,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108669,801-56966,"SPECTRUM INVESTMENT ADVISORS, INC.","SPECTRUM INVESTMENT ADVISORS, INC.",WEST BAY COMMERCE CENTER,7100 WEST DONGES BAY ROAD,MEQUON,WI,UNITED STATES,53092,262-238-4010,262-512-2704,,,,,,,Approved,11/9/1999,2/18/2010,Y,WWW.SPECTRUMINVESTOR.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,101-250,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,Y,BY PLAN PARTICIPANT FLAT FEE,Y,"12,061,598.00","2,604,246.00","14,665,844.00",55,35,90,Y,Y,N,N,Y,N,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108620,801-55207,DROMS STRAUSS ADVISORS INC,DROMS STRAUSS ADVISORS INC,7733 FORSYTH BOULEVARD,SUITE 1400,ST. LOUIS,MO,UNITED STATES,63105-1801,314-862-9100,314-862-4001,,,,,,,Approved,1/20/1998,2/18/2010,Y,WWW.DROMS-STRAUSS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"193,246,000.00",0,"193,246,000.00",588,0,588,Y,Y,N,N,Y,Y,N,N,N,Y,ESTATE & TAX PLANNING,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,130071,801-70364,"CRAVENS & COMPANY ADVISORS, LLC","CRAVENS & COMPANY ADVISORS, LLC",1080 INTERSTATE DRIVE,,COOKEVILLE,TN,UNITED STATES,38501,931-528-6865,931-646-3619,500 NORTH MAIN STREET,,JAMESTOWN,TN,UNITED STATES,38556,Approved,7/2/2009,2/18/2010,Y,WWW.CRAVENSCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"11,529,232.00","16,265,502.00","27,794,734.00",133,118,251,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,111220,801-60115,"RELIANT INVESTMENT MANAGEMENT, LLC","RELIANT INVESTMENT MANAGEMENT, LLC",6077 PRIMACY PARKWAY,SUITE 130,MEMPHIS,TN,USA,38119-5766,901-843-0600,901-843-0325,,,,,,,Approved,3/26/2001,2/18/2010,Y,WWW.RELIANTLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,26-50 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"349,847,814.00","1,419,017.00","351,266,831.00",301,2,303,N,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT ADVISER TO POOLED INVESTMENT VEHICLE,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,149365,801-69957,SAGE HILL ADVISORY AND MANAGEMENT LLC,SAGE HILL ADVISORY AND MANAGEMENT LLC,18 DIVISION ST,SUITE 210A,SARATOGA SPRINGS,NY,UNITED STATES,12866,518 871-1214,518 465-3534,,,,,,,Approved,3/2/2009,2/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"40,735,609.00",0,"40,735,609.00",56,0,56,Y,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111908,801-60480,"MONUMENT FINANCIAL ADVISORS, LLC","MONUMENT FINANCIAL ADVISORS, LLC","801 MAIN STREET, SUITE 14",,CONCORD,MA,USA,1742,978-369-7705,978-287-4208,,,,,,,Approved,8/14/2001,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"172,874,045.00","2,020,287.00","174,894,332.00",61,4,65,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,135806,801-64701,ROULAC GLOBAL FUNDS LLC,ROULAC GLOBAL FUNDS LLC,709 FIFTH AVENUE,,SAN RAFAEL,CA,USA,94901,415-451-4300,415-451-4343,,,,,,,Approved,9/13/2005,9/29/2008,Y,WWW.ROULACGLOBALPLACES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,5-Jan,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"29,000,000.00","2,000,000.00","31,000,000.00",4,2,6,N,N,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104728,801-22549,BEATON MANAGEMENT CO INC,BEATON MANAGEMENT CO INC,150 SUMMER STREET,,HAVERHILL,MA,UNITED STATES,01830-6032,978-372-3008,978-372-8407,,,,,,,Approved,10/15/1984,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"120,178,683.00","14,126,164.00","134,304,847.00",135,6,141,N,Y,N,N,N,N,N,N,N,Y,"PORTFOLIO MANAGEMENT FOR CHARITABLE ORGANIZATIONS,TRUSTS, AND ESTATES.",0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106977,801-7190,"ITS ASSET MANAGEMENT, L.P.",ITS ASSET MANAGEMENT LP,1720 WASHINGTON RD,,WASHINGTON,PA,USA,15301-8919,724-745-2300,724-745-0900,P O BOX 1260,,WASHINGTON,PA,USA,15301-7260,Approved,2/10/1971,4/1/2010,Y,WWW.ITSCONNECT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP (LP),PA,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,51-250,0,More than 500,"8,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"804,169,274.00",0,"804,169,274.00","10,594",0,"10,594",N,Y,N,Y,N,N,N,N,N,Y,TACTICAL ASSET ALLOCATION,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,132984,801-63689,"PERSHING SQUARE GP, LLC","PERSHING SQUARE GP, LLC",888 SEVENTH AVENUE,42ND FLOOR,NEW YORK,NY,UNITED STATES,10019,212-813-3700,212-286-1133,,,,,,,Approved,12/2/2004,4/1/2010,Y,HTTP://WWW.VISUALWEBCASTER.COM/PSTGT,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,"2,040,317,361.00",0,"2,040,317,361.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,MANAGER OF PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,141494,801-70325,DOUBLE ALPHA GROUP LLC,DOUBLE ALPHA GROUP LLC,"800 THIRD AVENUE, 9TH FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-994-9870,212-994-9879,,,,,,,Approved,6/23/2009,4/1/2010,Y,WWW.DOUBLEALPHA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,PRINCIPAL INVESTMENTS,Y,N,N,N,N,Y,N,,Y,"38,289,915.00",0,"38,289,915.00",3,0,3,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108165,801-57826,"GLENMEDE INVESTMENT MANAGEMENT, LP","GLENMEDE INVESTMENT MANAGEMENT, LP","1650 MARKET STREET, ONE LIBERTY PLACE",SUITE 1200,PHILADELPHIA,PA,UNITED STATES,19103,215-419-6092,215-640-3771,,,,,,,Approved,8/25/2000,4/1/2010,Y,WWW.GLENMEDEIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,PA,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,101-250,0,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,WRAP PLATFORMS,Y,N,N,N,N,N,N,,Y,"4,751,605,707.00",0,"4,751,605,707.00",544,0,544,N,Y,Y,Y,N,N,N,N,N,Y,PROVIDE MODEL PORTFOLIO FOR OVERLAY ACCOUNTS,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,140390,801-70241,LLENROC CAPITAL LLC,LLENROC CAPITAL LLC,781 LINCOLN AVENUE,SUITE 340,SAN RAFAEL,CA,UNITED STATES,94901,415-785-3670,415-785-3675,,,,,,,Approved,5/27/2009,12/14/2009,Y,WWW.LLENROCCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"100,000,000.00",0,"100,000,000.00",64,0,64,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,132982,801-63688,"PERSHING SQUARE CAPITAL MANAGEMENT, L.P.","PERSHING SQUARE CAPITAL MANAGEMENT, L.P.",888 SEVENTH AVENUE,42ND FLOOR,NEW YORK,NY,UNITED STATES,10019,212-813-3700,212-286-1133,,,,,,,Approved,12/2/2004,4/1/2010,Y,HTTPS://SECURE.PERSQ.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,837,074,813.00",0,"5,837,074,813.00",7,0,7,N,N,N,N,N,N,N,N,N,Y,MANAGER OF PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105818,801-8629,TORRAY LLC,TORRAY LLC,7501 WISCONSIN AVENUE,SUITE 1100,BETHESDA,MD,UNITED STATES,20814-6523,301-493-4600,301-530-0642,,,,,,,Approved,5/12/1972,4/1/2010,Y,WWW.TORRAY.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"443,799,198.00",0,"443,799,198.00",6,0,6,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109213,801-55537,"UBS FUND ADVISOR, L.L.C.","UBS FUND ADVISOR, L.L.C.",1285 AVENUE OF THE AMERICAS,11TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-882-5819,212-882-6838,,,,,,,Approved,7/10/1998,4/1/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,5-Jan,0,Nov-50,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,653,878,470.00",0,"2,653,878,470.00",19,0,19,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,Y,N,N,N,Y,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,Y,N,N,Y
CHRO,104936,801-32202,STEWARD CAPITAL MANAGEMENT,"STEWARD CAPITAL MANAGEMENT, INC.",21 EAST LONG LAKE ROAD,SUITE 200,BLOOMFIELD HILLS,MI,UNITED STATES,48304,248-647-5990,248-647-0537,,,,,,,Approved,6/30/1988,4/1/2010,Y,WWW.STEWARDCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,Y,THROUGH CONSULTING PROGRAMS WITH CERTAIN BROKER DEALERS,Y,"267,657,415.00",0,"267,657,415.00",100,0,100,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,139113,801-66085,"HIGHLINE CAPITAL MANAGEMENT, L.L.C.","HIGHLINE CAPITAL MANAGEMENT, L.L.C.",ONE ROCKEFELLER PLAZA 30TH FLOOR,,NEW YORK,NY,USA,10020,212-332-2250,212-332-2259,,,,,,,Approved,1/30/2006,4/1/2010,Y,WWW.HIGHLINECAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,780,697,018.00",0,"1,780,697,018.00",5,0,5,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106567,801-30200,THE TOWNSEND GROUP,"THE TOWNSEND GROUP, INC.","1660 W 2ND ST., STE 450",,CLEVELAND,OH,UNITED STATES,44113-1454,(216) 781-9090,(216) 781-1407,,,,,,,Approved,8/13/1987,4/1/2010,Y,WWW.TOWNSENDGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,Up to 10 percent,11-25 percent,26-50 percent,0 percent,,Y,Y,N,Y,N,Y,Y,RETAINER W/INCREMENTAL CHARGES BASED ON SERVICES REQUESTED.,Y,"2,434,505,862.00",0,"2,434,505,862.00",27,0,27,N,N,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112030,801-60228,"UBS TAMARACK MANAGEMENT, L.L.C.","UBS TAMARACK MANAGEMENT, L.L.C.",1285 AVENUE OF THE AMERICAS,11TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-882-5819,212-882-6838,,,,,,,Approved,5/18/2001,4/1/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"142,716,544.00",0,"142,716,544.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,Y,N,N,Y
CHRO,110491,801-40057,PPS & V ASSET MANAGEMENT CONSULTANTS INC,PPS & V ASSET MANAGEMENT CONSULTANTS INC,2750 OLD CENTRE AVE,,PORTAGE,MI,USA,49024,269-321-4444,269-321-7708,,,,,,,Approved,10/28/1991,12/14/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,More than 500,500,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"157,000,000.00",0,"157,000,000.00",500,0,500,N,Y,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109347,801-57401,"UBS WILLOW MANAGEMENT, L.L.C.","UBS WILLOW MANAGEMENT, L.L.C.",1285 AVENUE OF THE AMERICAS,11TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-882-5819,212-882-6838,,,,,,,Approved,3/27/2000,4/1/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,5-Jan,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"98,259,703.00",0,"98,259,703.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,Y,N,N,Y
NYRO,143486,801-68857,"ROCK MAPLE SERVICES, LLC","ROCK MAPLE SERVICES, LLC",711 FIFTH AVENUE,5TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-813-2720,212-813-2730,,,,,,,Approved,2/29/2008,4/1/2010,Y,WWW.ROCKMAPLEFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"480,331,210.00",0,"480,331,210.00",3,0,3,N,N,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109370,801-58033,"UBS JUNIPER MANAGEMENT, L.L.C.","UBS JUNIPER MANAGEMENT, L.L.C.",1285 AVENUE OF THE AMERICAS,11TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-882-5819,212-882-6838,,,,,,,Approved,10/31/2000,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"32,330,001.00",0,"32,330,001.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,Y,N,N,Y
SFRO,117838,801-64347,"SPRING POINT CAPITAL, LLC","SPRING POINT CAPITAL, LLC",1 MONTGOMERY STREET,33RD FLOOR,SAN FRANCISCO,CA,UNITED STATES,94104,415-675-3300,415-675-3320,,,,,,,Approved,5/27/2005,4/1/2010,Y,WWW.SPRINGPOINTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,326,068,483.00",0,"1,326,068,483.00",8,0,8,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147179,801-69167,"VERDE CAPITAL MANAGEMENT, INC.","VERDE CAPITAL MANAGEMENT, INC.",215 EAST BIG BEAVER ROAD,,TROY,MI,UNITED STATES,48083,248-528-1870,248-528-1744,,,,,,,Approved,5/21/2008,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"61,979,623.00",0,"61,979,623.00",684,0,684,Y,Y,N,N,N,N,N,N,N,N,,0,,Y,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105548,801-45517,ALPHA & OMEGA,"ALPHA & OMEGA FINANCIAL MANAGEMENT CONSULTANTS, INC.",8580 LA MESA BLVD STE 100,,LA MESA,CA,UNITED STATES,91941,619-462-7812,619-462-1766,P.O. BOX 2669,,LA MESA,CA,UNITED STATES,91943,Approved,2/15/1994,4/1/2010,Y,WWW.ALPHA-OMEGA-INC.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"24,758,802.00","131,750,705.00","156,509,507.00",81,175,256,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,138977,801-65752,"BFN ASSET MANAGEMENT, INC.","BFN ASSET MANAGEMENT, INC.",402 N. 8TH STREET,,MANITOWOC,WI,UNITED STATES,54221,920-652-3205,920-793-4637,,,,,,,Approved,1/25/2006,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"32,000,000.00",0,"32,000,000.00",145,0,145,Y,Y,N,Y,N,N,N,N,N,Y,INVESTMENT CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105970,801-9532,FAIRFIELD RESEARCH CORP,FAIRFIELD RESEARCH CORP,65 LOCUST AVE,,NEW CANAAN,CT,UNITED STATES,6840,203-972-0404,203-972-0875,,,,,,,Approved,9/24/1973,4/1/2010,Y,FRCINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"165,000,000.00","60,000,000.00","225,000,000.00",124,2,126,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,Y,Y,N,N,N,N,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,151808,801-70793,RED SKY CAPITAL MANAGEMENT,"CRABB FINANCIAL STRATEGIES, INC.",11717 OLD NATIONAL PIKE,SUITE 9,NEW MARKET,MD,UNITED STATES,21774,301-865-6198,301-865-7149,,,,,,,Approved,11/18/2009,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"27,487,692.00",0,"27,487,692.00",565,0,565,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105750,801-15405,MILBANK WINTHROP & CO.,MILBANK WINTHROP & CO.,654 MADISON AVE,STE 1550,NEW YORK,NY,UNITED STATES,10065-8431,212-980-2500,212-980-2510,,,,,,,Approved,8/28/1980,4/1/2010,Y,WWW.MILBANKWINTHROP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"537,094,670.00",0,"537,094,670.00",185,0,185,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,143567,801-67839,"SMEAD CAPITAL MANAGEMENT, INC.","SMEAD CAPITAL MANAGEMENT, INC.",1420 FIFTH AVENUE,SUITE 2625,SEATTLE,WA,UNITED STATES,98101,206-838-9850,206-838-9851,,,,,,,Approved,4/26/2007,4/1/2010,Y,WWW.SMEADCAP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"167,966,820.00",0,"167,966,820.00",437,0,437,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107702,801-53808,ANDREW R. BELLAMAH INVESTMENT ADVISORY LLC,BELLAMAH ANDREW R. INVESTMENT ADVISORY LLC,8730 GEORGIA AVENUE,SUITE 500,SILVER SPRING,MD,UNITED STATES,20910,301-562-7300-207,301-562-7310,,,,,,,Approved,2/7/1997,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,Y,Y,Y,"MUTUAL FUND 12B-1 AND OTHER FEES,BOND MARK UP/DOWN;",Y,"70,000,000.00","20,000,000.00","90,000,000.00",255,55,310,Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,Y,Y,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,42043,801-64933,"RIOUX & COMPANY, LLC","RIOUX & COMPANY, LLC",81 N. MAIN STREET,SUITE 5,BRISTOL,CT,UNITED STATES,6010,860-589-8754,860-589-6749,P.O. BOX 958,,BRISTOL,CT,UNITED STATES,06011-0958,Approved,12/8/2005,4/1/2010,Y,WWW.RIOUXCOMPANY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"25,372,016.00","25,372,016.00",0,394,394,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,123585,801-67714,"ROSEN CAPITAL MANAGEMENT, INC.","ROSEN CAPITAL MANAGEMENT, INC.",119 CALLOWAY DRIVE,,MACON,GA,USA,31204,478-742-1667,478-743-1683,,,,,,,Approved,3/30/2007,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"23,000,000.00","14,000,000.00","37,000,000.00",75,45,120,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112733,801-12830,WILMERDING MILLER & CO INC,WILMERDING MILLER & CO INC,212 CARNEGIE CENTER,SUITE 106,PRINCETON,NJ,USA,8540,609-897-0969,609-799-3062,,,,,,,Approved,2/9/1978,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"61,389,448.00",0,"61,389,448.00",102,0,102,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105973,801-17514,SIMMONS FINANCIAL MANAGEMENT INC,SIMMONS FINANCIAL MANAGEMENT INC,250 E WISCONSIN AVE,18TH FLOOR,MILWAUKEE,WI,UNITED STATES,53202,414-271-1856,414-347-7836,,,,,,,Approved,8/9/1982,12/14/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,085,780.00",0,"25,085,780.00",36,0,36,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,118477,801-60845,"PERSONAL FINANCIAL ADVISORS, L.L.C.","PERSONAL FINANCIAL ADVISORS, L.L.C.","100 TYLER STREET, NUMBER 6",,COVINGTON,LA,UNITED STATES,70433,985-898-0450,415-946-3169,P. O. BOX 3730,,COVINGTON,LA,UNITED STATES,70437-3730,Approved,1/18/2002,4/1/2010,Y,HTTP://WWW.MYPFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"76,000,000.00","8,000,000.00","84,000,000.00",155,10,165,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,108641,801-56800,MILLENNIUM CAPITAL ADVISORS LLC,MILLENNIUM CAPITAL ADVISORS LLC,425 WEST CAPITOL,SUITE 3010,LITTLE ROCK,AR,UNITED STATES,72201,501-374-2076,501-907-7522,,,,,,,Approved,9/24/1999,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AR,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"25,563,093.00","26,729,372.00","52,292,465.00",106,129,235,N,Y,N,Y,Y,N,N,N,N,Y,GENERAL CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,133898,801-63924,PROVIDENT CAPITAL MANAGEMENT INC,PROVIDENT CAPITAL MANAGEMENT INC,11595 N. MERIDIAN ST,SUITE 140,CARMEL,IN,UNITED STATES,46032-4544,317-705-1999,317-705-1994,,,,,,,Approved,3/14/2005,4/1/2010,Y,HTTP://WWW.PCMINVESTMENT.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"67,756,819.00","4,234,985.00","71,991,804.00",75,14,89,Y,Y,N,Y,N,N,N,N,Y,Y,REGISTRANT HAS AGREEMENTS TO PROVIDE ADVISORY SERVICES TO CLIENTS OF ENTITIES EITHER AS A SUB ADVISOR OR AS A MODEL MANAGER.,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110960,801-25781,"CTS FINANCIAL PLANNING, INC.","CERTIFIED TAX SERVICE, INC.",737 NORTH MICHIGAN AVENUE,SUITE 2120,CHICAGO,IL,UNITED STATES,60611,312-337-1040,312-337-9862,,,,,,,Approved,11/22/1985,12/14/2009,Y,WWW.CTSFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"187,092,000.00",0,"187,092,000.00",860,0,860,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,149018,801-69815,"RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC","RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC",880 CARILLON PARKWAY,,SAINT PETERSBURG,FL,UNITED STATES,33716,727-567-1000,727-567-8510,PO BOX 12749,,ST. PETERSBURG,FL,UNITED STATES,33733-2749,Approved,12/23/2008,12/14/2009,Y,WWW.RJF.COM/RJFS,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,More than 1000,"3,000",More than 1000,"3,000",More than 1000,"3,000",51-250,0,More than 500,"87,000",51-75 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"6,276,064,826.00","14,068,874,191.00","20,344,939,017.00","24,748","62,373","87,121",Y,Y,N,Y,Y,Y,N,N,N,Y,HOURLY & FIXED RATE CONSULTATIONS,More than 500,1500,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,Y,Y,N,N,N,Y,N,N,N,N
ARO,118696,801-68146,"STARKS FINANCIAL GROUP, INC.","STARKS FINANCIAL GROUP, INC.",56 CLAYTON STREET,,ASHEVILLE,NC,USA,28801,828-285-8777,828-285-0770,,,,,,,Approved,7/23/2007,4/1/2010,Y,HTTP://WWW.STARKSFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"46,512,776.00","16,416,273.00","62,929,049.00",255,90,345,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109918,801-47689,LSV ASSET MANAGEMENT,LSV ASSET MANAGEMENT,155 NORTH WACKER DRIVE,SUITE 4600,CHICAGO,IL,UNITED STATES,60606,312-460-2443,312-220-9241,,,,,,,Approved,11/14/1994,4/1/2010,Y,WWW.LSVASSET.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,UNCLASSIFIABLE; FOREIGN ENTITIES,Y,N,N,N,N,Y,N,,Y,"56,000,000,000.00",0,"56,000,000,000.00",509,0,509,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,126193,801-68722,LONGBOW ASSET MANAGEMENT,LONGBOW ASSET MANAGEMENT,401 SOUTH BOSTON AVENUE,SUITE 100,TULSA,OK,UNITED STATES,74103,918-295-9929,918-295-9928,,,,,,,Approved,1/14/2008,4/1/2010,Y,WWW.LBAMC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"33,617,190.00","3,358,460.00","36,975,650.00",390,20,410,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,140176,801-67384,ASSET MANAGEMENT ADVISORY GROUP LLC,ASSET MANAGEMENT ADVISORY GROUP LLC,1301 EAST NINTH STREET,SUITE #1750,CLEVELAND,OH,UNITED STATES,44114,216-561-0744,216-921-3604,,,,,,,Approved,1/3/2007,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"28,474,078.00","29,381,523.00","57,855,601.00",67,30,97,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,118877,801-66066,"RANGER ADVISORS, L.P.","RANGER ADVISORS, L.P.",300 CRESCENT COURT,SUITE 1100,DALLAS,TX,UNITED STATES,75201,214-871-5200,214-871-5201,,,,,,,Approved,1/20/2006,4/1/2010,Y,WWW.RANGERADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"194,940,227.00",0,"194,940,227.00",7,0,7,N,N,N,Y,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR INVESTMENT COMPANIES EXEMPT FROM REGISTRATION UNDER THE INVESTMENT COMPANY ACT OF 1940,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,132276,801-63886,"RANGER FUND MANAGEMENT, L.P.","RANGER FUND MANAGEMENT, L.P.",300 CRESCENT COURT,SUITE 1100,DALLAS,TX,UNITED STATES,75201,214-871-5200,214-871-5201,,,,,,,Approved,3/8/2005,4/1/2010,Y,WWW.RANGERFAMILY.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"4,398,721.00",0,"4,398,721.00",2,0,2,N,N,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,113064,801-60322,"INFLECTIVE ASSET MANAGEMENT, LLC","INFLECTIVE ASSET MANAGEMENT, LLC","1334 PARKVIEW AVENUE, SUITE 310",,MANHATTAN BEACH,CA,USA,90266,310-545-2992,310-545-2341,,,,,,,Approved,6/14/2001,4/1/2010,Y,INFLECTIVEASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"720,444,744.00",0,"720,444,744.00",13,0,13,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137494,801-65981,ASIAN CENTURY QUEST CAPITAL LLC,ASIAN CENTURY QUEST CAPITAL LLC,152 WEST 57TH STREET,6TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-328-9300,212-328-9328,,,,,,,Approved,2/1/2006,4/1/2010,Y,WWW.ACQCAP.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,081,000,000.00",0,"1,081,000,000.00",6,0,6,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGMENT FOR HEDGE FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107543,801-33087,SMITH WB FINANCIAL GROUP,SMITH WILLIAM BRUCE,TWO SOUTH STREET,,GRAFTON,MA,UNITED STATES,1519,508-839-4465,508-839-4626,,,,,,,Approved,10/14/1988,4/1/2010,Y,WWW.WBSMITHCOMPANIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"32,250,000.00","230,000,000.00","262,250,000.00",20,218,238,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,120512,801-61233,ACA MANAGEMENT,"ACA MANAGEMENT, L.L.C.","140 BROADWAY, 47TH FLOOR",,NEW YORK,NY,USA,10005,212-375-2000,212-375-2100,,,,,,,Approved,6/5/2002,6/19/2008,Y,WWW.ACA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"379,000,000.00",0,"379,000,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105913,801-41815,WALL & ASSOCIATES,MONEY MATTERS FINANCIAL GROUP INC,,,,,,,630-213-8885,630-213-8895,,,,,,,Approved,6/25/1992,3/12/2010,Y,WWW.WALLANDASSOCIATES.ORG,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,51-75 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"199,140,845.00","375,101,382.00","574,242,227.00",89,106,195,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,120357,801-61135,"CAPITAL INVESTMENT SERVICES, INC.","CAPITAL INVESTMENT SERVICES, INC.",140 W GAY ST,SUITE 200,WEST CHESTER,PA,USA,19380,484-356-9444,484-356-9445,,,,,,,Approved,5/8/2002,3/12/2010,Y,WWW.CAPITALSVS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"53,111,264.00","5,058,455.00","58,169,719.00",202,37,239,Y,Y,N,N,N,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107487,801-37761,FINARC LLC,FINARC LLC,140 KENDRICK STREET,C3 EAST,NEEDHAM,MA,USA,2494,781-449-8989,781-449-8939,,,,,,,Approved,12/6/1990,3/18/2010,Y,WWW.FINARC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"57,557,110.00","2,478,307.00","60,035,417.00",328,1,329,N,Y,N,Y,Y,N,N,N,N,Y,HOURLY CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107331,801-13839,DOWSE SECURITIES MANAGEMENT CORP,DOWSE SECURITIES MANAGEMENT CORP,"1303 JEFFERSON STREET, STE. 400A",,NAPA,CA,UNITED STATES,94559,707-224-7546,707-224-8519,P.O. BOX 5090,,NAPA,CA,UNITED STATES,94581-0090,Approved,5/23/1978,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"56,725,083.00",0,"56,725,083.00",56,0,56,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,140215,801-66771,ATFINANCIAL ADVISORS,AT FINANCIAL ADVISORS CORP.,895 MAIN STREET,,DUBUQUE,IA,UNITED STATES,52001,563-589-0851,563-289-0839,,,,,,,Approved,5/16/2006,3/18/2010,Y,WWW.ATFINANCIALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE OF ASSETS CONSULTED UPON,Y,"291,796,962.00",0,"291,796,962.00",42,0,42,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109468,801-54779,GRANT INVESTMENT MANAGEMENT,GRANT EDMUND HOWARD,,,,,,,630-986-1948,630-986-1958,,,,,,,Approved,8/6/1997,10/27/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"303,504,000.00",0,"303,504,000.00",23,0,23,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,120238,801-62498,"STATON FINANCIAL ADVISORS, LLC","STATON FINANCIAL ADVISORS, LLC",,,,,,,704-365-2122,704-365-1910,,,,,,,Approved,11/20/2003,3/18/2010,Y,WWW.STATONFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"57,600,000.00",0,"57,600,000.00",163,0,163,N,Y,N,N,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110409,801-41169,NORTHSTAR GROUP INC,NORTHSTAR GROUP INC,60 EAST 42ND ST,SUITE 3001,NEW YORK,NY,USA,10165,212-883-9595,212-697-3835,,,,,,,Approved,4/6/1992,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"175,036,459.00",0,"175,036,459.00",351,0,351,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107368,801-68031,COX GLOBAL ASSOCIATES INC,COX GLOBAL ASSOCIATES INC,1260 PIN OAK ROAD,SUITE 204,KATY,TX,UNITED STATES,77494-5600,281-395-8300,281-395-3799,,,,,,,Approved,6/28/2007,3/18/2010,Y,WWW.COXGLOBALASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"38,957,923.00",0,"38,957,923.00",134,0,134,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106571,801-51348,SUMNER FINANCIAL ADVISORS INC,SUMNER FINANCIAL ADVISORS INC,,,,,,,301-767-6900,301-767-9438,,,,,,,Approved,2/20/1996,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"47,790,311.00","1,054,391.00","48,844,702.00",101,2,103,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138273,801-66035,RED STAR ASSET MANAGEMENT,"RED STAR ASSET MANAGEMENT, L.P.",CANON'S COURT,22 VICTORIA STREET,HAMILTON,,BERMUDA,HM 12,441-298-3578,441-298-4136,,,,,,,Approved,2/1/2006,3/18/2010,Y,WWW.REDSTARFUNDS.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Partnership,,,BERMUDA,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,000,000.00",0,"3,000,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR A HEDGE FUND,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,113599,801-60514,"GREENWICH ALTERNATIVE ASSET MANAGEMENT, LLC","GREENWICH ALTERNATIVE INVESTMENT MANAGEMENT, LLC",FOUR HIGH RIDGE PARK,SUITE 202,STAMFORD,CT,UNITED STATES,6905,203-487-6180,203-487-6188,,,,,,,Approved,8/24/2001,3/18/2010,Y,WWW.GREENWICHAI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,NEGOTIATED FEE,Y,"30,500,000.00",0,"30,500,000.00",4,0,4,N,N,N,Y,N,Y,N,N,N,Y,MANAGE FUNDS OF FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,106896,801-36942,ROLLINS FINANCIAL COUNSELING INC,ROLLINS FINANCIAL COUNSELING INC,1201 PEACHTREE STREET,SUITE 1500,ATLANTA,GA,UNITED STATES,30361,404-892-7967,404-875-3712,,,,,,,Approved,7/13/1990,3/18/2010,Y,ROLLINSFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"116,500,000.00",0,"116,500,000.00",400,0,400,Y,Y,N,Y,N,N,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,105957,801-18270,ALBION FINANCIAL GROUP,ALBION MANAGEMENT GROUP,812 EAST 2100 SOUTH,,SALT LAKE CITY,UT,UNITED STATES,84106,801-487-3700,801-487-3766,,,,,,,Approved,2/10/1983,3/18/2010,Y,WWW.ALBIONFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"511,000,000.00","16,000,000.00","527,000,000.00","1,265",30,"1,295",Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110638,801-32176,DIAMOND HILL CAPITAL MANAGEMENT INC,DIAMOND HILL CAPITAL MANAGEMENT INC,325 JOHN H. MCCONNELL BLVD.,SUITE 200,COLUMBUS,OH,UNITED STATES,43215,614-255-3333,614-255-3363,,,,,,,Approved,6/2/1988,3/18/2010,Y,WWW.DIAMOND-HILL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,251-500,0,0 percent,51-75 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,WRAP ACCOUNTS,Y,N,N,N,N,Y,N,,Y,"6,491,995,372.00",0,"6,491,995,372.00",350,0,350,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108400,801-47201,"GUYASUTA INVESTMENT ADVISORS, INCORPORATED","GUYASUTA INVESTMENT ADVISORS, INCORPORATED",285 KAPPA DRIVE,SUITE 220,PITTSBURGH,PA,UNITED STATES,15238,412-447-4560,412-447-4579,,,,,,,Approved,8/19/1994,3/18/2010,Y,WWW.GUYASUTA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"657,941,000.00",0,"657,941,000.00",207,0,207,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,126800,801-65051,"REIS INVESTMENT MANAGEMENT, INC.","REIS INVESTMENT MANAGEMENT, INC.",8950 VILLA LA JOLLA DRIVE,SUITE C 110,LA JOLLA,CA,UNITED STATES,92037,858-455-5522,858-777-3350,,,,,,,Approved,2/1/2006,10/27/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"70,399,806.00",0,"70,399,806.00",283,0,283,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110361,801-60134,"NORTHEAST FINANCIAL CONSULTANTS, INC","NORTHEAST FINANCIAL CONSULTANTS, INC",,,,,,,203-226-8997,203-222-9105,P.O. BOX 2630,,WESTPORT,CT,UNITED STATES,6880,Approved,4/3/2001,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,305,545,371.00","435,505,882.00","1,741,051,253.00",823,595,"1,418",Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,126060,801-66580,"THE WEALTH ENHANCEMENT GROUP, INC.","THE WEALTH ENHANCEMENT GROUP, INC.",1075 POWERS PLACE,SUITE B,ALPHARETTA,GA,UNITED STATES,30009,770-777-1845,770-777-1425,,,,,,,Approved,5/1/2006,3/18/2010,Y,WWW.THEWEALTHENHANCEMENTGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,10-Jun,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"67,000,000.00","67,000,000.00",0,390,390,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145095,801-68339,HERRICK PORTFOLIO MANAGEMENT CO.,HERRICK PORTFOLIO MANAGEMENT CO.,,,,,,,440-666-7760,216-991-2896,,,,,,,Approved,9/12/2007,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"26,275,882.00",0,"26,275,882.00",159,0,159,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N
MIRO,137420,801-64930,"ABSOLUTE RETURN PORTFOLIO MANAGEMENT, LLC","ABSOLUTE RETURN PORTFOLIO MANAGEMENT, LLC",,,,,,,877-632-7491,877-632-7491,,,,,,,Approved,1/10/2006,3/18/2010,Y,WWW.ARPORTFOLIOS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,INVESTMENT ADVISORS,Y,N,N,N,N,N,Y,SUB-ADVISORY REVENUE SHARING,Y,"38,669,701.00",0,"38,669,701.00",143,0,143,N,Y,N,N,N,N,N,N,N,Y,SUB-ADVISORY TO REGISTERED INVESTMENT ADVISOR,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,138374,801-65444,REGAL WEALTH GROUP INC.,REGAL WEALTH GROUP INC.,"12501 SEAL BEACH BLVD, SUITE 280",,SEAL BEACH,CA,USA,90740,562-799-1929,562-799-0878,,,,,,,Approved,1/23/2006,3/18/2010,Y,WWW.REGALWEALTHGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"94,000,000.00","24,000,000.00","118,000,000.00",210,70,280,Y,Y,N,N,Y,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,251-500,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,106832,801-42500,MONEY MANAGEMENT SERVICES INC,"MONEY MANAGEMENT SERVICES, INC.",2100A SOUTHBRIDGE PARKWAY,SUITE 375,BIRMINGHAM,AL,USA,35209,205-871-7526,205-870-4878,,,,,,,Approved,10/30/1992,3/18/2010,Y,WWW.MONEYMANAGEMENTSERVICE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"131,756,857.00",0,"131,756,857.00",797,0,797,Y,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT CONSULTING,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107442,801-45196,GARLAND INVESTMENT MANAGEMENT INC.,"GARLAND INVESTMENT MANAGEMENT, INC.","920 COUNTRY CLUB DRIVE, SUITE 2B",,MORAGA,CA,UNITED STATES,94556-1954,925-376-1815,925-376-8745,POST OFFICE BOX 156,,MORAGA,CA,UNITED STATES,94556-0156,Approved,11/17/1993,3/18/2010,Y,WWW.GARLANDINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"97,598,355.00","4,954,074.00","102,552,429.00",187,1,188,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,106245,801-51822,FERRELL WEALTH MANAGEMENT INC.,FERRELL WEALTH MANAGEMENT INC.,1400 W FAIRBANKS AVE,SUITE 202,WINTER PARK,FL,UNITED STATES,32789,407-629-7008,407-629-7516,,,,,,,Approved,5/17/1996,3/18/2010,Y,WWW.FERRELLWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"208,000,000.00","2,000,000.00","210,000,000.00",165,3,168,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,Y,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109483,801-54263,EUCLID ADVISORS LLC,EUCLID ADVISORS LLC,900 THIRD AVE,,NEW YORK,NY,USA,10022,212-451-1100,212-451-1415,,,,,,,Approved,4/10/1997,3/18/2010,Y,WWW.VIRTUS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,POTENTIAL PORTFOLIO MANAGEMENT SERVICES FOR INVESTMENT COMPANIES.,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,104532,801-51559,SCM ADVISORS LLC,SCM ADVISORS LLC,909 MONTGOMERY STREET,FIFTH FLOOR,SAN FRANCISCO,CA,UNITED STATES,94133,415-486-6500,415-486-6780,,,,,,,Approved,4/5/1996,3/18/2010,Y,WWW.SCMADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,101-250,0,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,STRUCTURED FINANCIAL PRODUCTS,Y,N,N,N,N,Y,N,,Y,"3,090,000,000.00","26,000,000.00","3,116,000,000.00",156,19,175,N,Y,Y,Y,N,N,N,N,N,Y,MANAGEMENT OF STRUCTURED FINANCIAL PRODUCTS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108784,801-56470,ZWEIG ADVISERS LLC,ZWEIG ADVISERS LLC,900 THIRD AVENUE,,NEW YORK,NY,USA,10022,212-451-1100,212-451-1415,,,,,,,Approved,4/23/1999,3/18/2010,Y,WWW.VIRTUS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"826,200,000.00",0,"826,200,000.00",2,0,2,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110377,801-46595,"FIRST HEARTLAND CONSULTANTS, INC.","FIRST HEARTLAND CONSULTANTS, INC.",1839 LAKE ST LOUIS BLVD,,LAKE ST LOUIS,MO,UNITED STATES,63367,636-625-0900,636-625-0990,,,,,,,Approved,5/23/1994,7/2/2010,Y,WWW.FIRSTHEARTLAND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"2,120",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITATION FEES,Y,"409,601,557.00",0,"409,601,557.00","3,409",0,"3,409",Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,Y,N,N,Y,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,140937,801-70266,"ARROW CAPITAL MANAGEMENT, LLC","ARROW CAPITAL MANAGEMENT, LLC",499 PARK AVENUE,10TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-243-7338,212-243-2195,,,,,,,Approved,6/8/2009,7/2/2010,Y,HTTP://ARROWCAPMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"423,124,841.00",0,"423,124,841.00",6,0,6,N,Y,N,Y,N,N,N,N,N,Y,MANAGEMENT OF PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,148965,801-69779,CHELSEA MORGAN ADVISORS LLC,CHELSEA MORGAN ADVISORS LLC,20750 VENTURA BLVD.,STE 345,WOODLAND HILLS,CA,UNITED STATES,91364,818-585-8630,,,,,,,,120-Day Approval,1/2/2009,3/3/2009,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,N,N,N,N,N,N
PLRO,105914,801-47333,"PINENO LEVIN & FORD ASSET MANAGEMENT, INC.","PINENO LEVIN & FORD ASSET MANAGEMENT, INC.",7204 GLEN FOREST DRIVE,SUITE 103,RICHMOND,VA,UNITED STATES,23226,804-288-3772,804-288-6064,,,,,,,Approved,8/25/1994,7/2/2010,Y,WWW.PINENOLEVINFORD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"162,471,019.00","5,417,758.00","167,888,777.00",98,2,100,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,140808,801-63048,"KOVACK ADVISORS, INC.","KOVACK ADVISORS, INC.",6451 N. FEDERAL HWY,SUITE 1201,FT. LAUDERDALE,FL,UNITED STATES,33308,954-782-4771,954-943-7331,,,,,,,Approved,4/21/2004,7/2/2010,Y,KOVACKADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,51-250,0,51-250,0,51-250,0,51-250,0,More than 500,"1,500",26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"40,612,683.00","308,607,695.00","349,220,378.00",202,"1,240","1,442",Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,143973,801-67907,CALDER INVESTMENT ADVISORS,CALDER INVESTMENT ADVISORS,96 MONROE CENTER NW SUITE 305,,GRAND RAPIDS,MI,UNITED STATES,49503,616-235-2442,616-235-2460,,,,,,,Approved,5/21/2007,1/21/2010,Y,WWW.CALDERADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,10-Jun,0,More than 500,900,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"162,055,000.00","1,945,000.00","164,000,000.00",691,18,709,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,105298,801-16064,"IMPULSORA DEL FONDO MEXICO, SC","IMPULSORA DEL FONDO MEXICO, SC","ARISTOTELES NO 77, 3 ER PISO",,MEXICO DF,,MEXICO,11560,5255-5282-8900,5255-5282-3304,,,,,,,Approved,5/27/1981,1/21/2010,N,,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,Other (specify),CIVIL SOCIETY (SIMILAR TO PARTNERSHIP),,MEXICO,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"360,568,507.00",0,"360,568,507.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,144449,801-68078,DEWAAY ADVISORY,"DEWAAY ADVISORY, LLC",13001 UNIVERSITY AVENUE,,CLIVE,IA,UNITED STATES,50325,515-273-1300,515-273-1399,,,,,,,Approved,7/30/2007,7/2/2010,N,,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,IA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,10-Jun,0,More than 500,"1,000",26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"42,500,000.00","100,000,000.00","142,500,000.00",387,"2,000","2,387",Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,Y,N,Y,Y,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106999,801-51842,"ST. LOUIS FINANCIAL PLANNERS ASSET MANAGEMENT, LLC","ST. LOUIS FINANCIAL PLANNERS ASSET MANAGEMENT, LLC",1415 ELBRIDGE PAYNE ROAD,SUITE 140,CHESTERFIELD,MO,USA,63017,636-532-3900,636-532-4308,,,,,,,Approved,5/7/1996,1/21/2010,Y,WWW.STLFP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"69,019,504.00",0,"69,019,504.00",917,0,917,N,Y,N,N,N,Y,N,N,Y,N,,251-500,,N,N,N,Y,N,N,N,N,N,,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,123884,801-61705,"COPLEY SQUARE CAPITAL MANAGEMENT, LLC","COPLEY SQUARE CAPITAL MANAGEMENT, LLC",,,,,,,561.775.2680,561.775.2680,,,,,,,Approved,1/17/2003,3/3/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"45,785,521.00",0,"45,785,521.00",1,0,1,N,Y,N,Y,N,N,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,154387,801-71656,BEXIL ADVISERS LLC,BEXIL ADVISERS LLC,"11 HANOVER SQUARE, 12TH FLOOR",,NEW YORK,NY,UNITED STATES,10005,212-785-0400,212-363-1101,,,,,,,120-Day Approval,7/7/2010,7/2/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER HAS A REASONABLE EXPECTATION THAT IT WILL PROVIDE PORTFOLIO MANAGEMENT SERVICES TO AN INVESTMENT COMPANY.,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,140074,801-66760,PICTET ASSET MANANGEMENT SA.,PICTET ASSET MANANGEMENT SA.,60 ROUTE DES ACACIAS,,GENEVA,,SWITZERLAND,1211 - 73,011-41-58-323-2323,011-41-058-323-2040,,,,,,,Approved,6/13/2006,7/2/2010,Y,WWW.PICTET.COM/PAM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,SWITZERLAND,51-250,0,51-250,0,0,0,10-Jun,0,101-250,0,0 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,Y,REBALANCING FEES FOR QUANTITATIVLEY MANAGED ACCOUNTS,Y,"99,951,591,721.00",0,"99,951,591,721.00",221,0,221,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
DRO,106110,801-51483,INNOVEST PORTFOLIO SOLUTIONS LLC,INNOVEST PORTFOLIO SOLUTIONS LLC,4643 S. ULSTER ST.,SUITE 1040,DENVER,CO,UNITED STATES,80237,303-694-1900,303-694-4707,,,,,,,Approved,3/19/1996,7/2/2010,Y,WWW.INNOVESTINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,101-250,0,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,0,"3,451,302,249.00","3,451,302,249.00",0,146,146,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119901,801-61633,"RITTER DANIHER FINANCIAL ADVISORY, LLC","RITTER DANIHER FINANCIAL ADVISORY, LLC",7529-A STATE ROAD,,CINCINNATI,OH,USA,45255,513.233.0715,513.233.0718,,,,,,,Approved,11/27/2002,7/2/2010,Y,WWW.RITTERDANIHER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"152,006,031.00","21,692,216.00","173,698,247.00",644,102,746,Y,Y,N,N,N,N,N,N,N,Y,CONSULTING,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,129446,801-62556,"STEVEN L. POMERANZ FINANCIAL MANAGEMENT, INC.","STEVEN L. POMERANZ FINANCIAL MANAGEMENT, INC.",555 S. FEDERAL HIGHWAY,SUITE 210,BOCA RATON,FL,USA,33432,561-362-7850,561-362-9525,,,,,,,Approved,1/2/2004,7/2/2010,Y,WWW.SLPOMERANZ.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"147,685,182.00",0,"147,685,182.00",400,0,400,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108228,801-60130,INVESTMENT MANAGEMENT & CONSULTING GROUP,INVESTMENT MANAGEMENT & CONSULTING GROUP,97A EXCHANGE STREET STE 504,,PORTLAND,ME,UNITED STATES,4112,207-774-6552,207-775-2969,P.O. BOX 4802,,PORTLAND,ME,UNITED STATES,4112,Approved,4/6/2001,1/21/2010,Y,WWW.IMCGRP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,ME,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"118,099,045.00",0,"118,099,045.00",469,0,469,Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,152577,801-70996,CLAIRVOYANCE CAPITAL ADVISORS PTE. LTD.,CLAIRVOYANCE CAPITAL ADVISORS PTE. LTD.,80 RAFFLES PLACE,"#45-01, UOB PLAZA 1",NONE,,SINGAPORE,48624,65-6438-8889,65-6538-1892,,,,,,,Approved,1/15/2010,7/2/2010,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SINGAPORE,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"730,000,000.00",0,"730,000,000.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,145275,801-68415,"JOHN BOYER, INC.","JOHN BOYER, INC.",1601 WEST PLATT STREET,,TAMPA,FL,UNITED STATES,33606,813-254-9500,813-254-4422,,,,,,,Approved,11/1/2007,1/21/2010,Y,WWW.JOHNBOYERINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"39,000,000.00","400,000.00","39,400,000.00",225,1,226,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,147161,801-69235,EVEREST ASSET MANAGEMENT,EVEREST ASSET MANAGEMENT AG,RAEMISTRASSE 8,,ZURICH,,SWITZERLAND,CH-8024,+41 43 288 2710,+41 43 288 2719,,,,,,,Approved,7/7/2008,1/21/2010,Y,WWW.EVERESTAM.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SWITZERLAND,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"6,983,911.00",0,"6,983,911.00",26,0,26,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108522,801-56031,"OECHSLE INTERNATIONAL ADVISORS, LLC","OECHSLE INTERNATIONAL ADVISORS, LLC",125 HIGH STREET,"OLIVER TOWER, 20TH FLOOR",BOSTON,MA,USA,2110,617-330-8810,617-330-8812,,,,,,,Approved,10/8/1998,7/2/2010,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,"1,000",0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,AFFILIATED INVESTMENT ADVISOR,Y,N,N,Y,N,Y,Y,COMPENSATION FOR SERVICES TO AFFILIATED ADVISOR,Y,"7,477,734,754.00",0,"7,477,734,754.00","1,209",0,"1,209",N,Y,N,Y,N,N,N,N,N,Y,"PORTFOLIO MANAGEMENT FOR UNREGISTERED, POOLED VEHICLES; PORTFOLIO MANAGEMENT FOR WRAP FEE PROGRAM",,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,108523,801-57704,"OECHSLE INTERNATIONAL ADVISORS, LTD","OECHSLE INTERNATIONAL ADVISORS, LTD",7 CLIFFORD ST,,LONDON,,UNITED KINGDOM,W1S2BZ,011 44 20 7292 3800,011 44 20 7439 1794,125 HIGH STREET,"OLIVER TOWER, 20TH FLOOR",BOSTON,MA,UNITED STATES,2110,Approved,7/28/2000,7/2/2010,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,11-25 percent,AFFILIATED INVESTMENT ADVISOR,Y,N,N,Y,N,Y,Y,COMPENSATION FOR SERVICES TO AFFILATED ADVISOR,Y,"856,635,559.00",0,"856,635,559.00",4,0,4,N,Y,N,Y,N,N,N,N,N,Y,"PORTFOLIO MANAGEMENT FOR UNREGISTERED, POOLED VEHICLES",,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,128222,801-62346,"MERIDIAN CAPITAL PARTNERS, INC.","MERIDIAN CAPITAL PARTNERS, INC.",20 CORPORATE WOODS BOULEVARD,4TH FLOOR,ALBANY,NY,UNITED STATES,12211,518-432-1600,518-465-8680,,,,,,,Approved,9/24/2003,7/2/2010,Y,WWW.MCPHEDGE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,Nov-50,0,0,0,Nov-50,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"538,807,851.00","88,903,911.00","627,711,762.00",3,1,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,132233,801-63351,"MERIDIAN DIVERSIFIED FUND MANAGEMENT, LLC","MERIDIAN DIVERSIFIED FUND MANAGEMENT, LLC",20 CORPORATE WOODS BOULEVARD,4TH FLOOR,ALBANY,NY,UNITED STATES,12211,518-432-1600,518-465-8680,,,,,,,Approved,8/5/2004,7/2/2010,Y,WWW.MCPHEDGE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,Nov-50,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,038,093,188.00",0,"1,038,093,188.00",7,0,7,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151396,801-70774,"MERIDIAN FUND MANAGEMENT, LLC","MERIDIAN FUND MANAGEMENT, LLC",20 CORPORATE WOODS BLVD.,4TH FLOOR,ALBANY,NY,UNITED STATES,12211,518-432-1600,518-465-8680,,,,,,,Approved,11/12/2009,7/2/2010,Y,WWW.MCPHEDGE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,Nov-50,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"605,215,730.00",0,"605,215,730.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,153261,801-71258,"CARSON MANAGEMENT COMPANY, LLC","CARSON MANAGEMENT COMPANY, LLC",3030 OLIVE STREET,500 VICTORY PLAZA EAST,DALLAS,TX,UNITED STATES,75219,214.999.1000,214.999.1022,,,,,,,Approved,4/1/2010,7/2/2010,Y,WWW.CARSONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"387,501,072.00",0,"387,501,072.00",14,0,14,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,116944,801-62372,"JAMES N. BRAY, PHD DBA INVESTMENT & RETIREMENT ADVISORS","JAMES N. BRAY, PHD DBA INVESTMENT & RETIREMENT ADVISORS",,,,,,,206-523-1620,206-528-3834,,,,,,,Approved,9/17/2003,1/21/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,WA,UNITED STATES,5-Jan,0,0,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"45,616,777.00",0,"45,616,777.00",43,0,43,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,140226,801-66579,"AG FINANCIAL, LLC","AG FINANCIAL, LLC",2825 EAST COTTONWOOD PARKWAY,SUITE 500,SALT LAKE CITY,UT,UNITED STATES,84121,801-990-3470,801-990-3469,,,,,,,Approved,4/19/2006,7/2/2010,Y,WWW.MYAGFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"90,000,000.00","10,000,000.00","100,000,000.00",325,25,350,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111694,801-57260,"ENVESTNET ASSET MANAGEMENT, INC.","ENVESTNET ASSET MANAGEMENT, INC.","35 EAST WACKER DRIVE, STE. 2400",,CHICAGO,IL,UNITED STATES,60601-2206,312-827-2800,312-827-2801,,,,,,,Approved,2/10/2000,7/2/2010,Y,WWW.ENVESTNET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,251-500,0,Nov-50,0,51-250,0,5-Jan,0,More than 500,"30,500",51-75 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"9,798,328,250.00",0,"9,798,328,250.00","44,522",0,"44,522",N,Y,Y,Y,N,Y,N,N,N,N,,0,,Y,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,150964,801-70648,"MAIN LINE GROUP WEALTH MANAGEMENT, LLC","MAIN LINE GROUP WEALTH MANAGEMENT, LLC",100 WEST ELM STREET,SUITE 400,CONSHOHOCKEN,PA,UNITED STATES,19428,610-828-8288,610-643-3047,,,,,,,Approved,10/22/2009,7/2/2010,Y,WWW.MLGWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"41,988,437.00","4,215,657.00","46,204,094.00",274,14,288,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,130023,801-62639,"AH LISANTI CAPITAL GROWTH, LLC","AH LISANTI CAPITAL GROWTH, LLC",608 FIFTH AVENUE,SUITE 303,NEW YORK,NY,UNITED STATES,10020,212-792-6990,646-649-9080,,,,,,,Approved,1/5/2004,7/2/2010,Y,WWW.AHLISANTI.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,11-25 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"175,700,000.00",0,"175,700,000.00",18,0,18,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106149,801-40583,CAMBRIDGE TRUSTEE ADVISORS INC,CAMBRIDGE TRUSTEE ADVISORS INC,31 WASHINGTON ST,,WELLESLEY HILLS,MA,UNITED STATES,2481,781-235-3999,781-235-6251,,,,,,,Approved,1/17/1992,1/21/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"77,001,817.00",0,"77,001,817.00",89,0,89,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,40637,801-68420,"HANCOCK INVESTMENT SERVICES, INC.","HANCOCK INVESTMENT SERVICES, INC.",2600 CITIPLACE DRIVE,SUITE 100,BATON ROUGE,LA,UNITED STATES,70808,225-248-7109,225-248-7115,,,,,,,Approved,10/24/2007,7/2/2010,Y,WWW.HANCOCKBANK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MS,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"167,285,351.00",0,"167,285,351.00","1,178",0,"1,178",N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,Y,N,N,,N,,N,N,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,137888,801-66653,"FIRST ALLIED ADVISORY SERVICES, INC.","FIRST ALLIED ADVISORY SERVICES, INC.",15455 CONWAY ROAD,,CHESTERFIELD,MO,UNITED STATES,63017,636-537-1040,636-537-2897,,,,,,,Approved,6/6/2006,7/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,"8,500",More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"699,903,495.00","9,290,494.00","709,193,989.00","8,013",84,"8,097",Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,Y,Y,N,N,N,N,N,N,N,,N,N,Y,Y,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,Y,N,N,Y,Y
BRO,149446,801-69988,CONGRESS WEALTH MANAGEMENT LLC,CONGRESS WEALTH MANAGEMENT LLC,2 SEAPORT LANE,,BOSTON,MA,UNITED STATES,2210,617-428-7600,617-737-1818,,,,,,,Approved,3/5/2009,3/30/2010,Y,WWW.CONGRESSWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,RETAINER FEE FOR INITIAL PLANNING,Y,"300,000,000.00",0,"300,000,000.00",330,0,330,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107896,801-49064,HUTNER CAPITAL MANAGEMENT INC.,HUTNER CAPITAL MANAGEMENT INC.,"3556 MAIN STREET, BOX 379",,MANCHESTER,VT,UNITED STATES,5254,802-366-8157,802-366-8146,,,,,,,Approved,4/25/1995,3/30/2010,Y,WWW.HUTNERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,Y,NEGOTIATED FEES FOR LIMITED ADVISORY SERVICES PROVIDED,Y,"65,656,424.00",0,"65,656,424.00",60,0,60,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108723,801-54485,MORGAN STANLEY GLOBAL EMERGING MARKETS INC,MORGAN STANLEY GLOBAL EMERGING MARKETS INC,1585 BROADWAY,"39TH FLOOR, ATTN:  ALAN JONES",NEW YORK,NY,UNITED STATES,10036,212 761-7200,212 507-2416,,,,,,,Approved,7/17/1996,3/30/2010,Y,WWW.MORGANSTANLEY.COM/INSTITUTIONAL/INVEST_MANAGEMENT/PRIVATE_EQUITY/,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ADMINISTRATIVE FEES,Y,"9,717,147.00",0,"9,717,147.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137086,801-64703,AMBER PARTNERS LTD.,AMBER PARTNERS LTD.,"SUITE 306, COMMERCE BUILDING",1 CHANCERY LANE,HAMILTON,,BERMUDA,HM 12,441-296-8777,441-296-6908,P.O. BOX HM 1889,,HAMILTON,,BERMUDA,HM HX,Approved,9/19/2005,3/30/2010,Y,WWW.AMBERPARTNERS.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,BERMUDA,10-Jun,0,10-Jun,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,"*SEE SCHEDULE D (""MISCELLANEOUS""), RESPONSE TO ITEM 5D, FOR EXPLANATION",N,N,N,N,N,N,Y,"*SEE SCHEDULE D (""MISCELLANEOUS""), RESPONSE TO ITEM 5E",N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,"*SEE SCHEDULE D, RESPONSE TO ITEM 6B, FOR EXPLANATION",0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,134366,801-63987,"MORGAN STANLEY PRIVATE EQUITY ASIA, INC.","MORGAN STANLEY PRIVATE EQUITY ASIA, INC.",1585 BROADWAY,"39TH FLOOR, ATT: ALAN JONES",NEW YORK,NY,UNITED STATES,10036,1 212 761-7200,212 507-2416,,,,,,,Approved,3/24/2005,3/30/2010,Y,WWW.MORGANSTANLEY.COM/INSTITUTIONAL/INVEST_MANAGEMENT/PRIVATE_EQUITY,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ADMINISTRATIVE (ACQUISITION AND DISPOSITION) FEES,Y,"800,171,837.00",0,"800,171,837.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111013,801-30862,MORGAN STANLEY LEVERAGED EQUITY FUND II INC,MORGAN STANLEY LEVERAGED EQUITY FUND II INC,1 NY PLAZA,"32 FLOOR, ATTN: FRED STEINBERG",NEW YORK,NY,UNITED STATES,10004,2122765211,212-507-8565,,,,,,,Approved,9/17/1987,3/30/2010,Y,WWW.MORGANSTANLEY.COM/INSTITUTIONAL/INVEST_MANAGEMENT/PRIVATE_EQUITY/,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ADMINSTRATIVE FEES,Y,"69,991,626.00",0,"69,991,626.00",1,0,1,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111011,801-45478,MORGAN STANLEY CAPITAL PARTNERS III INC,MORGAN STANLEY CAPITAL PARTNERS III INC,1 NY PLAZA,"32ND FLOOR, FRED STEINBERG",NEW YORK,NY,UNITED STATES,10004,2122765211,212-507-8565,,,,,,,Approved,12/21/1993,3/30/2010,Y,WWW.MORGANSTANLEY.COM/INSTITUTIONAL/INVEST_MANAGEMENT/PRIVATE_EQUITY,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ADMINISTRATIVE FEES,Y,"3,957,092.00","199,877,351.00","203,834,443.00",1,5,6,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,124768,801-61780,"SORENSON PARTNERS, LLC","SORENSON PARTNERS, LLC",3400 N. ASHTON BLVD.,SUITE 400,LEHI,UT,UNITED STATES,84043,801-407-8407,801-407-8417,,,,,,,Approved,2/3/2003,3/30/2010,Y,WWW.SORENSONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"111,513,203.00",0,"111,513,203.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,INVESTMENT MANAGER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,105193,801-29922,HSBC GLOBAL ASSET MANAGEMENT (HONG KONG) LIMITED,HSBC GLOBAL ASSET MANAGEMENT (HONG KONG) LIMITED,HSBC MAIN BUILDING,1 QUEEN'S ROAD CENTRAL,HONG KONG,,HONG KONG,,852-2284-1111,852-2845-0226,,,,,,,Approved,7/2/1987,3/30/2010,Y,WWW.ASSETMANAGEMENT.HSBC.COM/HK,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,51-250,0,Nov-50,0,0,0,Nov-50,0,More than 500,600,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,PUBLIC GOVERNMENT FUND,Y,N,N,N,N,Y,N,,Y,"41,574,000,000.00","395,501,000.00","41,969,501,000.00",570,8,578,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,140361,801-66765,INTERNATIONAL MANAGEMENT ADVISORS LTD.,INTERNATIONAL MANAGEMENT ADVISORS LTD.,1360 E. 9TH ST.,SUITE 860,CLEVELAND,OH,UNITED STATES,44114,216-436-3555,216-436-3764,,,,,,,Approved,5/17/2006,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"76,606,990.00",0,"76,606,990.00",49,0,49,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108710,801-56033,MSDW CAPITAL PARTNERS IV INC,MSDW CAPITAL PARTNERS IV INC,"1 NY PLAZA, 32ND FLOOR",ATT: FRED STEINBERG,NEW YORK,NY,UNITED STATES,10004,2122765211,2125078565,,,,,,,Approved,12/1/1998,3/30/2010,Y,WWW.MORGANSTANLEY.COM/INSTITUTIONAL/INVEST_MANAGEMENT/PRIVATE_EQUITY/,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ADMINISTRATIVE FEES,Y,"8,332,963.00","280,949,224.00","289,282,187.00",1,2,3,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,147521,801-69426,MS CAPITAL PARTNERS ADVISER INC.,MS CAPITAL PARTNERS ADVISER INC.,"1585 BROADWAY, 39 FLOOR",ATTN: RICHARD SCHULTZ,NEW YORK,NY,UNITED STATES,10036,212 7618014,646 225-5426,,,,,,,Approved,8/4/2008,3/30/2010,Y,HTTP://WWW.MORGANSTANLEY.COM/INSTITUTIONAL/INVEST_MANAGEMENT/PRIVATE_EQUITY/,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ADMINISTRATIVE FEES,Y,"242,906,731.00",0,"242,906,731.00",20,0,20,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107486,801-41741,PARAGON CAPITAL MANAGEMENT,PARAGON CAPITAL MANAGEMENT CORP,"10 EDGEWOOD AVENUE,",,SMITHTOWN,NY,USA,11787,631-863-2700,631-863-2706,,,,,,,Approved,8/12/1992,3/30/2010,Y,WWW.PARAGONCAPITALONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,INSURANCE PREMIUMS,Y,"68,474,000.00","5,361,000.00","73,835,000.00",628,2,630,Y,Y,N,N,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,123651,801-66650,"THE LEONARD FINANCIAL GROUP, LLC","THE LEONARD FINANCIAL GROUP, LLC",6820 INDIANA AVENUE,SUITE 230,RIVERSIDE,CA,UNITED STATES,92506,951-781-7320,951-682-1382,,,,,,,Approved,5/3/2006,3/30/2010,Y,WWW.LEONARDLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"29,693,106.00",0,"29,693,106.00",130,0,130,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N
SFRO,150150,801-70139,JOHNSON LYMAN WEALTH ADVISORS,"JOHNSON LYMAN, INC.",2600 EL CAMINO REAL,SUITE 500,PALO ALTO,CA,UNITED STATES,94306,650-494-2733,650-494-2431,,,,,,,Approved,5/15/2009,3/30/2010,Y,WWW.JLWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"133,816,923.00",0,"133,816,923.00",119,0,119,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,124767,801-61777,"WEST RIM CAPITAL MANAGEMENT, L.P.","WEST RIM CAPITAL SCP MANAGEMENT, L.P.",3400 N. ASHTON BLVD.,SUITE 400,LEHI,UT,UNITED STATES,84043,801-407-8407,801-407-8411,,,,,,,Approved,2/7/2003,3/30/2010,Y,WWW.SORENSONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"111,513,203.00",0,"111,513,203.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,124760,801-61778,"WEST RIM CAPITAL I, LLC","WEST RIM CAPITAL I, LLC",3400 N. ASHTON BLVD.,SUITE 400,LEHI,UT,UNITED STATES,84043,801-407-8407,801-407-8417,,,,,,,Approved,2/7/2003,3/30/2010,Y,WWW.SORENSONCAPITAL.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,INVESTMENT MANAGER TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,148843,801-69824,RJR INVESTMENTS,"RJR INVESTMENT SERVICE, LLC",,,,,,,801-820-5327,801-820-5327,,,,,,,Approved,12/11/2008,3/30/2010,Y,WWW.RJRINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"34,502,524.00",0,"34,502,524.00",109,0,109,N,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT ADVICE TO INDIVIDUALS REGARDING THEIR CHOICES IN THEIR EMPLOYER'S 401(K) PLAN.,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,140987,801-67110,HALBIS CAPITAL MANAGEMENT (HONG KONG) LIMITED,HALBIS CAPITAL MANAGEMENT (HONG KONG) LIMITED,"LEVEL 22, HSBC MAIN BUILDING",1 QUEEN'S ROAD CENTRAL,HONG KONG,,HONG KONG SAR,,2284-1222,2284-1260,,,,,,,Approved,8/23/2006,3/30/2010,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,Nov-50,0,Nov-50,0,0,0,5-Jan,0,101-250,0,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,26-50 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"33,387,000,000.00","243,000,000.00","33,630,000,000.00",162,1,163,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,153348,801-71270,"PACIFX MANAGEMENT, LLC","PACIFX MANAGEMENT, LLC",,,,,,,307-278-6191,307-278-6191,,,,,,,Approved,3/30/2010,3/30/2010,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109044,801-55535,WRH PARTNERS GLOBAL SECURITIES LP,WRH PARTNERS GLOBAL SECURITIES LP,67 PARK PLACE,,MORRISTOWN,NJ,USA,7960,973-984-1233,973-984-5818,,,,,,,Approved,5/8/1998,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,11-25 percent,11-25 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"550,220,253.00",0,"550,220,253.00",4,0,4,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,108262,801-47310,MAVERICK CAPITAL LTD,MAVERICK CAPITAL LTD,300 CRESCENT CT,STE 1850,DALLAS,TX,UNITED STATES,75201,214-880-4000,214-880-4042,,,,,,,Approved,9/30/1994,3/30/2010,Y,WWW.MAVERICKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,TX,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"11,269,148,768.00",0,"11,269,148,768.00",13,0,13,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGMENT FOR HEDGE FUNDS,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N
ARO,114100,801-68875,"JAFFE WEALTH MANAGEMENT & CONSULTING, INC.","JAFFE WEALTH MANAGEMENT & CONSULTING, INC.",6465 N. QUAIL HOLLOW RD.,SUITE 260,MEMPHIS,TN,USA,38120,901-753-3886,901-473-4833,,,,,,,Approved,3/10/2008,3/30/2010,Y,WWW.JAADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"315,171.00","57,395,466.00","57,710,637.00",5,440,445,Y,Y,N,N,N,N,N,N,N,Y,EDUCATIONAL SEMINARS,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
LARO,110648,801-26253,PRIVATE FINANCIAL COUNSELING,PFC CAPITAL GROUP INC,1901 AVENUE OF THE STARS,11TH FLOOR,LOS ANGELES,CA,UNITED STATES,90067-6002,310-556-2055,310-286-2324,,,,,,,Approved,2/6/1986,10/28/2009,Y,WWW.PRIVATEFINANCIALCOUNSELING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"125,513,550.00",0,"125,513,550.00",283,0,283,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123807,801-65901,"GASAWAY INVESTMENT ADVISORS, INC.","GASAWAY INVESTMENT ADVISORS, INC.",515 EAST CENTRE AVENUE,,PORTAGE,MI,UNITED STATES,49002,269-324-0080,269-324-3834,,,,,,,Approved,1/25/2006,3/30/2010,Y,WWW.GASAWAYINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"53,749,803.00","16,689,242.00","70,439,045.00",567,90,657,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,Y,THIRD PARTY ADMINISTRATION OF RETIREMENT PLANS,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106292,801-47108,CIM INVESTMENT MANAGEMENT INC,CIM INVESTMENT MANAGEMENT INC,1302 INVESTMENT BUILDING,239 4TH AVENUE,PITTSBURGH,PA,UNITED STATES,15222,412-765-2771,412-281-2159,1302 INVESTMENT BUILDING,239 4TH AVENUE,PITTSBURGH,PA,UNITED STATES,15222,Approved,7/28/1994,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,Up to 10 percent,26-50 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"750,107,649.00","4,333,620.00","754,441,269.00",42,1,43,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135997,801-64415,"AVIATOR FUND MANAGEMENT, L.P.","AVIATOR FUND MANAGEMENT, L.P.",300 MAIN STREET,"7TH FLOOR, SUITE 706",STAMFORD,CT,UNITED STATES,6901,203-862-5700,203-862-2200,,,,,,,Approved,6/13/2005,3/30/2010,Y,WWW.AVIATORFUND.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"98,000,000.00",0,"98,000,000.00",8,0,8,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,118553,801-66574,KNICKERBOCKER ADVISORS INC.,KNICKERBOCKER ADVISORS INC.,,,,,,,518-398-9000,518-398-9800,POST OFFICE BOX 312,,PINE PLAINS,NY,USA,12567,Approved,4/11/2006,3/31/2010,Y,HTTP://WWW.KNICK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"62,166,342.00",0,"62,166,342.00",90,0,90,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112245,801-33315,MILLIMAN,"MILLIMAN, INC.",1301 FIFTH AVE STE 3800,,SEATTLE,WA,UNITED STATES,98101-2605,206-624-7940,206-340-1380,,,,,,,Approved,12/30/1988,3/31/2010,Y,WWW.MILLIMAN.COM,Y,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,More than 1000,"2,000",51-250,0,0,0,5-Jan,0,251-500,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"21,195,387,828.00","5,558,520,001.00","26,753,907,829.00",21,2,23,N,N,N,Y,Y,Y,N,N,N,Y,PROVIDE HEDGING ADVISORY SERVICES TO CLIENTS.,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138933,801-66071,ALLARD PARTNERS LIMITED,ALLARD PARTNERS LIMITED,"3106, 31/F ALEXANDER HOUSE",18 CHATER ROAD,CENTRAL,,HONG KONG,,852-2526 9168,852-2869 9087,,,,,,,Approved,1/30/2006,3/31/2010,Y,WWW.ALLARDPARTNERS.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,COST PLUS MARGIN,Y,"368,000,000.00",0,"368,000,000.00",3,0,3,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107581,801-53157,PORTFOLIO ANALYTICS INC,PORTFOLIO ANALYTICS INC,26877 NORTHWESTERN HIGHWAY,SUITE 300,SOUTHFIELD,MI,USA,48033-8417,248-357-3990,248-357-4396,,,,,,,Approved,10/25/1996,10/11/2007,Y,WWW.PORTFOLIOANALYTICS.NET,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"9,000,000.00","9,000,000.00",0,13,13,N,Y,N,N,Y,Y,N,N,N,Y,FURNISH ADVICE TO CLIENTS ON PLAN ADMINISTRATION SERVICES OFFERED BY OTHERS,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,143745,801-67845,"RIAZZI ASSET MANAGEMENT, LLC","RIAZZI ASSET MANAGEMENT, LLC",2331 FAR HILLS AVENUE,SUITE 200,DAYTON,OH,UNITED STATES,45419,937-643-1000,937-643-1001,,,,,,,Approved,5/3/2007,3/31/2010,Y,WWW.RIAZZIMGMT.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,UMA,Y,N,N,N,N,N,N,,Y,"333,470,825.00","2,046,227.00","335,517,052.00",462,9,471,N,Y,Y,Y,N,N,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109807,801-58104,MAI WEALTH ADVISORS LLC,MAI WEALTH ADVISORS LLC,"1360 EAST 9TH ST, STE 1100",,CLEVELAND,OH,UNITED STATES,44114-1782,(216) 920-4800,(216) 588-1007,,,,,,,Approved,10/2/2000,3/31/2010,Y,WWW.MAIWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,5-Jan,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,Y,PERCENTAGE OF NON-INVESTMENT INCOME,Y,"1,285,332,602.00","36,155,160.00","1,321,487,762.00","1,396",100,"1,496",Y,Y,N,Y,N,Y,N,N,N,Y,PORTFOLIO MGMT FOR PRIVATE INVT VEHICLES,101-250,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110324,801-12815,QCI ASSET MANAGEMENT INC,QCI ASSET MANAGEMENT INC,"40 ""A"" GROVE STREET",,PITTSFORD,NY,USA,14534,585-218-2060,585-218-2013,,,,,,,Approved,2/18/1977,3/31/2010,Y,WWW.E-QCI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,"1,000",0 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"916,121,477.00","770,545,780.00","1,686,667,257.00","2,326",48,"2,374",Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,124004,801-62232,"CRA FINANCIAL SERVICES, L.L.C.","CRA FINANCIAL SERVICES, L.L.C.",332 TILTON ROAD,,NORTHFIELD,NJ,UNITED STATES,8225,609-641-4000,609-641-7333,,,,,,,Approved,8/18/2003,3/31/2010,Y,WWW.CRAFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"25,398,602.00","188,194,324.00","213,592,926.00",125,"1,100","1,225",Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,152072,801-70783,PARENTEBEARD WEALTH MANAGEMENT LLC,PARENTEBEARD WEALTH MANAGEMENT LLC,SUITE 200,221 WEST PHILADELPHIA STREET,YORK,PA,UNITED STATES,17401-2993,717-846-6214,717-650-3365,,,,,,,Approved,10/1/2009,3/31/2010,Y,WWW.PARENTEBEARDWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,500,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"520,719,051.00","8,127,869.00","528,846,920.00",508,4,512,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,144386,801-68157,"SMITH ANGLIN FINANCIAL, LLC","SMITH ANGLIN FINANCIAL, LLC",17738 PRESTON ROAD,,DALLAS,TX,UNITED STATES,75252,(972) 267-1244,(972) 267-1243,P.O. BOX 794548,,DALLAS,TX,UNITED STATES,75379,Approved,8/2/2007,3/31/2010,Y,WWW.SMITHANGLIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"272,296,187.00","9,988,732.00","282,284,919.00","1,056",570,"1,626",Y,Y,N,Y,N,N,N,N,N,Y,CONSULTING SERVICES,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106662,801-45366,"SCHREINER CAPITAL MANAGEMENT, INC.","SCHREINER CAPITAL MANAGEMENT, INC.",111 SUMMIT DRIVE; SUITE 100,,EXTON,PA,USA,19341,610-524-7310,610-524-4050,,,,,,,Approved,12/6/1993,3/31/2010,Y,WWW.SCMINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,10-Jun,0,More than 500,858,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"163,321,409.00",0,"163,321,409.00","1,633",0,"1,633",N,Y,Y,Y,N,Y,Y,N,Y,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,104808,801-23922,"THE ARKANSAS FINANCIAL GROUP, INC.","THE ARKANSAS FINANCIAL GROUP, INC.",1001 N. UNIVERSITY AVE.,SUITE 200,LITTLE ROCK,AR,UNITED STATES,72207-6366,501-376-9051,501-376-6356,P.O. BOX 7757,,LITTLE ROCK,AR,UNITED STATES,72217-7757,Approved,4/17/1985,3/31/2010,Y,ARFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AR,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"215,466,283.00",0,"215,466,283.00",199,0,199,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,130728,801-62877,"CONNELLY CAPITAL MANAGEMENT, LLC","CONNELLY CAPITAL MANAGEMENT, LLC",,,,,,,307-739-2181,307-739-2181,,,,,,,Approved,3/18/2004,10/12/2007,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"14,029,000.00",0,"14,029,000.00",11,0,11,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119451,801-63897,THE ALPINE FINANCIAL GROUP,"THE CARROLL FINANCIAL GROUP, INC.",2142 ALPINE PLACE,,CINCINNATI,OH,UNITED STATES,45206,513-861-1889,513-961-1034,,,,,,,Approved,1/28/2005,3/10/2010,Y,WWW.ALPINEFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"57,955,806.00","5,999,361.00","63,955,167.00",306,25,331,Y,Y,N,N,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,142736,801-67451,RKC CAPITAL LLC,RKC CAPITAL LLC,35 WEST BROADWAY,SUITE 201,SALT LAKE CITY,UT,UNITED STATES,84101,801-521-8200,801-250-8229,,,,,,,Approved,1/18/2007,3/10/2010,Y,WWW.RKCCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"27,000,000.00","3,000,000.00","30,000,000.00",130,10,140,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,145098,801-68341,ASCENDANT WEALTH MANAGEMENT,ASCENDANT WEALTH MANAGEMENT LLC,3301 BONITA BEACH ROAD,SUITE 212,BONITA SPRINGS,FL,USA,34134,239-992-3900,239-992-2146,,,,,,,Approved,9/14/2007,3/10/2010,Y,WWW.ASCENDANTWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"69,640,622.00",0,"69,640,622.00",108,0,108,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,124267,801-66268,"KAY INVESTMENTS, INC.","KAY INVESTMENTS, INC.",,,,,,,585-396-1312,585-486-1312,,,,,,,Approved,2/23/2006,3/10/2010,Y,WWW.KAYINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"47,506,869.00","1,707,865.00","49,214,734.00",364,6,370,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,1378,801-10902,"GRIFFON MAY, INC.","GRIFFON MAY, INC.",696 MCVEY AVE,SUITE 201,LAKE OSWEGO,OR,UNITED STATES,97034,503.635.8844,503-635-5081,,,,,,,Approved,7/28/1975,3/10/2010,Y,WWW.GRIFFONMAY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"45,500,000.00",0,"45,500,000.00",180,0,180,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,147110,801-69154,"EVENTIDE ASSET MANAGEMENT, LLC","EVENTIDE ASSET MANAGEMENT, LLC",60 STATE STREET,SUITE 700,BOSTON,MA,UNITED STATES,2109,617-878-2135,617-845-0471,,,,,,,Approved,5/21/2008,3/10/2010,Y,WWW.EVENTIDEFUNDS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"5,450,000.00",0,"5,450,000.00",3,0,3,N,N,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,Y,2 PARTNERS ALSO WORK IN MORTAGAGE &VENTURE CAPITAL,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107221,801-34345,HUBER JOAN MACMONNIES,HUBER JOAN MACMONNIES,,,,,,,516-626-3359,516-626-2747,,,,,,,Approved,5/4/1989,3/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,Y,"54,000,000.00","8,000,000.00","62,000,000.00",111,21,132,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,113719,801-57976,BACHE CAPITAL MANAGEMENT,"BACHE CAPITAL MANAGEMENT, INC.",180 S. LAKE AVENUE,SUITE 610,PASADENA,CA,UNITED STATES,91101,626-449-2134,626-449-4016,,,,,,,Approved,9/21/2000,3/17/2010,Y,WWW.BACHECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"27,048,000.00",0,"27,048,000.00",60,0,60,N,Y,N,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109971,801-46692,"WMS PARTNERS, LLC","WMS PARTNERS, LLC","305 WASHINGTON AVENUE, SUITE 200",,TOWSON,MD,UNITED STATES,21204-4740,410-337-7575,410-337-7641,,,,,,,Approved,6/14/1994,3/17/2010,Y,WWW.WMS-PARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"771,001,958.00","475,607,737.00","1,246,609,695.00",299,20,319,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109960,801-57918,MEADOWBROOK INVESTMENT ADVISORS LLC,MEADOWBROOK INVESTMENT ADVISORS LLC,17199 N LAUREL PARK DR,STE 311,LIVONIA,MI,UNITED STATES,48152-7904,734-953-8688,734-953-9170,,,,,,,Approved,8/29/2000,3/17/2010,Y,WWW.MEADOWBROOK-ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"105,620,629.00",0,"105,620,629.00",176,0,176,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106241,801-49110,NEWPORT CAPITAL ADVISERS INC,NEWPORT CAPITAL ADVISERS INC,500 VICTORY RD,MARINA BAY,NORTH QUINCY,MA,UNITED STATES,2171,617-471-0282,617-847-4873,,,,,,,Approved,5/15/1995,3/17/2010,Y,WWW.NEWPORTCAPADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"36,747,966.00","143,457,035.00","180,205,001.00",13,3,16,N,Y,N,Y,Y,Y,N,N,N,Y,ENDOWMENT FUND CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144087,801-67919,"GLENROCK CAPITAL ADVISERS, LLC","GLENROCK CAPITAL ADVISERS, LLC",767 THIRD AVENUE,14TH FLOOR,NEW YORK,NY,UNITED STATES,10017-2023,212-994-0600,212-994-0610,,,,,,,Approved,6/4/2007,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"191,673,430.00","276,729,160.00","468,402,590.00",5,1,6,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106748,801-46836,HAUCK WEALTH MANAGEMENT,HAUCK EDWARD ALBERT,,,,,,,717-293-7172,717-293-8722,,,,,,,Approved,6/28/1994,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"44,727,284.00","19,731,565.00","64,458,849.00",131,60,191,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,127600,801-62408,ASPECT CAPITAL LIMITED,ASPECT CAPITAL LIMITED,NATIONS HOUSE,103 WIGMORE STREET,LONDON,,UNITED KINGDOM,W1U1QS,011 44 20 7170 9700,011 44 20 7170 9680,,,,,,,Approved,10/1/2003,3/17/2010,Y,WWW.ASPECTCAPITAL.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,51-250,0,51-250,0,0,0,Nov-50,0,26-100,0,0 percent,Up to 10 percent,26-50 percent,0 percent,11-25 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,567,920,000.00",0,"3,567,920,000.00",44,0,44,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107118,801-52862,STALEY CAPITAL ADVISERS INC,STALEY CAPITAL ADVISERS INC,ONE OXFORD CENTRE,STE 3950,PITTSBURGH,PA,UNITED STATES,15219,412-394-1292,412-394-1298,,,,,,,Approved,9/10/1996,3/17/2010,Y,WWW.STALEYCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"617,323,696.00",0,"617,323,696.00",435,0,435,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR INVESTMENT-RELATED LIMITED PARTNERSHIP,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
FWRO,104784,801-17585,"KEMPNER CAPITAL MANAGEMENT, INC.","KEMPNER CAPITAL MANAGEMENT, INC.",2201 MARKET STREET,12TH FLOOR,GALVESTON,TX,UNITED STATES,77550,409.765.6671,409.765.9098,P. O. BOX 119,,GALVESTON,TX,UNITED STATES,77553,Approved,9/15/1982,3/17/2010,Y,WWW.KEMPNERCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,11-25 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,11-25 percent,LIMITED PARTNERSHIPS,Y,N,N,N,N,N,N,,Y,"301,898,678.00","102,789,714.00","404,688,392.00",16,1,17,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,118614,801-62721,"WEALTHHARBOR CAPITAL GROUP, LLC","WEALTHHARBOR CAPITAL GROUP, LLC",4227 CANAL STREET,,NEW ORLEANS,LA,UNITED STATES,70119,504-482-1962,504-482-2516,,,,,,,Approved,1/16/2004,3/17/2010,Y,WWW.WEALTHHARBOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"96,500,000.00","1,500,000.00","98,000,000.00",330,15,345,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,Y,401(K) PLANS,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109993,801-60988,"OARSMAN CAPITAL, INC","OARSMAN CAPITAL, INC",759 NORTH MILWAUKEE STREET,,MILWAUKEE,WI,UNITED STATES,53202,414-221-0081,414-221-0057,,,,,,,Approved,3/15/2002,3/17/2010,Y,WWW.OARSMAN.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,10-Jun,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"127,726,289.00","8,853,553.00","136,579,842.00",661,35,696,Y,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT CONSULTING,0,,N,Y,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153183,801-71171,"MOHLMAN ASSET MANAGEMENT FUND 2010, LLC","MOHLMAN ASSET MANAGEMENT FUND 2010, LLC",,,,,,,260-627-8518,260-627-8431,,,,,,,Approved,3/16/2010,3/17/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,130889,801-62976,"GULFSTREAM CAPITAL MANAGEMENT,LLC","GULFSTREAM CAPITAL MANAGEMENT,LLC",1700 66TH STREET NORTH,SUITE 406,ST. PETERSBURG,FL,UNITED STATES,33710-5512,727-347-1670,727-343-1438,,,,,,,Approved,4/14/2004,3/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"43,845,291.00","14,344,621.00","58,189,912.00",37,14,51,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,Y,Y,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,137021,801-67542,"RAPPAPORT REICHES CAPITAL MANAGEMENT,","RAPPAPORT REICHES CAPITAL MANAGEMENT, LLC",2700 PATRIOT BOULEVARD,SUITE 370,GLENVIEW,IL,UNITED STATES,60026,847-832-0030,847-832-0033,,,,,,,Approved,2/15/2007,3/25/2010,Y,WWW.RRCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"156,661,668.00",0,"156,661,668.00",325,0,325,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106788,801-49482,SIGULER GUFF ADVISERS LLC,SIGULER GUFF ADVISERS LLC,825 THIRD AVENUE,10TH FLOOR,NEW YORK,NY,USA,10022,212-332-5100,212-332-5130,,,,,,,Approved,7/6/1995,3/25/2010,Y,WWW.SIGULERGUFF.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"6,678,489,260.00","409,418,457.00","7,087,907,717.00",33,9,42,N,N,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,105910,801-10722,LEE FINANCIAL CORP,LEE FINANCIAL CORP,12222 MERIT DRIVE,SUITE 1500,DALLAS,TX,UNITED STATES,75251-2261,972-960-1001,972-677-0478,,,,,,,Approved,4/26/1975,3/25/2010,Y,WWW.LEEFIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,HUMAN CAPITAL SERVICES,Y,"761,692,343.00","74,115,045.00","835,807,388.00","1,085",76,"1,161",Y,Y,N,Y,N,N,N,N,N,Y,"INVESTMENT ADVICE TO INDIVIDUALS, PENSIONS, PROFIT SHARING PLANS, TRUSTS, ESTATES, CHARITIES, CORPORATIONS, BUSINESSES",101-250,,N,N,N,N,Y,N,N,N,N,,Y,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110304,801-58276,"PRESTIGE PLANNING, INC.","PRESTIGE PLANNING, INC.",8631 EAGLE POINT BLVD,,LAKE ELMO,MN,USA,55042,651-209-9333,651-209-9334,,,,,,,Approved,1/9/2001,3/25/2010,Y,PRESTIGEPLANNINGINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"104,288,000.00","3,640,379.00","107,928,379.00",276,8,284,Y,Y,N,N,N,N,N,N,N,Y,FINANCIAL/QUALIFIED PLANS/RETIREMENT PLANNING SEMINARS,251-500,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,141436,801-62510,SELEZNOV CAPITAL ADVISORS LLC,SELEZNOV CAPITAL ADVISORS LLC,7702 E. DOUBLETREE RANCH RD.,SUITE 300,SCOTTSDALE,AZ,UNITED STATES,85258,480-951-4001,480-951-7837,,,,,,,Approved,11/13/2003,3/25/2010,Y,WWW.SELEZNOVCAPITALADVISORS.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"20,000,000.00",0,"20,000,000.00",150,0,150,N,Y,N,Y,Y,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,143848,801-67872,"HECK CAPITAL ADVISORS, LLC","HECK CAPITAL ADVISORS, LLC",315 S. ONEIDA AVENUE,2ND FLOOR,RHINELANDER,WI,USA,54501,715-361-1500,715-361-1515,PO BOX 738,,RHINELANDER,WI,USA,54501,Approved,5/14/2007,3/25/2010,Y,WWW.HECKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,FLAT FEES,Y,"277,102,206.00","1,263,804,158.00","1,540,906,364.00","1,179",101,"1,280",Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,133110,801-63765,"CAYMUS CAPITAL PARTNERS, L.P.","CAYMUS CAPITAL PARTNERS, L.P.",10001 WOODLOCH FOREST DRIVE,SUITE 225,THE WOODLANDS,TX,UNITED STATES,77380,281-203-5280,280-298-7805,,,,,,,Approved,1/3/2005,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"171,638,945.00",0,"171,638,945.00",61,0,61,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106772,801-39398,CAMDEN ASSET MANAGEMENT,CAMDEN ASSET MANAGEMENT L P,2049 CENTURY PARK EAST,STE 330,LOS ANGELES,CA,USA,90067-4007,310-785-9755,310-785-9780,,,,,,,Approved,7/8/1991,3/25/2010,Y,WWW.CAMDENASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,CA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,11-25 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,385,284,005.00",0,"2,385,284,005.00",10,0,10,N,N,N,Y,N,N,N,N,N,Y,"SERVES AS GENERAL PARTNER, MANAGER AND/OR ADVISER TO ONE OR MORE PRIVATE INVESTMENT FUNDS",0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147265,801-70292,"MAIN STREET INVESTMENT MANAGEMENT, LLC","MAIN STREET INVESTMENT MANAGEMENT, LLC",635 RIVERFRONT DRIVE,SUITE 200,SHEBOYGAN,WI,UNITED STATES,53081,920-694-3265,920-694-3266,,,,,,,Approved,6/30/2009,3/25/2010,Y,WWW.MAINSTIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"33,000,000.00",0,"33,000,000.00",93,0,93,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108105,801-57422,KB & PARTNERS MANAGEMENT CO LLC,KB & PARTNERS MANAGEMENT CO LLC,555 MADISON AVE,22ND FL,NEW YORK,NY,USA,10022,212-980-5050,212-755-5330,,,,,,,Approved,4/7/2000,3/25/2010,Y,WWW.KAHNBROTHERS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,THE APPLICANT SERVES AS THE GENERAL PARTNER OF KAHN BROTHERS & PARTNERS L.P. FORMED FOR PURPOSE OF INVESTING IN SECURITIES.,Y,N,N,N,N,Y,N,,Y,"51,604,431.00",0,"51,604,431.00",1,0,1,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105654,801-20778,"BRADFORD & MARZEC, LLC","BRADFORD & MARZEC, LLC",333 SOUTH HOPE STREET,SUITE 4050,LOS ANGELES,CA,UNITED STATES,90071-3049,213-687-9170,213-687-9189,,,,,,,Approved,3/5/1984,3/25/2010,Y,WWW.BRADFORDMARZEC.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,11-25 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,NATIVE AMERICAN ACCOUNTS,Y,N,N,N,N,Y,N,,Y,"3,500,193,775.00",0,"3,500,193,775.00",175,0,175,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111083,801-57840,"QUANTUM CAPITAL MANAGEMENT, LLC","QUANTUM CAPITAL MANAGEMENT, LLC",105 EAST MILL ROAD,,NORTHFIELD,NJ,USA,08225-2553,609-677-4949,609-677-8825,,,,,,,Approved,8/25/2000,3/25/2010,Y,WWW.QUANTUMADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"151,741,802.00",0,"151,741,802.00",177,0,177,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114518,801-63736,STEGENT EQUITY ADVISORS INC.,STEGENT EQUITY ADVISORS INC.,24 GREENWAY PLAZA,SUITE 515,HOUSTON,TX,UNITED STATES,77046,713-840-9300 X104,713-840-0012,,,,,,,Approved,2/17/2005,3/25/2010,Y,WWW.STEGENTEQUITY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,MUTUAL FUNDS SERVICE AGREEMENT,Y,"75,500,000.00","1,500,000.00","77,000,000.00",301,20,321,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,144185,801-67993,"NC III, L.L.C.","NC III, L.L.C.",649 SAN RAMON VALLEY BLVD,,DANVILLE,CA,UNITED STATES,94526,925-820-9970,925-820-9994,,,,,,,Approved,6/13/2007,3/25/2010,Y,WWW.NORTHGATE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,813,271,555.00",0,"1,813,271,555.00",32,0,32,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,7506,801-3701,LEHMAN BROTHERS INC.,LEHMAN BROTHERS INC.,399 PARK AVE,,NEW YORK,NY,USA,10022,212-526-7393,212-294-0336,1271 AVENUE OF THE AMERICAS,42ND FLOOR,NEW YORK,NY,,10020,Approved,4/25/1975,10/20/2008,Y,WWW.LEHMAN.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,More than 1000,"6,000",Nov-50,0,Nov-50,0,Nov-50,0,More than 500,"13,900",Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,INDIAN SOVEREIGN NATIONS,Y,N,N,Y,Y,N,N,,Y,"5,938,000,000.00","26,902,000,000.00","32,840,000,000.00","1,480","12,436","13,916",Y,Y,N,Y,N,Y,N,N,N,N,,More than 500,800,Y,Y,Y,N,Y,N,N,N,N,,N,,Y,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y
SFRO,109546,801-55162,DHR INVESTMENT COUNSEL LTD,DHR INVESTMENT COUNSEL LTD,5435 COLLEGE AVE,,OAKLAND,CA,USA,94518,510-596-2580,510-596-2590,,,,,,,Approved,1/8/1998,3/25/2010,Y,WWW.DHRCOUNSEL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"196,015,006.00","182,853,682.00","378,868,688.00",418,159,577,N,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114196,801-64477,DREHER COMPANY,DREHER COMPANY INC.,517 W. TWOHIG AVENUE,,SAN ANGELO,TX,UNITED STATES,76903,325-486-8600,325-486-8700,,,,,,,Approved,7/15/2005,3/25/2010,Y,WWW.DREHERCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"33,706,011.00","51,689,697.00","85,395,708.00",71,8,79,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105620,801-32184,KAHN BROTHERS ASSET MANAGEMENT CORP,KAHN BROTHERS ASSET MANAGEMENT CORP,"555 MADISON AVENUE, 22ND FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-980-5050,212-755-5330,,,,,,,Approved,6/3/1988,3/25/2010,Y,WWW.KAHNBROTHERS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,"THE APPLICANT SERVES AS THE GENERAL PARTNER OF KAHN BROTHERS VALUE FUND,L.P. FORMED FOR PURPOSE OF INVESTING IN SECURITIES.",Y,N,N,N,N,Y,N,,Y,"15,560,544.00",0,"15,560,544.00",1,0,1,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138819,801-65380,"PS MANAGEMENT, INC.","PS MANAGEMENT, INC.","88 PINE STREET, 31ST FLOOR",WALL STREET PLAZA,NEW YORK,NY,USA,10005,212-495-5200,212-495-5236,,,,,,,Approved,1/19/2006,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"146,674,000.00",0,"146,674,000.00",1,0,1,N,N,N,N,N,Y,N,N,N,Y,ADVISE POOLED INVESTMENT VEHICLE,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122593,801-64503,FINANCIAL RESOURCES TAX & FINANCIAL CONSULTING SERVICES,"FINANCIAL RESOURCES TAX & FINANCIAL CONSULTING SERVICES, INC.",803 WEST BIG BEAVER ROAD,SUITE 355,TROY,MI,UNITED STATES,48084,248-362-2165,248-362-2583,,,,,,,Approved,8/2/2005,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SHARES IN THIRD PARTY ADVISORY FEES,Y,0,"30,628,299.00","30,628,299.00",0,438,438,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTING SERVICES,10-Jan,,N,N,N,N,N,N,N,N,Y,"FINANCIAL RESOURCES MORTGAGE COMPANY, LLC",Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,133665,801-70334,"C-J ADVISORY, INC.","C-J ADVISORY, INC.",2060 THE ALAMEDA,,SAN JOSE,CA,USA,95126,408-345-2890,408-345-2896,,,,,,,Approved,6/30/2009,3/25/2010,Y,WWW.CJADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"89,781,961.00",0,"89,781,961.00",604,0,604,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,105887,801-34278,GEORDAN CAPITAL MANAGEMENT LLC,GEORDAN CAPITAL MANAGEMENT LLC,"8400 E. PRENTICE AVE.,STE. 625",,GREENWOOD VILLAGE,CO,UNITED STATES,80111,303-694-4500,303-220-8151,,,,,,,Approved,4/21/1989,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"57,662,863.00",0,"57,662,863.00",63,0,63,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,130080,801-66957,"SHIMKUS, PETER E","SHIMKUS, PETER EDWARD","70 FARGO STREET, SUITE  907",,BOSTON,MA,UNITED STATES,02210-2122,617 261 4646 EXT 16,617-345-4293,,,,,,,Approved,6/30/2006,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"39,759,000.00",0,"39,759,000.00",185,0,185,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,104559,801-48187,PACIFIC INVESTMENT MANAGEMENT COMPANY LLC,PACIFIC INVESTMENT MANAGEMENT COMPANY LLC,840 NEWPORT CENTER DRIVE,SUITE 100,NEWPORT BEACH,CA,UNITED STATES,92660,(949) 720-6000,(949) 720-6361,,,,,,,Approved,11/14/1994,3/25/2010,Y,WWW.PIMCO.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,501-1000,0,251-500,0,251-500,0,5-Jan,0,More than 500,500,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,FOREIGN CLIENTS AND POOLED VEHICLES,Y,N,N,Y,N,Y,Y,LICENSING FEES,Y,"993,572,320,149.00","6,535,406,865.00","1,000,107,727,014.00","2,011",12,"2,023",N,Y,Y,Y,Y,Y,N,N,N,N,,0,,N,Y,N,Y,Y,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N
SFRO,140214,801-66571,"NORTHGATE CAPITAL, L.P.","NORTHGATE CAPITAL, L.P.",649 SAN RAMON VALLEY BLVD,,DANVILLE,CA,UNITED STATES,94526,925-820-9970,925-820-9994,,,,,,,Approved,11/24/2006,3/25/2010,Y,WWW.NORTHGATE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,813,271,555.00",0,"1,813,271,555.00",32,0,32,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114549,801-64491,"RETIREMENT CONSULTING SERVICES, INC.","RETIREMENT CONSULTING SERVICES, INC.",16475 DALLAS PARKWAY,SUITE 150,ADDISON,TX,UNITED STATES,75001-6220,972-248-1500,972-248-9263,,,,,,,Approved,7/11/2005,3/25/2010,Y,WWW.RETIREMENTCONSULTINGSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"78,096,995.00",0,"78,096,995.00",400,0,400,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,116894,801-67218,"NR SMITH & ASSOCIATES, P.S.","NR SMITH & ASSOCIATES, P.S.",2120 CATON WAY S.W.,,OLYMPIA,WA,UNITED STATES,98502-1106,360-754-9475,360-786-8174,,,,,,,Approved,10/19/2006,3/25/2010,Y,WWW.NRSMITH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"28,879,751.00",242,"28,879,993.00",77,2,79,Y,Y,N,N,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,128473,801-62367,"WEST OAK CAPITAL, LLC","WEST OAK CAPITAL, LLC",2801 TOWNSGATE ROAD,SUITE 112,WESTLAKE VILLAGE,CA,USA,91361,805-230-8282,805-230-8283,,,,,,,Approved,9/17/2003,2/26/2010,Y,WWW.WESTOAKCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"183,784,682.00","49,377,840.00","233,162,522.00",176,5,181,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110603,801-26809,"NEW ERA FINANCIAL ADVISORS, INC.","NEW ERA FINANCIAL ADVISORS, INC",801 TWELVE OAKS CENTER DRIVE,SUITE 826,WAYZATA,MN,UNITED STATES,55391-1493,952-473-1116,952-473-3129,,,,,,,Approved,4/25/1986,2/26/2010,Y,NEWERAFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,More than 500,520,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"244,689,826.00",0,"244,689,826.00",931,0,931,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,150149,801-70733,ZEIT CAPITAL,ZEIT CAPITAL LLC,3131 WESTERN AVE,#418,SEATTLE,WA,UNITED STATES,98121,206-352-5679,206-352-5680,,,,,,,Approved,10/29/2009,2/26/2010,Y,WWW.ZEITCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"40,550,000.00","2,350,000.00","42,900,000.00",84,2,86,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106969,801-50628,MOLER CAPITAL MANAGEMENT,MOLER RANDALL GENE,9070 IRVINE CENTER DRIVE,SUITE 240,IRVINE,CA,UNITED STATES,92618,949-748-3993,949-748-3995,,,,,,,Approved,11/28/1995,2/26/2010,Y,WWW.MOLERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"81,756,860.00",0,"81,756,860.00",274,0,274,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,149489,801-70055,"INTEGRATED CAPITAL MANAGEMENT, INC.","INTEGRATED CAPITAL MANAGEMENT, INC.",575 PIERCE STREET,SUITE 301,KINGSTON,PA,UNITED STATES,18704,888-426-4689,570-961-3985,,,,,,,Approved,4/14/2009,2/26/2010,Y,WWW.ICM-INVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"95,271,773.00",0,"95,271,773.00",76,0,76,N,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,146786,801-68966,"TRIAD INVESTMENT MANAGEMENT, LLC","TRIAD INVESTMENT MANAGEMENT, LLC",1301 DOVE STREET,SUITE 1080,NEWPORT BEACH,CA,USA,92660,949-851-7902,949-851-7912,,,,,,,Approved,3/27/2008,2/26/2010,Y,WWW.TRIADINVESTMENTMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,228,004.00",0,"34,228,004.00",20,0,20,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,116587,801-61937,SMART INVESTOR,SMART INVESTOR,5800 STANFORD RANCH ROAD,BLDG 800,ROCKLIN,CA,UNITED STATES,95765,916-435-2100,916-435-2160,,,,,,,Approved,4/3/2003,2/26/2010,Y,WWW.SMART-INVESTOR.CC,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"127,679,226.00","16,438,211.00","144,117,437.00",724,23,747,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108653,801-56089,RLC BUSINESS SERVICES INC,RLC BUSINESS SERVICES INC,"220 SOUTH 6TH STREET, SUITE 300",,MINNEAPOLIS,MN,USA,55402-1436,612.376.4507,612.376.4850,,,,,,,Approved,12/8/1998,2/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,REFERRAL FEES,Y,"195,410,540.00",0,"195,410,540.00",15,0,15,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,142128,801-67256,"TURNER FINANCIAL SERVICES, INC.","TURNER FINANCIAL SERVICES, INC.",,,,,,,307-742-9453,307-745-8042,,,,,,,Approved,11/2/2006,2/27/2010,Y,HTTP://WWW.ATURNFINSERV.COM/,N,N,Y,N,N,N,N,N,N,N,N,N,N,Corporation,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,Y,PERCENTAGE OF ASSETS UNDER ADVISEMENT,N,0,0,0,0,0,0,N,N,N,N,N,Y,N,N,N,Y,CONSULTING,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,135635,801-67633,INTEGRITY FIXED INCOME MANAGEMENT,"INTEGRITY FIXED INCOME MANAGEMENT, LLC",651 BRYN MAWR ST,,ORLANDO,FL,UNITED STATES,32804,407-481-2420,407-245-8534,,,,,,,Approved,3/7/2007,3/1/2010,Y,WWW.INTEGRITYFI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"84,794,735.00",0,"84,794,735.00",14,0,14,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108123,801-55159,BANYAN CAPITAL MANAGEMENT INC,BANYAN CAPITAL MANAGEMENT INC,2100 RIVEREDGE PARKWAY,SUITE 1030,ATLANTA,GA,UNITED STATES,30328,770-951-2129,770-951-8277,,,,,,,Approved,1/13/1998,3/1/2010,Y,WWW.BANYANCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"47,503,106.00",0,"47,503,106.00",90,0,90,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106898,801-18829,FINANCIAL CONSULATE,"THE FINANCIAL CONSULATE, INC",307 INTERNATIONAL CIRCLE,STE 250,HUNT VALLEY,MD,UNITED STATES,21030,410-823-7283,410-771-3006,,,,,,,Approved,4/29/1983,3/1/2010,Y,WWW.FINANCIALCONSULATE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"180,000,000.00","32,000,000.00","212,000,000.00","1,340",245,"1,585",Y,Y,N,Y,N,Y,Y,N,N,Y,TAX + ESTATE ADVISORY SERVICES,More than 500,500,N,N,N,N,N,N,N,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,134952,801-68000,DONNELLY STEEN & COMPANY,DONNELLY STEEN & COMPANY,"1201 N. ORANGE STREET, SUITE 729",,WILMINGTON,DE,UNITED STATES,19801,888-657-5200,302-2504731,,,,,,,Approved,6/6/2007,3/1/2010,Y,WWW.DONNELLYSTEEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,More than 500,"1,000",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"130,000,000.00","210,000,000.00","340,000,000.00",443,603,"1,046",Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135912,801-64418,"NEWSOURCE ADVISORY, LLC","NEWSOURCE ADVISORY, LLC",28 MIDDLE STREET,,KEENE,NH,USA,3431,603-357-9311,603-719-0437,,,,,,,Approved,6/17/2005,3/1/2010,Y,WWW.GORDONSNYDER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"86,737,909.00",0,"86,737,909.00",17,0,17,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,125708,801-61900,WASHBURN CAPITAL MANAGEMENT INC.,WASHBURN CAPITAL MANAGEMENT INC.,3755 7TH TERRACE SUITE 302B,,VERO BEACH,FL,USA,32960,772 299-4998,772 299-5498,,,,,,,Approved,3/20/2003,3/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,SELECTION OF OTHER ADVISORS,Y,"59,683,517.00",0,"59,683,517.00",161,0,161,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112256,801-17015,"SS&H FINANCIAL ADVISORS, INC.","SS&H FINANCIAL ADVISORS, INC.",31500 NORTHWESTERN HIGHWAY SUITE 175,,FARMINGTON HILLS,MI,UNITED STATES,48334-2521,248-538-9755,248-538-9766,,,,,,,Approved,3/9/1982,3/1/2010,Y,WWW.SSHADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"80,110,709.00","13,799,439.00","93,910,148.00",115,2,117,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110112,801-50616,SUMMIT FINANCIAL STRATEGIES INC,SUMMIT FINANCIAL STRATEGIES INC,7965 NORTH HIGH STREET,SUITE 350,COLUMBUS,OH,UNITED STATES,43235-8446,614-885-1115,614-885-1495,,,,,,,Approved,11/15/1995,3/1/2010,Y,WWW.SUMMITFIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,FINANCIAL PLANNING FEE CALCULATED ON TOTAL NET WORTH,Y,"291,337,750.00","152,776,687.00","444,114,437.00",307,117,424,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107832,801-11031,SANTOMENNO ROCCO ROBERT,SANTOMENNO ROCCO ROBERT,18-00 FAIR LAWN AVENUE,SUITE 105,FAIR LAWN,NJ,UNITED STATES,7410,201-797-8866,201-797-8867,,,,,,,Approved,10/3/1975,3/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NJ,UNITED STATES,5-Jan,0,0,0,0,0,0,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,PRO BONO,Y,"25,000,000.00",0,"25,000,000.00",74,0,74,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,134738,801-68822,"BMS FINANCIAL ADVISORS, LLC","BMS FINANCIAL ADVISORS, LLC",1508 MOUNTAIN VIEW ROAD,SUITE 101,RAPID CITY,SD,USA,57702,605-341-1555,605-341-0641,,,,,,,Approved,3/12/2008,3/1/2010,Y,WWW.BMSADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SD,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"41,388,580.00","2,148,571.00","43,537,151.00",431,43,474,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106925,801-30496,RAO INVESTMENT MANAGEMENT,RAO BHARATHI,,,,,,,517-787-4058,517-787-6872,,,,,,,Approved,9/24/1987,3/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"29,725,000.00",0,"29,725,000.00",242,0,242,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,115418,801-69365,"KURTIN FINANCIAL ADVISERS, LLC","KURTIN FINANCIAL ADVISERS, LLC",,,,,,,214-891-0399,214-891-9399,,,,,,,Approved,7/14/2008,3/1/2010,Y,KKS@KURTINFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"46,000,000.00",0,"46,000,000.00",24,0,24,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,141625,801-68762,PRIMETRUST ADVISORS LLC,PRIMETRUST ADVISORS LLC,,,,,,,864-627-4015,864-627-4025,1140 WOODRUFF RD.,SUITE 106-120,GREENVILLE,SC,USA,29607,Approved,2/12/2008,3/1/2010,Y,WWW.PRIMETRUSTADVISORS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,134183,801-63964,"JS ASSET MANAGEMENT, LLC","JS ASSET MANAGEMENT, LLC",200 FOUR FALLS CORPORATE CENTER,SUITE 100,WEST CONSHOHOCKEN,PA,UNITED STATES,19428,610-234-2202,610-825-1831,,,,,,,Approved,2/16/2005,3/1/2010,Y,WWW.JSAMLLC.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,11-25 percent,0 percent,26-50 percent,11-25 percent,11-25 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"141,489,342.00",0,"141,489,342.00",8,0,8,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111095,801-60154,"OAKMONT INVESTMENT ADVISORS, INC.","OAKMONT INVESTMENT ADVISORS, INC.",731 S. AIKEN AVE,,PITTSBURGH,PA,UNITED STATES,15232,412-802-8358,412-802-0101,,,,,,,Approved,4/4/2001,3/1/2010,Y,WWW.OAKMONTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"55,122,006.00",0,"55,122,006.00",258,0,258,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146197,801-69754,"JAVELIN INVESTMENT MANAGEMENT, LLC","JAVELIN INVESTMENT MANAGEMENT, LLC",33 WITHERSPOON STREET,SUITE 210,PRINCETON,NJ,UNITED STATES,8542,609-356-0800,609-356-0814,,,,,,,Approved,12/17/2008,3/1/2010,Y,WWW.JAVELINFUNDS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"15,000,000.00",0,"15,000,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
MIRO,136881,801-66938,"DORMAN FINANCIAL MANAGEMENT, P.A.","DORMAN FINANCIAL MANAGEMENT, P.A.",341 N. MAITLAND AVENUE,SUITE 250,MAITLAND,FL,UNITED STATES,32751,407-774-6815,407-645-1484,,,,,,,Approved,7/6/2006,3/1/2010,Y,WWW.DORMANFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SHARES IN THIRD-PARTY ADVISORY FEES,Y,"55,871,359.00","10,840,784.00","66,712,143.00",609,212,821,Y,Y,N,N,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,132150,801-63928,"JERRMAR CAPITAL MANAGEMENT, INC.","JERRMAR CAPITAL MANAGEMENT, INC.",755 WEST BIG BEAVER ROAD,SUITE 117,TROY,MI,UNITED STATES,48084,248-269-9222,248-269-9224,,,,,,,Approved,2/17/2005,3/1/2010,Y,WWW.JERRMARCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"87,159,292.00","482,801.00","87,642,093.00",115,1,116,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,143248,801-67601,SOLUTIONS 4 WEALTH,"SOLUTIONS 4 WEALTH, LTD",201 COUNTRYSIDE COURT,,SOUTHLAKE,TX,UNITED STATES,76092,817-416-1975,817-416-1955,,,,,,,Approved,3/15/2007,3/22/2010,Y,WWW.APNOW.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,PARTNERSHIPS,Y,N,N,Y,N,N,N,,Y,"57,619,919.00",0,"57,619,919.00",234,0,234,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,136480,801-71263,PETRIE CAPITAL MANAGEMENT LLC.,PETRIE CAPITAL MANAGEMENT LLC.,,,,,,,206-545-0600,206-632-2344,,,,,,,Approved,3/23/2010,3/22/2010,Y,PETRIECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"28,680,280.00",0,"28,680,280.00",85,0,85,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,117238,801-62524,"PURCELL ADVISORY SERVICES, LLC","PURCELL ADVISORY SERVICES, LLC",945 SO. FAWCETT AVE.,,TACOMA,WA,UNITED STATES,98402,253.627.8101,253.627.8102,PO BOX 1034,,TACOMA,WA,UNITED STATES,98401,Approved,11/21/2003,3/22/2010,Y,WWW.PURCELLADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,51-250,0,More than 500,"2,000",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,REFERRAL FEES,Y,"173,290,710.00","3,493,681.00","176,784,391.00","2,332",19,"2,351",Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,116068,801-67713,"VISTA INVESTMENT MANAGEMENT, LLC","VISTA INVESTMENT MANAGEMENT, LLC",,,,,,,412-824-5940,412-203-2117,,,,,,,Approved,4/12/2007,3/22/2010,Y,VISTA-IM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,958,028.00",0,"34,958,028.00",65,0,65,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N
NYRO,145218,801-68869,"MIZUHO ALTERNATIVE INVESTMENTS, LLC","MIZUHO ALTERNATIVE INVESTMENTS, LLC","1114 AVENUE OF THE AMERICAS, 31ST FLOOR",,NEW YORK,NY,UNITED STATES,10036,212-282-3872,212-282-4104,,,,,,,Approved,2/26/2008,3/22/2010,Y,WWW.MIZUHOAI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,11-25 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,500,272,923.00","1,011,345,301.00","2,511,618,224.00",6,1,7,N,N,N,Y,N,N,N,N,N,Y,POOLED INVESTMENT VEHICLES,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,Y,Y,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105378,801-25842,NEEDHAM ADVISORY CORPORATION,NEEDHAM R B ADVISORY CORP,861 TURNPIKE STREET,UNIT 226,NORTH ANDOVER,MA,USA,1845,978 681-8821,978 685-8000,P.O. BOX 398,,ANDOVER,MA,USA,1810,Approved,11/29/1985,3/22/2010,Y,WWW.NEEDHAMADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"49,037,044.00","76,907,470.00","125,944,514.00",183,295,478,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,112118,801-60254,"GV FINANCIAL ADVISORS, INC.","GV FINANCIAL ADVISORS,INC.",1100 ABERNATHY ROAD,SUITE 500,ATLANTA,GA,UNITED STATES,30328-5646,770-295-5600,770-295-5700,,,,,,,Approved,5/21/2001,3/22/2010,Y,WWW.GVFINANCIAL.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,GA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,10-Jun,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,121065,801-63327,"PINNACLE WEALTH MANAGEMENT, INC.","PINNACLE WEALTH MANAGEMENT, INC.",9100 WEST CHESTER TOWNE CENTRE DRIVE,SUITE 225,WEST CHESTER,OH,UNITED STATES,45069,513-874-4440,513-682-5362,,,,,,,Approved,7/9/2004,3/22/2010,Y,WWW.PLANWITHPINNACLE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"46,586,515.00","8,409,334.00","54,995,849.00",152,52,204,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,20560,801-35116,"RADNOR FINANCIAL ADVISORS, INC.","RADNOR FINANCIAL ADVISORS, INC.","485 DEVON PARK DRIVE, STE 119",,WAYNE,PA,USA,19087,610-975-0280,610-975-0283,,,,,,,Approved,8/21/1989,3/22/2010,Y,WWW.RADNORFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"833,951,231.00",0,"833,951,231.00",975,0,975,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,145770,801-68620,"EMERALD ALLOCATION STRATEGIES, LLC","EMERALD ALLOCATION STRATEGIES, LLC",2843 EXECUTIVE PARK DRIVE,,WESTON,FL,UNITED STATES,33331,954-385-9624,954-385-6770,,,,,,,Approved,1/8/2008,3/22/2010,Y,WWW.EMERALDASSETADVISORS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,SEE RESPONSE TO SCHEDULE D - MISCELLANEOUS,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,PLEASE SEE RESPONSE TO SCHEDULE D - MISCELLANEOUS,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,110034,801-57334,ROGERS QUIMBY & ASSOCIATES,RQA INC.,1432 COURT ST,,CLEARWATER,FL,USA,33756,727-446-2306,727-443-3449,,,,,,,Approved,3/2/2000,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"69,600,000.00",0,"69,600,000.00",307,0,307,N,Y,N,N,N,N,N,N,Y,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,123249,801-70691,"COSTELLO ASSET MANAGEMENT, INC.","COSTELLO ASSET MANAGEMENT, INC.",,,,,,,215-947-8775,,,,,,,,Approved,10/19/2009,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"41,203,430.00",0,"41,203,430.00",261,0,261,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,121786,801-66561,"DIBIASE & RUSCETTI ASSOCIATES, INC.","DIBIASE & RUSCETTI ASSOCIATES, INC.",1100 SMALLMAN STREET,,PITTSBURGH,PA,UNITED STATES,15222,412-391-1466,412-391-1406,,,,,,,Approved,8/17/2006,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"12,985,824.00","18,790,528.00","31,776,352.00",23,25,48,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N
CHRO,137374,801-64959,"TORSHEN CAPITAL MANAGEMENT, LLC","TORSHEN CAPITAL MANAGEMENT, LLC",980 N. MICHIGAN AVENUE,STE. 1370,CHICAGO,IL,USA,60611,312-274-0200,312-274-0022,,,,,,,Approved,12/2/2005,3/22/2010,Y,WWW.TORSHENCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,10-Jun,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"38,730,000.00",0,"38,730,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,ADVISORY SERVICES TO FUNDS OF HEDGE FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,113631,801-63039,CONCORDIA ADVISORS L.L.C.,CONCORDIA ADVISORS L.L.C.,1350 AVENUE OF THE AMERICAS,SUITE 3202,NEW YORK,NY,USA,10019,212-421-9303,212-421-9307,,,,,,,Approved,4/29/2004,3/22/2010,Y,WWW.CONCORDIAFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"936,610,724.00",0,"936,610,724.00",20,0,20,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGER OF HEDGE FUNDS,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
LARO,111801,801-33340,ANCHOR FINANCIAL GROUP,ANCHOR FINANCIAL GROUP,1801 PARKCOURT PLACE,BUILDING H,SANTA ANA,CA,UNITED STATES,92701,714-835-7703,714-835-7054,,,,,,,Approved,11/25/1988,11/11/2009,Y,WWW.ANCHORFG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"27,552,123.00","27,552,123.00",0,120,120,Y,Y,N,N,N,N,Y,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,138768,801-65308,"MCDERMOTT ADVISORY GROUP, LLC","MCDERMOTT ADVISORY GROUP, LLC",3520 SILVERSIDE ROAD,STE 25,WILMINGTON,DE,UNITED STATES,19810,302-778-5677,302-778-5720,,,,,,,Approved,1/13/2006,3/22/2010,Y,WWW.WEALTHGUIDE.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"49,750,696.00","10,785,276.00","60,535,972.00",119,67,186,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,147360,801-69242,"COURAGE MILLER PARTNERS, LLC","COURAGE MILLER PARTNERS, LLC",WORLD TRADE CENTER,"101 W. MAIN STREET, SUITE 720",NORFOLK,VA,UNITED STATES,23510,757-390-3100,757-351-0600,,,,,,,Approved,6/12/2008,3/22/2010,Y,WWW.COURAGEPARTNERSLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,Y,N,N,N,N,,Y,"140,872,599.00","42,660,246.00","183,532,845.00",141,23,164,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,114536,801-60495,"ADVISOR PARTNERS, LLC","ADVISOR PARTNERS, LLC",3675 MT. DIABLO BLVD.,SUITE 300,LAFAYETTE,CA,UNITED STATES,94549,415-477-9977,415-989-0632,,,,,,,Approved,8/17/2001,3/22/2010,Y,WWW.ADVISORPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"177,000,000.00","36,120,000.00","213,120,000.00",466,2,468,N,Y,N,Y,N,N,N,N,N,Y,CONSTRUCTION OF MODEL SECURITIES PORTFOLIOS,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,148269,801-69755,POMONA CAPITAL,POMONA MANAGEMENT LLC,780 THIRD AVENUE,FLOOR 46,NEW YORK,NY,UNITED STATES,10017,212-593-3639,212-593-3987,,,,,,,Approved,12/5/2008,3/22/2010,Y,WWW.POMONACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,129,412,442.00","97,402,221.00","2,226,814,663.00",16,1,17,N,N,N,N,N,N,N,N,N,Y,"PORTFOLIO MANAGEMENT FOR PRIVATE EQUITY SECONDARIES FUNDS, PRIMARY FUNDS-OF-FUNDS AND CO-INVESTMENT FUNDS",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,106379,801-49811,"JOHNSON STERLING, INC.","JOHNSON STERLING, INC.",820 SHADES CREEK PARKWAY,SUITE 3200,BIRMINGHAM,AL,USA,35209,205-871-9940,205-871-9942,,,,,,,Approved,9/5/1995,3/22/2010,Y,WWW.JOHNSONSTERLING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"249,960,220.00","765,042,805.00","1,015,003,025.00",247,49,296,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110337,801-17320,BANE BARHAM & HOLLOWAY ASSETS MANAGEMENT INC,BANE BARHAM & HOLLOWAY ASSETS MANAGEMENT INC,25195 S W PARKWAY AVENUE,STE 100,WILSONVILLE,OR,UNITED STATES,97070-9651,503-582-9500,503-582-9976,,,,,,,Approved,6/16/1982,11/11/2009,Y,BBHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"70,524,147.00","4,379,381.00","74,903,528.00",399,23,422,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,132576,801-63506,"DEMICELL WEALTH MANAGERS, INC.","DEMICELL WEALTH MANAGEMENT, INC.",200 WEST 1ST STREET,SUITE 101,PUEBLO,CO,UNITED STATES,81003,719-544-4300,719-543-4343,,,,,,,Approved,9/9/2004,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"100,664,861.00","1,077,183.00","101,742,044.00",401,3,404,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,128560,801-67745,"PRIVATE WEALTH GROUP, LLC","PRIVATE WEALTH GROUP, LLC",100 NORTH TAMPA STREET,SUITE 1910,TAMPA,FL,UNITED STATES,33602,813-226-1900,813-226-1901,,,,,,,Approved,4/19/2007,3/22/2010,Y,WWW.PRIVATEWEALTHGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"91,696,677.00",0,"91,696,677.00",245,0,245,N,Y,N,Y,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106680,801-46436,DIVERSIFIED MANAGEMENT INC,DIVERSIFIED MANAGEMENT INC,8989 N. PORT WASHINGTON RD.,SUITE 208,MILWAUKEE,WI,UNITED STATES,53217,414-540-2383,414-540-6341,,,,,,,Approved,5/18/1994,3/22/2010,Y,WWW.DIVERSIFIEDMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"351,675,455.00","179,210,759.00","530,886,214.00",748,279,"1,027",Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,133461,801-63739,CONCORDIA ADVISORS LLP,CONCORDIA ADVISORS LLP,218 HARBOUR YARD,CHELSEA HARBOUR,LONDON,,UNITED KINGDOM,SW10 OXD,44 207 352 3131,44 407 352 0222,,,,,,,Approved,1/14/2005,3/22/2010,Y,WWW.CONCORDIAFUNDS.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,Nov-50,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"616,250,402.00",0,"616,250,402.00",10,0,10,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGER OF HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
LARO,110684,801-54942,CAPITAL RESEARCH COMPANY,CAPITAL RESEARCH COMPANY,333 SOUTH HOPE ST,55TH FL,LOS ANGELES,CA,USA,90071-1447,213-486-9200,213-486-9217,,,,,,,Approved,10/27/1997,3/22/2010,Y,WWW.CAPGROUP.COM,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,CA,UNITED STATES,51-250,0,51-250,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,AMOUNTS AGREED UPON FROM TIME TO TIME BY APPLICANT AND CRMC,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISORY RESEARCH AND RELATED SERVICES TO 1 AFFILIATED COMPANY.,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112468,801-60352,LEHMAN BROTHERS PRIVATE EQUITY ADVISERS LLC,LEHMAN BROTHERS PRIVATE EQUITY ADVISERS LLC,399 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10022,212-526-3582,212 294-0302,,,,,,,Approved,6/18/2001,3/3/2009,Y,WWW.LEHMAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"10,082,716,145.00",0,"10,082,716,145.00",125,0,125,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106979,801-17437,"RINET COMPANY, LLC","RINET COMPANY, LLC",101 FEDERAL STREET,,BOSTON,MA,UNITED STATES,2110,617-488-2700,617-423-3206,,,,,,,Approved,7/21/1982,3/29/2010,Y,WWW.RINETCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,199,831,866.00",0,"1,199,831,866.00","1,397",0,"1,397",Y,Y,N,N,N,Y,N,N,N,Y,CONSULTING,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,120296,801-61106,FAIRWAY WEALTH MANAGEMENT LLC,FAIRWAY WEALTH MANAGEMENT LLC,6393 OAK TREE BLVD.,SUITE 108,CLEVELAND,OH,UNITED STATES,44131,216-573-7200,216-573-7205,,,,,,,Approved,5/7/2002,3/29/2010,Y,WWW.FAIRWAYWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"575,000,000.00","575,000,000.00",0,97,97,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108969,801-54970,WINFIELD ASSOCIATES INC,WINFIELD ASSOCIATES INC,700 WEST ST CLAIR AVENUE,SUITE 404,CLEVELAND,OH,USA,44113,216-241-2575,216-241-4774,,,,,,,Approved,10/17/1997,3/29/2010,Y,WWW.WINFIELDINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"85,911,279.00","599,358.00","86,510,637.00",420,2,422,N,Y,N,Y,Y,Y,N,N,N,Y,WEALTH ADVISORY SERVICES,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104639,801-10918,TARGET INVESTMENT ADVISORY SERVICE,YOUNGS JOHN RICHARD,,,,,,,203-259-1268,203-259-1268,P.O.BOX 549,,SOUTHPORT,CT,UNITED STATES,6890,Approved,9/11/1975,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"700,000.00","26,779,668.00","27,479,668.00",3,14,17,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,122659,801-61450,ALPHA ASSET ADVISORS,ALPHA ASSET ADVISORS LLC,,,,,,,303-321-3837,303-484-6887,191 UNIVERSITY BOULEVARD #334,,DENVER,CO,USA,80206,Approved,9/9/2002,3/29/2010,Y,WWW.ALPHA-LLC.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,Y,INVESTMENT CONSULTING SERVICES FOR INDIVIDUALS,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,147417,801-69602,CAPRICORN INVESTMENT GROUP LLC,CAPRICORN INVESTMENT GROUP LLC,250 UNIVERSITY AVENUE,SUITE 300,PALO ALTO,CA,UNITED STATES,94301,650-331-8800,650-331-8802,,,,,,,Approved,9/18/2008,3/29/2010,Y,WWW.CAPRICORNLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"258,629,321.00","3,096,504,483.00","3,355,133,804.00",9,4,13,N,Y,N,N,N,Y,N,N,N,Y,PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106920,801-32888,"MOODY ALDRICH PARTNERS, LLC","MOODY ALDRICH PARTNERS, LLC",18 SEWALL STREET,,MARBLEHEAD,MA,UNITED STATES,1945,781-639-2750,781-639-2751,,,,,,,Approved,9/16/1988,3/29/2010,Y,WWW.MOODYALDRICH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,More than 500,"3,000",0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,26-50 percent,"WRAP, OTHER  INSTITUTIONAL, PARTNERSHIPS, UMA PROGRAMS",Y,N,N,N,N,N,N,,Y,"826,142,000.00","25,095,000.00","851,237,000.00","1,938",14,"1,952",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107930,801-55903,ARGENT CAPITAL MANAGEMENT LLC,ARGENT CAPITAL MANAGEMENT LLC,100 SOUTH BRENTWOOD BLVD.,SUITE 110,CLAYTON,MO,UNITED STATES,63105,314-725-6000,314-725-6001,,,,,,,Approved,10/6/1998,3/29/2010,Y,WWW.ARGENTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,500,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"845,545,314.00",0,"845,545,314.00",642,0,642,N,Y,N,Y,N,N,Y,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,Y,N,Y,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105130,801-35594,"L. ROY PAPP & ASSOCIATES, LLP","L. ROY PAPP & ASSOCIATES, LLP",2201 E. CAMELBACK ROAD,SUITE 227B,PHOENIX,AZ,UNITED STATES,85016,602-956-0980,602-956-1953,,,,,,,Approved,10/1/1989,3/29/2010,Y,WWW.ROYPAPP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Partnership,,AZ,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,FOUNDATION,Y,N,N,N,N,N,N,,Y,"304,818,245.00","39,540,006.00","344,358,251.00",189,13,202,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107219,801-49585,SJS INVESTMENT CONSULTING INC,SJS INVESTMENT CONSULTING INC,"6711 MONROE ST,BUILDING 4,SUITE A",,SYLVANIA,OH,USA,43560,419-885-2626,419-885-2236,,,,,,,Approved,7/3/1995,3/29/2010,Y,WWW.SJSINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"813,000,000.00",0,"813,000,000.00","1,569",0,"1,569",Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,143599,801-69342,"CLINTON INVESTMENT MANAGEMENT, LLC","CLINTON INVESTMENT MANAGEMENT, LLC",ONE DOCK STREET,,STAMFORD,CT,USA,6902,(203) 276-6246,(203) 276-6250,,,,,,,Approved,6/26/2008,3/29/2010,Y,WWW.CLINTONINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"157,000,000.00",0,"157,000,000.00",30,0,30,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109217,801-41918,SINGER POTITO ASSOCIATES INC,SINGER POTITO ASSOCIATES INC,,,,,,,413-256-1225,413-253-5838,P.O. BOX 2067,,AMHERST,MA,UNITED STATES,1004,Approved,7/13/1992,3/29/2010,Y,WWW.SINGERPOTITO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"149,087,129.00",0,"149,087,129.00",690,0,690,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,120607,801-69583,"EGI FINANCIAL, INC.","EGI FINANCIAL, INC.",655 W MARKET STREET,,AKRON,OH,UNITED STATES,44303,330-535-0881,330-535-0884,,,,,,,Approved,9/18/2008,3/29/2010,Y,EGIFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"33,655,169.00",0,"33,655,169.00",100,0,100,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112050,801-57997,"LUCAS CAPITAL MANAGEMENT, L.L.C.","LUCAS CAPITAL MANAGEMENT, L.L.C.","2 BRIDGE AVE, SUITE 632",THE GALLERIA,RED BANK,NJ,UNITED STATES,7701,732-758-1004,732-741-3270,,,,,,,Approved,9/21/2000,3/29/2010,Y,HTTP://WWW.LUCASCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,Y,N,,Y,"577,365,842.00","76,658,557.00","654,024,399.00",425,196,621,Y,Y,N,Y,N,Y,N,N,N,Y,HEDGE FUND/ LIMITED PARTNERSHIP,26-50,,Y,Y,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110360,801-69318,"NAUSET WEALTH MANAGEMENT, LLC","NAUSET WEALTH MANAGEMENT, LLC",,,,,,,203-454-7328,203-454-9906,,,,,,,Approved,6/30/2008,3/29/2010,Y,WWW.NAUSETWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"56,203,028.00",0,"56,203,028.00",226,0,226,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,137598,801-65014,"COLLINS CAPITAL INVESTMENTS, LLC","COLLINS CAPITAL INVESTMENTS, LLC",806 DOUGLAS ROAD,SUITE 570,CORAL GABLES,FL,USA,33134,305-666-3319,305-666-3439,,,,,,,Approved,12/12/2005,3/29/2010,Y,WWW.COLLINSCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"903,822,000.00",0,"903,822,000.00",16,0,16,N,N,N,N,N,N,N,N,N,Y,FUND OF FUNDS MANAGER,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,104531,801-18935,KUNATH KARREN RINNE & ATKIN INC.,KUNATH KARREN RINNE & ATKIN LLC,"1000 SECOND AVENUE , SUITE 4000",,SEATTLE,WA,UNITED STATES,98104-1054,206-621-7400,206-343-3085,,,,,,,Approved,5/18/1983,3/29/2010,Y,WWW.KKRA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"701,802,409.00",0,"701,802,409.00",174,0,174,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106223,801-21951,PUTNAM F L INVESTMENT MANAGEMENT CO,PUTNAM F L INVESTMENT MANAGEMENT CO,"20 WILLIAM STREET, SUITE G40",,WELLESLEY,MA,USA,2481,781-235-6323,781-235-6037,,,,,,,Approved,7/30/1984,3/29/2010,Y,WWW.FLPUTNAM.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,ME,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,51-75 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"930,000,000.00",0,"930,000,000.00","1,168",0,"1,168",N,Y,Y,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104833,801-29112,MARQUETTE ASSET MANAGEMENT,"MARQUETTE ASSET MANAGEMENT, INC.",60 SOUTH SIXTH STREET STE 3700,,MINNEAPOLIS,MN,UNITED STATES,55402,612-661-3770,612-661-3737,,,,,,,Approved,3/6/1987,3/29/2010,Y,WWW.MARQUETTEAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,LIMITED PARTNERSHIPS,Y,N,N,Y,N,Y,N,,Y,"797,294,000.00",0,"797,294,000.00",394,0,394,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105276,801-11123,SOUTHEASTERN ASSET MANAGEMENT INC.,SOUTHEASTERN ASSET MANAGEMENT INC.,"6410 POPLAR AVE., STE. 900",,MEMPHIS,TN,UNITED STATES,38119-4843,901-761-2474,901-818-5160,,,,,,,Approved,11/21/1975,3/29/2010,N,,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,101-250,0,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,PARTNERSHIPS,Y,N,N,N,N,Y,N,,Y,"32,619,684,240.00",0,"32,619,684,240.00",210,0,210,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
BRO,108346,801-15298,INTERINVEST CORP INC,INTERINVEST CORP INC,192 SOUTH STREET,SUITE 350,BOSTON,MA,UNITED STATES,2111,617-723-7870,617-723-1966,,,,,,,Approved,7/3/1980,3/29/2010,Y,WWW.INTERINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,Y,N,N,N,N,,Y,"66,119,269.00","6,000,000.00","72,119,269.00",80,1,81,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,148984,801-69789,ROSEMAWR MANAGEMENT LLC,ROSEMAWR MANAGEMENT LLC,114 WEST 47TH STREET,SUITE 1725,NEW YORK,NY,UNITED STATES,10036,212-286-9474,646-350-0094,,,,,,,Approved,1/2/2009,3/29/2010,Y,WWW.ROSEMAWR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"75,400,000.00","38,000,000.00","113,400,000.00",35,6,41,N,Y,N,Y,N,N,N,N,N,Y,MANAGE PRIVATE POOLED INVESTMENT VEHICLE,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135805,801-65606,"TITAN ADVISORS, LLC","TITAN ADVISORS, LLC",2 INTERNATIONAL DRIVE,SUITE 200,RYE BROOK,NY,UNITED STATES,10573,914-937-7600,914-937-8820,,,,,,,Approved,1/26/2006,3/29/2010,Y,WWW.TITANADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,10-Jun,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,945,942,325.00",0,"1,945,942,325.00",14,0,14,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT SERVICES FOR UNREGISTERED INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,143112,801-67630,"WELLSPRING FINANCIAL ADVISORS, LLC","WELLSPRING FINANCIAL ADVISORS, LLC",5885 LANDERBROOK DRIVE,SUITE 205,CLEVELAND,OH,UNITED STATES,44124,216-367-0680,216-367-0690,,,,,,,Approved,3/15/2007,3/29/2010,Y,WWW.WELLSPRINGADVISORSLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"32,475,966.00","540,518,729.00","572,994,695.00",31,296,327,Y,Y,N,N,N,Y,Y,N,N,Y,TAX PLANNING AND COMPLIANCE,26-50,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,125073,801-61945,"WFG ADVISORS, LP","WFG ADVISORS, LP",2711 N HASKELL AVE,SUITE 2900,DALLAS,TX,UNITED STATES,75204,972-661-8700,972-354-4434,,,,,,,Approved,4/11/2003,11/3/2009,Y,HTTP://WWW.WILLIAMS-FINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,TX,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,000",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"255,148,655.00","189,999,752.00","445,148,407.00",973,822,"1,795",Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,Y,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
ARO,106275,801-39635,FRANKLIN STREET ADVISORS INC.,FRANKLIN STREET ADVISORS INC.,1450 RALEIGH ROAD,SUITE 300,CHAPEL HILL,NC,USA,27517,919-489-2600,919-490-4415,,,,,,,Approved,8/15/1991,3/29/2010,Y,WWW.FRANKLIN-STREET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,Y,SECURITY RECOMMENDATIONS,Y,"1,499,786,524.00","483,216,750.00","1,983,003,274.00","1,238",10,"1,248",N,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT ADVICE,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,N,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N
CHRO,137736,801-64973,"SIGNATURE WEALTH MANAGEMENT, INC.","SIGNATURE WEALTH MANAGEMENT, INC.",,,,,,,262-641-1005,262-641-1003,,,,,,,Approved,12/21/2005,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"12,500,000.00","13,000,000.00","25,500,000.00",16,5,21,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT CONSULTING,25-Nov,,N,N,N,N,N,N,N,N,Y,REGISTERED INVESTMENT ADVISOR,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,121856,801-67091,CORNERSTONE FINANCIAL CONSULTING,"REA, JOHN DAVID",,,,,,,(215)741-5533,(215)752-5473,,,,,,,Approved,8/17/2006,3/29/2010,Y,WWW.CORNERSTONEFINANCIALCONSULTING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,Y,0,"39,276,000.00","39,276,000.00",0,43,43,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,140846,801-67064,"CROWN JEWEL CONCEPTS, LLC","CROWN JEWEL CONCEPTS, LLC",20550 MAXIM PARKWAY,,ORLANDO,FL,UNITED STATES,32833-3933,407-362-5420EXT.701,,"2451 CUMBERLAND PKWY.,SUITE 3544",,ATLANTA,GA,UNITED STATES,30339-6157,Approved,8/10/2006,3/29/2010,Y,WWW.ASTRALINVESTMENTS.COM  (UNDER CONSTRUCTION),N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,Y,Y,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,149625,801-70007,"CRESCENT CAPITAL GROUP, LLC","CRESCENT CAPITAL GROUP, LLC",145 MARCUS BLVD.,,HAUPPAUGE,NY,UNITED STATES,11788,631-952-3700,631-952-9797,,,,,,,Approved,3/9/2009,3/29/2010,Y,WWW.CRESCENTCAPITALGROUP.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"14,913,837.00",0,"14,913,837.00",16,0,16,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,112258,801-43016,"LARRY THOMPSON & ASSOCIATES, INC.","LARRY THOMPSON & ASSOCIATES, INC.",3500 OAK LAWN AVENUE,SUITE 240,DALLAS,TX,UNITED STATES,75219,214-752-5430,214-752-5431,,,,,,,Approved,1/21/1993,3/29/2010,Y,WWW.LARRYTHOMPSON.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,26-50 percent,11-25 percent,0 percent,0 percent,,N,N,N,Y,N,N,Y,PERCENTAGE OF ASSETS UNDER YOUR CONSULTATION.,Y,0,"113,219,588.00","113,219,588.00",0,15,15,N,N,N,N,Y,Y,Y,N,N,Y,"INSTITUTIONAL CONSULTING SERVICES, PERFORMANCE MEASUREMENT, IPS REVIEW",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,131396,801-66923,"LIFE PLAN FINANCIAL ADVISORY GROUP, LLC","LIFEPLAN FINANCIAL ADVISORY GROUP, LLC",1055 SOUTH BOULEVARD E.,SUITE 230,ROCHESTER HILLS,MI,UNITED STATES,48307,248-299-4300,248-299-4303,,,,,,,Approved,6/30/2006,3/29/2010,Y,WWW.LFG-ONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"37,227,000.00","13,902,000.00","51,129,000.00",287,277,564,Y,Y,N,N,N,Y,N,N,N,Y,"CONSULTATION SERVICES, EDUCATION WORKSHOPS AND SEMINARS",25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,137497,801-64834,"WEST FINANCIAL SERVICES, INC.","WEST FINANCIAL SERVICES, INC.",1355 BEVERLY RD,STE 250,MCLEAN,VA,UNITED STATES,22101,703-847-2500,703-847-5050,,,,,,,Approved,10/3/2005,3/29/2010,Y,WWW.WESTFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,510,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"729,870,892.00",0,"729,870,892.00",510,0,510,Y,Y,N,N,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,111491,801-49757,YON DRAKE & ASSOCIATES INC,YON DRAKE & ASSOCIATES INC,914 RICHLAND ST,SUITE C-200,COLUMBIA,SC,USA,29201,"803-256-1212, X28",803-256-1202,P.O. BOX 2139,,COLUMBIA,SC,USA,29202-2139,Approved,7/27/1995,3/29/2010,Y,YON@YONDRAKE.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,SC,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,Y,"INVESTMENT POLICIES, MANAGER SEARCHES, PERFORMANCE MEASUREMENT",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112352,801-19290,GARLIKOV ADVISORS INC,GARLIKOV ADVISORS INC,41 S HIGH ST STE 3400,,COLUMBUS,OH,UNITED STATES,43215,614-221-0900,614-221-1508,,,,,,,Approved,7/14/1983,3/29/2010,Y,WWW.GARLIKOVCOMPANIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"106,535,389.00",0,"106,535,389.00",475,0,475,Y,Y,Y,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,114957,801-64045,"PROFESSIONAL FINANCIAL SOLUTIONS, LLC","PROFESSIONAL FINANCIAL SOLUTIONS, LLC",10517A WEST DRIVE,,FAIRFAX,VA,UNITED STATES,22030-4230,703-385-0870,703-385-0871,,,,,,,Approved,3/15/2005,3/29/2010,Y,WWW.PROFINANCIALSOLUTIONS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"30,609,577.00","16,531,180.00","47,140,757.00",74,52,126,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109505,801-54701,DOMINI SOCIAL INVESTMENTS LLC,DOMINI SOCIAL INVESTMENTS LLC,532 BROADWAY 9TH FLOOR,,NEW YORK,NY,UNITED STATES,10012-3939,212-217-1100,212-217-1101,,,,,,,Approved,6/26/1997,3/29/2010,Y,WWW.DOMINI.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"931,719,528.00",0,"931,719,528.00",5,0,5,N,N,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106285,801-44594,JRP CAPITAL CORP,JRP CAPITAL CORP,6135 MEMORIAL DRIVE,SUITE 104D,DUBLIN,OH,UNITED STATES,43017,614-487-8885,614-448-4507,,,,,,,Approved,9/8/1993,3/29/2010,Y,WWW.JRPCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"37,000,000.00","3,000,000.00","40,000,000.00",265,10,275,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,134897,801-68867,"FIRST FINANCIAL ADVISORS, LLC","FIRST FINANCIAL ADVISORS, LLC",1845 TOWN CENTER BOULEVARD,SUITE 130,ORANGE PARK,FL,USA,32003,904-264-3095,904-264-5290,,,,,,,Approved,3/10/2008,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,Nov-50,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,REFERRAL FEES,Y,"49,686,322.00",0,"49,686,322.00","1,152",0,"1,152",Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112021,801-46534,"SARATOGA CAPITAL MANAGEMENT,LLC","SARATOGA CAPITAL MANAGEMENT,LLC",1101 STEWART AVENUE,SUITE 207,GARDEN CITY,NY,UNITED STATES,11530-4808,516-542-3000,516-542-3001,,,,,,,Approved,5/23/1994,3/29/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,LICENSING FEES,Y,"153,588,001.00",0,"153,588,001.00",1,0,1,N,N,Y,N,Y,Y,N,N,N,Y,ASSET ALLOCATION SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108632,801-60067,MARK GILLAM ENTERPRISES,MARK GILLAM ENTERPRISES,8008 SACRAMENTO STREET,,FAIR OAKS,CA,USA,95628,916-961-2200,916-965-7777,,,,,,,Approved,3/8/2001,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,Y,A NEGOTIATED % OF ATHLETE'S ANNUAL COMPENSATION REC'D FROM TEAM,Y,0,"115,409,843.00","115,409,843.00",0,318,318,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,143638,801-67821,BUCKEYE WEALTH MANAGEMENT LLC,"BEST, DEPALMA & GUMMER WEALTH MANAGEMENT, LLC",155 COMMERCE PARK DRIVE,SUITE 2,WESTERVILLE,OH,UNITED STATES,43082,614-839-2090,614-839-2091,,,,,,,Approved,4/1/2007,3/29/2010,Y,WWW.BUCKEYEWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,"30,000,000.00","30,000,000.00",0,515,515,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111179,801-48201,"LASALLE INVESTMENT MANAGEMENT (SECURITIES), L.P.","LASALLE INVESTMENT MANAGEMENT (SECURITIES), L.P.",100 EAST PRATT STREET,,BALTIMORE,MD,UNITED STATES,21202,410-878-4800,410-878-4889,,,,,,,Approved,11/30/1994,3/29/2010,Y,WWW.JONESLANGLASALLE.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,MD,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,More than 500,"1,000",0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,26-50 percent,"GROUP TRUSTS, PARTNERSHIPS, AND OTHER COMMINGLED INVESTMENTS",Y,N,N,N,N,Y,N,,Y,"7,107,609,553.00",0,"7,107,609,553.00",53,0,53,N,Y,Y,Y,N,N,N,N,N,Y,MANAGES INVESTMENT ADVISORY ACCOUNTS NOT INVOLVING INVESTMENT SUPERVISORY SERVICES,,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109589,801-56697,"THE MONITOR GROUP, INC.","THE MONITOR GROUP, INC.",1430 SPRING HILL ROAD,SUITE 400,MCLEAN,VA,UNITED STATES,22102-3022,703-288-0500,703-288-0900,,,,,,,Approved,5/1/1999,3/29/2010,Y,WWW.THEMONITORGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"375,644,329.00",0,"375,644,329.00",198,0,198,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,141577,801-67221,THE TOKARZ GROUP ADVISERS LLC,THE TOKARZ GROUP ADVISERS LLC,287 BOWMAN AVENUE,2ND FLOOR,PURCHASE,NY,UNITED STATES,10577,914-701-0310,914-701-0315,,,,,,,Approved,10/31/2006,3/29/2010,Y,WWW.TTGA.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,CONSULTING FOR UNIVERSITY INTELLECTUAL PROPERTY COMMERCIALIZATION,Y,N,N,N,N,Y,Y,PROJECT FEES FOR WORK WITH UNIVERSITIES,Y,"502,356,513.00",0,"502,356,513.00",1,0,1,N,N,Y,N,N,N,N,N,N,Y,INTELLECTUAL PROPERTY COMMERCIALIZATION,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139109,801-66148,FARNAM STREET FUND MANAGEMENT (CAYMAN) LIMITED,FARNAM STREET FUND MANAGEMENT (CAYMAN) LIMITED,4TH FLOOR BUCKINGHAM HOUSE,6 BUCKINGHAM STREET,LONDON,,UNITED KINGDOM,WC2N 6BU,44 20 7321 0888,44 20 7976 2777,,,,,,,Approved,3/13/2006,11/3/2009,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,CAYMAN ISLANDS,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"140,000,000.00",0,"140,000,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143315,801-67705,"CONCORD EQUITY GROUP ADVISORS, LLC","CONCORD EQUITY GROUP ADVISORS, LLC",100 MATAWAN ROAD,,MATAWAN,NJ,UNITED STATES,7747,732-335-0800,732-335-0402,,,,,,,Approved,5/1/2007,3/29/2010,Y,CONCORDWEALTHMANAGEMENT.COM,N,N,N,N,N,N,N,N,N,Y,N,N,N,Limited Liability Company,,NJ,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,OTHER FINANCIAL INSTITUTIONS/RIAS,N,Y,N,Y,N,N,Y,LICENSING FEES AND PERCENTAGE OF ASSETS UNDER OUR CLIENTS MGMT.,N,0,0,0,0,0,0,N,N,N,N,N,Y,N,N,N,Y,"ADVISORY TECHNOLOGIES, MANAGER RESEARCH AND REPORTING SERVICES.",0,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,151834,801-70716,"FRONTPOINT MANAGEMENT (HONG KONG), LTD.","FRONTPOINT MANAGEMENT (HONG KONG), LTD.",99 QUEEN'S ROAD UNIT NO. 5505-5506,"55TH FLOOR, THE CENTER",CENTRAL,,HONG KONG,,852-3555-7000,852-2169-0909,,,,,,,Approved,11/20/2009,8/27/2010,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CAYMAN ISLANDS,10-Jun,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"265,395,729.00",0,"265,395,729.00",9,0,9,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT ADVICE TO PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,118472,801-71392,"IRONGATE PARTNERS, INC.","IRONGATE PARTNERS, INC.",2601 IRON GATE DRIVE,SUITE 201,WILMINGTON,NC,UNITED STATES,28412,910-791-1437,910-796-1959,,,,,,,Approved,5/12/2010,8/27/2010,Y,WWW.IRONGATEPARTNERSINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,REFERRAL FEES,Y,0,"45,000,000.00","45,000,000.00",0,200,200,Y,Y,N,Y,Y,Y,N,N,N,Y,REFERRAL ARRANGEMENT,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,140184,801-69338,SAFEGUARD FINANCIAL AND INSURANCE SERVICES,SAFEGUARD FINANCIAL AND INSURANCE SERVICES,"2999 OAK ROAD, SUITE 120",,WALNUT CREEK,CA,USA,94597,925-627-1800,925-888-8700,,,,,,,Approved,6/27/2008,8/27/2010,Y,WWW.SAFEGUARDFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),S CORPORATION,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"14,248,995.00","12,873,498.00","27,122,493.00",83,71,154,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,147242,801-69177,"CB CAPITAL ADVISORS, LLC","CB CAPITAL ADVISORS, LLC",909 THIRD AVENUE,SUITE 2965,NEW YORK,NY,UNITED STATES,10022,212-350-1804,212-350-1807,,,,,,,Approved,5/13/2008,8/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"43,219,528.00","189,392,445.00","232,611,973.00",15,61,76,N,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111271,801-37453,"HURLEY INVESTMENT COUNSEL LTD., INC.","HURLEY INVESTMENT COUNSEL LTD., INC.","123 SOUTH BROAD ST., SUITE 238",,LANCASTER,OH,UNITED STATES,43130,740-687-0425,740-687-1358,,,,,,,Approved,9/20/1990,8/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),S CORP.,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,000,000.00",0,"25,000,000.00",48,0,48,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,149246,801-69875,FRONTPOINT MANAGEMENT (UK) LLP,FRONTPOINT MANAGEMENT (UK) LLP,53 DAVIES STREET,,LONDON,,UNITED KINGDOM,W1K 5JH,020 3178 8427,020 3178 8434,,,,,,,Approved,2/10/2009,8/27/2010,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"199,818,459.00",0,"199,818,459.00",4,0,4,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT ADVICE TO PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,150484,801-70267,"KINGFISHER CAPITAL, LLC","KINGFISHER CAPITAL, LLC",215 QUEENS ROAD,,CHARLOTTE,NC,UNITED STATES,28204,704-333-1710,704-333-0026,,,,,,,Approved,6/22/2009,8/27/2010,Y,WWW.KINGFISHERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,SUB IA AGREEMENTS,Y,Y,N,Y,N,N,N,,Y,"272,004,452.00",0,"272,004,452.00",576,0,576,N,Y,N,Y,N,N,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105474,801-34674,"THE BARCLAY GROUP, INC.",BARCLAY GROUP INC,330 N WABASH AVE,#2620,CHICAGO,IL,USA,60611,312 464-8100,312-464-8101,,,,,,,Approved,6/22/1989,2/29/2008,Y,WWW.BARCLAYGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"60,200,000.00",0,"60,200,000.00",305,0,305,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,132905,801-63679,MARITIME INVESTMENT MANAGEMENT INC.,MARITIME INVESTMENT MANAGEMENT INC.,310-1801 HOLLIS STREET,,HALIFAX NS,,CANADA,B3J 3N4,902-423-9367,902-423-1518,,,,,,,Approved,12/9/2004,2/2/2010,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,Y,N,N
CHRO,111556,801-55054,WHITE PINE INVESTMENT CO,WHITE PINE INVESTMENT CO,"17199 LAUREL PARK DR NORTH, #209",,LIVONIA,MI,UNITED STATES,48152,734-464-2532,734-464-2838,,,,,,,Approved,11/21/1997,2/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"154,750,436.00","990,451.00","155,740,887.00",788,7,795,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106030,801-45362,"SOUTHFIELD INVESTMENT MANAGEMENT, LLC","SOUTHFIELD INVESTMENT MANAGEMENT, LLC",1010 WASHINGTON BLVD,,STAMFORD,CT,USA,6901,203-978-0250,203-978-0260,,,,,,,Approved,12/6/1993,2/2/2010,Y,SOUTHINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"170,681,755.00","129,401,442.00","300,083,197.00",177,7,184,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,148101,801-69631,"EASTERN INVESTMENT ADVISORS, INC.","EASTERN INVESTMENT ADVISORS, INC.",265 FRANKLIN STREET,,BOSTON,MA,UNITED STATES,02110-3113,617-897-1119,617-897-1117,,,,,,,Approved,10/10/2008,8/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,473,101,220.00",0,"1,473,101,220.00","3,303",0,"3,303",N,N,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,Y,N,N,Y,N,Y,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,139904,801-66625,"PNC REALTY INVESTORS, INC.","PNC REALTY INVESTORS, INC.","TWO HOPKINS PLAZA, SUITE 804",,BALTIMORE,MD,UNITED STATES,21201,410-237-5900,410-230-9244,1601 K STREET NW SUITE 1100,,WASHINGTON,DC,UNITED STATES,20006,Approved,5/12/2006,8/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"1,759,135,175.00","1,759,135,175.00",0,1,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122730,801-64128,"SHERMAN & ARMBRUSTER, P.C.","SHERMAN & ARMBRUSTER, P.C.",609 TREYBOURNE DR. SUITE A,,GREENWOOD,IN,UNITED STATES,46142,317-881-6670,317-887-5692,,,,,,,Approved,4/25/2005,2/2/2010,Y,WWW.S-A-CPA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"84,412,306.00",0,"84,412,306.00",188,0,188,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109427,801-56565,TREES INVESTMENT COUNSEL LLC,TREES INVESTMENT COUNSEL LLC,70 W. MADISON STREET,SUITE 640,CHICAGO,IL,UNITED STATES,60602,312-368-1200,312-357-2553,,,,,,,Approved,5/27/1999,2/2/2010,Y,WWW.TREES-INVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"260,928,405.00","3,472,129.00","264,400,534.00",76,3,79,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,127896,801-62283,"GOEPPER BURKHARDT + MCGREW, LLC","GOEPPER BURKHARDT + MCGREW, LLC",531 SOUTH MAIN STREET,SUITE 303,GREENVILLE,SC,UNITED STATES,29601,864-370-3244,864-239-0760,,,,,,,Approved,8/13/2003,8/27/2010,Y,WWW.GOEPPERBURKHARDT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"119,000,000.00","3,000,000.00","122,000,000.00",346,6,352,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,10019,801-56048,"KDC MERGER ARBITRAGE FUND, LP","KDC MERGER ARBITRAGE FUND, LP",900 THIRD AVE,STE 1000,NEW YORK,NY,USA,10022,212-350-0200,212-350-0320,,,,,,,Approved,12/31/1998,8/27/2010,Y,WWW.KELLNERDILEO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,"139,200,000.00",0,"139,200,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR  PRIVATE INVESTMENT PARTNERSHIPS,,,N,N,Y,N,N,N,N,N,N,,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N
HQ,128166,801-62415,GARY KLEIN CONSULTING,1062611 ONTARIO LIMITED,,,,,,,416-781-6163,416-781-6164,,,,,,,Approved,10/6/2003,8/27/2010,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"17,000,000.00",0,"17,000,000.00",43,0,43,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,105348,801-18564,CREATIVE PLANNING,"CREATIVE PLANNING, INC.",3400 COLLEGE BLVD,,OVERLAND PARK,KS,USA,66211,913-338-2727,913-338-4507,,,,,,,Approved,3/18/1983,8/27/2010,Y,WWW.THINKINGBEYOND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,550,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,020,929,567.00","301,616,009.00","1,322,545,576.00","4,690",111,"4,801",Y,Y,N,Y,Y,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106747,801-36840,REAL ESTATE RESEARCH CORP,REAL ESTATE RESEARCH CORP,99 EAST BREMER AVENUE,,WAVERLY,IA,UNITED STATES,50677-3317,319-352-1500,319-352-4050,,,,,,,Approved,7/16/1990,2/2/2010,Y,WWW.RERC.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,0 percent,,N,Y,Y,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,Y,N,N,N,,,,N,N,N,N,N,Y,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105038,801-30209,"FOCUS FINANCIAL ADVISORS, INC.","FOCUS FINANCIAL ADVISORS, INC.",6870 ROTE ROAD,SUITE 101,ROCKFORD,IL,UNITED STATES,61107-2690,815-633-8844,815-633-2108,,,,,,,Approved,12/3/1987,8/27/2010,Y,WWW.FOCUSFINANCIALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"101,262,744.00","1,358,791.00","102,621,535.00",404,13,417,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138194,801-65358,"LAMPE, CONWAY & CO. LLC","LAMPE, CONWAY & CO. LLC",680 FIFTH AVENUE - SUITE 1202,,NEW YORK,NY,USA,10019-5429,212-581-8989,212-581-8999,,,,,,,Approved,1/19/2006,2/2/2010,Y,HTTP://WWW.LAMPECONWAY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"300,000,000.00",0,"300,000,000.00",3,0,3,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109973,801-57329,MURPHY POHLAD ASSET MANAGEMENT LLC,MURPHY POHLAD ASSET MANAGEMENT LLC,11100 BREN ROAD WEST,,MINNETONKA,MN,UNITED STATES,55343,952-948-2300,952-948-2325,,,,,,,Approved,3/24/2000,8/27/2010,Y,WWW.MURPHYLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,NEGOTIATED FEES FOR CUSTOMIZED SERVICES,Y,"211,285,844.00",0,"211,285,844.00",296,0,296,N,Y,N,N,N,N,N,N,N,Y,"REPORTING, CONSULTING AND GENERAL ESTATE PLANNING SERVICES",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,126013,801-61882,OLD GLORY ASSET MANAGEMENT LLC,OLD GLORY ASSET MANAGEMENT LLC,5 GREAT VALLEY PARKWAY,SUITE 326,MALVERN,PA,UNITED STATES,19355,610-648-3860,610-648-3868,,,,,,,Approved,4/3/2003,2/2/2010,Y,WWW.OLDGLORYAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,UNION - NON-PENSION,Y,N,N,N,N,N,N,,Y,"203,473,328.00",0,"203,473,328.00",22,0,22,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,116847,801-62634,"CHARTER CAPITAL MANAGEMENT, LLC","CHARTER CAPITAL MANAGEMENT, LLC",495 GRAND BOULEVARD,SUITE 206,DESTIN,FL,UNITED STATES,32550,850-502-4290,866-706-4001,,,,,,,Approved,1/2/2004,8/27/2010,Y,WWW.CHARTER-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"230,507,993.00",0,"230,507,993.00",80,0,80,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,37182,801-56495,"MORTON CLARKE FU & METCALF, INC.","MORTON CLARKE FU & METCALF, INC.",520 PIKE ST,SUITE 2250,SEATTLE,WA,UNITED STATES,98101,206-343-3040,206-343-7557,,,,,,,Approved,4/30/1999,8/27/2010,Y,WWW.MORTONCLARKE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"173,134,931.00",0,"173,134,931.00",100,0,100,N,Y,N,N,N,N,N,N,N,N,,0,,Y,N,Y,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150263,801-70190,HUDSON PILOT,HUDSON PILOT LLC,200 WEST 57TH ST.,SUITE 203,NEW YORK,NY,UNITED STATES,10019,212-581-2300,212-581-2333,,,,,,,Approved,6/2/2009,8/27/2010,Y,WWW.HUDSONPILOT.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138613,801-65306,CRITICAL MATH ADVISORS LLC,CRITICAL MATH ADVISORS LLC,29 EMMONS DRIVE,SUITE A-20,PRINCETON,NJ,USA,8540,609-734-9290,609-734-9280,,,,,,,Approved,1/23/2006,8/27/2010,Y,WWW.UNUSUALFUND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"43,076,805.00",0,"43,076,805.00",71,0,71,N,Y,Y,Y,N,N,N,N,N,Y,INSURANCE,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109279,801-58035,"DIXON HUGHES WEALTH ADVISORS, LLC","DIXON HUGHES WEALTH ADVISORS, LLC","500 RIDGEFIELD COURT, SUITE 100",SUITE 100,ASHEVILLE,NC,UNITED STATES,28806,888-840-4715,828-236-5899,P.O. BOX 3049,,ASHEVILLE,NC,UNITED STATES,28802,Approved,10/12/2000,8/27/2010,Y,WWW.DHWEALTHADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"591,870,922.00","89,112,281.00","680,983,203.00","2,383",113,"2,496",Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,140431,801-66735,"JACOBSON & SCHMITT ADVISORS, LLC","JACOBSON & SCHMITT ADVISORS, LLC",725 HEARTLAND TRAIL STE 201,,MADISON,WI,UNITED STATES,53717,608-662-7500,608-662-7518,,,,,,,Approved,5/25/2006,8/27/2010,Y,WWW.JANDSADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"75,966,001.00",0,"75,966,001.00",277,0,277,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110252,801-60117,"VISTA WEALTH MANAGEMENT, LLC","VISTA WEALTH MANAGEMENT, LLC",600 CALIFORNIA STREET,SUITE 1330,SAN FRANCISCO,CA,UNITED STATES,94108,415-477-8600,415-288-6269,,,,,,,Approved,3/23/2001,8/27/2010,Y,WWW.VISTAWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"425,984,622.00","64,999,930.00","490,984,552.00",157,29,186,Y,Y,N,N,Y,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLE,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,Y,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,138938,801-66260,"DISCIPLINE ADVISORS, INC.","DISCIPLINE ADVISORS, INC.",150 ST. ANDREWS CT. #210,,MANKATO,MN,UNITED STATES,56001,507-625-5876,507-625-2491,,,,,,,Approved,2/24/2006,8/27/2010,Y,WWW.DISCIPLINEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"106,217,000.00",0,"106,217,000.00",275,0,275,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,140977,801-67001,STRATEGIC WEALTH ADVISORS GROUP,"STRATEGIC WEALTH ADVISORS GROUP, INC.","411 BOREL AVENUE, SUITE 620",,SAN MATEO,CA,UNITED STATES,94402,650.571.1934,650.571.6301,,,,,,,Approved,7/20/2006,8/27/2010,Y,WWW.FSNWEB.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,200",51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"191,588,127.00","140,867,625.00","332,455,752.00","1,732",357,"2,089",Y,Y,N,Y,N,N,N,N,N,N,,51-100,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,139358,801-66205,"RETIREMENT PLANNING SPECIALISTS, INC.","THOMAS B. GAU ENTERPRISES, INC. DBA RETIREMENT PLANNING SPECIALI",645 A STREET,,ASHLAND,OR,UNITED STATES,97520,541-482-0138,541-488-6272,,,,,,,Approved,2/15/2006,2/2/2010,Y,WWW.RETIREMENTPLANNINGSPECIALISTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,0,"173,295,794.00","173,295,794.00",0,978,978,Y,Y,N,N,N,Y,N,N,N,N,,251-500,,N,N,N,Y,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,152606,801-70942,DOUBLELINE CAPITAL LP,DOUBLELINE CAPITAL LP,"333 SOUTH GRAND AVENUE, SUITE 1800",,LOS ANGELES,CA,UNITED STATES,90071,213-633-8200,213-633-8398,,,,,,,Approved,12/23/2009,8/27/2010,Y,HTTP://WWW.DOUBLELINE.COM/,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,716,578,074.00","1,719,202,900.00","4,435,780,974.00",12,14,26,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
CHRO,146444,801-68915,"FEG INVESTORS, LLC","FEG INVESTORS, LLC",201 EAST FIFTH STREET,SUITE 1600,CINCINNATI,OH,UNITED STATES,45202,513-977-4400,513-977-4430,,,,,,,Approved,4/16/2008,8/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"121,764,886.00",0,"121,764,886.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,Y,N,N,Y,N,N,Y,N,Y,N,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,152502,801-70928,"HILLCREST WELLS ADVISORS, LLC","HILLCREST WELLS ADVISORS, LLC","6301 OWENSMOUTH AVENUE, SUITE 750",,WOODLAND HILLS,CA,UNITED STATES,91367,626-484-5744,626-795-4334,,,,,,,Approved,1/5/2010,8/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,51-250,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,400,000.00",0,"34,400,000.00",2,0,2,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,139005,801-65969,"BROADSTREET CAPITAL PARTNERS, LP","BROADSTREET CAPITAL PARTNERS, LP",712 FIFTH AVENUE,,NEW YORK,NY,UNITED STATES,10019,212-499-4280,212-499-4281,,,,,,,Approved,1/30/2006,8/27/2010,Y,HTTP://WWW.BROADSTREETLLC.COM/BCP/INDEX.HTML,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"475,000,000.00",0,"475,000,000.00",2,0,2,N,N,N,Y,N,Y,N,N,N,Y,PROVIDE ADVICE TO PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,20626,801-56426,INNOVATIVE MARKET TRENDS,"TFS SECURITIES, INC.",437 NEWMAN SPRINGS RD,,LINCROFT,NJ,UNITED STATES,7738,732-758-9300,732-758-9418,,,,,,,Approved,5/5/1999,3/30/2009,Y,WWW.INNOVATIVEMARKETTRENDS.COM; WWW.TFSWEB.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,51-250,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"23,864,877.00","43,442,278.00","67,307,155.00",261,189,450,Y,Y,N,Y,Y,Y,N,N,N,N,,More than 500,1000,Y,N,Y,Y,N,N,Y,N,Y,MORTGAGE,N,,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
LARO,32444,801-47805,"FIRST ALLIED SECURITIES, INC.","FIRST ALLIED SECURITIES, INC.",655 W. BROADWAY,12TH FLOOR,SAN DIEGO,CA,UNITED STATES,92101-8114,619-702-9600,619-702-9670,P.O. BOX 85549,,SAN DIEGO,CA,UNITED STATES,92186-5549,Approved,12/1/1994,8/27/2010,Y,WWW.MCLAUGHLININVESTMENTCONSULTANT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,501-1000,0,251-500,0,251-500,0,5-Jan,0,More than 500,"9,000",More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"1,525,606,110.00","128,413,827.00","1,654,019,937.00","7,317","1,411","8,728",Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,Y,N,Y,N,N,N,Y,N,N,,Y,N,Y,Y,N,Y,Y,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,Y,N,N,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,N,Y,N,N,Y,N
HQ,145421,801-68606,FRANKLIN TEMPLETON ASSET MANAGEMENT (INDIA) PRIVATE LIMITED,FRANKLIN TEMPLETON ASSET MANAGEMENT (INDIA) PRIVATE LIMITED,"WOCKHARDT TOWERS, LEVEL -4, BANDRA KURLA COMPLEX",BANDRA - EAST,MUMBAI,,INDIA,400051,91-22-67519100,91-22-66490622,,,,,,,Approved,1/3/2008,8/27/2010,Y,WWW.FRANKLINTEMPLETON.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Other (specify),PRIVATE LIMITED COMPANY,,INDIA,501-1000,0,Nov-50,0,0,0,10-Jun,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,OTHER,Y,N,N,N,Y,N,Y,UPFRONT FEE,Y,"6,064,978,978.00","1,227,598,682.00","7,292,577,660.00","1,136",10,"1,146",N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
PLRO,149946,801-70060,"STILLWATER CAPITAL ADVISORS, LLC","STILLWATER CAPITAL ADVISORS, LLC","200 W. LANCASTER AVE., SUITE 207",,WAYNE,PA,UNITED STATES,19087,610-848-6760,,,,,,,,Approved,4/20/2009,2/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"220,000,000.00","130,000,000.00","350,000,000.00",540,450,990,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,152121,801-71583,"ALEX. BROWN REALTY, INC.","ALEX. BROWN REALTY, INC.",300 EAST LOMBARD STREET,SUITE 1200,BALTIMORE,MD,UNITED STATES,21202,410-727-4083,410-625-2694,,,,,,,Approved,8/31/2010,8/27/2010,Y,WWW.ABREALTY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,Y,REIMBURSEMENT FOR COSTS,Y,"309,490,906.00",0,"309,490,906.00",13,0,13,N,Y,N,Y,N,N,N,N,N,Y,REAL ESTATE ADVISORY SERVICES (DEBT AND EQUITY),,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108260,801-50659,"FIRST EAGLE INVESTMENT MANAGEMENT, LLC","FIRST EAGLE INVESTMENT MANAGEMENT, LLC",1345 AVENUE OF THE AMERICAS,,NEW YORK,NY,UNITED STATES,10105-4300,212-698-3101,212-698-3271,,,,,,,Approved,12/12/1995,8/27/2010,Y,WWW.FEIM.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,51-250,0,0,0,101-250,0,0 percent,11-25 percent,0 percent,11-25 percent,11-25 percent,26-50 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"39,524,752,714.00",0,"39,524,752,714.00",88,0,88,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
DRO,148605,801-69713,BAZIS & YOUNG INVESTMENT GROUP LLC,BAZIS & YOUNG INVESTMENT GROUP LLC,1065 N. 115TH ST.,STE. 130,OMAHA,NE,UNITED STATES,68154,402-965-3565,,,,,,,,Approved,10/31/2008,2/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"37,546,428.00","456,206.00","38,002,634.00",239,2,241,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106220,801-15028,GRANTHAM MAYO VAN OTTERLOO & CO LLC,GRANTHAM MAYO VAN OTTERLOO & CO LLC,40 ROWES WHARF,,BOSTON,MA,UNITED STATES,02110-3340,617-330-7500,617-330-9412,,,,,,,Approved,12/31/1979,8/27/2010,Y,WWW.GMO.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,501-1000,0,51-250,0,Nov-50,0,0,0,More than 500,"1,260",Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,26-50 percent,FOUNDATIONS/ENDOWMENTS,Y,N,N,N,N,Y,N,,Y,"96,662,314,126.00",0,"96,662,314,126.00","1,837",0,"1,837",N,Y,Y,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,Y,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124242,801-70317,"INDEPENDENT WEALTH MANAGEMENT, LLC","INDEPENDENT WEALTH MANAGEMENT, LLC",236 1/2 E. FRONT ST,,TRAVERSE CITY,MI,UNITED STATES,49684,231-929-1086,231-346-5959,,,,,,,Approved,6/30/2009,2/10/2010,Y,WWW.IWMUSA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"34,962,022.00","698,814.00","35,660,836.00",200,4,204,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114259,801-66079,BELL FINANCIAL PLANNING,BELL FINANCIAL PLANNING CO.,2901 BEE CAVE ROAD BOX F,,AUSTIN,TX,UNITED STATES,78746,512-347-9500,512-347-9502,,,,,,,Approved,1/26/2006,2/10/2010,Y,WWW.BELLFINANCIALPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"53,965,662.00",0,"53,965,662.00",350,0,350,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109228,801-54959,SYVERSON STREGE & COMPANY,SYVERSON STREGE & COMPANY,REGENCY WEST 7,"4400 WESTOWN PARKWAY, SUITE 405",WEST DES MOINES,IA,UNITED STATES,50266,515-225-6000,515-225-6888,,,,,,,Approved,10/1/1997,2/10/2010,Y,WWW.SSS-CO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"232,140,792.00",0,"232,140,792.00","1,005",0,"1,005",Y,Y,N,N,N,Y,N,N,N,Y,SELECTION OF OTHER ADVISERS THROUGH THIRD PARTY,251-500,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115699,801-60963,"CLARITY ASSET MANAGEMENT, INC.","CLARITY ASSET MANAGEMENT, INC.",2001 WESTOWN PARKWAY,SUITE 110,WEST DES MOINES,IA,USA,50265,515-252-7489,515-252-7489,P.O. BOX 3898,,URBANDALE,IA,USA,50323,Approved,2/28/2002,2/10/2010,Y,INVESTMENTCLARITY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"97,879,155.00",0,"97,879,155.00",451,0,451,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,139780,801-66336,"HIGHLAND CAPITAL ADVISORS, LLC","HIGHLAND CAPITAL ADVISORS, LLC","1605 NW SAMMAMISH ROAD, SUITE 250",,ISSAQUAH,WA,UNITED STATES,98027,425-466-2946,1-866-524-3061,,,,,,,Approved,5/21/2006,2/10/2010,Y,WWW.HCPORTFOLIOS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,128818,801-64817,EQUITY FUND RESEARCH,"SMITH, THURMAN LEONARD",,,,,,,800-982-0055,781-321-5941,P.O. BOX 170066,,BOSTON,MA,UNITED STATES,2117,Approved,11/14/2005,2/10/2010,Y,WWW.EFR.BZ,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"41,545,331.00",0,"41,545,331.00",63,0,63,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,141039,801-66958,"TRINITY INVESTMENT ADVISORS, LLC","TRINITY INVESTMENT ADVISORS, LLC",136 NORTH CHURCH,,WEST CHESTER,PA,USA,19380,610-344-9300,610-344-9769,,,,,,,Approved,6/30/2006,6/23/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"9,400,853.00","31,051,568.00","40,452,421.00",53,53,106,N,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,Y,"MARKETING OF ""EMONEY"" PLATFORM",N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104921,801-66465,THE LEONARD MANAGEMENT GROUP,THE LEONARD MANAGEMENT GROUP INC,395 W AVON RD,,AVON,CT,UNITED STATES,6001,860-673-3237,860-673-3238,,,,,,,Approved,3/16/2006,2/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,727,887.00",0,"34,727,887.00",53,0,53,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147384,801-69248,SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC,SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC,,,,,,,(612) 355 - 4363,(612) 355 - 4361,,,,,,,Approved,6/12/2008,2/11/2010,Y,WWW.SDWIA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"48,200,000.00","5,950,000.00","54,150,000.00",606,33,639,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110692,801-20404,SPC,SIGMA PLANNING CORP,4261 PARK RD,,ANN ARBOR,MI,UNITED STATES,48103,734-663-1611,734-663-0213,,,,,,,Approved,1/11/1984,2/11/2010,Y,WWW.SIGMAFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,501-1000,0,501-1000,0,501-1000,0,0,0,More than 500,"11,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SEMINAR ATTENDENCE FEES,Y,"761,000,000.00","167,000,000.00","928,000,000.00","8,000","1,400","9,400",Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTATION SERVICES,More than 500,1500,N,Y,N,N,N,N,N,N,N,,N,N,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
BRO,119510,801-69244,"BLUE CHIP FINANCIAL ADVISORS, LLP","BLUE CHIP FINANCIAL ADVISORS, LLP",22 HEMINGWAY DRIVE,,EAST PROVIDENCE,RI,USA,2915,401-435-4239,401-435-5060,,,,,,,Approved,6/9/2008,2/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,RI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"34,000,000.00","34,000,000.00",0,275,275,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109293,801-56725,MALLEY ASSOCIATES CAPITAL MANAGEMENT INC,MALLEY ASSOCIATES CAPITAL MANAGEMENT INC,"909 THIRD AVENUE, 5TH FLOOR",,NEW YORK,NY,USA,10022,646-495-3172,646-495-3176,,,,,,,Approved,8/16/1999,3/10/2008,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"117,611,284.00",0,"117,611,284.00",192,0,192,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,728,801-7395,ROTHSCHILD INVESTMENT CORPORATION,ROTHSCHILD INVESTMENT CORPORATION,311 SOUTH WACKER DRIVE,SUITE 6500,CHICAGO,IL,USA,60606,312-983-8900,312-983-8912,,,,,,,Approved,5/30/1971,2/11/2010,Y,ROTHSCHILDINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"1,500",11-25 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"821,664,811.00","39,765,929.00","861,430,740.00","1,187",69,"1,256",N,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
SFRO,143417,801-68234,ROBINSWOOD FINANCIAL,ROBINSWOOD FINANCIAL LLC,3425 CARILLON POINT,"BUILDING 3000, 4TH FLOOR",KIRKLAND,WA,UNITED STATES,98033,452-296-1611,425-296-1612,,,,,,,Approved,8/20/2007,2/11/2010,Y,WWW.ROBINSWOODFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"100,594,064.00","365,936.00","100,960,000.00",412,18,430,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,117897,801-65296,"NOVEN FINANCIAL GROUP, INC.","NOVEN FINANCIAL GROUP, INC.",1777 S. HARRISON STREET,SUITE 1500,DENVER,CO,UNITED STATES,80210,303-782-9100,303-757-2972,,,,,,,Approved,1/13/2006,2/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"113,215,572.00","6,811,746.00","120,027,318.00",751,127,878,Y,Y,N,N,N,N,N,N,Y,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108443,801-57847,"BB&T ASSET MANAGEMENT, INC.","BB&T ASSET MANAGEMENT, INC.","434 FAYETTEVILLE STREET, 5TH FL",,RALEIGH,NC,USA,27601,919-716-9070,919-716-9462,P.O. BOX 29575,,RALEIGH,NC,USA,27626-0575,Approved,8/22/2000,3/31/2010,Y,WWW.BBANDT.COM/ASSETMANAGEMENT,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,51-250,0,Nov-50,0,10-Jun,0,5-Jan,0,More than 500,"2,500",51-75 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,CHURCHES,Y,Y,N,Y,N,N,N,,Y,"17,795,014,084.00","163,015,211.00","17,958,029,295.00","2,587",94,"2,681",N,Y,Y,Y,Y,Y,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,112198,801-54833,"CULVER INVESTMENT COMPANY, LLC","CULVER INVESTMENT COMPANY, LLC",360 INTERLOCKEN BLVD.,SUITE 104,BROOMFIELD,CO,USA,80021,303-442-3670,303-442-1749,,,,,,,Approved,7/25/2000,3/31/2010,Y,WWW.CULVERCOMPANIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"37,582,884.00","1,861,690.00","39,444,574.00",161,11,172,Y,Y,N,Y,Y,N,N,N,N,Y,CONSULTING,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N
SFRO,113008,801-32359,SAGE INVESTMENT MANAGEMENT,"O'NEILL,MICHAEL,FRANCIS","3685 MOUNT DIABLO BLVD., #360",,LAFAYETTE,CA,UNITED STATES,94549,925-284-3034,925-283-5450,,,,,,,Approved,6/30/1988,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"67,872,997.00",0,"67,872,997.00",237,0,237,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,119429,801-70090,"WESTERN PACIFIC CAPITAL MANAGEMENT, LLC","WESTERN PACIFIC CAPITAL MANAGEMENT, LLC","322 EIGHTH STREET, SUITE 100",,DEL MAR,CA,UNITED STATES,92014,858-436-2400,858-436-2402,,,,,,,Approved,5/13/2009,3/31/2010,Y,WWW.WESTPACCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"75,000,000.00",0,"75,000,000.00",250,0,250,Y,Y,N,N,N,N,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
HQ,135539,801-64639,BI ASSET MANAGEMENT FONDSMAEGLERSELSKAB A/S,BI ASSET MANAGEMENT FONDSMAEGLERSELSKAB A/S,SUNDKROGSGADE 7,,COPENHAGEN,,DENMARK,2100,+45 77 30 90 00,+45 33 41 91 00,,,,,,,Approved,9/19/2005,3/27/2008,Y,WWW.BANKINVEST.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,DENMARK,51-250,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"2,040,816,326.00","18,571,428,571.00","20,612,244,897.00",28,84,112,N,Y,N,Y,N,N,N,N,N,Y,POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106020,801-37177,WOLVERINE INVESTMENTS,WHB WOLVERINE ASSET MANAGEMENT INC,200 PEQUOT AVENUE,2ND FLOOR,SOUTHPORT,CT,UNITED STATES,6890,203-254-7260,203-254-7193,,,,,,,Approved,8/20/1990,3/31/2010,Y,WWW.WOLVERINEINVEST.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"15,900,000.00","15,395,000.00","31,295,000.00",41,20,61,N,Y,N,Y,N,N,N,N,N,Y,"INVESTMENT, TREASURY AND FINANCIAL MANAGEMENT SERVICES FOR PRIVATE CORPORATIONS",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,136745,801-64693,"BILTMORE WEALTH ADVISERS, LLC","BILTMORE WEALTH ADVISERS, LLC",2701 E. CAMELBACK ROAD,#170,PHOENIX,AZ,UNITED STATES,85016,602-273-7733,602-273-1098,,,,,,,Approved,9/6/2005,3/31/2010,Y,WWW.CAPRICEMALLETTONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"33,489,991.00",0,"33,489,991.00",508,0,508,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112496,801-55110,"ALPINE WOODS CAPITAL INVESTORS, LLC","ALPINE WOODS CAPITAL INVESTORS, LLC",2500 WESTCHESTER AVENUE,SUITE 215,PURCHASE,NY,UNITED STATES,10577,914-251-0880,914-251-9098,,,,,,,Approved,12/16/1997,3/31/2010,Y,WWW.ALPINEFUNDS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"6,571,100,000.00",0,"6,571,100,000.00",21,0,21,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150016,801-70229,"J.A. FORLINES, LLC","J.A. FORLINES, LLC",78 FOREST AVENUE,,LOCUST VALLEY,NY,UNITED STATES,11560,516-609-3370,516-609-3370,P.O. BOX 737,,LOCUST VALLEY,NY,UNITED STATES,11560,Approved,6/8/2009,3/31/2010,Y,JAFORLINES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"129,697,798.00",0,"129,697,798.00",502,0,502,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,141063,801-66942,CREDIT SUISSE INTERNATIONAL INVESTMENT ADVISORS,CREDIT SUISSE INTERNATIONAL INVESTMENT ADVISORS,KALANDERGASSE 4,,ZURICH,,SWITZERLAND,8070,+41 44 334 48 53,+41 44 333 49 00,,,,,,,Approved,7/5/2006,3/31/2010,Y,HTTP://WWW.CREDIT-SUISSE.COM/,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SWITZERLAND,5-Jan,0,0,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,N,0,0,0,0,0,0,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N
FWRO,114213,801-64136,PARKER FINANCIAL ADVISORS,"C.L. PARKER, INC.",14800 SAINT MARY'S LANE,SUITE 245,HOUSTON,TX,UNITED STATES,77079-2943,832.476.3495,832.476.3495,,,,,,,Approved,4/14/2005,3/31/2010,Y,HTTP://WWW.PARKERFEEONLY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"54,570,630.00",0,"54,570,630.00",155,0,155,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N
BRO,111047,801-37540,PTS ASSET MANAGEMENT,PORTFOLIO TIMING SERVICE,879 CHURCH STREET,ROUTE 68,WALLINGFORD,CT,UNITED STATES,6492,203-269-9730,203-284-8255,879 CHURCH STREET - ROUTE 68,,WALLINGFORD,CT,UNITED STATES,6492,Approved,10/12/1990,3/31/2010,Y,WWW.PTSMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,CT,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,51-250,0,More than 500,"1,000",51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"303,231,000.00",0,"303,231,000.00","2,030",0,"2,030",N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,146519,801-68994,"EAGLEEYE ASSET MANAGEMENT, LLC","EAGLEEYE ASSET MANAGEMENT, LLC",,,,,,,508-801-1970,508-591-7925,,,,,,,Approved,4/9/2008,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"12,952,699.00","40,771,256.00","53,723,955.00",35,88,123,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,104677,801-19093,"WEST COAST FINANCIAL, LLC","WEST COAST FINANCIAL, LLC","1525 STATE ST., STE 104",,SANTA BARBARA,CA,UNITED STATES,93101,805-962-9131,805-962-4290,,,,,,,Approved,6/17/1983,3/31/2010,Y,WWW.WCFINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"258,864,532.00",0,"258,864,532.00",146,0,146,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108681,801-55009,SEABRIDGE INVESTMENT ADVISORS LLC,SEABRIDGE INVESTMENT ADVISORS LLC,"450 SPRINGFIELD AVE, SUITE 301",,SUMMIT,NJ,UNITED STATES,7901,908-273-5085,908-273-6297,,,,,,,Approved,11/3/1997,3/31/2010,Y,WWW.SEABRIDGE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"315,560,107.00",0,"315,560,107.00",231,0,231,N,Y,N,Y,N,N,N,N,N,Y,CONSULTING WITH RESPECT TO ASSET ALLOCATION SERVICES AND ADVICE FOR NON-DISCRETIONARY ACCOUNTS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,132823,801-63731,CAXTON ASSOCIATES LP,CAXTON ASSOCIATES LP,731 ALEXANDER ROAD,BUILDING 2,PRINCETON,NJ,UNITED STATES,8540,609 419-1800,609-419-0470,,,,,,,Approved,1/3/2005,3/31/2010,Y,WWW.CAXTON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,251-500,0,51-250,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"6,211,000,000.00",0,"6,211,000,000.00",12,0,12,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,104800,801-35879,CREEKSIDE INVESTMENT MANAGEMENT INC,CREEKSIDE INVESTMENT MANAGEMENT INC,1207 S AUSTIN ST,,BRENHAM,TX,UNITED STATES,77833,979-830-7030,979-830-0657,P.O. BOX 877,,BRENHAM,TX,UNITED STATES,77834-0877,Approved,1/2/1990,3/31/2010,Y,WWW.CREEKSIDEINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"40,550,687.00",0,"40,550,687.00",38,0,38,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,149730,801-70117,"KAPP/SCANLON FINANCIAL GROUP, LLC","KAPP/SCANLON FINANCIAL GROUP, LLC",6119 CALLERY STREET,,PITTSBURGH,PA,UNITED STATES,15206,412-428-9546,412-428-9546,,,,,,,Approved,4/23/2009,3/31/2010,Y,KAPPSCANLON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"48,513,600.00",0,"48,513,600.00",330,0,330,Y,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,140764,801-66836,"MARTIN KELLY CAPITAL MANAGEMENT, LLC","MARTIN KELLY CAPITAL MANAGEMENT, LLC",11512 EL CAMINO REAL,SUITE 370,SAN DIEGO,CA,UNITED STATES,92130,858-217-5347,443-269-0458,,,,,,,Approved,5/30/2006,3/31/2010,Y,WWW.MARTINKELLYCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"104,641,249.00","103,728,259.00","208,369,508.00",57,59,116,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,131257,801-63142,"CLOUGH CAPITAL PARTNERS, LP","CLOUGH CAPITAL PARTNERS, LP",ONE POST OFFICE SQUARE,40TH FLOOR,BOSTON,MA,UNITED STATES,2109,617-204-3400,617-204-3434,,,,,,,Approved,6/3/2004,3/31/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,957,673,645.00",0,"2,957,673,645.00",10,0,10,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,113308,801-60343,CAUSEWAY CAPITAL MANAGEMENT LLC,CAUSEWAY CAPITAL MANAGEMENT LLC,11111 SANTA MONICA BOULEVARD,15TH FLOOR,LOS ANGELES,CA,UNITED STATES,90025,310-231-6100,310-231-6176,,,,,,,Approved,6/14/2001,3/31/2010,Y,WWW.CAUSEWAYCAP.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,0 percent,11-25 percent,26-50 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,MODEL WRAP PROGRAMS,Y,N,N,N,N,Y,N,,Y,"10,230,251,432.00","315,053,480.00","10,545,304,912.00",59,3,62,N,N,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,Y,N,Y,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,132559,801-65585,"CENTENNIAL PARTNERS, LLC","CENTENNIAL PARTNERS, LLC","6410 POPLAR AVENUE, SUITE 650",,MEMPHIS,TN,UNITED STATES,38119,901-213-5130,901-213-5131,,,,,,,Approved,1/27/2006,3/31/2010,Y,WWW.CENTENNIALFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"336,313,563.00",0,"336,313,563.00",9,0,9,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGER FOR HEDGE FUNDS OF FUNDS,0,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,Y,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107175,801-53149,BERKSHIRE CAPITAL HOLDINGS INC,BERKSHIRE CAPITAL HOLDINGS INC,,,,,,,(408) 526-0707,(408) 944-0707,,,,,,,Approved,10/30/1996,3/31/2010,Y,WWW.BERKSHIREFUNDS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"17,244,824.00",0,"17,244,824.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106311,801-46908,DRA ADVISORS LLC,DRA ADVISORS LLC,220 EAST 42ND ST 27TH FLOOR,,NEW YORK,NY,UNITED STATES,10017,212-697-4740,212-697-7403,,,,,,,Approved,7/25/1994,3/31/2010,Y,WWW.DRAADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,REAL ESTATE TRANSACTION FEES,Y,"9,330,996,767.00","160,000,000.00","9,490,996,767.00",10,1,11,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,107890,801-14752,"LEAVELL INVESTMENT MANAGEMENT, INC.","LEAVELL INVESTMENT MANAGEMENT, INC.",210 SAINT JOSEPH STREET,,MOBILE,AL,UNITED STATES,36602,251-433-3709,251-433-3723,P.O. BOX 1307,,MOBILE,AL,UNITED STATES,36633,Approved,7/23/1979,3/31/2010,Y,WWW.LEAVELLINVESTMENTS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,11-25 percent,26-50 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,401(K) PLANS AND CONSULTANT ACCOUNTS,Y,N,N,Y,N,N,N,,Y,"781,453,351.00","10,913,108.00","792,366,459.00",783,5,788,N,Y,Y,Y,Y,Y,N,N,N,Y,FIDUCIARY ADVICE & INVESTMENT ADVICE TO PARTICIPANTS OF ADVISED PENSION PLANS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131243,801-63032,SAFRA ASSET MANAGEMENT CORPORATION,SAFRA ASSET MANAGEMENT CORPORATION,546 FIFTH AVENUE,,NEW YORK CITY,NY,UNITED STATES,10036,212-704-7600,212-704-7680,,,,,,,Approved,4/15/2004,3/31/2010,Y,WWW.SAFRAFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,Y,% OF ASSETS UNDER CONSULTATION,Y,"65,443,997.00",0,"65,443,997.00",1,0,1,N,Y,N,Y,N,Y,N,N,N,Y,PORTFOLIO CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,136467,801-65688,WILLIAMSON MCAREE INVESTMENT PARTNERS LLC,WILLIAMSON MCAREE INVESTMENT PARTNERS LLC,"767 THIRD AVENUE, 27TH FLOOR",,NEW YORK,NY,UNITED STATES,10017,212-754-2030,212-754-2728,,,,,,,Approved,1/27/2006,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"211,000,000.00",0,"211,000,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104633,801-36433,WHITNELL & CO,WHITNELL & CO,701 HARGER ROAD,SUITE 190,OAK BROOK,IL,USA,60523-1489,630-575-2300,630-571-1795,,,,,,,Approved,4/27/1990,3/31/2010,Y,WWW.WHITNELL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,251-500,0,26-50 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"494,435,199.00","312,213,246.00","806,648,445.00",229,773,"1,002",Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,19608,801-32353,THE INVESTMENT COUNSEL COMPANY OF NEVADA,THE INVESTMENT COUNSEL COMPANY OF NEVADA,10000 W. CHARLESTON BOULEVARD,SUITE 280,LAS VEGAS,NV,USA,89135,702-871-8510,702-871-4052,,,,,,,Approved,8/5/1988,3/31/2010,Y,WWW.ICCNV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),S CORPORATION,NV,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"422,140,503.00","287,608,708.00","709,749,211.00",423,184,607,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,Y,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109905,801-47262,ADVANTUS CAPITAL MANAGEMENT CO/MN,ADVANTUS CAPITAL MANAGEMENT INC,400 ROBERT ST NORTH,,ST PAUL,MN,UNITED STATES,55101-2098,651-665-3500,651-665-3108,,,,,,,Approved,9/16/1994,3/31/2010,Y,WWW.ADVANTUSCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,26-100,0,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"17,573,701,865.00","901,965,716.00","18,475,667,581.00",98,21,119,N,N,Y,Y,N,Y,N,N,N,Y,DUE DILIGENCE SERVICES FOR EXISTING CLIENTS.  OVERSEE MANAGEMENT OF COMMERCIAL REOS ACQUIRED IN FORECLOSURE FOR CLIENTS,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,112144,801-48406,RILEY CAPITAL MANAGEMENT INC,RILEY CAPITAL MANAGEMENT INC,121 S. LOUDOUN ST.,,WINCHESTER,VA,USA,22601,540-662-4097,540-662-4605,,,,,,,Approved,2/7/1995,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"33,562,416.00",0,"33,562,416.00",48,0,48,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106759,801-49751,HALL CAPITAL PARTNERS LLC,HALL CAPITAL PARTNERS LLC,ONE MARITIME PLAZA,SUITE 500,SAN FRANCISCO,CA,UNITED STATES,94111,415-288-0544,415-288-0543,,,,,,,Approved,7/28/1995,3/31/2010,Y,WWW.HALLCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,101-250,0,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"2,268,374,781.00","16,779,489,253.00","19,047,864,034.00",16,120,136,Y,Y,Y,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111288,801-60105,"LUCERNE CAPITAL MANAGEMENT, LLC","LUCERNE CAPITAL MANAGEMENT, LLC",500 MAMARONECK AVENUE,SUITE 407,HARRISON,NY,UNITED STATES,10528,914-998-8100,914-998-8101,,,,,,,Approved,3/26/2001,3/31/2010,Y,WWW.LUCERNECAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"170,000,000.00",0,"170,000,000.00",6,0,6,N,N,N,Y,N,N,N,N,N,Y,PRIVATE HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,115638,801-60594,PELICAN INVESTMENT MANAGEMENT,PELICAN INVESTMENT MANAGEMENT,ONE LIBERTY SQUARE,SUITE 1200,BOSTON,MA,UNITED STATES,2109,617-757-8700,617-451-3322,,,,,,,Approved,9/24/2001,3/31/2010,Y,WWW.PELICANIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"162,921,680.00","190,736,999.00","353,658,679.00",117,4,121,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131497,801-63215,METALMARK SUBADVISOR LLC,METALMARK SUBADVISOR LLC,"1177 AVENUE OF THE AMERICAS, 40TH FLOOR",,NEW YORK,NY,UNITED STATES,10036,212-823-1900,212-823-1901,,,,,,,Approved,6/18/2004,3/31/2010,Y,WWW.METALMARKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"507,191,000.00","12,828,000.00","520,019,000.00",7,2,9,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVICE TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110492,801-13146,"KERWIN-BELEY & ASSOCIATES, INC.",KERWIN BELEY & ASSOCIATES INC,200 W MERCER STREET SUITE 407,,SEATTLE,WA,UNITED STATES,98119-3958,206-352-1500,206-282-4846,,,,,,,Approved,7/8/1977,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"47,713,834.00","12,493,784.00","60,207,618.00",100,22,122,Y,Y,N,Y,N,Y,N,N,Y,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,136299,801-64670,"EXPLORER ALTERNATIVE MANAGEMENT, LLC","EXPLORER ALTERNATIVE MANAGEMENT, LLC",149 FIFTH AVENUE,7TH FLOOR,NEW YORK,NY,UNITED STATES,10010,347-827-0073,,,,,,,,Approved,9/7/2005,3/31/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"10,192,006.00","25,000,000.00","35,192,006.00",1,2,3,N,N,Y,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLE,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,142238,801-67308,"HOLCOMBE FINANCIAL, INC.","HOLCOMBE FINANCIAL, INC.",6065 ROSWELL ROAD,SUITE 250,SANDY SPRINGS,GA,UNITED STATES,30328,404-257-3317,404-257-9818,,,,,,,Approved,11/30/2006,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"144,128,239.00",0,"144,128,239.00",95,0,95,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,Y,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,118358,801-67945,IQ TRENDS PRIVATE CLIENT ASSET MANAGEMENT,"KELLEY WRIGHT & COMPANY, INC.",2888 LOKER AVENUE EAST,SUITE 116,CARLSBAD,CA,UNITED STATES,92010,866-927-5250,866-927-5251,,,,,,,Approved,6/5/2007,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"42,560,604.00","1,200,123.00","43,760,727.00",151,5,156,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,140059,801-66535,"BOSTON ADVISORS, LLC","BOSTON ADVISORS, LLC",ONE FEDERAL STREET,,BOSTON,MA,UNITED STATES,2110,617-348-3100,617-348-0081,,,,,,,Approved,5/5/2006,3/31/2010,Y,WWW.BOSTONADVISORS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,0 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,508,708,976.00","214,323,724.00","1,723,032,700.00",712,207,919,N,Y,Y,Y,N,N,Y,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131018,801-62969,PROSPECT CAPITAL MANAGEMENT LLC,PROSPECT CAPITAL MANAGEMENT LLC,10 EAST 40TH STREET,44TH FLOOR,NEW YORK,NY,UNITED STATES,10016,212-448-0702,212-448-9652,,,,,,,Approved,3/31/2004,3/31/2010,Y,WWW.PROSPECTSTREET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"689,080,000.00",0,"689,080,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114637,801-61260,GOODMAN FINANCIAL CORPORATION,GOODMAN FINANCIAL CORPORATION,5177 RICHMOND AVENUE,SUITE 700,HOUSTON,TX,UNITED STATES,77056,713-599-1777,713-599-1811,,,,,,,Approved,6/21/2002,3/12/2010,Y,WWW.GOODMANFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"138,197,746.00",0,"138,197,746.00",177,0,177,Y,Y,N,Y,N,N,N,N,N,Y,INVESTMENT CONSULTING SERVICES,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108854,801-56932,GLOBAL TRENDS INVESTMENTS,LYDON ASSET MANAGEMENT INC,1920 MAIN STREET,SUITE 1020,IRVINE,CA,UNITED STATES,92614,949-794-0070,949-794-0075,,,,,,,Approved,10/26/1999,3/12/2010,Y,WWW.GLOBALTREND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"79,852,448.00",0,"79,852,448.00",343,0,343,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,108337,801-33176,EBER CAPITAL MANAGEMENT,EBER STEVEN L,5915 PONCE DE LEON BLVD,SUITE 45,CORAL GABLES,FL,UNITED STATES,33146,305-442-0900,305-669-1463,,,,,,,Approved,10/28/1988,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,0,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"57,608,290.00",0,"57,608,290.00",42,0,42,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,109036,801-56587,FIRST AFFIRMATIVE FINANCIAL NETWORK LLC,FIRST AFFIRMATIVE FINANCIAL NETWORK LLC,5475 MARK DABLING BOULEVARD,SUITE 108,COLORADO SPRINGS,CO,USA,80918,719-636-1045,719-636-1943,,,,,,,Approved,6/7/1999,3/12/2010,Y,WWW.FIRSTAFFIRMATIVE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,Nov-50,0,5-Jan,0,0,0,Nov-50,0,More than 500,"3,885",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,Y,Y,N,N,Y,TAX PLANNING,Y,"574,208,239.00","15,910,746.00","590,118,985.00","8,538",264,"8,802",Y,Y,N,Y,Y,Y,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107356,801-50678,ISI FINANCIAL GROUP INC,ISI FINANCIAL GROUP INC,26A EAST ROSEVILLE ROAD,,LANCASTER,PA,USA,17601,717-393-3353,717-581-5425,,,,,,,Approved,11/22/1995,3/12/2010,Y,WWW.ISIFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"163,011,073.00",0,"163,011,073.00","1,117",0,"1,117",Y,Y,N,Y,N,N,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,119311,801-69016,SIMPLYRICH,"ANTMAN, LESTER MURRAY",,,,,,,760-213-7424,760-454-2357,,,,,,,Approved,4/2/2008,3/12/2010,Y,WWW.SIMPLYRICH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"68,221,794.00",0,"68,221,794.00",154,0,154,Y,Y,N,N,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,135872,801-65355,MARIN FINANCIAL ADVISORS LLC,MARIN FINANCIAL ADVISORS LLC,80 EAST SIR FRANCIS DRAKE BLVD,SUITE 1A,LARKSPUR,CA,UNITED STATES,94939,415-925-1212,415-707-6500,,,,,,,Approved,1/23/2006,3/12/2010,Y,WWW.MFAWEBSITE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"148,255,000.00",0,"148,255,000.00",174,0,174,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,131258,801-67933,GRIDLEY ASSOCIATES INC,GRIDLEY ASSOCIATES INC.,580 CALIFORNIA STREET,SUITE 1600,SAN FRANCISCO,CA,USA,94104,415-397-1100,866-854-8237,,,,,,,Approved,6/4/2007,3/12/2010,Y,WWW.GRIDLEYASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"45,277,862.00",0,"45,277,862.00",41,0,41,Y,Y,N,N,N,Y,N,N,N,Y,TRUSTEE SERVICES,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,150705,801-70367,THE SULLIVAN GROUP,"CAPITAL INVESTMENT MANAGEMENT GROUP, INC.",2270 DOUGLAS BOULEVARD,STE 205,ROSEVILLE,CA,UNITED STATES,95661,916-797-8500,,,,,,,,Approved,7/2/2009,3/12/2010,Y,WWW.SULLIVANGROUP.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"101,235,782.00",0,"101,235,782.00",500,0,500,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,151726,801-70700,MANAGEMENT ACTIVITIES,MANAGEMENT ACTIVITIES,1020 E. 7TH STREET,,LONG BEACH,CA,UNITED STATES,90813,562-437-5359,562-435-3052,,,,,,,Approved,10/14/2009,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"31,000,000.00",0,"31,000,000.00",23,0,23,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,131236,801-67126,"HAVERDINK FINANCIAL MANAGEMENT, LLC","HAVERDINK FINANCIAL MANAGEMENT, LLC",440 W. CENTRE AVENUE,SUITE 2,PORTAGE,MI,USA,49024-5373,269-321-5070,269-321-5071,,,,,,,Approved,9/21/2006,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"47,480,583.00","1,438,169.00","48,918,752.00",356,10,366,Y,Y,N,Y,Y,Y,N,N,N,Y,"CONSULTATION SERVICES, EDUCATIONAL WORKSHOPS AND SEMINARS",51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,148284,801-69599,"REDWOOD WEALTH MANAGEMENT, LLC","REDWOOD WEALTH MANAGEMENT, LLC",11175 CICERO DRIVE,SUITE 650,ALPHARETTA,GA,UNITED STATES,30022,678-527-2800,678-527-2801,,,,,,,Approved,10/15/2008,3/13/2010,Y,WWW.REDWOODWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"131,979,490.00",0,"131,979,490.00","1,229",0,"1,229",Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,115888,801-63932,"VARIPHASE FINANCIAL PARTNERS, LLC","VARIPHASE FINANCIAL PARTNERS, LLC",,,,,,,301-352-1877,240-334-4313,,,,,,,Approved,2/17/2005,3/13/2010,Y,WWW.VARIPHASE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"4,622,958.00","32,462,050.00","37,085,008.00",13,170,183,Y,Y,N,N,N,N,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,149866,801-70046,"WYNDEN CAPITAL MANAGEMENT, LLC","WYNDEN CAPITAL MANAGEMENT, LLC",455 EAST PACES FERRY RD,SUITE 332,ATLANTA,GA,UNITED STATES,30305,(404) 812-1933,404-812-1934,,,,,,,Approved,4/7/2009,3/13/2010,Y,WWW.WYNDENCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"20,994,561.00","5,392,336.00","26,386,897.00",12,2,14,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,147294,801-69231,"PIEDMONT ASSET MANAGEMENT, LLC","PIEDMONT ASSET MANAGEMENT, LLC",,,,,,,678-772-6222,404-506-9558,"4880 LOWER ROSWELL ROAD, SUITE 165",#415,MARIETTA,GA,UNITED STATES,30068-4385,Approved,5/28/2008,3/13/2010,Y,WWW.PIEDMONTASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"28,769,385.00",0,"28,769,385.00",24,0,24,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106151,801-63035,HIGH COUNTRY CAPITAL MANAGEMENT,HIGH COUNTRY CAPITAL MANAGEMENT INC,521 E. MAIN STREET,,MONTROSE,CO,UNITED STATES,81401-3931,970-249-3499,970-249-0758,,,,,,,Approved,4/8/2004,3/13/2010,Y,HTTP://WWW.HCCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"35,970,546.00","35,970,546.00",0,213,213,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,144516,801-68306,"NICHOLAS HOFFMAN & COMPANY, LLC","NICHOLAS HOFFMAN & COMPANY, LLC","1355 PEACHTREE ST.,STE 1450",,ATLANTA,GA,USA,30309,404-815-5050,404-815-5089,,,,,,,Approved,9/14/2007,3/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"153,106,358.00","2,353,655.00","155,460,013.00",325,3,328,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,107297,801-50849,"SCHALLER INVESTMENT GROUP, INC.","SCHALLER INVESTMENT GROUP, INC.",324 INDERA MILLS COURT,,WINSTON SALEM,NC,USA,27101,336-774-1515,336-774-1548,,,,,,,Approved,12/18/1995,3/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"131,000,000.00",0,"131,000,000.00",87,0,87,N,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT - SCHALLER EQUITY PARTNERS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109352,801-56310,KENNETH FRENKE & CO,"KENNETH FRENKE & CO., INC.",15 LOOP ROAD,SUITE 105,ARDEN,NC,UNITED STATES,28704,828-654-9343,828-654-9347,15 LOOP ROAD,SUITE 105,ARDEN,NC,UNITED STATES,28704,Approved,2/26/1999,3/13/2010,Y,WWW.FRENKE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"84,979,517.00","91,875.00","85,071,392.00",561,1,562,Y,Y,N,N,N,N,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105302,801-22637,SHERRILL & HUTCHINS FINANCIAL ADVISORY INC,SHERRILL & HUTCHINS FINANCIAL ADVISORY INC,200 ASHFORD CENTER NORTH,SUITE 325,ATLANTA,GA,UNITED STATES,30338,770-395-9797,770-395-9854,,,,,,,Approved,11/14/1984,3/13/2010,Y,WWW.SH-ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,PROFESSIONAL ASSOCIATION,Y,Y,N,Y,N,N,N,,Y,"209,642,777.00","4,794,428.00","214,437,205.00","1,079",4,"1,083",Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108064,801-55723,HAYES & ASSOCIATES ACCOUNTANCY CORP,HAYES & ASSOCIATES ACCOUNTANCY CORP,1001 B AVENUE,SUITE 211,CORONADO,CA,USA,92118,619-435-4195,619-435-4713,,,,,,,Approved,8/11/1998,3/13/2010,Y,HTTP://WWW.HAYESCPA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"34,571,000.00","562,000.00","35,133,000.00",59,5,64,Y,Y,N,Y,N,Y,N,N,N,Y,TAX PREPARATION AND ESTATE PLANNING,26-50,,N,N,N,N,N,N,N,N,Y,CERTIFIED PUBLIC ACCOUNTANT,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,127009,801-66775,"WELLESLEY ASSET MANAGEMENT, LLC","WELLESLEY ASSET MANAGEMENT, LLC",,,,,,,781-235-4310,206-309-7340,,,,,,,Approved,5/31/2006,3/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"47,571,709.00",0,"47,571,709.00",46,0,46,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109606,801-56221,SUMMIT ASSET MANAGEMENT LLC,SUMMIT ASSET MANAGEMENT LLC,5100 WHEELIS DRIVE,SUITE 107,MEMPHIS,TN,UNITED STATES,38117,901-729-8100,901-729-8101,,,,,,,Approved,1/21/1999,3/13/2010,Y,WWW.SUMMITASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"353,491,309.00","20,946,895.00","374,438,204.00","1,094",28,"1,122",Y,Y,N,Y,N,N,N,N,N,Y,GENERAL CONSULTATIONS,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,133360,801-63832,TAXBRIDGE FINANCIAL GROUP INC,TAXBRIDGE FINANCIAL GROUP INC,678 MASS. AVE,SUITE 203,CAMBRIDGE,MA,UNITED STATES,2139,617-868-7922,617-868-4265,,,,,,,Approved,1/14/2005,10/27/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,0,"65,000,000.00","65,000,000.00",0,64,64,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108234,801-60162,"BELMONT FINANCIAL, LLC","BELMONT FINANCIAL, LLC",30 CHURCH ST SUITE 320,,BELMONT,MA,UNITED STATES,2478,617-489-0040,617-489-2520,,,,,,,Approved,9/24/2003,3/13/2010,Y,BELMONTFINANCIAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"54,000,000.00","2,900,000.00","56,900,000.00",275,12,287,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,151623,801-70907,"GENSPRING CHARLESTON, LLC","GENSPRING CHARLESTON, LLC",3801 PGA BOULEVARD,SUITE 555,PALM BEACH GARDENS,FL,UNITED STATES,33410,561-746-8444,561-746-0895,,,,,,,Approved,1/5/2010,3/30/2010,Y,WWW.GENSPRING.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SERVICE FEE,Y,0,0,0,0,0,0,Y,Y,N,Y,Y,Y,N,N,N,Y,CONSOLIDATED FINANCIAL REPORTING,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,133333,801-63733,CALIBRE ADVISORY SERVICES INC.,CALIBRE ADVISORY SERVICES INC.,"RESERVOIR WOODS, 930 WINTER STREET",SUITE 1500,WALTHAM,MA,UNITED STATES,2451,781-392-2800,781-891-4088,,,,,,,Approved,12/16/2004,3/30/2010,Y,WWW.CALIBRE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE OF NET WORTH,Y,"2,392,081,630.00","54,703,229.00","2,446,784,859.00","2,469",43,"2,512",Y,Y,N,Y,N,Y,N,N,N,Y,"TAX COMPLIANCE, FIDUCIARY SERVICES, ESTATE PLANNING, BILL PAYING SERVICES",10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N
DRO,109424,801-54437,FOUNTAIN CAPITAL MANAGEMENT LLC,FOUNTAIN CAPITAL MANAGEMENT LLC,11551 ASH STREET,SUITE 250,LEAWOOD,KS,UNITED STATES,66211,913-345-2766,913-345-2763,,,,,,,Approved,5/16/1997,3/30/2010,Y,WWW.FOUNTAINCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,11-25 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,INVESTMENT ADVISORS,Y,N,N,N,N,Y,N,,Y,"1,367,087,734.00",0,"1,367,087,734.00",20,0,20,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108590,801-57453,ALESCO ADVISORS LLC,ALESCO ADVISORS LLC,120 OFFICE PARK WAY,,PITTSFORD,NY,UNITED STATES,14534,(585)586-0970,(585)586-1898,,,,,,,Approved,4/14/2000,3/30/2010,Y,WWW.ALESCOADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,018,192,138.00",0,"1,018,192,138.00",521,0,521,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,108642,801-54716,COLBERT INVESTMENT MANAGEMENT CO,COLBERT INVESTMENT MANAGEMENT CO,701 BRICKELL AVENUE,SUITE 2080,MIAMI,FL,UNITED STATES,33131-2860,305-400-9982,305-400-9994,,,,,,,Approved,7/21/1997,3/30/2010,Y,WWW.COLBERTINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"91,862,708.00",0,"91,862,708.00",219,0,219,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,33364,801-61224,MATRIX CAPITAL GROUP,"MATRIX CAPITAL GROUP, INC.",420 LEXINGTON AVENUE,SUITE 601,NEW YORK,NY,UNITED STATES,10170,646-307-4181,212-661-1617,,,,,,,Approved,6/20/2002,3/30/2010,Y,WWW.MATRIXCAPITALGROUP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,"126,602,706.00","126,602,706.00",0,13,13,N,N,Y,N,N,N,N,N,N,Y,ISSUER OF UNIT INVESTMENT TRUSTS (UIT),,,N,N,Y,N,N,N,N,N,N,,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,104963,801-7082,"ANALYTIC INVESTORS, LLC","ANALYTIC INVESTORS, LLC",555 WEST FIFTH STREET,50TH FLOOR,LOS ANGELES,CA,USA,90013,213.688.3015,213.688.8856,,,,,,,Approved,12/16/1970,3/30/2010,Y,WWW.ANINVESTOR.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"9,289,265,422.00","254,958,732.00","9,544,224,154.00",199,7,206,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106847,801-50838,PZENA INVESTMENT MANAGEMENT LLC,PZENA INVESTMENT MANAGEMENT LLC,"120 WEST 45TH STREET, 20TH FLOOR",,NEW YORK,NY,UNITED STATES,10036,212-355-1600,212-308-0010,,,,,,,Approved,12/15/1995,3/30/2010,Y,WWW.PZENA.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,251-500,0,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,11-25 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"14,285,110,026.00",0,"14,285,110,026.00",338,0,338,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,120434,801-61130,"MUNICIPAL PORTFOLIO MANAGERS, INC.","MUNICIPAL PORTFOLIO MANAGERS, INC.",5555 GLENRIDGE CONNECTOR,SUITE 915,ATLANTA,GA,UNITED STATES,30342,404.239.9940,404.239.0449,,,,,,,Approved,5/17/2002,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"662,244,446.00",0,"662,244,446.00",167,0,167,N,Y,N,N,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,113175,801-35303,NEWPORT INVESTMENT ADVISORS INC,NEWPORT INVESTMENT ADVISORS INC,23775 COMMERCE PARK RD,SUITE 5,BEACHWOOD,OH,UNITED STATES,44122,216-514-5151,216-514-4848,,,,,,,Approved,11/9/1989,3/30/2010,Y,WWW.NEWPORTINVESTMENTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,Y,N,,Y,"81,676,514.00",0,"81,676,514.00",160,0,160,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,119185,801-61031,LIFESTYLE DESIGN GROUP LLC,LIFESTYLE DESIGN GROUP LLC,,,,,,,(702) 247-6809,(702) 247-9422,"4012 S. RAINBOW, SUITE K-613",,LAS VEGAS,NV,USA,89103,Approved,4/12/2002,3/30/2010,Y,WWW.LIFESTYLEDESIGNGROUPINTL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,% OF NET-WORTH,Y,"58,441,112.00",0,"58,441,112.00",213,0,213,Y,Y,N,Y,N,N,N,N,N,Y,CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,104830,801-35841,AULL & MONROE,AULL & MONROE INVESTMENT MANAGEMENT CORP,3605 SPRINGHILL BUSINESS PARK SUITE A,,MOBILE,AL,UNITED STATES,36608,(251)342-3339,(251)342-3113,,,,,,,Approved,2/16/1990,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"181,802,289.00",0,"181,802,289.00",511,0,511,N,Y,N,N,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106296,801-41280,TAYLOR K A ASSOCIATES INC,TAYLOR K A ASSOCIATES INC,,,,,,,619-839-3189,619-839-3189,,,,,,,Approved,4/15/1992,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,Y,"25,235,256.00",0,"25,235,256.00",155,0,155,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,20804,801-57198,UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER,UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER,"7333 EAST DOUBLETREE RANCH RD, SUITE 120",,SCOTTSDALE,AZ,UNITED STATES,85258,480-991-0225,480-991-2714,P.O. BOX 5750,,SCOTTSDALE,AZ,UNITED STATES,85261,Approved,1/28/2000,3/30/2010,Y,WWW.UNITEDPLANNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,AZ,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,"2,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"100,141,736.00","406,216,394.00","506,358,130.00",603,"2,365","2,968",Y,Y,N,N,N,Y,N,N,N,N,,101-250,,Y,N,Y,N,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
FWRO,114236,801-67128,VALUED RETIREMENTS,"VALUED RETIREMENTS, INC.",710 NORTH POST OAK ROAD,SUITE 420,HOUSTON,TX,UNITED STATES,77024-3894,713-821-3242,713-613-2908,,,,,,,Approved,9/8/2006,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"35,629,989.00","2,251,639.00","37,881,628.00",94,12,106,Y,Y,N,N,N,Y,N,N,N,Y,VALUES-ORIENTED LIFE PLANNING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,145530,801-68580,SFE INVESTMENT COUNSEL INC.,SFE INVESTMENT COUNSEL INC.,"801 S. FIGUEROA STREET, STE. 2100",,LOS ANGELES,CA,USA,90017,213-612-0220,213-612-0329,,,,,,,Approved,10/24/2007,11/25/2009,Y,WWW.SFEIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"156,755,334.00","26,936,212.00","183,691,546.00",375,17,392,N,Y,N,Y,N,N,N,N,N,Y,CONSULTING,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
SFRO,129627,801-64946,"CLEARLAKE ADVISORS, L.L.C.","CLEARLAKE ADVISORS, L.L.C.",201 SAN ANSELMO AVENUE,,SAN ANSELMO,CA,UNITED STATES,94960-2854,415-456-8324,415-456-6130,,,,,,,Approved,12/2/2005,3/30/2010,Y,WWW.CLEARLAKEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,0,"218,388,119.00","218,388,119.00",0,54,54,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,117884,801-60790,OVERBROOK MANAGEMENT CORPORATION,OVERBROOK MANAGEMENT CORPORATION,122 EAST 42ND STREET,SUITE 2500,NEW YORK,NY,UNITED STATES,10168-2500,212-661-8710,212-661-8664,,,,,,,Approved,12/21/2001,11/25/2009,Y,WWW.OVERBROOK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"405,894,102.00","70,639,321.00","476,533,423.00",234,29,263,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107827,801-36485,"SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.**","SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.**",6900 JPMORGAN CHASE TOWER,600 TRAVIS STREET,HOUSTON,TX,UNITED STATES,77002,713-227-1100,713-227-0912,,,,,,,Approved,3/29/1990,3/30/2010,Y,WWW.SMITHGRAHAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,UNION NON-ERISA,Y,N,N,Y,N,Y,N,,Y,"4,913,674,053.00",0,"4,913,674,053.00",112,0,112,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,126150,801-61928,HARVEST CAPITAL ADVISORS INC.,HARVEST CAPITAL ADVISORS INC.,"11000 NE 33RD PLACE, SUITE 301",,BELLEVUE,WA,UNITED STATES,98004,425-827-6236,425-827-2687,,,,,,,Approved,4/4/2003,3/30/2010,Y,WWW.HARVESTCAPITALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"143,250,309.00","1,709,623.00","144,959,932.00",778,13,791,Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,122261,801-61635,GENESEE INVESTMENTS,GENESEE INVESTMENTS LLC,10500 NE 8TH STREET,SUITE 1920,BELLEVUE,WA,UNITED STATES,98004,425-462-4646,425-462-4645,,,,,,,Approved,12/20/2002,3/30/2010,Y,WWW.GENESEEINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,10-Jun,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"92,284,000.00",0,"92,284,000.00",8,0,8,N,N,N,N,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,141588,801-69169,"PROGRESS ADVISORS, LLC","PROGRESS ADVISORS, LLC",701 BRICKELL AVENUE,SUITE 2550,MIAMI,FL,UNITED STATES,33131,305-779-9890,305-779-9894,,,,,,,Approved,5/27/2008,3/30/2010,Y,WWW.PROGRESSWEALTHMANAGMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,5-Jan,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"167,315,127.00",0,"167,315,127.00",50,0,50,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110123,801-58092,"ELECT-INVEST.COM,INC.","ELECT-INVEST.COM,INC.",14 COBBLESTONE DR.,,PAOLI,PA,USA,19301,800-290-2831,,,,,,,,Approved,11/1/2000,11/27/2009,Y,WWW.ELECTINVEST.COM,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,000,000.00",0,"25,000,000.00",4,0,4,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107806,801-57506,"CLAREMONT FINANCIAL GROUP,INC.","CLAREMONT FINANCIAL GROUP,INC.",464 NORTH INDIAN HILL BLVD,,CLAREMONT,CA,UNITED STATES,91711-4650,909-624-9200,909-624-1937,,,,,,,Approved,5/11/2000,3/30/2010,Y,WWW.CLAREMONTFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"101,243,773.00",0,"101,243,773.00","1,064",0,"1,064",Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111756,801-67896,CLEARPATH CAPITAL PARTNERS LLC,CLEARPATH CAPITAL PARTNERS LLC,951 MARINERS ISLAND BLVD.,SUITE 120,SAN MATEO,CA,USA,94404,(650) 312-9850,(650) 312-9056,,,,,,,Approved,5/17/2007,3/30/2010,Y,WWW.CLEARPATHCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"40,215,586.00",0,"40,215,586.00",156,0,156,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,107741,801-40286,SPECTRUM ADVISORY SERVICES INC.,SPECTRUM ADVISORY SERVICES INC.,1050 CROWN POINTE PARKWAY,SUITE 750,ATLANTA,GA,UNITED STATES,30338,770-393-8725,770-393-8223,,,,,,,Approved,11/18/1991,3/30/2010,Y,WWW.SPECTRUMADVISORY.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,FAMILY LIMITED PARTNERSHIPS,Y,Y,N,Y,N,N,N,,Y,"370,509,566.00",0,"370,509,566.00",521,0,521,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,133988,801-63889,OPTIMA FUND MANAGEMENT LIMITED PARTNERSHIP,OPTIMA FUND MANAGEMENT LIMITED PARTNERSHIP,73 FRONT STREET,,HAMILTON HM12,,BERMUDA,,(441)295-8658,(441)292-6274,,,,,,,Approved,3/4/2005,2/5/2010,Y,WWW.OPTIMA.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Partnership,,,BERMUDA,Nov-50,0,Nov-50,0,0,0,10-Jun,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ALLOCATION OF REGISTRANT'S OVERHEAD,Y,"1,075,888,000.00","112,986,000.00","1,188,874,000.00",8,3,11,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,Y,Y,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,45452,801-57281,"WEALTH MANAGEMENT RESOURCES, INC.","WEALTH MANAGEMENT RESOURCES, INC.",501 GREAT ROAD,SUITE 201,N. SMITHFIELD,RI,USA,2896,401-356-1400,401-356-0688,,,,,,,Approved,2/18/2000,2/5/2010,Y,WWW.WEALTHMANAGERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,RI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"78,164,191.00",0,"78,164,191.00",729,0,729,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,40130,801-51127,"RUBICON WEALTH MANAGEMENT, LLC","RUBICON WEALTH MANAGEMENT, LLC","50 MONUMENT ROAD, SUITE 225",,BALA CYNWYD,PA,UNITED STATES,19004,610-668-4615,610-668-2890,,,,,,,Approved,2/2/1996,2/5/2010,Y,WWW.RUBICONWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"135,941,711.00","4,000,000.00","139,941,711.00",448,21,469,Y,Y,N,Y,N,N,N,N,N,Y,GENERAL CONSULTING SERVICES,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,105505,801-16605,INVESTORS ADVISORY SERVICES INC,INVESTORS ADVISORY SERVICES INC,7007 COLLEGE BLVD STE 260,,OVERLAND PARK,KS,USA,66211,913-345-8108,913-491-1343,,,,,,,Approved,11/18/1981,2/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"28,530,000.00",0,"28,530,000.00",210,0,210,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,129194,801-62579,"BELLEVUE ASSET MANAGEMENT, LLC","BELLEVUE ASSET MANAGEMENT, LLC","11400 SE 8TH STREET, SUITE 465",,BELLEVUE,WA,UNITED STATES,98004,425-289-1041,425-289-1049,,,,,,,Approved,1/2/2004,2/5/2010,Y,WWW.BELLEVUEASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"127,500,000.00","127,500,000.00",0,195,195,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,132646,801-68109,"TORRENS CAPITAL MANAGEMENT, LLC","TORRENS CAPITAL MANAGEMENT, LLC",66 SOUTH MILLER ROAD,SUITE 202,FAIRLAWN,OH,USA,44333-4179,330.836.7000,330.266.7979,,,,,,,Approved,7/2/2007,2/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"34,111,849.00","1,874,731.00","35,986,580.00",257,7,264,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTATION SERVICES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106145,801-52887,KLOPP INVESTMENT MANAGEMENT LLC,KLOPP INVESTMENT MANAGEMENT LLC,1801 EAST NINTH STREET,SUITE 1040,CLEVELAND,OH,USA,44114-3103,216-566-1100,216-566-1101,,,,,,,Approved,9/3/1996,2/5/2010,Y,WWW.KLOPPINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"52,510,000.00","2,800,000.00","55,310,000.00",146,12,158,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143040,801-67702,HARBOR VIEW GROWTH EQUITY MANAGEMENT LLC,HARBOR VIEW GROWTH EQUITY MANAGEMENT LLC,43 CHESTNUT HILL DRIVE,,UPPER BROOKVILLE,NY,USA,11771,516-759-2708,,,,,,,,Approved,3/20/2007,11/20/2007,Y,WWW.HARBORVIEWGROWTH.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
PLRO,122774,801-68745,"ASSET HARVEST GROUP, LLC","ASSET HARVEST GROUP, LLC",1600 TYSONS BLVD,8TH FLOOR,MCLEAN,VA,UNITED STATES,22102,703-760-0043,703-663-9839,,,,,,,Approved,1/23/2008,2/5/2010,Y,WWW.ASSETHARVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"32,000,000.00",0,"32,000,000.00",67,0,67,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,Y,Y,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,106803,801-38739,"OAK VALUE CAPITAL MANAGEMENT, INC","OAK VALUE CAPITAL MANAGEMENT, INC",1450 RALEIGH ROAD,SUITE 220,CHAPEL HILL,NC,UNITED STATES,27517,919.419.1900,919.419.9546,,,,,,,Approved,5/24/1991,2/5/2010,Y,HTTP://WWW.OAKVALUE.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,51-75 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"195,204,184.00",0,"195,204,184.00",89,0,89,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123015,801-70065,"HAMMOND INVESTMENT MANAGEMENT, LLC","HAMMOND INVESTMENT MANAGEMENT, LLC",,,,,,,708-479-4448,708-479-4448,,,,,,,Approved,6/25/2009,2/5/2010,Y,WWW.HAMMONDINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"33,375,755.00",0,"33,375,755.00",16,0,16,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,105053,801-27034,LAWSON KROEKER INVESTMENT MANAGEMENT INC,LAWSON KROEKER INVESTMENT MANAGEMENT INC,8805 INDIAN HILLS DRIVE,SUITE 250,OMAHA,NE,UNITED STATES,68114-4070,402-392-2606,402-392-2597,,,,,,,Approved,5/22/1986,2/5/2010,Y,WWW.LAWSONKROEKER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"364,267,100.00",0,"364,267,100.00",251,0,251,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105168,801-16142,"MARSHALL & SULLIVAN, INC.",MARSHALL & SULLIVAN INC,1109 FIRST AVE. SUITE 200,,SEATTLE,WA,UNITED STATES,98101,206-621-9014,206-682-9075,,,,,,,Approved,6/11/1981,2/5/2010,Y,WWW.MSINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"108,849,657.00",0,"108,849,657.00",193,0,193,N,Y,N,Y,N,N,N,N,N,Y,CONSULTING,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,22590,801-32530,"GREGORY ZENT & SWANSON, INC.",GREGORY ZENT AND SWANSON. INC.,4011 W. JEFFERSON BLVD STE 225,,FORT WAYNE,IN,UNITED STATES,46804,260-432-3763,260-436-0079,,,,,,,Approved,7/28/1988,2/5/2010,Y,WWW.GZSINC.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"15,906,702.00","54,439,322.00","70,346,024.00",130,"1,692","1,822",N,Y,N,N,Y,Y,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,124403,801-61668,SCOPIA MANAGEMENT INC.,SCOPIA MANAGEMENT INC.,450 SEVENTH AVENUE,43RD FLOOR,NEW YORK,NY,UNITED STATES,10123,212-370-0303,212-370-0404,,,,,,,Approved,1/2/2003,2/5/2010,Y,WWW.SCOPIACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"792,167,700.00",0,"792,167,700.00",8,0,8,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,148649,801-69698,BAUGHMAN WEALTH ADVISORS INC.,BAUGHMAN WEALTH ADVISORS INC.,,,,,,,408-354-4840,512-330-0483,3801 N. CAPITAL OF TEXAS HWY,E240/99,AUSTIN,TX,UNITED STATES,78746,Approved,10/21/2008,3/2/2010,Y,WWW.BAUGHMANFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"37,462,428.00",0,"37,462,428.00",93,0,93,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107412,801-11877,MASON CAPITAL PARTNERS,ALBERT D MASON INC,"50 CONGRESS ST, STE 843",,BOSTON,MA,UNITED STATES,02109-4032,617-228-5190,617-812-2693,,,,,,,Approved,7/29/1976,3/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"444,863,319.00",0,"444,863,319.00",35,0,35,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,128494,801-62381,"FAMILY WEALTH CONSULTANTS, INC.","FAMILY WEALTH CONSULTANTS, INC.",25 METRO DRIVE,SUITE 600,SAN JOSE,CA,UNITED STATES,95110,408-453-2222,408-453-6065,,,,,,,Approved,9/12/2003,3/2/2010,Y,WWW.FWCG.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"73,000,000.00","73,000,000.00",0,137,137,Y,Y,N,N,N,N,Y,N,N,N,,51-100,,Y,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105805,801-27298,HUSIC CAPITAL MANAGEMENT,HUSIC CAPITAL MANAGEMENT,"555 CALIFORNIA STREET, SUITE 300",,SAN FRANCISCO,CA,UNITED STATES,94104,415-398-0800,415-398-8616,,,,,,,Approved,6/26/1986,3/2/2010,Y,WWW.HUSIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"128,282,716.00",0,"128,282,716.00",30,0,30,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106314,801-40120,MATTHAI CAPITAL MANAGEMENT,MATTHAI & ASSOCIATES INC,"5430 CAMPBELL BOULEVARD, SUITE 207",,WHITE MARSH,MD,UNITED STATES,21162-5504,(410) 933-5640,(410) 933-5642,,,,,,,Approved,11/4/1991,3/2/2010,Y,WWW.MATTHAI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"35,326,658.00","35,326,658.00",0,42,42,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,147025,801-69624,FAI CAPITAL MANAGEMENT,FAI CAPITAL MANAGEMENT,109 S. MACDILL AVENUE,,TAMPA,FL,USA,33609,813-874-6621,813-874-6624,,,,,,,Approved,10/10/2008,3/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"155,707,000.00","155,707,000.00",0,6,6,N,N,N,N,Y,Y,N,N,N,Y,ADVISORY CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,117631,801-62495,"KB INVESTMENT ADVISORS, LLC","KB INVESTMENT ADVISORS, LLC",701 EMERSON,SUITE 201,ST. LOUIS,MO,USA,63141,314-432-6704,314-432-3992,,,,,,,Approved,11/7/2003,3/2/2010,Y,WWW.KBWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"70,252,000.00","1,805,000.00","72,057,000.00",146,2,148,N,Y,N,N,Y,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119300,801-60952,"TAYLOR ADVISORS, INC.","TAYLOR ADVISORS, INC.",806 STONE CREEK PARKWAY,SUITE 11,LOUISVILLE,KY,USA,40223,502-412-2524,502-412-7181,,,,,,,Approved,2/22/2002,3/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,TWO CREDIT UNIONS,Y,N,N,Y,N,N,N,,Y,0,"924,103,000.00","924,103,000.00",0,18,18,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT CONSULTING FOR INSTITUTIONAL CLIENTS,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,130243,801-62813,"ARROYO INVESTMENT GROUP, LLC","ARROYO INVESTMENT GROUP, LLC",15 S. RAYMOND AVENUE,SUITE 200,PASADENA,CA,UNITED STATES,91105,626-844-1441,626-440-1319,,,,,,,Approved,3/3/2004,3/2/2010,Y,WWW.ARROYOINVESTMENTGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"44,638,434.00","15,376,368.00","60,014,802.00",379,118,497,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,149744,801-70303,MENTA CAPITAL LLC,MENTA CAPITAL LLC,"1 MARKET, SPEAR TOWER",SUITE 3730,SAN FRANCISCO,CA,UNITED STATES,94105,415-490-2610,415-490-2611,,,,,,,Approved,6/19/2009,3/2/2010,Y,WWW.MENTACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"106,627,045.00",0,"106,627,045.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,INVESTMENT MANAGER TO PRIVATE POOLED INVESTMENT VEHICLES.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,151158,801-71156,SUMMIT CREEK CAPITAL LLC,SUMMIT CREEK CAPITAL LLC,360 SUN VALLEY ROAD,,KETCHUM,ID,UNITED STATES,83340-6849,(208) 928-7500,888-852-5840,P O BOX 6849,,KETCHUM,ID,UNITED STATES,83340-6849,Approved,2/11/2010,3/2/2010,Y,WWW.SUMMITCREEKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,ID,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"26,000,000.00",0,"26,000,000.00",7,0,7,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122479,801-64199,"FO INVESTMENTS, LLC","FO INVESTMENTS, LLC","4571 STEPHEN CIRCLE, N.W. SUITE 200",,CANTON,OH,UNITED STATES,44718,330-497-8270,330-497-8269,,,,,,,Approved,5/25/2005,3/2/2010,Y,WWW.FO-FM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"50,704,785.00","192,484.00","50,897,269.00",77,1,78,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,119008,801-60909,"TRINITY INVESTMENT ADVISORS, INC.","TRINITY INVESTMENT ADVISORS, INC.",708 THIRD AVENUE,6TH FLOOR,NEW YORK,NY,UNITED STATES,10017-4119,212-209-3890,212-209-7100,,,,,,,Approved,2/7/2002,3/2/2010,Y,WWW.TRINITYINV.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,118772,801-63647,FINANCIAL FREEDOM,"FINANCIAL FREEDOM, LLC",5 GREAT VALLEY PARKWAY,SUITE 210,MALVERN,PA,UNITED STATES,19355,610-296-9500,207-363-4163,P. O. BOX 660,,YORK BEACH,ME,UNITED STATES,3910,Approved,1/3/2005,3/2/2010,Y,WWW.FINFREE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"88,113,000.00","88,113,000.00",0,386,386,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,136124,801-64464,YX FUNDS LTD,YX FUNDS LTD,2501 N. HARWOOD,SUITE 2500,DALLAS,TX,UNITED STATES,75201,214-720-2970,214-871-6734,,,,,,,Approved,7/1/2005,3/2/2010,Y,WWW.YXFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"90,000,000.00",0,"90,000,000.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,FIRM OFFERS INVESTMENT ADVISORY SERVICES TO POOLED INVESTMENT VEHICLES.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115399,801-66575,SHEARWATER CAPITAL,"SHEARWATER CAPITAL, LLC",,,,,,,314-434-4750,314-256-9367,,,,,,,Approved,5/1/2006,3/2/2010,Y,WWW.SHEARWATERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"57,725,202.00","2,000,000.00","59,725,202.00",352,5,357,N,Y,N,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,70,801-56943,"BCG SECURITIES, INC.","BCG SECURITIES, INC.",600 DELRAN PARKWAY,SUITE B,DELRAN,NJ,USA,8075,856-393-1950,856-824-1475,PO BOX 406,,RIVERTON,NJ,USA,08077-0406,Approved,11/4/1999,3/2/2010,Y,BCGSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,51-250,0,10-Jun,0,Nov-50,0,0,0,More than 500,500,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,0,"111,826,521.00","111,826,521.00",0,515,515,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,Y,Y,N,N,Y,N,N,,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,112607,801-62774,"MADDEN ADVISORY SERVICES, INC.","MADDEN ADVISORY SERVICES, INC.",4190 BELFORT ROAD SUITE 245,,JACKSONVILLE,FL,UNITED STATES,32216,904-296-1127,904-296-1135,4190 BELFORT ROAD STE. 245,,JACKSONVILLE,FL,UNITED STATES,32216,Approved,3/5/2004,3/2/2010,Y,WWW.MADDENADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,More than 500,"1,000",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"115,950,460.00",0,"115,950,460.00",887,0,887,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,113079,801-60292,EMERY HOWARD,EMERY & HOWARD PORTFOLIO MANAGEMENT,400 SOUTH EL CAMINO REAL,SUITE 700,SAN MATEO,CA,UNITED STATES,94402,650-579-7100,650-579-7313,,,,,,,Approved,5/23/2001,3/2/2010,Y,WWW.EMERYANDHOWARD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,More than 500,575,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"710,780,870.00","56,885,924.00","767,666,794.00","1,464",6,"1,470",Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106040,801-32812,FIRST FINANCIAL ADVISORS INC,FIRST FINANCIAL ADVISORS INC,950 W NORTON AVE,SUITE 415,MUSKEGON,MI,UNITED STATES,49441,231-733-4084,231-733-0963,,,,,,,Approved,9/8/1988,3/2/2010,Y,HTTP://WWW.FIRSTFINANCIALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,700,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"85,889,692.00",0,"85,889,692.00",769,0,769,Y,Y,N,Y,N,N,N,N,N,N,,More than 500,700,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106041,801-49465,"STAMPER CAPITAL & INVESTMENTS, INC.","STAMPER CAPITAL & INVESTMENTS, INC.",2721 EAST COAST HIGHWAY,SUITE 205,CORONA DEL MAR,CA,UNITED STATES,92625,949-673-5787,949-673-5791,,,,,,,Approved,6/21/1995,1/28/2010,Y,WWW.RISK-ADJUSTED.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"728,000,000.00",0,"728,000,000.00",17,0,17,N,Y,Y,Y,N,Y,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105297,801-31947,GE ASSET MANAGEMENT INCORPORATED,GE ASSET MANAGEMENT INCORPORATED,3001 SUMMER STREET,,STAMFORD,CT,UNITED STATES,06904-7900,203-326-2300,203-356-3008,3001 SUMMER STREET,PO BOX 7900,STAMFORD,CT,UNITED STATES,06904-7900,Approved,4/15/1988,8/10/2010,Y,WWW.GEASSETMANAGEMENT.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,251-500,0,51-250,0,51-250,0,10-Jun,0,101-250,0,0 percent,0 percent,Up to 10 percent,11-25 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,INSURANCE & SOVEREIGN WEALTH FUNDS,Y,N,N,Y,N,Y,Y,CERTAIN CASES APPLICANT LIMITED TO CHARGING DIRECT&INDIRECTCOSTS,Y,"117,881,174,095.00","2,193,414,378.00","120,074,588,473.00",187,5,192,N,N,Y,Y,N,Y,N,N,N,Y,GEAM MAY PROVIDE RECOMMENDED SECURITIES TRANSACTIONS TO A CLIENT THAT RETAINS RESPONSIBILITY FOR EFFECTING EACH RECOMMENDATION.,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
NYRO,108266,801-57735,BANORTE ASSET MANAGEMENT INC,BANORTE ASSET MANAGEMENT INC,540 MADISON AVENUE,36TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-484-5200,212-484-5290,,,,,,,Approved,7/10/2000,1/28/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,10-Jan,0,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"218,368,000.00","218,368,000.00",0,"1,336","1,336",N,Y,N,Y,Y,N,N,N,N,N,,0,,N,Y,Y,N,N,N,N,N,N,,N,,N,Y,Y,N,N,Y,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138900,801-65407,DENEB ASSET MANAGEMENT LIMITED,DENEB ASSET MANAGEMENT LIMITED,,,,,,,416-234-8659,416-234-8659,,,,,,,Approved,1/24/2006,11/26/2007,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,249,000.00",0,"5,249,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,150848,801-70387,ROSE & SKY INVESTMENTS (CAYMAN) LTD,ROSE & SKY INVESTMENTS (CAYMAN) LTD,"UGLAND HOUSE, SOUTH CHURCH STREET",BOX 309 GT,GEORGE TOWN,,CAYMAN ISLANDS,KY1-1104,1-345-949-8066,1-345-949-8080,,,,,,,Approved,7/29/2009,7/1/2009,Y,WWW.ROSE-SKY-INVESTMENTS.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CAYMAN ISLANDS,10-Jun,0,5-Jan,0,0,0,5-Jan,0,0,0,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"100,000,000.00",0,"100,000,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,MANAGE A MARKET NEUTRAL EQUITY PORTFOLIO,0,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119113,801-62861,LOGIX INVESTMENT MANAGEMENT,"THE LOGIX GROUP, LLC",,,,,,,216-249-4119,216-249-4118,,,,,,,Approved,2/27/2004,3/28/2008,Y,WWW.LOGIXINVESTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,ENDOWMENT,Y,N,N,N,N,N,N,,Y,"32,755,438.00",0,"32,755,438.00",72,0,72,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,141417,801-67071,"OCEANSTONE CAPITAL MANAGEMENT, INC","OCEANSTONE CAPITAL MANAGEMENT, INC",,,,,,,858-481-4123,858-481-4168,P.O. BOX 130982,,CARLSBAD,CA,UNITED STATES,92013,Approved,8/4/2006,8/10/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"5,267,840.00",0,"5,267,840.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,149454,801-69930,"COOK & BYNUM CAPITAL MANAGEMENT, LLC","COOK & BYNUM CAPITAL MANAGEMENT, LLC",2204 LAKESHORE DRIVE,SUITE 218,BIRMINGHAM,AL,UNITED STATES,35209,205-994-2815,205-877-0190,,,,,,,Approved,2/5/2009,8/10/2010,Y,WWW.COOKANDBYNUM.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"123,388,000.00",0,"123,388,000.00",3,0,3,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106419,801-49026,SPECTRUM FINANCIAL STRATEGIES INC,SPECTRUM FINANCIAL STRATEGIES INC,2525 WHITNEY AVENUE,,HAMDEN,CT,USA,6518,203-248-8587,203-248-0162,PO BOX 5397,,HAMDEN,CT,USA,6518,Approved,4/19/1995,1/28/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,More than 500,500,51-75 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"61,941,929.00","61,941,929.00",0,592,592,Y,Y,N,Y,N,Y,N,N,N,N,,More than 500,500,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110091,801-32850,PANTHEON VENTURES,PANTHEON VENTURES INC.,600 MONTGOMERY STREET,23RD FLOOR,SAN FRANCISCO,CA,UNITED STATES,94111,415-249-6200,415-249-6299,,,,,,,Approved,11/4/1988,8/10/2010,Y,WWW.PANTHEONVENTURES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"6,003,367,824.00",0,"6,003,367,824.00",10,0,10,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108488,801-57089,"TRANSAMERICA INVESTMENT MANAGEMENT, LLC","TRANSAMERICA INVESTMENT MANAGEMENT, LLC",11111 SANTA MONICA BLVD,SUITE 820,LOS ANGELES,CA,UNITED STATES,90025,310-996-3200,310-477-9767,,,,,,,Approved,12/17/1999,8/10/2010,Y,WWW.TIMLLC.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,10-Jun,0,More than 500,"1,500",51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,Y,A PERCENTAGE OF UMA PROGRAMS' ASSETS.,Y,"16,404,084,638.00",0,"16,404,084,638.00","1,587",0,"1,587",N,Y,Y,Y,N,N,N,N,N,Y,PORTFOLIO SECURITIES RECOMMENDATIONS FOR CLIENTS TO BE UTILIZED BY NON-CLIENTS,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,154074,801-67120,CORBY ASSET MANAGEMENT,"CORBY ASSET MANAGEMENT, LLC",10 HIGH ST,,BOSTON,MA,UNITED STATES,2110,617-406-0220,617-482-1411,,,,,,,Approved,9/15/2006,8/11/2010,Y,WWW.CORBYASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"236,000,000.00",0,"236,000,000.00",700,0,700,N,Y,N,N,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,14251,801-22306,METLIFE SECURITIES INC.,METLIFE SECURITIES INC.,1095 AVENUE OF THE AMERICAS,,NEW YORK,NY,UNITED STATES,10036,212-578-0594,212-578-8978,1095 AVENUE OF THE AMERICAS,,NEW YORK,NY,UNITED STATES,10036,Approved,10/16/1984,8/11/2010,Y,WWW.METLIFE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,More than 1000,"10,000",More than 1000,"4,000",More than 1000,"10,000",0,0,More than 500,"21,700",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,INVESTMENT CLUB,Y,Y,N,Y,N,N,N,,Y,"640,719,989.00","2,228,466,115.00","2,869,186,104.00","4,409","17,272","21,681",Y,Y,N,Y,N,Y,N,N,N,N,,More than 500,2400,Y,Y,Y,N,N,N,N,N,N,,N,,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,Y
CHRO,105160,801-14017,SADOFF INVESTMENT MANAGEMENT LLC,SADOFF INVESTMENT MANAGEMENT LLC,250 W. COVENTRY CT #109,,MILWAUKEE,WI,USA,53217,414-352-8460,414-352-3681,,,,,,,Approved,9/8/1978,1/28/2010,Y,WWW.SADOFFINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"476,737,000.00",0,"476,737,000.00",509,0,509,Y,Y,N,N,N,N,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,153111,801-71630,"HEXAM CAPITAL PARTNERS, LLP","HEXAM CAPITAL PARTNERS, LLP",15 OLD BAILEY,,LONDON,,UNITED KINGDOM,EC4M 7EF,+44 2031708386,+44 2031705734,,,,,,,Approved,8/3/2010,8/11/2010,Y,WWW.HEXAMCAPITAL.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"904,700,000.00",0,"904,700,000.00",7,0,7,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,15840,801-62161,"WALNUT STREET SECURITIES, INC.","WALNUT STREET SECURITIES, INC.",1095 AVENUE OF THE AMERICAS,,NEW YORK,NY,UNITED STATES,10036,212-578-0594,212-578-8978,"C/O METLIFE SECURITIES, INC.",1095 AVENUE OF THE AMERICAS,NEW YORK,NY,UNITED STATES,10036,Approved,7/10/2003,8/11/2010,Y,WWW.WALNUTSTREET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,More than 1000,"1,200",251-500,0,More than 1000,"1,200",5-Jan,0,More than 500,"3,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,INVESTMENT CLUB,Y,Y,N,Y,N,N,N,,Y,"132,888,960.00","555,381,661.00","688,270,621.00",697,"2,351","3,048",Y,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,Y,N,N,N,Y,N,N,,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,N,Y,Y,N,N,N,Y,N,N,N,N
NYRO,150309,801-70181,CONGRESS PARK CAPITAL  LLC,CONGRESS PARK CAPITAL  LLC,,,,,,,518-339-4335,,,,,,,,Approved,5/6/2009,1/28/2010,Y,WWW.CONGRESSPARKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,TRUST ACCOUNTS,Y,Y,N,Y,N,N,N,,Y,"51,342,323.00","1,652,151.00","52,994,474.00",68,8,76,Y,Y,N,Y,N,Y,Y,N,N,Y,SUB ADVISORY SERVICES,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,126242,801-63461,ASSET PLANNING CORPORATION,ASSET PLANNING CORPORATION,1615 FORUM PLACE,SUITE 1A,W. PALM BEACH,FL,USA,33401,561-689-5724,561-689-8558,,,,,,,Approved,9/2/2004,8/11/2010,Y,WWW.FPIGINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SHARES IN PORTION OF FEES PAID TO THIRD-PARTY MONEY MANAGERS,Y,"97,802,323.00","4,764,848.00","102,567,171.00",342,20,362,Y,Y,N,Y,N,Y,N,N,N,Y,HOURLY CONSULTING,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,151901,801-70694,WELL AND GOOD LLC,WELL AND GOOD LLC,,,,,,,608-256-9882,608-256-9882,,,,,,,Approved,10/22/2009,8/11/2010,Y,HTTP://WELLANDGOODRIA.COM/,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,11-25 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,130801,801-63654,THE MUTUAL FUND STORE,TMFS CHICAGO INC,237 SKOKIE BLVD,,NORTHBROOK,IL,USA,60062,847-498-3636,847-498-4336,,,,,,,Approved,11/19/2004,1/28/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,More than 500,900,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"290,000,000.00",0,"290,000,000.00","3,200",0,"3,200",Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,115164,801-66232,TREGER & ASSOCIATES,TREGER & ASSOCIATES LLC,,,,,,,800-944-9509,540-526-9988,P.O. BOX 919,,LEXINGTON,VA,USA,24450,Approved,2/17/2006,8/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"36,574,461.00",0,"36,574,461.00",239,0,239,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107757,801-43156,"PINNACLE ADVISORY GROUP, INC.","PINNACLE ADVISORY GROUP, INC.",6345 WOODSIDE COURT SUITE 100,,COLUMBIA,MD,UNITED STATES,21046,410-995-6630,410-381-1628,,,,,,,Approved,1/26/1993,8/11/2010,Y,HTTP://WWW.PINNACLEADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,Nov-50,0,Nov-50,0,0,0,10-Jun,0,More than 500,600,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"653,659,000.00",0,"653,659,000.00","2,115",0,"2,115",Y,Y,N,Y,Y,N,N,N,N,N,,More than 500,600,N,N,N,N,N,N,Y,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153528,801-71326,12TH STREET ASSET MANAGEMENT,12TH STREET ASSET MANAGEMENT LLC,980 N. MICHIGAN AVENUE,SUITE 1400,CHICAGO,IL,UNITED STATES,60611,312-214-3536,312-214-3510,,,,,,,120-Day Approval,4/13/2010,8/11/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,146616,801-68902,"REDHAWK WEALTH ADVISORS, INC.","REDHAWK WEALTH ADVISORS, INC.",7400 METRO BLVD,SUITE 400,MINNEAPOLIS,MN,UNITED STATES,55439,952-835-4295,952-835-0295,,,,,,,Approved,3/6/2008,8/11/2010,Y,WWW.REDHAWKWA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,Nov-50,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"32,110,319.00","3,179,134.00","35,289,453.00",451,109,560,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108405,801-55010,MAZAMA CAPITAL MANAGEMENT INC,MAZAMA CAPITAL MANAGEMENT INC,ONE SW COLUMBIA ST,STE 1500,PORTLAND,OR,USA,97258,503-221-8725,503-221-8738,,,,,,,Approved,11/4/1997,1/28/2010,Y,WWW.MAZAMACAP.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,,Y,N,N,N,N,N,Y,FULCRUM FEE,Y,"1,025,377,605.00",0,"1,025,377,605.00",26,0,26,N,N,Y,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105653,801-34764,BEDEL FINANCIAL CONSULTING INC,BEDEL FINANCIAL CONSULTING INC,3815 RIVER CROSSING PARKWAY,SUITE 120,INDIANAPOLIS,IN,UNITED STATES,46240,317-843-1358,317-574-5999,,,,,,,Approved,7/6/1989,8/11/2010,Y,WWW.BEDELFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"442,732,047.00",0,"442,732,047.00","2,121",0,"2,121",Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,112505,801-69305,OLDFATHER FINANCIAL SERVICES LLC,OLDFATHER FINANCIAL SERVICES LLC,2033 CENTRAL AVENUE,,KEARNEY,NE,USA,68848-1775,308-237-4571,308-237-7679,P.O BOX 1775,,KEARNEY,NE,US,68848-1775,Approved,7/3/2008,1/28/2010,Y,WWW.OLDFATHERFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"44,064,110.00",0,"44,064,110.00",220,0,220,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,150746,801-70340,SJK INVESTMENT MANAGEMENT LLC,SJK INVESTMENT MANAGEMENT LLC,303 PISGAH CHURCH RD.,SUITE 2C,GREENSBORO,NC,UNITED STATES,27455,336-285-5331,336-285-5343,,,,,,,Approved,6/29/2009,8/11/2010,Y,WWW.SJKINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"77,920,684.00",0,"77,920,684.00",6,0,6,N,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109829,801-43656,SUCCESSFUL MONEY STRATEGIES INC,SUCCESSFUL MONEY STRATEGIES INC,10 NORTH MAIN STREET,,FALL RIVER,MA,USA,2720,508-730-2300,508-730-1135,,,,,,,Approved,4/12/1993,1/28/2010,Y,WWW.SUCCESSFULMONEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"89,960,262.00",0,"89,960,262.00",559,0,559,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107446,801-42738,NVNG INVESTMENTS INC,NVNG INVESTMENTS INC,7950 MOORSBRIDGE RD,,KALAMAZOO,MI,UNITED STATES,49024,269-329-2422,269-324-0686,,,,,,,Approved,12/9/1992,1/28/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"56,700,398.00",0,"56,700,398.00",72,0,72,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106701,801-39071,KINNAMON & ASSOCIATES LTD II,KINNAMON & ASSOCIATES LTD II,217 N. NORTHWEST HWY,,BARRINGTON,IL,UNITED STATES,60010,847-381-1053,847-381-1491,,,,,,,Approved,6/20/1991,1/28/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,Y,0,"34,367,075.00","34,367,075.00",0,225,225,Y,Y,N,N,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,Y,N,N,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,120679,801-66165,"DECATUR CAPITAL MANAGEMENT, INC.","DECATUR CAPITAL MANAGEMENT, INC.","250 EAST PONCE DE LEON AVENUE, SUITE 325",,DECATUR,GA,USA,30030,404-270-9838,404-270-9840,,,,,,,Approved,2/9/2006,1/28/2010,Y,WWW.DECATURCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"144,600,000.00",0,"144,600,000.00",37,0,37,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,138978,801-65586,"EMPYREAN CAPITAL PARTNERS, LP","EMPYREAN CAPITAL PARTNERS, LP",10250 CONSTELLATION BLVD.,SUITE 2950,LOS ANGELES,CA,USA,90067,310-843-3000,310-843-3099,,,,,,,Approved,1/26/2006,1/28/2010,Y,WWW.EMPYREAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"677,000,000.00",0,"677,000,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,MANAGEMENT OF PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110652,801-36899,VALU TRAC INVESTMENT MANAGEMENT LTD,VALU TRAC INVESTMENT MANAGEMENT LTD,MAINS OF ORTON FOCHABERS,,MORAY,,UNITED KINGDOM,IV32 7QE,+44 (0)1343-880217,+44 (0)1343-880267,,,,,,,Approved,11/5/1990,8/11/2010,Y,WWW.VALU-TRAC.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,26-50 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"337,115,107.00",0,"337,115,107.00",12,0,12,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106632,801-17712,"RAV FINANCIAL SERVICES, LLC","RAV FINANCIAL SERVICES, LLC",2000 AUBURN DRIVE,SUITE 310,BEACHWOOD,OH,USA,44122,216.831.4900,216-831-8499,,,,,,,Approved,9/24/1982,3/30/2010,Y,WWW.RAVFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"288,925,002.00","4,248,396.00","293,173,398.00","1,516",4,"1,520",Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126530,801-63901,TAG EISNER LLC,TAG EISNER LLC,75 ROCKEFELLER PLZ,SUITE 900,NEW YORK,NY,UNITED STATES,10019-6999,212-275-1500,212-275-1510,,,,,,,Approved,2/17/2005,3/30/2010,Y,WWW.TAGEISNER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"119,904,091.00","119,904,091.00",0,43,43,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,Y,N,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108718,801-55241,MARTIN & COMPANY INVESTMENT COUNSEL,"MARTIN & COMPANY, INC","TWO CENTRE SQUARE, SUITE 200",625 SOUTH GAY ST,KNOXVILLE,TN,UNITED STATES,37902-1669,865-541-4747,865-546-9638,,,,,,,Approved,1/2/1998,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,0 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,497,936,560.00",0,"1,497,936,560.00",290,0,290,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106542,801-13100,ATHENA INVESTMENT MANAGEMENT,ATHENA INVESTMENT MANAGEMENT,180 S LAKE AVE,STE 610,PASADENA,CA,USA,91101-2619,626-449-2211,626-449-4016,,,,,,,Approved,6/16/1977,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"109,214,765.00","1,437,681.00","110,652,446.00",216,5,221,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104726,801-8390,"HOWLAND CAPITAL MANAGEMENT, INC.",HOWLAND CAPITAL MANAGEMENT INC,"75 FEDERAL ST, STE 1100",,BOSTON,MA,UNITED STATES,02110-1911,617-357-9110,617-357-5540,,,,,,,Approved,2/9/1972,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,"ADD'L FIXED ADMIN. FEE FOR IRA'S, CRT'S & INS TRUSTS",Y,"844,326,342.00","3,046,056.00","847,372,398.00",853,13,866,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,126925,801-62042,"PERKINS INVESTMENT MANAGEMENT, LLC","PERKINS INVESTMENT MANAGEMENT, LLC",311 S. WACKER DRIVE,STE. 6000,CHICAGO,IL,UNITED STATES,60606,312-922-0355,312-922-0418,,,,,,,Approved,5/1/2003,3/30/2010,N,,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"2,500",More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"15,109,665,326.00","5,511,630.00","15,115,176,956.00","2,264",26,"2,290",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
BRO,109355,801-55094,"MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC",FEDERATED MDTA LLC,125 HIGH STREET,"OLIVER STREET TOWER, 21ST FLOOR",BOSTON,MA,UNITED STATES,2110,617-235-7100,412-288-3939,,,,,,,Approved,11/13/1997,3/30/2010,Y,OPTIMUMQ.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"13,556",More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,295,177,981.00","309,335,359.00","4,604,513,340.00","11,979","1,577","13,556",N,Y,Y,Y,N,N,N,N,N,Y,ADVISER ALSO PROVIDES MODEL PORTFOLIOS AND ASSET ALLOCATION RECOMMENDATIONS AND PERIODIC UPDATES TO THEM.,,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106326,801-27046,"PETER B. CANNELL & CO., INC.","PETER B. CANNELL & CO., INC.",645 MADISON AVE,,NEW YORK,NY,UNITED STATES,10022,212-752-5255,212-319-0937,,,,,,,Approved,3/31/1986,3/30/2010,Y,WWW.PETERBCANNELL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,371,381,350.00",0,"1,371,381,350.00",712,0,712,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138296,801-65495,AVESTA CAPITAL ADVISORS LLC,AVESTA CAPITAL ADVISORS LLC,ONE BRYANT PARK,39TH FLOOR,NEW YORK,NY,UNITED STATES,10036,212-332-8868,212-332-8874,,,,,,,Approved,1/24/2006,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,364,417,000.00",0,"1,364,417,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,111259,801-46564,SCOTTISH WIDOWS INVESTMENT PARTNERSHIP LTD,SCOTTISH WIDOWS INVESTMENT PARTNERSHIP LTD,EDINBURGH ONE MORRISON STREET,,EDINBURGH,,UNITED KINGDOM,EH3 8BE,001-44-131 655 8500,001-44-131-655-7441,,,,,,,Approved,6/10/1994,3/30/2010,Y,WWW.SWIP-US.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,251-500,0,51-250,0,0,0,0,0,More than 500,500,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"227,652,138,604.00","1,202,072,459.00","228,854,211,063.00",761,15,776,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,Y,N,N,Y,N,N,N,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107113,801-47618,NICHOLS & PRATT ADVISERS LLP,NICHOLS & PRATT ADVISERS LLP,"50 CONGRESS STREET, SUITE 832",,BOSTON,MA,UNITED STATES,02109-4002,617-523-6800,617-523-8949,,,,,,,Approved,10/11/1994,3/30/2010,Y,WWW.NICHOLS-PRATT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,MA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,A PERCENTAGE OF INCOME COLLECTED,Y,"852,115,390.00","421,980,490.00","1,274,095,880.00",492,276,768,N,Y,N,N,N,N,N,N,N,Y,PERSONAL FIDUCIARIES & SMALL TRUST COMPANY,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110105,801-57947,SYMMETRIC ADVISORS INC,SYMMETRIC ADVISORS INC,13911 RIDGEDALE DR,SUITE 250,MINNETONKA,MN,UNITED STATES,55305,952-541-1605,952-417-4101,,,,,,,Approved,9/18/2000,3/30/2010,Y,SYMMETRICADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"34,568,091.00",0,"34,568,091.00",353,0,353,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151242,801-70636,"HUMMINGBIRD MANAGEMENT, LLC","HUMMINGBIRD MANAGEMENT, LLC",145 EAST 57TH STREET,8TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-750-7117,212-208-2456,,,,,,,Approved,9/29/2009,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"40,000,000.00",0,"40,000,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107275,801-53493,PINNACLE ADVISORS LLC,PINNACLE ADVISORS LLC,507 PLUM ST.,,SYRACUSE,NY,UNITED STATES,13204,315.251.1101,315.251.1110,,,,,,,Approved,12/19/1996,3/30/2010,Y,WWW.NYSAFUNDS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,658,164.00",0,"2,658,164.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,Y,Y,Y,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107922,801-55592,CANYON CAPITAL ADVISORS LLC,CANYON CAPITAL ADVISORS LLC,2000 AVENUE OF THE STARS,11TH FLOOR,LOS ANGELES,CA,UNITED STATES,90067,310-272-1000,310-272-1001,,,,,,,Approved,6/18/1998,3/30/2010,Y,WWW.CANYONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"12,362,791,895.00",0,"12,362,791,895.00",22,0,22,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105307,801-29336,"CLEARWATER MANAGEMENT COMPANY, INC.","CLEARWATER MANAGEMENT COMPANY, INC.","30 EAST 7TH STREET, SUITE 2000",,ST PAUL,MN,UNITED STATES,55101,651-228-0935,651-215-4493,,,,,,,Approved,4/27/1987,3/30/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,492,686,140.00",0,"1,492,686,140.00",8,0,8,N,N,Y,N,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR INVESTMENT COMPANIES EXEMPT FROM REGISTRATION UNDER THE 1940 ACT.,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106380,801-42161,ELDRIDGE INVESTMENT ADVISORS INC,ELDRIDGE INVESTMENT ADVISORS INC,686 CHESTNUT ST,,MANCHESTER,NH,UNITED STATES,3104,603-625-8559,603-641-9650,,,,,,,Approved,8/19/1992,3/30/2010,Y,WWW.ELDRIDGECO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"173,355,863.00","713,019.00","174,068,882.00",244,1,245,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,118242,801-60860,"RMAS, INC.","RISK MANAGEMENT ADVISORY SERVICES, INC.",237 S. BLACK HORSE PIKE,,MT. EPHRAIM,NJ,USA,8059,856-933-2225,856-933-5127,,,,,,,Approved,1/18/2002,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"61,960,758.00",0,"61,960,758.00",972,0,972,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,147592,801-69418,"GM ADVISORY GROUP, INC.","GM ADVISORY GROUP, INC.",30 MAIN STREET,,PORT WASHINGTON,NY,UNITED STATES,11050,516-767-7104,516-767-6349,,,,,,,Approved,7/29/2008,3/30/2010,Y,GMADVISORYGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,WRAP FEE,Y,"291,584,965.00","1,299,516.00","292,884,481.00",570,2,572,Y,Y,N,Y,Y,N,N,N,N,N,,0,,Y,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,140170,801-69950,MINOT DEBLOIS ADVISORS LLC,MINOT DEBLOIS ADVISORS LLC,50 CONGRESS STREET,SUITE 1025,BOSTON,MA,UNITED STATES,2109,617-557-7407,617-557-7419,,,,,,,Approved,3/10/2009,3/30/2010,Y,WWW.MINOTDEBLOIS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"600,000,000.00","600,000,000.00",0,340,340,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109547,801-57113,LANGER WEALTH MANAGEMENT LLC,LANGER WEALTH MANAGEMENT LLC,1213 CULBRETH DR,,WILMINGTON,NC,USA,28405,910-256-6521,866-514-0881,,,,,,,Approved,12/28/1999,3/30/2010,Y,WWW.LANGERWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"88,382,000.00",0,"88,382,000.00",80,0,80,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105977,801-10773,MORGAN INVESTMENTS INC,MORGAN INVESTMENTS INC,720 S PLEASANTBURG DRIVE,,GREENVILLE,SC,UNITED STATES,29607,864-235-4196,864-235-5467,,,,,,,Approved,7/18/1975,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"61,964,961.00",0,"61,964,961.00",120,0,120,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,137080,801-65977,WEALTH MANAGEMENT LLC,WEALTH MANAGEMENT LLC,125 SOUTH 4TH STREET,,NORFOLK,NE,UNITED STATES,68701,402-371-1160,402-379-3818,PO BOX 1264,,NORFOLK,NE,UNITED STATES,68702-0762,Approved,2/17/2006,3/30/2010,Y,WWW.WEALTHMGMTLLC.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,NE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"2,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"81,751,799.00",0,"81,751,799.00","1,520",0,"1,520",Y,Y,N,Y,N,N,Y,N,N,Y,SUB-ADVISOR AND BACK OFFICE SUPPORT SERVICES,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,5009,801-70438,FEDERATED SECURITIES CORP.,FEDERATED SECURITIES CORP.,FEDERATED INVESTORS TOWER,1001 LIBERTY AVENUE,PITTSBURGH,PA,UNITED STATES,15222-3779,(412) 288-1900,(412) 288-3939,,,,,,,Approved,8/17/2009,3/30/2010,Y,FEDERATEDINVESTORS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,PA,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,10-Jan,0,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,Y,INTER-COMPANY CREDIT BASED ON AGREED UPON METRIC,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,SOLICITATION SERVICES & INVESTMENT ADVICE ON BEHALF OF AFFILIATED ADVISERS TO THEIR CLIENTS & LIQUIDATION AGENT SERVICES,,,N,N,Y,N,N,N,N,N,Y,SOLICITATION FOR ADVISORY AFFILIATES&THIRD PARTIES,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
PLRO,110969,801-19563,BEALE HEALY INVESTMENT ADVISORS INC,BEALE HEALY INVESTMENT ADVISORS INC,6806 PARAGON PLACE,SUITE 140,RICHMOND,VA,UNITED STATES,23230,804-355-0223,804-353-1363,,,,,,,Approved,8/15/1983,3/30/2010,Y,WWW.BHIA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"36,277,158.00","22,217,195.00","58,494,353.00",80,27,107,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,132957,801-64865,"AETNA CAPITAL MANAGEMENT, LLC","AETNA CAPITAL MANAGEMENT, LLC",29 SOUTH MAIN STREET,SUITE 304,WEST HARTFORD,CT,UNITED STATES,06107-2449,860-380-1230,860-380-1255,,,,,,,Approved,11/10/2005,3/30/2010,Y,WWW.AETNACAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"541,195,371.00","95,219,341.00","636,414,712.00",2,1,3,N,N,N,Y,N,N,N,N,N,Y,NON-DISCRETIONARY ADVICE TO A PENSION PLAN.,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,Y,Y,Y,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,121194,801-67545,"YERKES FINANCIAL ADVISORS, INC.","YERKES FINANCIAL ADVISORS, INC.",431 OHIO PIKE NORTH,SUITE 210,CINCINNATI,OH,USA,45255,513-528-8270,513-528-8272,,,,,,,Approved,2/9/2007,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"42,874,647.00","358,191.00","43,232,838.00",160,8,168,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,130097,801-63531,"QUANTITATIVE EQUITY STRATEGIES, LLC","QUANTITATIVE EQUITY STRATEGIES, LLC",8822 S RIDGELINE BLVD.,SUITE #220,HIGHLANDS RANCH,CO,UNITED STATES,80129,303-471-0244,303-471-0344,,,,,,,Approved,9/27/2004,3/30/2010,Y,WWW.QESINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,RESEARCH RECIPIENTS,Y,N,N,Y,N,Y,N,,Y,"50,539,866.00","20,000,000.00","70,539,866.00",5,2,7,N,Y,N,Y,N,Y,N,N,Y,Y,RESEARCH,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105824,801-35059,INFORMED INVESTORS GROUP,KOENIG STEVEN MARK,,,,,,,206-524-6511,,,,,,,,Approved,8/11/1989,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"33,376,976.00",0,"33,376,976.00",31,0,31,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,111071,801-56214,JONAS BRITTAIN GLENN INC.,JONAS BRITTAIN GLENN INC.,SCBT,349 EAST MAIN STREET,SPARTANBURG,SC,UNITED STATES,29302,864-582-3080,SAME,,,,,,,Approved,3/9/1999,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),S CORPORATION,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,NONE,Y,N,N,N,N,N,N,,Y,"37,898,167.00",0,"37,898,167.00",64,0,64,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106499,801-40295,TPH ASSOCIATES,HOROSCHAK THEODORE,,,,,,,215-345-5336,215-345-4155,PO BOX 435,,FURLONG,PA,UNITED STATES,18925,Approved,12/3/1991,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,FLAT FEE,Y,"49,837,890.00",0,"49,837,890.00",4,0,4,N,Y,N,N,N,N,N,N,N,Y,PERFORMANCE COMPARISONS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111717,801-41787,CAPITAL GAINS INCORPORATED,CAPITAL GAINS INC,"8060 W. OAKTON STREET, SUITE 102",,NILES,IL,UNITED STATES,60714,847-318-9975,847-318-9958,,,,,,,Approved,6/23/1992,3/30/2010,Y,WWW.CAPITALGAINSINC.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,,Y,N,N,Y,N,N,Y,REF. FEES PURSUANT TO R. 206(4)-3 UNDER INV. ADVSR. ACT OF 1940,Y,"238,537,348.00",0,"238,537,348.00",26,0,26,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107504,801-38929,"LAKE PARTNERS,INC.","LAKE PARTNERS,INC.",24 FIELD POINT ROAD,,GREENWICH,CT,UNITED STATES,6830,203-661-5100,203-661-0587,,,,,,,Approved,5/31/1991,3/30/2010,Y,WWW.LAKEVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"90,410,959.00","85,177,811.00","175,588,770.00",54,7,61,N,Y,Y,Y,N,Y,N,N,N,Y,"CUSTOM CONSULTING FOR INSTITUTIONS AND PRIVATE INVESTORS ON MULTI-MANAGER PORTFOLIOS, HEDGE FUNDS AND ALTERNATIVE INVESTMENTS.",,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105711,801-13441,DANE FALB STONE & CO INC,DANE FALB STONE & CO INC,"50 CONGRESS STREET, STE 642",,BOSTON,MA,UNITED STATES,2109,617-742-0666,617-742-2304,P.O BOX 9745,,BOSTON,MA,UNITED STATES,2114,Approved,10/31/1977,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"56,482,159.00","9,523,229.00","66,005,388.00",66,2,68,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,121175,801-61883,"BEL AIR MANAGEMENT, LLC","BEL AIR MANAGEMENT, LLC",1999 AVENUE OF THE STARS SUITE 2800,,LOS ANGELES,CA,USA,90067,310-229-1500,310-229-1516,,,,,,,Approved,3/14/2003,3/30/2010,N,,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"46,585,000.00",0,"46,585,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,GENERAL PARTNER OF HEDGE FUND,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,135908,801-65565,"SANBORN KILCOLLIN PARTNERS, LLC","SANBORN KILCOLLIN PARTNERS, LLC",70 WEST MADISON STREET,SUITE 5320,CHICAGO,IL,UNITED STATES,60602-4205,312-499-0900,312-499-0909,,,,,,,Approved,1/27/2006,3/30/2010,Y,WWW.SANBORNKILCOLLIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"160,000,000.00",0,"160,000,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,115645,801-62848,"MAROTTA WEALTH MANAGEMENT, INC.","MAROTTA ASSET MANAGEMENT, INC.",ONE VILLAGE GREEN CIRCLE,SUITE 100,CHARLOTTESVILLE,VA,USA,22903-4619,434-244-0000,866-225-4205,,,,,,,Approved,3/10/2004,3/19/2010,Y,HTTP://WWW.EMAROTTA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"163,444,890.00","773,115.00","164,218,005.00",748,7,755,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,109344,801-57925,"SATHER FINANCIAL GROUP, INC.","SATHER FINANCIAL GROUP, INC.",120 E. CONSTITUTION,,VICTORIA,TX,USA,77901,361-570-1800,361-570-0377,,,,,,,Approved,10/3/2000,3/22/2010,Y,WWW.SATHERFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"147,791,818.00","13,493,232.00","161,285,050.00",605,12,617,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,Y,STRUCTURED SETTLEMENTS BROKER,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,114981,801-62600,DENK INVESTMENT ADVISORY,"RON DENK INVESTMENT ADVISORY SERVICES, LTD.",2702 N. 3RD. STREET,SUITE 4001,PHOENIX,AZ,USA,85004,602-252-8700,602-252-8701,,,,,,,Approved,1/2/2004,3/19/2010,Y,WWW.DENKINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"44,998,500.00","8,965,600.00","53,964,100.00",248,2,250,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110975,801-60070,"D. SCOTT NEAL, INC.","D. SCOTT NEAL, INC.",1999 RICHMOND ROAD,SUITE 2A,LEXINGTON,KY,UNITED STATES,40502,859-254-3036,859-233-1294,P O BOX 2010,,LEXINGTON,KY,UNITED STATES,40588,Approved,3/6/2001,3/19/2010,Y,WWW.DSNEAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"113,324,441.00","6,322,167.00","119,646,608.00",253,5,258,Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109475,801-56341,RAMSEY & ASSOCIATES INC,RAMSEY & ASSOCIATES INC,1730 N. NORTHLAKE WAY,SUITE 3301,SEATTLE,WA,USA,98103,206-324-1950,206-324-4787,,,,,,,Approved,3/16/1999,3/19/2010,Y,WWW.RAMSEYASSOC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"35,174,582.00","110,970,397.00","146,144,979.00",34,381,415,Y,Y,N,N,N,N,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,122057,801-68063,JDM FINANCIAL GROUP LLC,JDM FINANCIAL GROUP LLC,,,,,,,310-479-4122,310-943-0448,11301 OLYMPIC BLVD,SUITE 330,LOS ANGELES,CA,USA,90064,Approved,6/27/2007,3/19/2010,Y,WWW.JDMFINANCE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,MONTHLY CONSULTING FEE,Y,"34,327,996.00",0,"34,327,996.00",309,0,309,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,Y,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,144152,801-68180,"WEALTH LEGACY INSTITUTE, INC.","WEALTH LEGACY INSTITUTE, INC.",950 SOUTH CHERRY STREET,SUITE 505,DENVER,CO,USA,80246,303-753-7578,303-753-7581,,,,,,,Approved,8/2/2007,11/28/2007,Y,WWW.WEALTHLEGACYINSTITUTE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"29,256,743.00",0,"29,256,743.00",240,0,240,Y,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,125549,801-62106,"DAY & ENNIS, LLC","DAY & ENNIS, LLC",125 PLANTATION CENTRE DRIVE SOUTH,BLDG 400 B,MACON,GA,USA,31210,478-474-7480,478-474-1980,,,,,,,Approved,6/2/2003,3/19/2010,Y,DAYANDENNIS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"117,974,126.00","15,933,726.00","133,907,852.00",131,3,134,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,150351,801-70978,"RETIREMENT MANAGEMENT SYSTEMS, INC.","RETIREMENT MANAGEMENT SYSTEMS, INC.",441 DEFENSE HIGHWAY,SUITE E,ANNAPOLIS,MD,UNITED STATES,21401,888-870-7674,,,,,,,,Approved,1/19/2010,3/19/2010,Y,WWW.401KPILOT.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,MD,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,130046,801-62998,PASKIN & KAHR CAPITAL MANAGEMENT LLC,PASKIN & KAHR CAPITAL MANAGEMENT LLC,712 MONTGOMERY STREET,,SAN FRANCISCO,CA,UNITED STATES,94111,415-392-7893,415-392-7896,,,,,,,Approved,4/7/2004,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"106,000,000.00","413,000,000.00","519,000,000.00",116,4,120,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,118538,801-66921,"AWR INVESTMENT MANAGEMENT, LLC","AWR INVESTMENT MANAGEMENT, LLC",,,,,,,(415) 457-9415,(415) 778-0301,,,,,,,Approved,6/20/2006,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,930,109.00",0,"34,930,109.00",105,0,105,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,153256,801-71212,"SELECT MONEY MANAGEMENT, INC.","SELECT MONEY MANAGEMENT, INC.",26800 ALISO VIEJO PKWY,STE 150,ALISO VIEJO,CA,UNITED STATES,92656,949-975-7900,949-900-8181,,,,,,,Approved,3/15/2010,3/19/2010,Y,WWW.SELECTMONEYMANAGEMENT.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,Y,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,104707,801-28023,PRIVATE MANAGEMENT GROUP INC,PRIVATE MANAGEMENT GROUP INC,"20 CORPORATE PARK, SUITE 400",,IRVINE,CA,USA,92606,949-752-7500,949-752-2299,,,,,,,Approved,9/26/1986,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,Nov-50,0,More than 500,"1,500",51-75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,056,788,942.00",0,"1,056,788,942.00","3,696",0,"3,696",N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107648,801-50732,PENNSYLVANIA CAPITAL MANAGEMENT INC.,PENNSYLVANIA CAPITAL MANAGEMENT INC.,165 TOWNSHIP LINE ROAD,SUITE 1400,JENKINTOWN,PA,USA,19046,215-881-7700,215-572-9510,,,,,,,Approved,12/4/1995,3/19/2010,Y,WWW.PCMADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"64,934,253.00","193,473,912.00","258,408,165.00",34,426,460,Y,Y,N,Y,Y,Y,N,N,Y,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,142121,801-67311,"TRIPACIFIC CAPITAL ADVISORS, LLC","TRIPACIFIC CAPITAL ADVISORS, LLC",2020 MAIN STREET,SUITE 1100,IRVINE,CA,UNITED STATES,92614,949-724-5900,949-724-5911,,,,,,,Approved,11/21/2006,3/19/2010,Y,WWW.TRIPACIFICLLC.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,N,N,N,Y,N,Y,Y,PLACEMENT/MANAGEMENT FEES BASED ON INVESTMENT AMT AND ASSET VALU,Y,"298,048,695.00",0,"298,048,695.00",2,0,2,N,N,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,Y,N,N,N,,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110952,801-19727,PETERSEN HASTINGS INVESTMENT MANAGEMENT INC,PETERSEN HASTINGS INVESTMENT MANAGEMENT INC,8203 W QUINAULT,SUITE 700,KENNEWICK,WA,USA,99336,509-735-0484,509-735-4191,,,,,,,Approved,9/26/1983,3/19/2010,Y,WWW.PETERSENHASTINGS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"332,221,900.00",0,"332,221,900.00",315,0,315,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,114370,801-67525,"SESSIONS FINANCIAL GROUP, INC.","SESSIONS FINANCIAL GROUP, INC.",7084 E. FISH LAKE ROAD,,MAPLE GROVE,MN,USA,55311,763-494-0095,763-494-8802,,,,,,,Approved,2/5/2007,3/19/2010,Y,WWW.SESSIONSFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,REFERRAL FEES,Y,"37,575,000.00",0,"37,575,000.00",355,0,355,Y,Y,N,N,N,Y,N,N,N,Y,CONSULTING SERVICES; COLLEGE PLANNING SERVICES,101-250,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,112884,801-66778,"RPH FINANCIAL SERVICES, INC","RPH FINANCIAL SERVICES, INC",HIGHWAY CONTRACT 1 BOX 156,,SCIOTA,PA,USA,18354,570-992-1675,570-992-1313,,,,,,,Approved,8/8/2006,3/19/2010,Y,WWW.RPHFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"89,278,344.00","89,278,344.00",0,676,676,Y,Y,N,N,N,Y,N,N,N,Y,SEMINARS,101-250,,Y,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,112816,801-45180,LEE KRASNER GROUP LTD,LEE KRASNER GROUP LTD,10 DAVOL SQUARE,,PROVIDENCE,RI,UNITED STATES,2903,401-861-0101,401-861-0103,,,,,,,Approved,10/29/1993,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,RI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"41,352,824.00",0,"41,352,824.00",235,0,235,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,129602,801-62810,"SUGARLOAF WEALTH MANAGEMENT, LLC","SUGARLOAF WEALTH MANAGEMENT, LLC",2736 MEADOW CHURCH RD.,SUITE 200,DULUTH,GA,UNITED STATES,30097,770.985.5473,770.972.0534,,,,,,,Approved,2/13/2004,3/22/2010,Y,WWW.SWMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"38,980,182.00","52,026,265.00","91,006,447.00",227,110,337,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108977,801-55745,MIG REALTY ADVISORS,MIG II REALTY ADVISORS INC,1 AEC PARKWAY,,RICHMOND HTS,OH,UNITED STATES,44143-1467,216/261-5000,216/289-9600,,,,,,,Approved,6/30/1998,3/22/2010,Y,WWW.ASSOCIATEDESTATES.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,113088,801-60307,"GRAVITAS CAPITAL ADVISORS, INC.","GRAVITAS CAPITAL ADVISORS, INC.","601 PENNSYLVANIA AVENUE, NW",SUITE 900- SOUTH BLDG,WASHINGTON,DC,UNITED STATES,20004,202-434-8341,202-318-2509,,,,,,,Approved,6/8/2001,3/22/2010,Y,WWW.GRAVITASCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,51-75 percent,FOREIGN GOVERNMENTS AND INSTITUTIONS,Y,Y,N,Y,N,Y,N,,Y,"55,780,752.00",0,"55,780,752.00",5,0,5,N,N,N,Y,N,Y,N,N,N,Y,CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,131395,801-66229,"JONATHAN D. POND, LLC","JONATHAN D. POND, LLC",300 WASHINGTON STREET; ONE GATEWAY CENTER,SUITE 413,NEWTON,MA,USA,2458,617-243-0020,617-243-0021,,,,,,,Approved,1/2/2008,3/22/2010,Y,JONATHANPONDLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,Y,N,N,N,N,,Y,"126,234,132.00",0,"126,234,132.00",668,0,668,Y,Y,N,N,N,N,Y,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106005,801-46245,DELESSERT FINANCIAL SERVICES INC,DELESSERT FINANCIAL SERVICES INC,230 THIRD AVENUE,FIFTH FLOOR,WALTHAM,MA,UNITED STATES,2451,781-547-5589,781-547-5596,,,,,,,Approved,4/6/1994,3/22/2010,Y,WWW.DELESSERTFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"249,163,233.00","95,640,222.00","344,803,455.00",777,149,926,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,Y,Y,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,145149,801-69720,RETIREMENT MONEY MANAGEMENT,"SUCCESSFUL MONEY MANAGEMENT OF SARASOTA, INC.",ONE SARASOTA TOWER 2 N. TAMIAMI TRAIL,SUITE 400,SARASOTA,FL,UNITED STATES,34236,941-955-8163,941-955-2837,,,,,,,Approved,12/19/2008,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"26,717,405.00","26,717,405.00",0,"1,179","1,179",Y,Y,N,N,N,Y,N,N,N,Y,WRITTEN FINANCIAL PLANS,26-50,,N,N,N,Y,N,N,Y,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,152630,801-70967,HERMES SOURCECAP LIMITED,HERMES SOURCECAP LIMITED,LLOYDS CHAMBERS,1 PORTSOKEN STREET,LONDON,,UNITED KINGDOM,E1 8HZ,+44 207 702 0888,+44 207 702 9452,,,,,,,Approved,2/2/2010,3/22/2010,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),UK PRIVATE LIMITED COMPANY,,UNITED KINGDOM,10-Jun,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"1,136,302,777.00",0,"1,136,302,777.00",15,0,15,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES INCLUDING IRISH PUBLICLY TRADED FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131068,801-63360,MICHAEL SNOW D/B/A SNOW FINANCIAL MANAGEMENT,"SNOW, MICHAEL",,,,,,,631-537-5033,631-237-4863,,,,,,,Approved,7/23/2004,7/26/2010,Y,SNOWASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"121,000,000.00",0,"121,000,000.00",63,0,63,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,142570,801-67528,FINSER INVESTMENT ADVISOR,FINSER INVESTMENT ADVISOR,"106 S. ST. MARY'S STREET, SUITE 600",,SAN ANTONIO,TX,UNITED STATES,78205,210-224-5492,210-224-1720,,,,,,,Approved,1/26/2007,7/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"675,537,539.00","675,537,539.00",0,7,7,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111334,801-60141,"BOULAY FINANCIAL ADVISORS, LLC","BOULAY FINANCIAL ADVISORS, LLC","7500 FLYING CLOUD DRIVE, SUITE 800",,MINNEAPOLIS,MN,USA,55344,952-893-9320,952-893-3830,,,,,,,Approved,4/17/2001,7/26/2010,Y,WWW.BHZ.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,Nov-50,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,TRUSTS/ESTATES,Y,Y,N,Y,N,N,N,,Y,"187,343,539.00","21,162,822.00","208,506,361.00",506,67,573,Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110750,801-43455,"CMG CAPITAL MANAGEMENT GROUP, INC.","CMG CAPITAL MANAGEMENT GROUP, INC.",150 N. RADNOR-CHESTER ROAD,SUITE A150,RADNOR,PA,UNITED STATES,19087-5200,610-989-9090,610-989-9092,,,,,,,Approved,3/4/1993,7/26/2010,Y,WWW.CMGFUNDS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,Nov-50,0,More than 500,"2,900",51-75 percent,11-25 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"443,009,471.00",0,"443,009,471.00","3,206",0,"3,206",N,Y,Y,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106693,801-48238,"THE AYCO COMPANY,L.P.","THE AYCO COMPANY,L.P.",321 BROADWAY,,SARATOGA SPRINGS,NY,UNITED STATES,12866,518-886-4000,518-886-4414,P.O. BOX 860,,SARATOGA SPRINGS,NY,UNITED STATES,12866-0860,Approved,12/9/1994,7/26/2010,Y,AYCOFINANCIALNETWORK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,501-1000,0,501-1000,0,501-1000,0,Nov-50,0,More than 500,"153,000",More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,Y,Y,N,N,N,,Y,"10,311,284,081.00","9,323,902,063.00","19,635,186,144.00","11,428","35,365","46,793",Y,Y,N,Y,N,Y,Y,N,N,N,,More than 500,153000,Y,Y,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,106132,801-36865,WEST BAY CAPITAL LLC,WEST BAY CAPITAL LLC,,,,,,,401-294-2570,401-633-6531,,,,,,,Approved,6/29/1990,1/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"53,065,443.00",0,"53,065,443.00",25,0,25,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,145480,801-68501,"HS MANAGEMENT PARTNERS, LLC","HS MANAGEMENT PARTNERS, LLC",598 MADISON AVENUE,14TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-888-0060,212-888-0066,,,,,,,Approved,10/25/2007,7/26/2010,Y,WWW.HSMANAGE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"351,320,650.00","2,089,999.00","353,410,649.00",49,3,52,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,120107,801-62678,"CHILTON INVESTMENT COMPANY, LLC","CHILTON INVESTMENT COMPANY, LLC",1290 EAST MAIN STREET,1ST FLOOR,STAMFORD,CT,UNITED STATES,6902,203-352-4000,203-352-4006,,,,,,,Approved,1/15/2004,7/26/2010,Y,WWW.CHILTONFUNDS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,10-Jun,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,11-25 percent,ERISA-COMPLIANT POOLED INVESTMENT VEHICLES,Y,N,N,N,N,Y,N,,Y,"5,524,645,438.00",0,"5,524,645,438.00",24,0,24,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105644,801-20406,GENWORTH FINANCIAL ADVISERS CORPORATION,GENWORTH FINANCIAL ADVISERS CORPORATION,200 NORTH MARTINGALE ROAD,,SCHAUMBURG,IL,UNITED STATES,60173-2096,888-528-2987,847-330-7912,,,,,,,Approved,1/13/1984,7/26/2010,Y,WWW.GENWORTHFINANCIALSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,More than 1000,"1,000",More than 1000,"1,000",More than 1000,"1,000",51-250,0,More than 500,"16,000",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"2,913,473,183.00","278,472,399.00","3,191,945,582.00","14,361","1,913","16,274",Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,152872,801-71069,"DEL REY GLOBAL INVESTORS, LLC","DEL REY GLOBAL INVESTORS, LLC",6701 CENTER DRIVE WEST,SUITE 655,LOS ANGELES,CA,UNITED STATES,90045,310-742-3103,,,,,,,,Approved,2/4/2010,7/26/2010,Y,WWW.DELREYGLOBAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,000,000.00","55,000,000.00","57,000,000.00",3,1,4,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,134956,801-64194,"STRATEGOS CAPITAL MANAGEMENT, LLC","STRATEGOS CAPITAL MANAGEMENT, LLC",2929 ARCH STREET,17TH FLOOR,PHILADELPHIA,PA,USA,19104,215 701-9635,215 701-8278,,,,,,,Approved,4/28/2005,7/26/2010,Y,WWW.COHENANDCOMPANY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,846,011,481.00",0,"5,846,011,481.00",18,0,18,N,N,N,Y,N,N,N,N,N,Y,MANAGE COLLATERALIZED DEBT OBLIGATION (CDO) & PRIVATE INVESTMENT LIMITED PARTNERSHIPS (HEDGE FUNDS),,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,122679,801-61489,"PALADIN CAPITAL MANAGEMENT, LLC","PALADIN CAPITAL MANAGEMENT, LLC","2001 PENNSYLVANIA AVE., N.W.,",SUITE 400,WASHINGTON,DC,UNITED STATES,20006,202-293-5590,202-293-5548,,,,,,,Approved,9/27/2002,1/5/2010,Y,WWW.PALADINCAPGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"751,901,466.00","208,262,626.00","960,164,092.00",13,1,14,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,134529,801-64067,"BIVIUM CAPITAL PARTNERS, LLC","BIVIUM CAPITAL PARTNERS, LLC",44 MONTGOMERY STREET,SUITE 4250,SAN FRANCISCO,CA,UNITED STATES,94104-4826,415-825-0616,415-398-0605,,,,,,,Approved,3/21/2005,7/26/2010,Y,WWW.BIVIUMCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,153,433,202.00",0,"1,153,433,202.00",13,0,13,N,N,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,107795,801-57109,SHIELDS TAX & INVESTMENT MANAGEMENT,SHIELDS JOHN MICHAEL,,,,,,,772-581-1270,772-581-1272,,,,,,,Approved,1/14/2000,1/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"32,465,326.00",0,"32,465,326.00",110,0,110,Y,Y,N,N,N,N,N,N,N,Y,INCOME TAX PREPARATION,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106599,801-20398,"PLANCORP, LLC","PLANCORP, LLC",540 MARYVILLE CENTRE,SUITE 105,SAINT LOUIS,MO,UNITED STATES,63141,636-532-7824,636-532-0274,,,,,,,Approved,1/14/1984,7/26/2010,Y,WWW.PLANCORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,More than 500,500,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,362,361,000.00","26,890,700.00","1,389,251,700.00","2,845",170,"3,015",Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109032,801-60153,"CREATIVE FINANCIAL DESIGNS, INC.","CREATIVE FINANCIAL DESIGNS, INC.",2704 S GOYER RD,,KOKOMO,IN,UNITED STATES,46902,765-453-9600,765-864-4080,P.O. BOX # 2244,,KOKOMO,IN,UNITED STATES,46904-2244,Approved,4/19/2001,7/26/2010,Y,WWW.CFDINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,51-250,0,51-250,0,51-250,0,Nov-50,0,More than 500,"5,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"360,000,000.00",0,"360,000,000.00","4,700",0,"4,700",Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,N,N,N,N,N,N
NYRO,135601,801-64305,"WINTERGREEN ADVISERS, LLC","WINTERGREEN ADVISERS, LLC",333 ROUTE 46 WEST,SUITE 204,MOUNTAIN LAKES,NJ,UNITED STATES,7046,973-263-2600,973-263-4105,,,,,,,Approved,5/12/2005,3/31/2010,Y,WWW.WINTERGREENADVISERS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,ASSET BASED COMPENSATION ALLOCATED OUT OF NET PROFITS,Y,"1,559,641,952.00",0,"1,559,641,952.00",5,0,5,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,143996,801-67916,"ONCUBIC, L.L.C.","ONCUBIC, L.L.C.",3655 NOBEL DR,SUITE 340,SAN DIEGO,CA,UNITED STATES,92122,888-619-5666,888-619-5666,,,,,,,Approved,6/11/2007,3/31/2010,Y,HTTP://WWW.ONCUBIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,10-Jun,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"49,227,984.00",0,"49,227,984.00",343,0,343,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,44379,801-55180,"SAPERSTON ASSET MANAGEMENT, INC.","SAPERSTON ASSET MANAGEMENT, INC.",172 LAKE STREET,,HAMBURG,NY,UNITED STATES,14075,716-649-9800,716-649-9875,,,,,,,Approved,1/14/1998,3/31/2010,Y,WWW.SAPERSTON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"76,665,613.00","53,944,542.00","130,610,155.00",465,9,474,N,Y,N,Y,Y,Y,N,N,N,N,,,,Y,Y,Y,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,133722,801-70752,"WHARTON BUSINESS GROUP, LLC","WHARTON BUSINESS GROUP, LLC",740 SPRINGDALE DRIVE,SUITE 208,EXTON,PA,UNITED STATES,19341,610-594-7205,610-594-9105,,,,,,,Approved,11/13/2009,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"960,228,273.00","92,795,537.00","1,053,023,810.00",46,3,49,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
SFRO,116667,801-62865,"JOHNSON & SHUTE INVESTMENT ADVISORS, INC.","JOHNSON & SHUTE INVESTMENT ADVISORS, INC.",2950 NORTHUP WAY,SUITE 200,BELLEVUE,WA,UNITED STATES,98004,425-827-5755,425-827-3322,,,,,,,Approved,3/5/2004,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"63,327,112.00","63,327,112.00",0,90,90,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,12984,801-56411,INVEST FINANCIAL CORPORATION,"IFC HOLDINGS, INC.",8745 HENDERSON ROAD,SUITE 300,TAMPA,FL,UNITED STATES,33634,(813) 880-5300,813-890-6407,,,,,,,Approved,4/26/1999,3/31/2010,Y,WWW.INVESTFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,501-1000,0,501-1000,0,501-1000,0,5-Jan,0,More than 500,"6,000",51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"501,477,349.00","1,088,058,235.00","1,589,535,584.00","2,255","6,656","8,911",Y,Y,N,Y,Y,Y,Y,N,N,Y,SEMINARS,251-500,,N,N,Y,N,N,N,Y,N,N,,N,,Y,Y,Y,Y,N,N,N,N,Y,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,Y
BRO,123796,801-61630,"REX CAPITAL ADVISORS, LLC","REX CAPITAL ADVISORS, LLC",50 PARK ROW WEST,SUITE 113,PROVIDENCE,RI,UNITED STATES,2903,401-383-5370,401-383-5380,,,,,,,Approved,11/25/2002,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,RI,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"434,103,314.00",0,"434,103,314.00",344,0,344,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,136330,801-64685,"GPS CAPITAL MANAGEMENT, LLC","GPS CAPITAL MANAGEMENT, LLC",2410 CAMINO RAMON,SUITE 128,SAN RAMON,CA,UNITED STATES,94583,925-328-0800,925-328-0801,,,,,,,Approved,9/12/2005,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"89,648,296.00","270,278.00","89,918,574.00",234,1,235,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108930,801-57941,"FORTUNE MANAGEMENT, LLC","FORTUNE MANAGEMENT, LLC",2300 REXWOODS DRIVE,SUITE 130,RALEIGH,NC,UNITED STATES,27607-3361,919-782-5228,919-782-5212,,,,,,,Approved,9/7/2000,3/31/2010,Y,HTTP://WWW.FORTUNEMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,NEGOTIATED PLANNING FEES,Y,"57,533,631.00",0,"57,533,631.00",215,0,215,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122360,801-66570,"ALDEBARAN CAPITAL, LLC","ALDEBARAN CAPITAL, LLC",10293 N. MERIDIAN STREET,SUITE 100,INDIANAPOLIS,IN,USA,46290-1073,317-818-7827,317-818-7830,,,,,,,Approved,5/1/2006,3/31/2010,Y,WWW.ALDEBARANCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"38,995,954.00","316,449.00","39,312,403.00",217,33,250,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111827,801-57010,FIDUCIARY COUNSELORS INC.,FIDUCIARY COUNSELORS INC.,700 12TH STREET NW,SUITE 700,WASHINGTON,DC,UNITED STATES,20005-4052,202-558-5130,202-558-5140,,,,,,,Approved,11/29/1999,3/31/2010,Y,WWW.FIDUCIARYCOUNSELORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"12,923,840,472.00",0,"12,923,840,472.00",19,0,19,N,N,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,147545,801-69688,"NEW MOUNTAIN VANTAGE ADVISERS, L.L.C.","NEW MOUNTAIN VANTAGE ADVISERS, L.L.C.",787 7TH AVENUE,49TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-720-0300,212-582-2277,,,,,,,Approved,10/24/2008,3/31/2010,Y,WWW.NEWMOUNTAINCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,368,550,210.00","107,986,605.00","1,476,536,815.00",5,1,6,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVICE TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,133361,801-63703,"PARATUS FINANCIAL, INC.","PARATUS FINANCIAL, INC.","5910 N. CENTRAL EXPWY, SUITE 1955",,DALLAS,TX,UNITED STATES,75206,214-378-7400,214-378-7402,,,,,,,Approved,1/3/2005,3/31/2010,Y,WWW.PARATUSFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,Y,0,"300,000,000.00","300,000,000.00",0,400,400,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,117827,801-60745,"GUGGENHEIM INVESTMENT MANAGEMENT, LLC","GUGGENHEIM INVESTMENT MANAGEMENT, LLC",135 EAST 57TH STREET,6TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-651-9450,212-644-8107,,,,,,,Approved,12/4/2001,3/31/2010,Y,WWW.GUGGENHEIMPARTNERS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,51-75 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"13,787,000,000.00","14,800,000.00","13,801,800,000.00",59,1,60,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,22875,801-34756,CANTERBURY CONSULTING INCORPORATED,CANTERBURY CONSULTING INCORPORATED,660 NEWPORT CENTER DRIVE,SUITE 300,NEWPORT BEACH,CA,UNITED STATES,92660-6404,949-721-9580,949-721-9973,,,,,,,Approved,9/7/1989,3/31/2010,Y,WWW.CANTERBURYCONSULTING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,11-25 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"716,979,067.00","9,710,156,867.00","10,427,135,934.00",334,"6,052","6,386",Y,Y,N,Y,Y,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES,26-50,,N,N,Y,N,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104920,801-33145,CONDOR CAPITAL MANAGEMENT,CONDOR CAPITAL MANAGEMENT,1973 WASHINGTON VALLEY ROAD,,MARTINSVILLE,NJ,USA,08836-2053,732-356-7323,732-356-5875,,,,,,,Approved,11/14/1988,3/31/2010,Y,WWW.CONDORCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,500,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"390,305,134.00","184,705,240.00","575,010,374.00","1,879",84,"1,963",Y,Y,N,Y,N,Y,Y,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES OTHER THAN THOSE LISTED ABOVE,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110207,801-60051,"PERFORMANCE EQUITY MANAGEMENT, LLC","PERFORMANCE EQUITY MANAGEMENT, LLC",TWO PICKWICK PLAZA,SUITE 310,GREENWICH,CT,UNITED STATES,6830,(203) 742-2400,(203) 742-2343,,,,,,,Approved,3/1/2001,3/31/2010,Y,WWW.PEQM.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,SEE SCHEDULE D,Y,"1,117,814,526.00","7,812,100,318.00","8,929,914,844.00",8,1,9,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS AND SUBADVISORY SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,Y,N,N,N,Y,N,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,146959,801-69102,"MALAGA COVE CAPITAL, LLC","MALAGA COVE CAPITAL, LLC",425 VIA CORTA,SUITE 203,PALOS VERDES ESTATES,CA,USA,90274,(310) 421-2141,(310) 373-4625,,,,,,,Approved,5/5/2008,3/31/2010,Y,WWW.MALAGACOVECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"65,853,069.00","14,109,586.00","79,962,655.00",334,257,591,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,134001,801-63875,SKY INVESTMENT GROUP LLC,SKY INVESTMENT GROUP LLC,ONE FINANCIAL PLAZA,SUITE 2010,HARTFORD,CT,USA,6103,860-761-9700,860-761-9797,,,,,,,Approved,2/18/2005,3/31/2010,Y,WWW.SKYIG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"185,396,146.00",0,"185,396,146.00",389,0,389,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,119848,801-61459,"ORTNER, O'BRIEN & ORTNER ADVISORY GROUP, INC.","ORTNER, O'BRIEN & ORTNER ADVISORY GROUP, INC.",4 MYSTIC LANE,,MALVERN,PA,USA,19355,610-251-9393,610-672-9676,,,,,,,Approved,9/27/2002,3/31/2010,Y,HTTP://WWW.TAXLEGALFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"154,829,955.00",0,"154,829,955.00",774,0,774,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,144651,801-68436,SL CAPITAL PARTNERS LLP,SL CAPITAL PARTNERS LLP,1 GEORGE STREET,,EDINBURGH,,UNITED KINGDOM,EH2 2LL,011 44 131 245 0055,011 44 131 245 6105,,,,,,,Approved,10/19/2007,3/31/2010,Y,HTTP://PRIVATEEQUITY.STANDARDLIFEINVESTMENTS.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"7,086,346,776.00",0,"7,086,346,776.00",15,0,15,N,N,N,N,N,N,N,N,N,Y,PLEASE SEE SCHEDULE D FOR DESCRIPTION OF ADVISORY SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,128942,801-66982,"CAPE ANN CAPITAL, INC.","CAPE ANN CAPITAL, INC.",,,,,,,978-526-7541,978-526-7542,,,,,,,Approved,7/5/2006,3/31/2010,Y,WWW.CAPEANNCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"61,287,874.00",0,"61,287,874.00",207,0,207,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138602,801-65333,"MSRESS III MANAGER, L.L.C.","MSRESS III MANAGER, L.L.C.",1585 BROADWAY,"37TH FLOOR, REAL ESTATE FUNDS",NEW YORK,NY,UNITED STATES,10036,212-761-4700,212-761-0261,,,,,,,Approved,1/26/2006,3/31/2010,Y,WWW.MORGANSTANLEY.COM/REALESTATE/,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,251-500,0,251-500,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,509,448,500.00",0,"3,509,448,500.00",7,0,7,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,4173,801-56819,"ONEAMERICA SECURITIES, INC.","ONEAMERICA SECURITIES, INC.",433 NORTH CAPITOL AVE,,INDIANAPOLIS,IN,UNITED STATES,46204,877-285-3863,317-285-4050,P.O. BOX 1984,,INDIANAPOLIS,IN,UNITED STATES,46206-1984,Approved,9/13/1999,3/31/2010,Y,WWW.ONEAMERICASECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"91,000,000.00","91,000,000.00",0,590,590,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,Y,Y,Y,N,N,N,N,N,N,,Y,Y,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
PLRO,107731,801-50956,"CHARTER FINANCIAL GROUP, INC.","CHARTER FINANCIAL GROUP, INC.",4600 EAST-WEST HIGHWAY,SUITE 630,BETHESDA,MD,UNITED STATES,20814,301-657-9831,301-657-9836,,,,,,,Approved,1/19/1996,3/31/2010,Y,WWW.CHARTERFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"120,846,543.00",0,"120,846,543.00",144,0,144,N,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT RELATED CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104735,801-10193,BRUCE & CO INC,BRUCE & CO INC,20 N. WACKER  DRIVE STE 2414,,CHICAGO,IL,USA,60606,312-236-9160,312-236-9161,,,,,,,Approved,9/18/1974,3/31/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"345,024,443.00","1,874,537.00","346,898,980.00",16,1,17,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107735,801-16178,"FRIESS ASSOCIATES, LLC","FRIESS ASSOCIATES, LLC",115 E. SNOW KING AVE.,,JACKSON,WY,UNITED STATES,83001,307-739-9699,307-739-1897,P.O. BOX 576,,JACKSON,WY,UNITED STATES,83001,Approved,6/26/1981,3/31/2010,Y,HTTP://WWW.BRANDYWINEFUNDS.COM,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,11-25 percent,26-50 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"9,140,196,608.00",0,"9,140,196,608.00",140,0,140,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,115504,801-61117,"GEODE CAPITAL MANAGEMENT, LLC","GEODE CAPITAL MANAGEMENT, LLC","ONE POST OFFICE SQUARE, 28TH FLOOR",,BOSTON,MA,UNITED STATES,2109,617-392-8533,617-476-6389,,,,,,,Approved,5/17/2002,3/31/2010,Y,WWW.GEODECAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,OFFSHORE INVESTMENT TRUSTS & OTHER,Y,N,N,Y,N,Y,N,,Y,"71,313,586,397.00","4,922,490,688.00","76,236,077,085.00",37,1,38,N,N,Y,Y,N,N,N,N,N,Y,INVESTMENT AND TECHNOLOGY CONSULTING SERVICES,,,N,N,N,N,Y,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,118682,801-60888,NEWPORT ASIA LLC,NEWPORT ASIA LLC,601 CALIFORNIA STREET,SUITE 600,SAN FRANCISCO,CA,USA,94108-2811,415/677-8620,415/677-8623,,,,,,,Approved,2/4/2002,3/31/2010,Y,WWW.NEWPORTASIALLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,412,204,645.00",0,"1,412,204,645.00",6,0,6,N,N,N,N,N,N,N,N,N,Y,POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,38367,801-71122,"CAREY, THOMAS, HOOVER, & BREAULT, INC.","CAREY, THOMAS, HOOVER, & BREAULT, INC.",8080 E. CENTRAL,SUITE 200,WICHITA,KS,UNITED STATES,67206,316-634-2222,316-634-2229,,,,,,,Approved,3/8/2010,3/31/2010,Y,WWW.CTHB.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"29,260,632.00",0,"29,260,632.00",11,0,11,Y,Y,N,Y,N,Y,N,N,Y,N,,0,,Y,N,Y,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
BRO,129376,801-66962,DELTA GLOBAL ASSET MANAGEMENT,BOLTON SECURITIES CORP,579 MAIN STREET,,BOLTON,MA,UNITED STATES,1740,978-779-6947,978-779-5356,,,,,,,Approved,8/9/2006,3/31/2010,Y,WWW.BOLTONSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,"1,216",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"229,072,837.00","98,181,077.00","327,253,914.00","1,215",575,"1,790",Y,Y,N,Y,Y,Y,N,N,N,N,,0,,Y,Y,Y,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,Y,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N
NYRO,138715,801-65669,GREYWOLF CAPITAL MANAGEMENT LP,GREYWOLF CAPITAL MANAGEMENT LP,4 MANHATTANVILLE ROAD,SUITE 201,PURCHASE,NY,UNITED STATES,10577-2119,914-251-8200,914-251-8244,,,,,,,Approved,1/27/2006,3/31/2010,Y,WWW.GREYWOLFCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,286,837,960.00",0,"1,286,837,960.00",12,0,12,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,132405,801-63400,"SHANLEY ASSET MANAGEMENT, INC.","SHANLEY ASSET MANAGEMENT, INC.",340 N. WESTLAKE BLVD.,SUITE 245,WESTLAKE VILLAGE,CA,UNITED STATES,91362,805-777-1780,805-777-1790,,,,,,,Approved,8/3/2004,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"41,593,541.00","682,400.00","42,275,941.00",121,4,125,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,124234,801-61680,"US ASSET MANAGEMENT, LLC","US ASSET MANAGEMENT, LLC",503 MARTINDALE STREET 7TH FL.,,PITTSBURGH,PA,USA,15212,412-231-8209,412-788-1220,,,,,,,Approved,1/31/2003,3/31/2010,Y,WWW.USASSET.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"337,107,143.00",0,"337,107,143.00",33,0,33,N,N,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146069,801-68735,"VALHALLA INVESTMENT MANAGEMENT, LLC","VALHALLA INVESTMENT MANAGEMENT, LLC",,,,,,,201-433-0723,201-333-7007,,,,,,,120-Day Approval,1/22/2008,3/31/2008,Y,HTTP://WWW.VALHALLAINV.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,"634,434.00",0,"634,434.00",2,0,2,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,109982,801-46608,JONES BARCLAY BOSTON & CO.,JONES BARCLAY BOSTON & COMPANY,1718 GAYLORD STREET,,DENVER,CO,UNITED STATES,80206,303-592-4282,800-928-0552,,,,,,,Approved,5/24/1994,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"186,456,000.00",0,"186,456,000.00",428,0,428,Y,Y,N,N,N,N,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111826,801-57235,"BURNS FINANCIAL ADVISORS, INC.","BURNS FINANCIAL ADVISORS, INC.",8903 BRECKSVILLE ROAD,,BRECKSVILLE,OH,UNITED STATES,44141,440-526-5509,440-546-3896,,,,,,,Approved,2/8/2000,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"31,954,385.00",0,"31,954,385.00",142,0,142,N,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107030,801-45821,KB  OPPORTUNITY INVESTORS,KB OPPORTUNITY INVESTORS,"620 NEWPORT CENTER DR., SUITE 1300",,NEWPORT BEACH,CA,USA,92660,949-417-6500,949-797-0330,,,,,,,Approved,2/22/1994,3/30/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Partnership,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"57,745,098.00",0,"57,745,098.00",1,0,1,N,N,N,Y,Y,N,N,N,N,Y,MANAGE REAL ESTATE RELATED INVESTMENTS,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,113887,801-66972,THE PLANNING GROUP,"THE PLANNING GROUP OF SCOTTSDALE, LLC",8800 N. GAINEY CENTER DRIVE,SUITE 176,SCOTTSDALE,AZ,UNITED STATES,85258,480-596-1580,480-596-2165,,,,,,,Approved,7/26/2006,3/30/2010,Y,WWW.THEPLANNINGGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,"THIRD PARTY FEES, FINDER'S FEES",Y,"128,018,443.00","3,112,623.00","131,131,066.00","1,109",16,"1,125",Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,115652,801-63652,"SUTTERFIELD FINANCIAL GROUP, INC.","SUTTERFIELD FINANCIAL GROUP, INC.",501 SE FOURTH STREET,,BARTLESVILLE,OK,UNITED STATES,74003,(918) 338-2255,(918) 338-2242,,,,,,,Approved,1/3/2005,3/30/2010,Y,WWW.SUTTERFIELDFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,900,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,REFERRAL FEES,Y,"42,114,155.00","43,770,525.00","85,884,680.00",833,815,"1,648",Y,Y,N,Y,Y,Y,N,N,N,Y,INVESTMENT CONSULTING,251-500,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
HQ,107328,801-41173,AIB INVESTMENT MANAGERS LTD,AIB INVESTMENT MANAGERS LTD,AIB INVESTMENT HOUSE,PERCY PLACE,DUBLIN 4,,IRELAND,,1-011-353-1-661-7077,1-011-353-1-661-7038,,,,,,,Approved,4/1/1992,3/30/2010,Y,WWW.AIBIM.IE,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,IRELAND ,51-250,0,Nov-50,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108568,801-56610,"KOLL BREN SCHREIBER REALTY ADVISORS, INC.","KOLL BREN SCHREIBER REALTY ADVISORS, INC.","620 NEWPORT CENTER DR., SUITE 1300",,NEWPORT BEACH,CA,USA,92660,949-417-6500,949-797-0330,,,,,,,Approved,6/25/1999,3/30/2010,Y,WWW.KBSREALTY.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,51-75 percent,Up to 10 percent,TAFT-HARTLEY,Y,N,N,N,N,Y,N,,Y,"392,278,196.00",0,"392,278,196.00",4,0,4,N,N,N,Y,Y,N,N,N,N,Y,MANAGE REAL ESTATE RELATED INVESTMENTS,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,114572,801-61605,"WILLOW RIDGE CAPITAL ADVISORS, INC.","WILLOW RIDGE CAPITAL ADVISORS, INC.",409 WASHINGTON STREET,SUITE 202-A,MONTEREY,CA,USA,93940,831-373-3936,831-373-3656,,,,,,,Approved,11/22/2002,3/30/2010,Y,WWW.WILLOWRIDGECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"71,082,467.00","7,097,755.00","78,180,222.00",300,49,349,Y,Y,N,Y,N,N,Y,N,N,Y,CONSULTING,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131334,801-63655,"EKN ASSET MANAGEMENT GROUP, INC.","EKN ASSET MANAGEMENT GROUP, INC.",135 CROSSWAYS PARK DR.,SUITE 101,WOODBURY,NY,UNITED STATES,11797,516-396-1234,516-396-1239,,,,,,,Approved,8/11/2005,3/23/2009,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
LARO,119662,801-61482,"KBS REALTY ADVISORS, LLC","KBS REALTY ADVISORS, LLC","620 NEWPORT CENTER DR., SUITE 1300",,NEWPORT BEACH,CA,USA,92660,949-417-6500,949-797-0330,,,,,,,Approved,10/4/2002,3/30/2010,Y,WWW.KBSREALTY.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,51-75 percent,Up to 10 percent,TAFT-HARTLEY,Y,N,N,N,N,Y,N,,Y,"5,455,914,352.00",0,"5,455,914,352.00",10,0,10,N,N,N,Y,Y,N,N,N,N,Y,MANAGE REAL ESTATE RELATED INVESTMENTS,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,129412,801-68811,SENSIBA SAN FILIPPO FINANCIAL ADVISERS LLC,SENSIBA SAN FILIPPO FINANCIAL ADVISERS LLC,1840 GATEWAY DRIVE,SUITE 420,SAN MATEO,CA,UNITED STATES,94404,650-358-9000,650-358-9015,,,,,,,Approved,1/29/2008,3/30/2010,Y,WWW.SSFFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"2,767,500.00","52,500,300.00","55,267,800.00",1,127,128,Y,Y,N,Y,Y,Y,N,N,N,Y,ASSET ALLOCATION ANALYSES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,118530,801-64616,CHAPEL HILL INVESTMENT ADVISORS,"CHAPEL HILL INVESTMENT ADVISORS, LTD.",6320 QUADRANGLE DRIVE,SUITE 310,CHAPEL HILL,NC,USA,27517,919-401-3500,919-401-3501,,,,,,,Approved,8/22/2005,3/30/2010,Y,WWW.CHAPELHILLADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"43,000,000.00","10,000,000.00","53,000,000.00",128,2,130,Y,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107153,801-46976,"LORING, WOLCOTT & COOLIDGE FIDUCIARY ADVISORS, LLP","LORING, WOLCOTT & COOLIDGE FIDUCIARY ADVISORS, LLP",230 CONGRESS STREET,,BOSTON,MA,UNITED STATES,2110,617-523-6531,617-523-6535,,,,,,,Approved,8/1/1994,3/30/2010,Y,HTTP://WWW.LWCOTRUST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,MA,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,0,0,More than 500,"1,000",Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"3,684,633,231.00","650,915,466.00","4,335,548,697.00","2,517",190,"2,707",Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106392,801-39326,VIRGINIA CAPITAL MANAGEMENT GROUP INC,VIRGINIA CAPITAL MANAGEMENT GROUP INC,806 NEWTOWN ROAD,,VIRGINIA BEACH,VA,UNITED STATES,23462,757-519-9665,757-519-9576,,,,,,,Approved,7/2/1991,3/30/2010,Y,WWW.VIRGINIACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"32,955,708.00","430,045.00","33,385,753.00",408,4,412,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,148494,801-69906,SOUTHEASTERN ASSET MANAGEMENT INTERNATIONAL (SINGAPORE) PTE. LTD,SOUTHEASTERN ASSET MANAGEMENT INTERNATIONAL (SINGAPORE) PTE. LTD,501 ORCHARD ROAD,"#05-10, WHEELOCK PLACE",SINGAPORE CITY,,SINGAPORE,238880,65 6591-5433,,,,,,,,Approved,2/26/2009,3/30/2010,N,,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,SINGAPORE,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,PARTNERSHIPS,Y,N,N,Y,N,N,Y,FEES FROM PARENT COMPANY REVIEWED ANNUALLY,N,0,0,0,0,0,0,N,Y,Y,Y,N,N,N,N,N,Y,INVESTMENT RESEARCH AND TRADING FOR PARENT COMPANY WHICH RETAINS DISCRETION OVER PORTFOLIOS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
NYRO,107960,801-57725,CAPITAL FINANCIAL SERVICES LLC,CAPITAL FINANCIAL SERVICES LLC,133 SARATOGA RD,PROFESSIONAL BLDG,GLENVILLE,NY,UNITED STATES,12302,518-399-3903,518-399-4303,,,,,,,Approved,7/20/2000,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"61,946,904.00",0,"61,946,904.00",431,0,431,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,104851,801-36028,CAMBRIDGE ADVISORS INC,CAMBRIDGE ADVISORS INC,"17330 WRIGHT STREET, SUITE 205",,OMAHA,NE,UNITED STATES,68130,402-697-1166,402-697-9271,,,,,,,Approved,2/16/1990,3/30/2010,Y,WWW.CAMBRIDGEADVISORS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"168,570,234.00","11,917,354.00","180,487,588.00",638,185,823,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,146829,801-69340,"LS INVESTMENT ADVISORS, LLC","LS INVESTMENT ADVISORS, LLC",39533 WOODWARD AVENUE,SUITE 302,BLOOMFIELD HILLS,MI,UNITED STATES,48304,248-430-0262,248-646-3317,,,,,,,Approved,7/11/2008,3/30/2010,Y,WWW.LSINVESTMENTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,FOUNDATION/ENDOWMENT,Y,N,N,N,N,N,N,,Y,"1,019,282,690.00","83,916,032.00","1,103,198,722.00",457,52,509,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108857,801-54372,PECONIC PARTNERS LLC,PECONIC PARTNERS LLC,506 MONTAUK HIGHWAY,# 3002,EAST QUOGUE,NY,UNITED STATES,11942,631-653-8870,212-935-6547,,,,,,,Approved,4/29/1997,3/30/2010,Y,WWW.PECONIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"837,236,425.00",0,"837,236,425.00",18,0,18,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR LIMITED PARTNERSHIPS,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,112276,801-61875,"WOODMONT ADVISORY GROUP, INC.","WOODMONT ADVISORY GROUP, INC.",224 AVALON CIR. SUITE A,,BRANDON,MS,USA,39047,601-919-8178,601-919-8179,P.O. BOX 5427,,BRANDON,MS,USA,39047,Approved,4/3/2003,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,10-Jun,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"81,095,874.00",0,"81,095,874.00",388,0,388,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,123546,801-64500,"PROSPECTOR PARTNERS, LLC","PROSPECTOR PARTNERS, LLC",370 CHURCH STREET,,GUILFORD,CT,USA,6437,203-458-1500,203-458-0840,,,,,,,Approved,7/11/2005,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,PERFORMANCE SHARES,Y,"2,040,730,895.00",0,"2,040,730,895.00",34,0,34,N,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,143309,801-67647,MCCUTCHEN GROUP LLC,MCCUTCHEN GROUP LLC,"925 FOURTH AVENUE, SUITE 2288",,SEATTLE,WA,USA,98104,206-816-6850,206-816-6830,,,,,,,Approved,4/11/2007,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"528,559,605.00","727,714,492.00","1,256,274,097.00",45,43,88,Y,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT CONSULTING,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107863,801-56915,PARAGON ASSET MANAGEMENT INC.,PARAGON ASSET MANAGEMENT INC.,"15 ALTARINDA ROAD, SUITE 205",,ORINDA,CA,UNITED STATES,94563,510-550-7288,510-550-7288,,,,,,,Approved,11/15/1999,3/30/2010,Y,WWW.PARAGONAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"38,174,987.00",0,"38,174,987.00",135,0,135,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106893,801-37651,"NEXUS FINANCIAL PROGRAMS, INC.","NEXUS FINANCIAL PROGRAMS, INC.",2910 N. ARCADIA,,COLORADO SPRINGS,CO,UNITED STATES,80907,719-630-7204,719-630-7844,,,,,,,Approved,11/1/1990,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,More than 500,500,Up to 10 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,GOVERNMENTAL MONEY PURCHASE PENSION PLANS,Y,N,N,N,Y,N,N,,Y,"6,401,362.00","29,730,722.00","36,132,084.00",52,584,636,Y,Y,N,N,Y,N,N,N,N,Y,TACTICAL ASSET ALLOCATION,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,119126,801-61805,"SPRING MOUNTAIN CAPITAL, LP","SPRING MOUNTAIN CAPITAL, LP",65 E. 55TH STREET,33RD FLOOR,NEW YORK,NY,UNITED STATES,10022,212-292-8300,212-292-8301,,,,,,,Approved,2/18/2003,3/30/2010,Y,WWW.SPRINGMOUNTAINCAPITAL.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"1,042,682,353.00","87,978,917.00","1,130,661,270.00",17,1,18,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109392,801-57846,TANDEM INVESTMENT ADVISORS INC,TANDEM INVESTMENT ADVISORS INC,145 KING STREET,SUITE 227,CHARLESTON,SC,UNITED STATES,29401,843-720-3413,843-720-3417,,,,,,,Approved,9/15/2000,3/30/2010,Y,WWW.TANDEMADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"65,488,381.00",0,"65,488,381.00",165,0,165,N,Y,N,N,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143265,801-67603,"PARADIGM CAPITAL MANAGEMENT GROWTH ADVISORS, INC.","PARADIGM CAPITAL MANAGEMENT GROWTH ADVISORS, INC.",9 ELK STREET,,ALBANY,NY,USA,12207,518-431-3500,518-431-3550,,,,,,,Approved,3/8/2007,3/30/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107022,801-28257,JACOBS LEVY EQUITY MANAGEMENT,JACOBS LEVY EQUITY MANAGEMENT INC,100 CAMPUS DRIVE,P.O. BOX 650,FLORHAM PARK,NJ,USA,07932-0650,973-410-9222,973-410-9333,,,,,,,Approved,10/30/1986,3/30/2010,Y,WWW.JLEM.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"8,706,435,029.00","847,850,148.00","9,554,285,177.00",57,4,61,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,126765,801-62213,P-SOLVE ASSET SOLUTIONS,PUNTER SOUTHALL LLC,161 WORCESTER ROAD,SUITE 503,FRAMINGHAM,MA,UNITED STATES,1701,508-620-7110,508-620-7122,,,,,,,Approved,7/18/2003,3/30/2010,Y,WWW.PSOLVE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,INSURANCE ENTITIES,Y,Y,N,Y,N,N,N,,Y,"146,832,746.00","690,101,794.00","836,934,540.00",8,10,18,N,N,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107982,801-47403,"PARADIGM CAPITAL MANAGEMENT, INC.","PARADIGM CAPITAL MANAGEMENT, INC.",NINE ELK STREET,,ALBANY,NY,USA,12207,518-431-3500,518-431-3550,,,,,,,Approved,9/22/1994,3/30/2010,Y,WWW.PARADIGMCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,26-50 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,773,585,101.00",0,"1,773,585,101.00",207,0,207,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,144207,801-68195,"HILLIARD LYONS CAPITAL MANAGEMENT, LLC","HILLIARD LYONS CAPITAL MANAGEMENT, LLC",500 WEST JEFFERSON STREET,,LOUISVILLE,KY,UNITED STATES,40202,502-588-1212,502-588-1888,,,,,,,Approved,8/8/2007,12/7/2009,Y,WWW.HLCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"215,155,935.00",0,"215,155,935.00",135,0,135,N,Y,N,Y,N,N,N,N,N,Y,"SALE OF MODEL PORTFOLIO, PROVIDES REPORTS TO AFFILIATE REGARDING MODEL PORTFOLIO SECURITIES",,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107315,801-48058,THE MONROE VOS CONSULTING GROUP INC.,THE MONROE VOS CONSULTING GROUP INC.,1001 MCKINNEY,SUITE 1200,HOUSTON,TX,USA,77002,713-227-0100,713-227-0222,,,,,,,Approved,12/16/1994,3/30/2010,Y,WWW.MONROEVOS.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,Y,A PERCENTAGE OF ASSETS NOT UNDER OUR MANAGEMENT,Y,0,"4,717,712,882.00","4,717,712,882.00",0,93,93,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107223,801-23822,TREMONT PARTNERS INC,TREMONT PARTNERS INC,555 THEODORE FREMD AVENUE,,RYE,NY,USA,10580,914-925-1140,914-921-3499,,,,,,,Approved,4/18/1985,3/30/2010,Y,WWW.TREMONT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,N,,Y,"658,022,000.00",0,"658,022,000.00",35,0,35,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES.,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
NYRO,136481,801-64574,PARADIGM FUNDS ADVISOR LLC,PARADIGM FUNDS ADVISOR LLC,9 ELK STREET,,ALBANY,NY,USA,12207,518-431-3500,518-431-3550,,,,,,,Approved,8/19/2005,3/30/2010,Y,WWW.PARADIGMCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"131,897,803.00",0,"131,897,803.00",4,0,4,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107437,801-43569,ALLIANCE CORPORATE FINANCE GROUP INC,ALLIANCE CORPORATE FINANCE GROUP INC,1345 AVENUE OF THE AMERICAS,,NEW YORK,NY,UNITED STATES,10105,212-969-1000,212-969-2293,,,,,,,Approved,3/23/1993,3/30/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,0,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
NYRO,133594,801-63740,PCM ADVISORS LLC,PCM ADVISORS LLC,NINE ELK STREET,,ALBANY,NY,USA,12207,518-431-3500,518-431-3550,,,,,,,Approved,12/16/2004,3/30/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106931,801-44655,SAROFIM REALTY ADVISORS CO,SAROFIM REALTY ADVISORS CO,"8115 PRESTON ROAD, SUITE 400",,DALLAS,TX,UNITED STATES,75225-6311,214-692-4200,214-692-4222,,,,,,,Approved,11/16/1993,3/30/2010,Y,SRACO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"609,507,932.00","1,094,626,472.00","1,704,134,404.00",8,4,12,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107439,801-40414,ALLIANCEBERNSTEIN GLOBAL DERIVATIVES CORPORATION,ALLIANCEBERNSTEIN GLOBAL DERIVATIVES CORPORATION,1345 AVENUE OF THE AMERICAS,,NEW YORK,NY,USA,10105,212-969-1000,212-969-2293,,,,,,,Approved,12/17/1991,3/30/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,"SEE SCHEDULE D, PAGE 5",N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,"SEE SCHEDULE D, PAGE 5",0,,N,N,N,N,Y,N,N,N,N,,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
BRO,105164,801-36582,DEIGHAN ASSOCIATES INC,DEIGHAN ASSOCIATES INC,455 HARLOW STREET,,BANGOR,ME,USA,4401,207-990-1117,207-990-1551,,,,,,,Approved,5/11/1990,3/30/2010,Y,WWW.DEIGHAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,ME,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"105,768,591.00","1,867,426.00","107,636,017.00",530,29,559,Y,Y,N,Y,Y,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106909,801-50883,"MTB INVESTMENT ADVISORS, INC.","MTB INVESTMENT ADVISORS,INC.","100 E PRATT STREET, 17TH FLOOR",,BALTIMORE,MD,USA,21202,410-986-5600,410-986-5660,,,,,,,Approved,12/27/1995,3/30/2010,Y,WWW.MANDTBANK.COM/PERSONAL/INVEST/INSTINVADV.CFM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,51-250,0,51-250,0,Nov-50,0,0,0,251-500,0,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,UTILITY DECOMMISSIONING TRUST FUND,Y,N,N,Y,N,N,N,,Y,"13,191,869,874.00","57,665,362.00","13,249,535,236.00",470,12,482,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,121338,801-61351,"FINANCIAL PLANNING ANALYSTS, LLC","FINANCIAL PLANNING ANALYSTS, LLC",734 WALT WHITMAN RD,STE 301,MELVILLE,NY,UNITED STATES,11747,631-423-8800,631-423-8831,,,,,,,Approved,8/1/2002,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"28,000,000.00",0,"28,000,000.00",79,0,79,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,150099,801-70127,"HGI INVESTMENT ADVISORS, LLC","HGI INVESTMENT ADVISORS, LLC",999 WATERSIDE DRIVE,SUITE 2300,NORFOLK,VA,UNITED STATES,23510,757-640-0800,757-640-0817,,,,,,,Approved,5/4/2009,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"134,364,000.00",0,"134,364,000.00",21,0,21,N,N,N,N,N,N,N,N,N,Y,MANAGED ACCOUNTS & PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,143721,801-67813,"PARAGON ADVISORS, LLC","PARAGON ADVISORS, LLC",215 ROCK PRAIRIE RD.,,COLLEGE STATION,TX,USA,77845,979-693-3907,979-693-6198,,,,,,,Approved,5/16/2007,3/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,TRUSTS,Y,Y,N,Y,N,N,N,,Y,"48,995,329.00","120,467.00","49,115,796.00",286,4,290,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,144453,801-68165,"KINETIC VENTURES, L.L.C.","KINETIC VENTURES, L.L.C.","TWO WISCONSIN CIRCLE, SUITE 620",,CHEVY CHASE,MD,UNITED STATES,20815,301-652-8066,301-652-8310,,,,,,,Approved,7/30/2007,3/25/2010,Y,WWW.KINETICVENTURES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,PERCENTAGE OF COMMITTED CAPITAL,Y,"34,593,000.00",0,"34,593,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108035,801-56588,ENTRUST PARTNERS OFFSHORE LLC,ENTRUST PARTNERS OFFSHORE LLC,717 FIFTH AVE,25TH FLOOR,NEW YORK,NY,USA,10022,212-888-1040,212-888-0751,,,,,,,Approved,6/4/1999,3/25/2010,Y,WWW.ENTRUSTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,0,0,0,0,Nov-50,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,546,235,840.00",0,"3,546,235,840.00",12,0,12,N,N,N,Y,N,Y,N,N,N,Y,INVESTMENT ADVISER TO THE 12 ENTITIES LISTED ON SCHEDULE D SECTION 7.B,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,Y,Y,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107745,801-23705,GRANAHAN INVESTMENT MANAGEMENT INC,GRANAHAN INVESTMENT MANAGEMENT INC,"275 WYMAN STREET, SUITE 270",,WALTHAM,MA,UNITED STATES,2451,781-890-4412,781-890-6427,,,,,,,Approved,3/18/1985,3/25/2010,Y,WWW.GRANAHAN.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,11-25 percent,0 percent,11-25 percent,0 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,575,561,489.00",0,"2,575,561,489.00",4,0,4,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106219,801-53936,ENTRUST CAPITAL INC.,ENTRUST CAPITAL INC.,717 5TH AVENUE,25TH FLOOR,NEW YORK,NY,USA,10022,212-888-1040,212-888-0751,,,,,,,Approved,2/21/1997,3/25/2010,Y,WWW.ENTRUSTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"187,282,021.00",0,"187,282,021.00",384,0,384,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,N,Y,Y,N,Y,Y,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,132413,801-63405,"STRATFORD ADVISORS, INC.","STRATFORD ADVISORS, INC.",3831 COUNTRY CLUB ROAD,,WINSTON SALEM,NC,UNITED STATES,27104-2921,336-777-3670,336-777-3671,,,,,,,Approved,7/30/2004,3/25/2010,Y,WWW.STRATFORDADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"53,521,203.00","307,875.00","53,829,078.00",125,10,135,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,141250,801-67025,MORTON CAPITAL MANAGEMENT,MORTON CAPITAL MANAGEMENT,"23945 CALABASAS ROAD, SUITE 203",,CALABASAS,CA,USA,91302,818-222-4727,818-222-8457,,,,,,,Approved,7/1/2006,3/25/2010,Y,WWW.MORTONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,10-Jun,0,More than 500,500,11-25 percent,51-75 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,FIREFIGHTERS HEALTH BENEFIT TRUST,Y,N,N,Y,N,Y,N,,Y,"733,731,072.00","126,092,733.00","859,823,805.00","1,377",11,"1,388",Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,Y,N,Y,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,128173,801-62328,"PALISADES INVESTMENT PARTNERS, LLC","PALISADES INVESTMENT PARTNERS, LLC",1453 THIRD STREET PROMENADE,SUITE 310,SANTA MONICA,CA,UNITED STATES,90401,310-656-6300,310-656-7061,,,,,,,Approved,9/11/2003,3/25/2010,Y,WWW.PALISADESINVESTMENTPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,11-25 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,027,052,839.00","21,981,368.00","1,049,034,207.00",35,1,36,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,114946,801-68865,HORIZON CAPITAL PARTNERS LLC,HORIZON CAPITAL PARTNERS LLC,404 NORTH 31ST STREET,SUITE 112,BILLINGS,MT,UNITED STATES,59101,406-208-0208,801-454-2098,,,,,,,Approved,3/17/2008,3/25/2010,Y,WWW.HORIZONCAPITAL.US,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,NEGOTIATED FEE BASED UPON SCOPE AND SIZE OF PROJECT,Y,"22,300,784.00","43,844,768.00","66,145,552.00",59,16,75,N,Y,N,Y,N,N,N,N,N,Y,"BUSINESS VALUATION, MERGER, ACQUISITION, AND RESTRUCTURING ACTIVITY ADVISORY SERVICES",,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109459,801-56664,KADEMIAN FINANCIAL GROUP INC,KADEMIAN FINANCIAL GROUP INC,111 E. KILBOURN AVE STE 1850,,MILWAUKEE,WI,USA,53202-6624,414-289-9925,414-289-9929,,,,,,,Approved,7/6/1999,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"17,189,444.00","30,480,285.00","47,669,729.00",116,164,280,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,14143,801-62788,SYCAMORE FINANCIAL GROUP,"SYCAMORE FINANCIAL GROUP, INC.",2713 ROCKFORD LANE,,KOKOMO,IN,UNITED STATES,46904,765-455-1554,,2713 ROCKFORD LANE,,KOKOMO,IN,UNITED STATES,46902,Approved,2/27/2004,3/25/2010,Y,WWW.SYCAMOREWEB.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,700,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"135,050,000.00","41,955,000.00","177,005,000.00","1,200",900,"2,100",Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,Y,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N
ARO,6950,801-68820,"DUNCAN-WILLIAMS, INC.","DUNCAN-WILLIAMS, INC.",6750 POPLAR AVE. SUITE 300,,MEMPHIS,TN,USA,38138,901-260-6800,901-260-6986,,,,,,,Approved,2/13/2008,3/25/2010,Y,WWW.DUNCANW.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,51-250,0,Nov-50,0,51-250,0,5-Jan,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,,Y,Y,N,Y,N,N,Y,REFERRAL FEES,Y,"40,065,617.00",0,"40,065,617.00",141,0,141,Y,Y,N,Y,N,Y,N,N,N,N,,0,,Y,N,Y,N,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,Y
FWRO,111133,801-41517,1ST GLOBAL ADVISORS INC,1ST GLOBAL ADVISORS INC,8150 N. CENTRAL EXPRESSWAY,STE 500,DALLAS,TX,USA,75206,214-265-1201,214-265-6743,,,,,,,Approved,5/19/1992,3/25/2010,Y,WWW.MYRETIREMENTACCOUNT.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,More than 1000,"1,064",More than 1000,"1,064",More than 1000,"1,064",5-Jan,0,More than 500,"9,000",51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"958,448,862.00","1,405,006,741.00","2,363,455,603.00","4,058","5,108","9,166",Y,Y,N,Y,N,Y,N,N,N,N,,More than 500,9000,Y,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,Y,Y,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
FWRO,116359,801-60714,"FOUNDATION RESOURCE MANAGEMENT, INC.","FOUNDATION RESOURCE MANAGEMENT, INC.","401 W. CAPITOL, SUITE 503",,LITTLE ROCK,AR,UNITED STATES,72201,501-604-3190,501-604-3195,,,,,,,Approved,11/21/2001,3/25/2010,Y,WWW.FOUNDATIONRESOURCEMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AR,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,584,810,844.00",0,"1,584,810,844.00",308,0,308,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107447,801-42566,E. S. BARR & COMPANY,BARR E S & CO,1999 RICHMOND ROAD,SUITE 1B,LEXINGTON,KY,UNITED STATES,40502,859-266-1300,859-266-1544,,,,,,,Approved,1/8/1993,3/25/2010,Y,WWW.ESBARR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,More than 500,500,26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"665,758,710.00",0,"665,758,710.00",658,0,658,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105158,801-11586,ENGEMANN ASSET MANAGEMENT,ENGEMANN ASSET MANAGEMENT,909 MONTGOMERY STREET,SUITE 500,SAN FRANCISCO,CA,USA,94133,800-828-1212,415-486-6783,,,,,,,Approved,6/24/1976,3/25/2010,Y,WWW.EAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,Up to 10 percent,0 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"81,000,000.00",0,"81,000,000.00",132,0,132,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
LARO,105406,801-34425,CLELLAND & COMPANY INC,CLELLAND & CO INC,"4225 EXECUTIVE SQ, STE 1050",,LA JOLLA,CA,UNITED STATES,92037-9210,858-587-8700,858-587-8787,,,,,,,Approved,6/1/1989,3/25/2010,Y,WWW.CLELLAND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,BENEFIT PLANS,Y,Y,N,Y,N,N,N,,Y,"57,551,996.00","177,439,783.00","234,991,779.00",118,9,127,N,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,115220,801-60650,PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C.,PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C.,1924 S. UTICA,SUITE 1120,TULSA,OK,USA,74104,918-747-3412,918-742-7303,,,,,,,Approved,10/22/2001,3/25/2010,Y,PRESCOTTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"358,796,000.00",0,"358,796,000.00",5,0,5,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,134390,801-65411,VALUE ARCHITECTS ASSET MANAGEMENT LLC,VALUE ARCHITECTS ASSET MANAGEMENT LLC,50 HARRISON STREET,SUITE 313,HOBOKEN,NJ,UNITED STATES,7030,201-222-9930,201-222-9931,50 HARRISON STREET,SUITE 313,HOBOKEN,NJ,UNITED STATES,7030,Approved,2/24/2006,3/25/2010,Y,WWW.VALUEARCHITECTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"37,387,976.00","68,652,000.00","106,039,976.00",111,5,116,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108094,801-55246,WINGATE PLANNING CORP,WINGATE PLANNING CORP,450 BEDFORD ST,,LEXINGTON,MA,UNITED STATES,02420-1547,781-862-7100,781-861-9707,,,,,,,Approved,2/9/1998,3/25/2010,Y,WWW.WINGATELFINANCIALGROUP.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,144851,801-68281,"ELAN WEALTH MANAGEMENT, LLC","ELAN WEALTH MANAGEMENT, LLC",4417 N. CROATAN HWY,SUITE #200,KITTY HAWK,NC,UNITED STATES,27949,252-255-1700,252-255-1703,5561 N. CROATAN HWY #3,,KITTY HAWK,NC,UNITED STATES,27949,Approved,8/29/2007,3/25/2010,Y,WWW.ELANWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"44,504,586.00","588,766.00","45,093,352.00",373,5,378,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111537,801-61509,"IMC ADVISORS, LLC","IMC ADVISORS, LLC","540 PLAZA DRIVE, SUITE L",,COLUMBUS,IN,UNITED STATES,47201-2922,812-376-3331,812-378-2991,,,,,,,Approved,10/10/2002,3/25/2010,Y,WWW.IMCADVISORSLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"363,674,000.00","363,674,000.00",0,19,19,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,140165,801-68066,"5TH STREET ADVISORS, LLC","5TH STREET ADVISORS, LLC",34 FIFTH STREET,,STAMFORD,CT,USA,6905,203-327-1212,203-359-8122,,,,,,,Approved,6/25/2007,3/25/2010,Y,WWW.5THSTREETADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"50,904,473.00","5,934,696.00","56,839,169.00",263,110,373,Y,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,150569,801-70308,SECOND MOMENT CAPITAL MANAGEMENT LLC,SECOND MOMENT CAPITAL MANAGEMENT LLC,,,,,,,203-653-3000,203-966-1076,,,,,,,Approved,7/14/2009,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,REGISTERED INVESTMENT ADVISOR,Y,N,N,N,N,N,N,,Y,"43,820,000.00",0,"43,820,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,149184,801-69860,"EMPLOYER INVESTMENT SERVICES, INC.","EMPLOYER INVESTMENT SERVICES, INC.",218 GLENSIDE AVENUE,,WYNCOTE,PA,UNITED STATES,19095,800-242-1421,215-376-1057,,,,,,,Approved,1/29/2009,3/25/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,0,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N
LARO,107448,801-37404,YOUNG CAPITAL MANAGEMENT INC,YOUNG CAPITAL MANAGEMENT INC,16712 E. AVENUE OF THE FOUNTAINS,,FOUNTAIN HILLS,AZ,UNITED STATES,85268,480-837-7507,480-837-7503,,,,,,,Approved,9/21/1990,3/25/2010,Y,WWW.YOUNGCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,"38,000,000.00","2,000,000.00","40,000,000.00",95,5,100,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,Y,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,120084,801-61126,"GUNN & COMPANY INVESTMENT MANAGEMENT, INC.","GUNN & COMPANY INVESTMENT MANAGEMENT, INC.",4350 PABLO PROFESSIONAL COURT,SUITE 210,JACKSONVILLE,FL,UNITED STATES,32224,904-296-2025,904-296-0054,,,,,,,Approved,5/9/2002,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"63,288,237.00",0,"63,288,237.00",226,0,226,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,116982,801-64513,CARGILE INVESTMENTS,"WNB PRIVATE CLIENT SERVICES LIMITED PARTNERSHIP, L.L.P.",508 WEST WALL  SUITE 1100,,MIDLAND,TX,USA,79701,432-617-1394,432-570-8117,,,,,,,Approved,7/15/2005,3/25/2010,Y,WWW.WNBPCS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,TX,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"137,383,898.00",0,"137,383,898.00",191,0,191,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,Y,N,,N,N,Y,Y,N,N,N,Y,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109520,801-58025,"PIEDMONT INVESTMENT ADVISORS, LLC","PIEDMONT INVESTMENT ADVISORS, LLC",411 WEST CHAPEL HILL STREET,,DURHAM,NC,UNITED STATES,27701,919-688-8600,919-688-8433,,,,,,,Approved,10/16/2000,3/25/2010,Y,PIEDMONTINVESTMENT.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,"ENDOWMENTS AND FOUNDATIONS, MANAGER OF MANAGERS",Y,N,N,Y,N,Y,N,,Y,"2,883,418,107.00",0,"2,883,418,107.00",69,0,69,N,Y,Y,Y,N,N,N,N,N,Y,VALUATION SERVICES,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,152830,801-71039,"RH FINANCIAL GROUP, LLC","RH FINANCIAL GROUP, LLC",700 COMMERCE DRIVE,SUITE 500,OAK BROOK,IL,UNITED STATES,60523,630-333-9207,,,,,,,,Approved,1/27/2010,5/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"62,729,890.00","56,486,659.00","119,216,549.00",501,45,546,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,117294,801-62891,"CASCADE INVESTMENT ADVISORS, INC.","CASCADE INVESTMENT ADVISORS, INC.",1507 NW 24TH AVENUE,,PORTLAND,OR,UNITED STATES,97210,503-417-1950,503-222-4141,,,,,,,Approved,3/18/2004,3/9/2010,Y,WWW.CASCADEINVESTORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"96,756,739.00","4,072,394.00","100,829,133.00",319,7,326,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,134500,801-69205,ASPETUCK FINANCIAL MANAGEMENT LLC,ASPETUCK FINANCIAL MANAGEMENT LLC,27A IMPERIAL AVE.,,WESTPORT,CT,UNITED STATES,6880,203-226-5733,203-226-5464,,,,,,,Approved,5/28/2008,3/9/2010,Y,WWW.ASPETUCKFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"26,523,677.00","3,305,725.00","29,829,402.00",195,20,215,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,136490,801-64833,"VISTA FINANCIAL ADVISORS, INC.","VISTA FINANCIAL ADVISORS, INC.",2931 PLUMMER COVE ROAD,,JACKSONVILLE,FL,USA,32223,904-880-8010,904-880-0097,,,,,,,Approved,11/4/2005,5/27/2010,Y,WWW.VISTAFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"106,245,388.00","29,514,133.00","135,759,521.00",420,112,532,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,143329,801-68029,"SCHWALLIER, WEALTH MANAGEMENT","SCHWALLIER WEALTH MANAGEMENT, LLC","5075 CASCADE RD SE, STE. B",,GRAND RAPIDS,MI,UNITED STATES,49546,616-855-2051,616-855-2242,,,,,,,Approved,6/20/2007,3/9/2010,Y,WWW.SWMADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"27,500,000.00",0,"27,500,000.00",336,0,336,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,152218,801-70847,JACK PATTERSON & CO.,JACK PATTERSON & CO.,2655 LE JEUNE ROAD,SUITE 909,CORAL GABLES,FL,UNITED STATES,33134,305-648-3080,305-441-0217,,,,,,,Approved,12/14/2009,3/9/2010,Y,WWW.PATTERSONADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,THIRD PARTY REFERRAL FEES,Y,"25,698,143.00",0,"25,698,143.00",153,0,153,Y,Y,N,Y,Y,Y,N,N,N,Y,ASSET ALLOCATION REVIEW SERVICES,101-250,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,152670,801-70995,SPARROW WEALTH MANAGEMENT,"SPARROW WEALTH MANAGEMENT, INC.",3655 WILLIAM PENN HIGHWAY,SUITE B,EASTON,PA,UNITED STATES,18045,877-330-9191,877-330-9191,,,,,,,Approved,1/15/2010,5/27/2010,Y,WWW.SPARROWWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"40,918,230.00",0,"40,918,230.00",128,0,128,Y,Y,N,Y,Y,N,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115127,801-71592,"JOSEPH J. LOCKE & COMPANY, LTD.","JOSEPH J. LOCKE & COMPANY, LTD.",7355 W. MADISON ST.,,FOREST PARK,IL,UNITED STATES,60130,708-366-2337,708-366-6316,,,,,,,Approved,7/16/2010,7/16/2010,Y,WWW.JJLCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"31,368,674.00",0,"31,368,674.00",172,0,172,Y,Y,N,N,N,N,N,N,N,Y,INSURANCE,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,3403,801-977,"SHUFRO, ROSE & CO., LLC","SHUFRO, ROSE & CO., LLC","745 5TH AVENUE, 26TH FL",,NEW YORK,NY,UNITED STATES,10151-2600,212-754-5100,212-754-5111,,,,,,,Approved,4/7/1955,7/16/2010,Y,WWW.SHUFROROSE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,More than 500,"2,000",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"1,356,500,000.00",0,"1,356,500,000.00","3,150",0,"3,150",N,Y,N,Y,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,N
DRO,147359,801-71710,ROCKY MOUNTAIN WEALTH CONCEPTS,ROCKY MOUNTAIN WEALTH CONCEPTS,4050 W. LAKE CREEK DRIVE,,WILSON,WY,UNITED STATES,83014,307-739-4346,307-734-8880,,,,,,,Approved,7/21/2010,7/16/2010,Y,WWW.RMWC.COM,N,N,Y,N,N,N,N,N,N,N,N,N,N,Corporation,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"117,200,000.00",0,"117,200,000.00",19,0,19,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT ADVICE TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,125780,801-61960,CAPITAL FUND MANAGEMENT S.A.,CAPITAL FUND MANAGEMENT S.A.,6 BOULEVARD HAUSSMANN,,PARIS,,FRANCE,75009,+33-1-4949 5949,+33-1-4770 1740,,,,,,,Approved,4/7/2003,3/9/2010,Y,WWW.CFM.FR,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,FRANCE,51-250,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,943,946,367.00",0,"1,943,946,367.00",13,0,13,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144289,801-68053,"WISLAR WEALTH MANAGEMENT, LLC","WISLAR WEALTH MANAGEMENT, LLC",10 EAST BROAD STREET,,HOPEWELL,NJ,UNITED STATES,8525,609-466-4006,609-466-4005,,,,,,,Approved,6/25/2007,3/9/2010,Y,WWW.WISLARWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"45,098,645.00",0,"45,098,645.00",183,0,183,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106863,801-18766,ARTIO GLOBAL MANAGEMENT LLC,ARTIO GLOBAL MANAGEMENT LLC,330 MADISON AVE,FLOOR 12A,NEW YORK,NY,UNITED STATES,10017,212-297-3850,212-297-3856,,,,,,,Approved,4/13/1983,7/16/2010,Y,WWW.ARTIOGLOBAL.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,0 percent,0 percent,Up to 10 percent,51-75 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"50,300,000,000.00",0,"50,300,000,000.00",123,0,123,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,Y,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,116807,801-62862,"MONTVUE CAPITAL MANAGEMENT, INC.","MONTVUE CAPITAL MANAGEMENT, INC.",3708 OLD FOREST ROAD,,LYNCHBURG,VA,UNITED STATES,24501,434-455-2795,434-455-2797,,,,,,,Approved,3/5/2004,3/9/2010,Y,WWW.MONTVUE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"42,165,698.00",0,"42,165,698.00",71,0,71,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,139684,801-66567,"WISDOMTREE ASSET MANAGEMENT, INC.","WISDOMTREE ASSET MANAGEMENT, INC.",380 MADISON AVENUE,21ST FLOOR,NEW YORK,NY,UNITED STATES,10017,212 801 2080,212 801 2081,,,,,,,Approved,5/3/2006,3/9/2010,Y,WWW.WISDOMTREE.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"6,346,218,261.00",0,"6,346,218,261.00",55,0,55,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109472,801-57919,TBP ADVISORS LTD,TBP ADVISORS LTD,287 BOWMAN AVENUE  SUITE 203,,PURCHASE,NY,UNITED STATES,10577,914-251-2940,914-251-1049,,,,,,,Approved,9/1/2000,3/9/2010,Y,WWW.TBPADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"221,066,023.00",0,"221,066,023.00",223,0,223,N,Y,N,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,144356,801-68295,AMERICAN SERVICE CORP.,AMERICAN SERVICE CORP.,"123 E. POWELL BLVD., STE 210",,GRESHAM,OR,USA,97030,503-661-9010,503-666-9054,,,,,,,Approved,9/6/2007,3/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,0,"56,000,000.00","56,000,000.00",0,452,452,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,136694,801-66320,"M FINANCIAL ASSET MANAGEMENT, INC.","M FINANCIAL ASSET MANAGEMENT, INC.",1125 NW COUCH ST,STE 900,PORTLAND,OR,UNITED STATES,97209,503-414-7264,503-238-1621,,,,,,,Approved,2/24/2006,7/16/2010,Y,WWW.MFINWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,500,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,WRAP FEE PROGRAM SPONSOR FEES,Y,"151,178,051.00",0,"151,178,051.00",183,0,183,N,Y,N,Y,Y,Y,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,Y,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112578,801-55147,WEST SIDE ADVISORS LLC,WEST SIDE ADVISORS LLC,1995 BROADWAY,8TH FLOOR,NEW YORK,NY,UNITED STATES,10023,212-712-2100,212-712-2540,,,,,,,Approved,1/16/1998,3/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"221,379,586.00",0,"221,379,586.00",6,0,6,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108043,801-58006,CAP ADVISORS LLC,CAP ADVISORS LLC,943 POST ROAD EAST,,WESTPORT,CT,UNITED STATES,6880,203-227-5124,203-547-6226,,,,,,,Approved,1/23/2006,7/16/2010,Y,CAPADVISORSLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"59,631,600.00",0,"59,631,600.00",136,0,136,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,19061,801-66750,"SYMETRA INVESTMENT SERVICES, INC.","SYMETRA INVESTMENT SERVICES, INC.",777 108TH AVENUE NE,SUITE 1200,BELLEVUE,WA,UNITED STATES,98004,800-469-7667,866-532-1364,P.O. BOX 34695,,SEATTLE,WA,UNITED STATES,98124-1695,Approved,5/15/2006,7/16/2010,Y,WWW.SYMETRA.COM/SIS,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"128,514,145.00","128,514,145.00",0,"1,444","1,444",Y,Y,N,N,N,Y,N,N,N,N,,More than 500,1500,N,N,Y,N,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N
SFRO,116569,801-65393,"STEELHEAD PARTNERS, LLC","STEELHEAD PARTNERS,LLC",333 108TH AVE. NE,SUITE 2010,BELLEVUE,WA,UNITED STATES,98004,425-974-3788,425-974-3799,333 108TH AVE. NE,SUITE 2010,BELLEVUE,WA,UNITED STATES,98004,Approved,1/23/2006,7/16/2010,Y,WWW.STEELHEADPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,RCVS PERFRC BASED COMP AS A SPEC ALLOC OF PRFTS FM THE PRTNRSHPS,Y,"821,701,719.00",0,"821,701,719.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,104557,801-55119,PACIFIC CENTER FOR FINANCIAL SERVICES,PACIFIC CENTER FOR FINANCIAL SERVICES,2355 SAN RAMON VALLEY BLVD,,SAN RAMON,CA,USA,94583,(925)838-7700,(925)838-7499,,,,,,,Approved,12/16/1997,7/16/2010,Y,WWW.PCFSONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,5-Jan,0,More than 500,550,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"73,056,580.00","222,494,835.00","295,551,415.00",192,723,915,Y,Y,N,N,N,N,N,N,N,N,,More than 500,550,N,N,N,Y,N,Y,Y,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N
PLRO,153687,801-71449,"INDEPENDENCE ADVISORS, LLC","INDEPENDENCE ADVISORS, LLC",620 LEE ROAD,SUITE 100,WAYNE,PA,UNITED STATES,19087-5636,610-695-8070,610-695-8073,,,,,,,120-Day Approval,6/15/2010,7/16/2010,Y,WWW.INDEPENDENCEADVISORS.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,N,N,N,N,Y,CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,135496,801-70380,SUMMIT CREEK ADVISORS,"SUMMIT CREEK ADVISORS, LLC",120 SOUTH SIXTH STREET,SUITE 2200,MINNEAPOLIS,MN,UNITED STATES,55402,612-746-8980,612-746-4765,,,,,,,Approved,8/11/2009,3/9/2010,Y,WWW.SUMMITCREEKADVISORS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,51-75 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"349,925,700.00",0,"349,925,700.00",8,0,8,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,130888,801-63297,"STERNE AGEE INVESTMENT ADVISORS, INC.","STERNE AGEE INVESTMENT ADVISORS, INC.",800 SHADES CREEK PARKWAY,SUITE 730,BIRMINGHAM,AL,UNITED STATES,35209,205-380-1700,205-949-3502,,,,,,,Approved,7/9/2004,7/16/2010,Y,WWW.STERNEAGEE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,"4,500",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"482,889,608.00","433,453,418.00","916,343,026.00","2,141","2,694","4,835",Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,Y,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,N,N,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,136476,801-68249,"LEADING EDGE INVESTMENT ADVISORS,LLC","LEADING EDGE INVESTMENT ADVISORS,LLC",50 CALIFORNIA STREET,SUITE 2320,SAN FRANCISCO,CA,UNITED STATES,94111,415-217-7030,415-217-7040,,,,,,,Approved,8/24/2007,7/16/2010,Y,WWW.LEIA.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,11-25 percent,EDUCATIONAL ORGANIZATIONS,Y,N,N,Y,N,Y,N,,Y,"1,542,066,026.00",0,"1,542,066,026.00",15,0,15,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,MANAGER OF MANAGERS,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,153150,801-71225,"EVOLVED ALPHA, LLC","EVOLVED ALPHA, LLC",1157 COAST VILLAGE ROAD,SUITE C,MONTECITO,CA,UNITED STATES,93108,805-695-8100,,,,,,,,Approved,3/22/2010,7/16/2010,Y,WWW.EVOLVED-ALPHA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"34,016,204.00",0,"34,016,204.00",5,0,5,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED VEHICLES,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,141186,801-66999,"STRATEGIC WEALTH MANAGEMENT ADVISORS, INC.","STRATEGIC WEALTH MANAGEMENT ADVISORS, INC.","1615 VILLAGE SQUARE BLVD., SU THREE",,TALLAHASSEE,FL,UNITED STATES,32309,850-383-0001,850-391-9627,,,,,,,Approved,7/20/2006,7/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,FOUNDATIONS,Y,Y,N,Y,N,N,N,,Y,"28,416,000.00","8,973,000.00","37,389,000.00",237,75,312,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,127465,801-67795,"WILSHIRE-PENNINGTON GROUP, INC.","WILSHIRE-PENNINGTON GROUP, INC.",3129 NW 63RD ST,,OKLAHOMA CITY,OK,USA,73116,405-751-8600,405-751-8898,,,,,,,Approved,4/24/2007,3/9/2010,Y,WWW.WILSHIRE-PENNINGTON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"53,763,875.00",0,"53,763,875.00",295,0,295,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,132021,801-63272,MACKENZIE HUGHES & HARTNETT INVESTMENT ADVISORS LLC,MACKENZIE HUGHES & HARTNETT INVESTMENT ADVISORS LLC,101 SOUTH SALINA STREET,SUITE 600,SYRACUSE,NY,USA,13202,315-474-7571,315-474-1216,P.O. BOX 4967,,SYRACUSE,NY,USA,13221-4967,Approved,6/1/2004,3/9/2010,Y,HTTP://MACKENZIEHUGHES.COM/MHH/INDEX.HTML,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"78,457,592.00",0,"78,457,592.00",39,0,39,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115416,801-61949,FINANCIAL INVESTMENTS RESEARCH & MANAGEMENT LLC,FINANCIAL INVESTMENTS RESEARCH & MANAGEMENT LLC,1101 5TH STREET,SUITE 204,CORALVILLE,IA,USA,52241,319-339-0314,319-248-0333,,,,,,,Approved,3/28/2003,7/16/2010,Y,WWW.MYFIRMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,SOLICITOR/REFERRAL FEES,Y,"53,102,326.00",0,"53,102,326.00",482,0,482,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,141871,801-67300,"BMF INVESTMENTS, INC.","BMF INVESTMENTS, INC.",125 FLOYD SMITH DRIVE,SUITE 240,CHARLOTTE,NC,USA,28262,704-563-2960,704-909-2511,,,,,,,Approved,11/16/2006,7/19/2010,Y,WWW.BMFINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,More than 500,900,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,Y,N,N,N,N,,Y,"35,000,000.00",0,"35,000,000.00",325,0,325,N,Y,N,N,Y,N,Y,Y,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,111977,801-57018,EVERGREEN MANAGEMENT LTD.,EVERGREEN MANAGEMENT LTD.,17 WEISSBURG ST.,,TEL AVIV,,ISRAEL,69358,972-3-6228888,972-3-6228877,,,,,,,Approved,11/18/1999,7/19/2010,Y,WWW.EVERGREEN.CO.IL,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,ISRAEL,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"471,775,000.00",0,"471,775,000.00",8,0,8,N,N,N,N,N,N,N,N,N,Y,INVESTMENT SUPERVISORY SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,132416,801-67954,BOYLE CAPITAL,"BOYLE CAPITAL MANAGEMENT, LLC",13001 UNIVERSITY AVENUE,,CLIVE,IA,USA,50235,515-327-1870,515-224-0305,,,,,,,Approved,5/21/2007,7/19/2010,Y,WWW.BOYLECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"96,107,591.00",0,"96,107,591.00",837,0,837,N,Y,N,Y,N,N,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,125663,801-64023,"WERLINICH ASSET MANAGEMENT, L.L.C.","WERLINICH ASSET MANAGEMENT, L.L.C.",400 COLUMBUS AVE,,VALHALLA,NY,UNITED STATES,10595,914-741-6839,914-741-6853,,,,,,,Approved,3/3/2005,3/9/2010,Y,WWW.WAMINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"60,059,162.00",0,"60,059,162.00",57,0,57,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,116480,801-60724,"CARTER ASSET MANAGEMENT, INC.","CARTER ASSET MANAGEMENT, INC.",242 BEECH STREET,,ABILENE,TX,USA,79601,325-673-6171,325-675-5029,,,,,,,Approved,11/23/2001,3/9/2010,Y,CARTERASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"118,478,803.00",0,"118,478,803.00",349,0,349,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,117059,801-69550,"APEX CAPITAL MANAGEMENT, L.L.C.","APEX CAPITAL MANAGEMENT, L.L.C.",701 ROBLEY DR.,SUITE 200,LAFAYETTE,LA,UNITED STATES,70503,337-984-7010,337-981-6001,,,,,,,Approved,8/27/2008,3/9/2010,Y,WWW.APEXCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"15,559,094.00","25,237,433.00","40,796,527.00",69,60,129,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114193,801-66485,"JONES VILLALTA ASSET MANAGEMENT, LLC","JONES VILLALTA ASSET MANAGEMENT, LLC",805 LAS CIMAS PARKWAY,SUITE 125,AUSTIN,TX,USA,78746,512-494-1174,512-494-1324,,,,,,,Approved,3/28/2006,3/9/2010,Y,WWW.JONESASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,LIMITED PARTNERSHIPS,Y,Y,N,Y,N,N,N,,Y,"21,313,430.00","6,689,133.00","28,002,563.00",75,1,76,N,Y,Y,Y,N,N,N,N,N,Y,CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109941,801-55817,FORTE CAPITAL LLC,FORTE CAPITAL LLC,95 ALLENS CREEK ROAD,"BUILDING 1, SUITE 201",ROCHESTER,NY,UNITED STATES,14618,585-586-8100,585-697-2599,,,,,,,Approved,8/25/1998,3/9/2010,Y,WWW.FORTE-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,10-Jun,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"352,224,639.00","75,589,454.00","427,814,093.00","1,518",166,"1,684",Y,Y,N,Y,Y,Y,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,144711,801-68192,"MOGUL WEALTH MANAGEMENT, INC.","MOGUL WEALTH MANAGEMENT, INC.",22937 ARLINGTON AVE.,,TORRANCE,CA,USA,90501-5463,310-325-9002,310-325-7775,,,,,,,Approved,8/1/2007,2/16/2010,Y,WWW.COOKANDASSOC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"26,351,179.00","26,351,179.00",0,63,63,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,125114,801-62004,"SILICON VALLEY CAPITAL PARTNERS, L.P.","SILICON VALLEY CAPITAL PARTNERS, L.P.",560 SOUTH WINCHESTER BLVD.,SUITE 500,SAN JOSE,CA,UNITED STATES,95128,408-236-7300,408-236-7301,,,,,,,Approved,4/24/2003,2/16/2010,Y,WWW.SVCP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"122,660,325.00",0,"122,660,325.00",695,0,695,Y,Y,N,Y,N,N,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106752,801-47062,"C & C FINANCIAL SERVICES, INC.","C & C FINANCIAL SERVICES, INC.",175 GREAT NECK RD,SUITE 405,GREAT NECK,NY,UNITED STATES,11021,516-482-3260,516-482-4067,,,,,,,Approved,7/26/1994,2/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"43,652,234.00","20,646,000.00","64,298,234.00",45,1,46,Y,Y,N,N,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,150731,801-56873,RICHARD A . SASO & ASSOCIATES INVESTMENT SECURITIES,RICHARD A. SASO INVESTMENT ADVISORY SERVICES,3130 CROW CANYON PLACE,SUITE 200,SAN RAMON,CA,UNITED STATES,94583,925-275-9111,925-275-1499,,,,,,,Approved,9/28/1999,2/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"24,569,037.00","7,271,636.00","31,840,673.00",100,129,229,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,Y,Y,N,N,Y,N,N,,Y,Y,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109395,801-57711,WEATHER GAUGE ADVISORY LLC,WEATHER GAUGE ADVISORY LLC,,,,,,,866-239-4536,757-220-1330,,,,,,,Approved,7/6/2000,2/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"84,955,602.00",0,"84,955,602.00",383,0,383,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110048,801-55807,PLAN STRATEGIES INC,PLAN STRATEGIES INC,"1107 HAZELTINE BOULEVARD, SUITE 100",,CHASKA,MN,USA,55318,952-556-5125,952-556-5129,,,,,,,Approved,8/18/1998,2/17/2010,Y,WWW.PLANSTRATEGIES.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"135,886,070.00","135,886,070.00",0,25,25,N,Y,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,110904,801-26103,CICCARELLI ADVISORY SERVICES INC,CICCARELLI ADVISORY SERVICES INC,3066 TAMIAMI TRAIL NORTH,STE 202,NAPLES,FL,USA,34103,239-262-6577,239-649-6315,,,,,,,Approved,12/31/1985,2/17/2010,Y,HTTP://WWW.CASMONEYMATTERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,800,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"283,980,448.00","283,980,448.00",0,"1,602","1,602",Y,Y,N,N,N,Y,N,N,N,N,,More than 500,800,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,125607,801-61872,"BLUE GRANITE CAPITAL, LLC","BLUE GRANITE CAPITAL, LLC",171 CHURCH STREET,SUITE 150,CHARLESTON,SC,UNITED STATES,29401,843-722-7330,843-722-7332,,,,,,,Approved,3/26/2003,2/17/2010,Y,WWW.BLUEGRANITECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"27,621,796.00",0,"27,621,796.00",44,0,44,N,Y,N,Y,N,N,N,N,N,Y,SUB-ADVISORY SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,118372,801-62459,"SWEETWATER FINANCIAL ADVISORS, LLC","SWEETWATER FINANCIAL ADVISORS, LLC",4665 SWEETWATER BLVD.,SUITE 105,SUGAR LAND,TX,USA,77479,281-491-3333,281-491-3331,,,,,,,Approved,10/30/2003,2/17/2010,Y,WWW.SFACORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"93,747,028.00",0,"93,747,028.00",412,0,412,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138455,801-65626,NICHOLAS EDWARDS INVESTMENTS K.K.,NICHOLAS EDWARDS INVESTMENTS K.K.,"HALIFAX ONARIMON BUILDING, 3-24-10,","NISHI-SHINBASHI, MINATO-KU,",TOKYO,,JAPAN,105-0003,81-3-6402-2950,81-3-6402-2960,,,,,,,Approved,1/23/2006,12/11/2007,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,JAPAN,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"190,511,778.00",0,"190,511,778.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,117442,801-63241,"FINANCIAL MANAGEMENT ADVISORS, INC.","FINANCIAL MANAGEMENT ADVISORS, INC.",115 N. JACKSON STREET,SUITE B,TULLAHOMA,TN,USA,37388,931-455-0151,931-455-0166,PO BOX 1914,,TULLAHOMA,TN,USA,37388,Approved,7/6/2004,2/17/2010,Y,WWW.FINANCIALMANAGEMENTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"33,251,839.00",0,"33,251,839.00",486,0,486,Y,Y,N,Y,N,Y,N,N,N,Y,ACTIVE INVESTMENT MANAGEMENT,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,120263,801-61250,STODDARD MANAGEMENT COMPANY,"HURLEY, ROBERT EMMET",800 HINGHAM STREET,,ROCKLAND,MA,UNITED STATES,2370,781-982-9932,NA,,,,,,,Approved,6/14/2002,2/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"51,527,132.00",0,"51,527,132.00",358,0,358,Y,Y,N,N,N,N,Y,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108022,801-55606,MULTI FUND MANAGEMENT INC,MULTI FUND MANAGEMENT INC,7508 NEW LAGRANGE ROAD,SUITE 2,LOUISVILLE,KY,USA,40222,502-423-0222,502-423-0777,,,,,,,Approved,6/5/1998,2/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"48,776,215.00","4,632,143.00","53,408,358.00",169,18,187,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,129959,801-62650,"TABR CAPITAL MANAGEMENT, LLC","TABR CAPITAL MANAGEMENT, LLC",500 N. STATE COLLEGE BLVD,SUITE 1320,ORANGE,CA,USA,92868,714-704-9180,714-937-1886,,,,,,,Approved,1/5/2004,2/17/2010,Y,WWW.TABR.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"157,935,499.00",0,"157,935,499.00",527,0,527,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,124324,801-64777,"PURKISS CAPITAL ADVISORS, LLC","PURKISS CAPITAL ADVISORS, LLC",,,,,,,203-431-5862,203-431-5865,,,,,,,Approved,10/11/2005,2/17/2010,Y,WWW.PCAPADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"112,296,400.00",0,"112,296,400.00",280,0,280,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,145103,801-68823,STELAC ADVISORY SERVICES LLC,STELAC ADVISORY SERVICES LLC,"598 MADISON AVENUE, FLOOR 5",,NEW YORK,NY,UNITED STATES,10022-1610,212-920-3880,212-920-3888,,,,,,,Approved,2/12/2008,2/17/2010,Y,WWW.STELAC.COM/ADVISORY,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"588,000,000.00","588,000,000.00",0,25,25,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,149867,801-70164,MONTEBELLO PARTNERS LLC,MONTEBELLO PARTNERS LLC,75 MONTEBELLO ROAD,,SUFFERN,NY,UNITED STATES,10901,845-368-2900,845-357-4741,,,,,,,Approved,5/20/2009,2/17/2010,Y,WWW.THEBETAFUND.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"13,000,000.00",0,"13,000,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
DRO,130401,801-62811,"CYPRESS CAPITAL MANAGEMENT, LLC","CYPRESS CAPITAL MANAGEMENT, LLC","50 EAST LOUCKS, SUITE 206",,SHERIDAN,WY,UNITED STATES,82801,307-674-1770,307-674-1772,PO BOX J,,SHERIDAN,WY,UNITED STATES,82801,Approved,2/20/2004,2/17/2010,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"50,000,000.00",0,"50,000,000.00",125,0,125,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,132484,801-67619,JC MIANO INVESTMENT ADVISORY,"MIANO, JOHN CHRISTOPHER",258 GENESEE ST.,,UTICA,NY,UNITED STATES,13502-4627,315-734-0703,315-734-0703,,,,,,,Approved,3/13/2007,2/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NY,UNITED STATES,5-Jan,0,0,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"37,000,000.00","360,000.00","37,360,000.00",34,1,35,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104640,801-30218,KEYSTONE FINANCIAL PLANNING INC,KEYSTONE FINANCIAL PLANNING INC,7261 ENGLE ROAD #308,,MIDDLEBURG HEIGHTS,OH,USA,44130,440-234-6323,440-234-6844,,,,,,,Approved,8/14/1987,2/17/2010,Y,WWW.KEYSTONEFIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"87,671,907.00",0,"87,671,907.00",100,0,100,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105047,801-25980,RASKOB KAMBOURIAN FINANCIAL ADVISORS LTD,RASKOB KAMBOURIAN FINANCIAL ADVISORS LTD,4100 N FIRST AVENUE,,TUCSON,AZ,UNITED STATES,85719-1023,520-690-1999,520-690-1995,,,,,,,Approved,12/19/1985,2/17/2010,Y,WWW.RKFIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"34,122,597.00","83,707,649.00","117,830,246.00",122,437,559,Y,Y,N,N,Y,Y,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,131501,801-67689,"CEDARWINDS INVESTMENT MANAGEMENT, LLC","CEDARWINDS INVESTMENT MANAGEMENT, LLC",4650 N. PORT WASHINGTON ROAD,,MILWAUKEE,WI,USA,53212,414-431-7390,414-431-7396,,,,,,,Approved,3/26/2007,2/19/2010,Y,WWW.CEDARWINDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"94,187,000.00",0,"94,187,000.00",364,0,364,N,Y,N,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147608,801-70304,"BECKMAN, NOREHAD, & BURKE WEALTH MANAGEMENT GROUP","GAME PLAN FINANCIAL ADVISORS, LLC",26600 DETROIT ROAD,SUITE 120,"WESTLAKE, OH",OH,UNITED STATES,44145,440-209-6480,440-209-6480,,,,,,,Approved,3/2/2010,2/19/2010,Y,WWW.BNBADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"48,532,138.00","1,345,318.00","49,877,456.00",209,2,211,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104706,801-35870,NULAND & ARSHAD INC,NULAND & ARSHAD INC,176 FEDERAL ST,,BOSTON,MA,USA,02110-2209,617-261-7687,617-261-1529,,,,,,,Approved,2/12/1990,2/19/2010,Y,NA-BOSTON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"86,332,182.00","482,332,826.00","568,665,008.00",163,4,167,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,147151,801-71131,"BLAZER INVESTMENT ADVISORS, LLC","BLAZER INVESTMENT ADVISORS, LLC",2835 E. CARSON STREET,SUITE 209,PITTSBURGH,PA,UNITED STATES,15203,412-904-3399,412-904-3998,,,,,,,Approved,2/23/2010,2/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"30,000,000.00",0,"30,000,000.00",39,0,39,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109945,801-47147,RENAISSANCE CAPITAL LLC,RENAISSANCE CAPITAL LLC,2 GREENWICH PLAZA,,GREENWICH,CT,UNITED STATES,06830-6353,203-622-2978,203-485-0850,,,,,,,Approved,8/18/1994,2/19/2010,Y,WWW.IPOINTELLIGENCE.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"10,389,652.00",0,"10,389,652.00",1,0,1,N,N,Y,Y,N,N,N,N,N,Y,"EQUITY RESEARCH SERVICE, BENCHMARK INDEX SERVICE, CORPORATE SERVICES",,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107045,801-30081,ALBANESE HEMSLEY & TUSSING LTD,ALBANESE HEMSLEY & TUSSING LTD,560 GREEN BAY RD,SUITE 101,WINNETKA,IL,USA,60093-2238,847-446-3636,847-446-3629,,,,,,,Approved,7/24/1987,2/19/2010,Y,WWW.AHTADVISERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,Y,N,N,,Y,"96,560,488.00","2,707,746.00","99,268,234.00",103,11,114,Y,Y,N,N,N,Y,N,N,N,Y,TAX PREPARATION AND LIMITED NUMBER OF LIFE INSURANCE POLICIES,101-250,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,117127,801-60688,"MENGIS CAPITAL MANAGEMENT, INC.","MENGIS CAPITAL MANAGEMENT, INC.",ONE SW COLUMBIA,SUITE 780,PORTLAND,OR,USA,97258,503-916-0776,503-916-0781,,,,,,,Approved,11/9/2001,2/19/2010,Y,MENGISCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"88,236,013.00","15,200,536.00","103,436,549.00",254,68,322,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112441,801-57323,ALLIED ASSET ADVISORS INC,ALLIED ASSET ADVISORS INC,745 MCCLINTOCK DR STE 314,,BURR RIDGE,IL,UNITED STATES,60527,630-789-0453,630-789-9455,,,,,,,Approved,3/3/2000,2/19/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"29,375,747.00",0,"29,375,747.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109671,801-26388,"MILLER, GESKO & COMPANY INC.",MILLER GESKO & CO INC.,237 MAIN STREET,STE 600,BUFFALO,NY,USA,14203,716 852-7628,716 852-7637,,,,,,,Approved,2/10/1986,2/19/2010,Y,WWW.MILLERGESKO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,COMBINATION OF ABOVE,Y,"63,237,080.00","155,119,963.00","218,357,043.00",189,235,424,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,140754,801-66861,"CYPRESS CAPITAL PARTNERS, LLC","CYPRESS CAPITAL PARTNERS, LLC",980 NORTH MICHIGAN AVENUE,SUITE 1270,CHICAGO,IL,UNITED STATES,60611,312-397-9090,312-397-9292,,,,,,,Approved,6/9/2006,2/19/2010,Y,CYPRESSCAPITALPARTNERS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"297,000,000.00","8,000,000.00","305,000,000.00",26,1,27,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,107523,801-44260,PAMA GROUP INC.,PAMA GROUP INC.,C/O HARNEYS CORPORATE SERVICES LIMITED,CRAIGMUIR CHAMBERS,"ROAD TOWN, TORTOLA",,BRITISH VIRGIN ISLANDS,,+1 284 494 2233,+1 284 494 3547,"33/F, ALEXANDRA HOUSE",18 CHATER ROAD,"CENTRAL, HONG KONG",,CHINA,,Approved,7/27/1993,2/17/2009,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,BRITISH VIRGIN ISLANDS,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,0 percent,Up to 10 percent,11-25 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,"ENDOWMENT, FOUNDATION, GENERAL PARTNER",Y,N,N,N,N,Y,N,,Y,"16,680,319.00",0,"16,680,319.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,PRIVATE EQUITY FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,124395,801-61809,"ASCO FINANCIAL GROUP, INC.","ASCO FINANCIAL GROUP, INC.","575 PIERCE STREET, SUITE 301",,KINGSTON,PA,USA,18704,570-714-0720,570-714-0740,,,,,,,Approved,2/12/2003,2/19/2010,Y,WWW.ASCOFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,,N,Y,N,Y,Y,N,Y,PERCENTAGE OF ASSETS OF PLAN CLIENTS,Y,0,"133,211,719.00","133,211,719.00",0,76,76,N,N,N,N,Y,Y,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,Y,PENSION ADMINISTRATION SERVICES,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108089,801-57631,"EAGLE HARBOR ASSET MANAGEMENT, INC.",EAGLE HARBOR ASSET MANAGEMENT INC,271 MADISON AVE SOUTH,SUITE 202,BAINBRIDGE ISLAND,WA,UNITED STATES,98110,206-224-4101,206-842-5554,,,,,,,Approved,5/24/2000,2/19/2010,Y,WWW.EHAMINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"86,874,241.00","28,028,298.00","114,902,539.00",142,2,144,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114787,801-66430,"INTERCONTINENTAL CONSULTANTS, L.L.C.","INTERCONTINENTAL CONSULTANTS, L.L.C.","300 CONVENT STREET, SUITE 1350",,SAN ANTONIO,TX,UNITED STATES,78205-3729,210-271-7947,210-271-0309,,,,,,,Approved,3/21/2006,2/19/2010,Y,WWW.INTERCONTL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,More than 500,520,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"143,645,791.00","76,540,723.00","220,186,514.00",296,225,521,N,Y,N,Y,Y,N,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,42132,801-60300,"CUSO FINANCIAL SERVICES, L.P.","CUSO FINANCIAL SERVICES, L.P.",10455 SORRENTO VALLEY ROAD,SUITE 210,SAN DIEGO,CA,USA,92121,858-530-4400,858-530-4404,,,,,,,Approved,5/31/2001,2/19/2010,Y,WWW.CUSONET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,CA,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"2,000",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"272,678,581.00","272,678,581.00",0,"1,808","1,808",Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,Y,N,Y,N,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108738,801-54913,LEJEUNE PUETZ INVESTMENT COUNSEL,LEJEUNE PUETZ INVESTMENT COUNSEL,13721 WEST BAY SHORE DRIVE,,TRAVERSE CITY,MI,UNITED STATES,49684,231-922-0525,231-922-0787,,,,,,,Approved,8/18/1997,2/19/2010,Y,WWW.LEJEUNEPUETZ.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"63,401,663.00","24,200,215.00","87,601,878.00",54,21,75,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,144489,801-68163,"WELZ FINANCIAL SERVICES, INC.","WELZ FINANCIAL SERVICES, INC.",7474 SHORELINE DRIVE,SUITE 4,STOCKTON,CA,UNITED STATES,95219,209-472-9359,209-472-9379,,,,,,,Approved,7/23/2007,2/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"73,365,909.00",0,"73,365,909.00",304,0,304,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,113714,801-61077,10-15 ASSOCIATES,"OSCAN ASSOCIATES, INC.",168 MAIN STREET,,GOSHEN,NY,UNITED STATES,10924,845-294-2080,845-294-3072,,,,,,,Approved,5/10/2002,2/19/2010,Y,WWW.1015ASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"283,820,916.00",0,"283,820,916.00","1,040",0,"1,040",N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,143601,801-68016,CAIRN INVESTMENT GROUP,"CAIRN INVESTMENT GROUP, INC.",121 SW MORRISON,SUITE 1060,PORTLAND,OR,USA,97204,503-241-4901,503-241-5699,,,,,,,Approved,6/7/2007,2/19/2010,Y,WWW.CAIRNINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"54,000,000.00","63,000,000.00","117,000,000.00",329,157,486,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,118022,801-66172,JAT INVESTMENT ADVISORS,JAT ENTERPRISES INC.,,,,,,,602-690-7752,480-634-7590,,,,,,,Approved,3/27/2006,2/19/2010,Y,WWW.JATADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"31,460,000.00",0,"31,460,000.00",110,0,110,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124341,801-61654,HEDEKER WEALTH MANAGEMENT GROUP,"HEDEKER WEALTH MANAGEMENT GROUP, LLC",ONE OVERLOOK POINT,SUITE 250,LINCOLNSHIRE,IL,UNITED STATES,60069,847-913-5594,847-913-6793,,,,,,,Approved,12/10/2002,2/19/2010,Y,WWW.HEDEKERWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"79,500,000.00","3,000,000.00","82,500,000.00",298,55,353,N,Y,N,Y,N,N,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
LARO,18835,801-67105,"ALLIANCE ADVISORY & SECURITIES, INC","ALLIANCE ADVISORY & SECURITIES, INC.",3390 AUTO MALL DRIVE,,WESTLAKE VILLAGE,CA,USA,91362,805-371-8020,805-371-8008,,,,,,,Approved,9/5/2006,8/25/2009,Y,WWW.ALLIANCEADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"43,500,000.00","79,250,000.00","122,750,000.00",46,201,247,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,Y,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
DRO,132619,801-68803,"BLACK LABEL WEALTH MANAGEMENT, LLC","BLACK LABEL WEALTH MANAGEMENT, LLC",,,,,,,208-860-4244,866-240-4612,PO BOX 4484,,DURANGO,CO,UNITED STATES,81302,Approved,2/8/2008,2/19/2010,Y,WWW.BLACKLABELWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"27,000,000.00",0,"27,000,000.00",325,0,325,N,Y,N,Y,N,Y,N,N,Y,Y,SUB-ADVISORY SERVICES FOR OTHER INVESTMENT ADVISERS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,124679,801-61947,STEAMBOAT CAPITAL MANAGEMENT LLC,STEAMBOAT CAPITAL MANAGEMENT LLC,20 DAYTON AVENUE,,GREENWICH,CT,UNITED STATES,6830,203-552-1900,203-552-1901,,,,,,,Approved,4/3/2003,2/19/2010,Y,WWW.GRAMERCY.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"7,297,970.00",0,"7,297,970.00",1,0,1,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,135733,801-64432,"TELESIS CAPITAL, LLC","TELESIS CAPITAL, LLC","MARINA STUDIOS, 4223 GLENCOE AVENUE",SUITE C207/209,MARINA DEL REY,CA,UNITED STATES,90292,310-574-8610,310-577-1330,,,,,,,Approved,6/17/2005,2/19/2010,Y,WWW.TELESISCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"62,000,000.00",0,"62,000,000.00",7,0,7,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,113622,801-60372,SHERWOOD INVESTMENT SERVICES,"LINGER, ERIC",,,,,,,425-898-8989,,,,,,,,Approved,6/25/2001,2/19/2010,Y,WWW.SHERWOOD-INVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,000,000.00",0,"25,000,000.00",34,0,34,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106317,801-38553,"SAUBERAN & COMPANY, LLC","SAUBERAN & COMPANY, LLC",ULRICH CITY CENTRE SUITE #6,,LOCKPORT,NY,UNITED STATES,14094,716-439-1265,716-439-8481,PO BOX 0466,,ORCHARD PARK,NY,UNITED STATES,14127-0466,Approved,4/19/1991,1/29/2010,Y,WWW.SAUBERANANDCOMPANY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"56,087,573.00",0,"56,087,573.00",208,0,208,Y,Y,N,N,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108449,801-55656,"GRATTAN FINANCIAL STRATEGIES, INC.","GRATTAN FINANCIAL STRATEGIES, INC.",8814 E HUNTINGTON DRIVE,,SAN GABRIEL,CA,USA,91775-1271,626-451-0840,626-451-0957,,,,,,,Approved,6/19/1998,1/29/2010,Y,WWW.GFS-S.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"95,937,305.00",0,"95,937,305.00",415,0,415,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,118875,801-64941,"COMPUTATIONAL MANAGEMENT, INC.","COMPUTATIONAL MANAGEMENT, INC.",,,,,,,503-297-5097,425-955-1377,,,,,,,Approved,12/9/2005,1/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,SUB-ADVISORY FEE,Y,"154,353,010.00",0,"154,353,010.00",12,0,12,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108114,801-57574,"DUCKWORTH MEHNER PRIVATE WEALTH ADVISORS, INC.","DUCKWORTH MEHNER PRIVATE WEALTH ADVISORS, INC.",3189 PULLMAN STREET,,COSTA MESA,CA,UNITED STATES,92626,714-433-2100,714-433-2101,,,,,,,Approved,5/31/2000,1/29/2010,Y,WWW.DUCKWORTHMEHNER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"70,732,780.00","18,347,422.00","89,080,202.00",70,111,181,Y,Y,N,N,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145845,801-68662,STABILE INVESTMENT MANAGEMENT,"STABILE INVESTMENT MANAGEMENT, LLC",SUITE 4,5201 WASHINGTON STREET,DOWNERS GROVE,IL,UNITED STATES,60515,630-322-7900,NONE,,,,,,,Approved,1/7/2008,1/29/2010,Y,WWW.STABILEIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"17,300,000.00","16,300,000.00","33,600,000.00",22,5,27,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,129769,801-62636,"HANGAR 4 PARTNERS, LLC","HANGAR 4 PARTNERS, LLC","6 HAMILTON LANDING, SUITE 210",,NOVATO,CA,UNITED STATES,94949,415-382-4380,415-382-4390,,,,,,,Approved,12/31/2003,1/29/2010,Y,WWW.HANGAR4PARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"50,888,700.00",0,"50,888,700.00",5,0,5,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,126849,801-62038,APPLE & ASSOCIATES,APPLE & ASSOCIATES,"565 BRUNSWICK ROAD, SUITE 8",,GRASS VALLEY,CA,USA,95945,530-272-1346,530-272-4156,,,,,,,Approved,5/9/2003,1/29/2010,Y,WWW.APPLEANDASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"49,922,431.00","21,439,224.00","71,361,655.00",449,597,"1,046",Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,112390,801-36148,INVESTORS TRUST INC,INVESTORS TRUST INC,9220 RESTLAND RD,,DALLAS,TX,UNITED STATES,75243,972-238-7111,972-238-9856,P.O. BOX 829000,,DALLAS,TX,UNITED STATES,75382-9000,Approved,4/13/1990,1/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),WHOLLY OWNED SUBSIDIARY OF STEWART ENTERPRISES INC,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"710,438,280.00",0,"710,438,280.00",150,0,150,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N
DRO,145041,801-70861,NEW PATH CAPITAL ADVISORS,NEW PATH CAPITAL ADVISORS,"561 BLUE RIVER PARKWAY, UNIT B",,SILVERTHORNE,CO,UNITED STATES,80498,970-468-0654,970-468-0749,PO BOX 24454,,SILVERTHORNE,CO,UNITED STATES,80497,Approved,1/4/2010,1/29/2010,Y,WWW.NEWPATHADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"29,518,271.00",0,"29,518,271.00",100,0,100,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,120267,801-61096,"CURRAN & LEWIS INVESTMENT MANAGEMENT, INC.","CURRAN & LEWIS INVESTMENT MANAGEMENT, INC.",830 MENLO AVENUE,SUITE 210,MENLO PARK,CA,USA,94025,(650) 463-0200,(650) 325-9244,,,,,,,Approved,4/23/2002,1/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"115,834,318.00","4,334,910.00","120,169,228.00",290,36,326,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,112746,801-37271,LLOYD I. MILLER III,MILLER LLOYD IVAN III,,,,,,,239-262-8577,239-262-8025,,,,,,,Approved,8/30/1990,1/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,LLOYD MILLER'S CLIENTS CONSIST OF FAMILY MEMBERS ONLY,Y,N,N,N,N,N,N,,Y,"335,141,504.00",0,"335,141,504.00",4,0,4,N,N,N,N,N,Y,N,N,N,Y,MANAGEMENT OF LLOYD MILLER'S FAMILY TRUSTS ONLY,0,,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISOR,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107881,801-56451,W.R.T. SMITH & CO.,"W.R.T. SMITH & CO., INC.",328 LINDEN AVENUE,,WILMETTE,IL,UNITED STATES,60091,847-256-1292,847-256-7091,P. O. BOX 599,,WILMETTE,IL,UNITED STATES,60091-0599,Approved,4/16/1999,1/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"26,534,964.00",0,"26,534,964.00",42,0,42,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,Y,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,118410,801-61120,BMB ADVISERS LLC,BMB ADVISERS LLC,10100 SANTA MONICA BLVD.,SUITE 1050,LOS ANGELES,CA,UNITED STATES,90067,310-734-1234,310-734-1230,,,,,,,Approved,5/2/2002,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"245,926,000.00",0,"245,926,000.00",35,0,35,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,147816,801-69407,"HIRAYAMA INVESTMENTS, LLC","HIRAYAMA INVESTMENTS, LLC",301 BATTERY STREET,SUITE 400,SAN FRANCISCO,CA,UNITED STATES,94111,415-981-6911,415-288-6153,,,,,,,Approved,8/5/2008,3/29/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,"22,000",11-25 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"9,931,990,951.00",0,"9,931,990,951.00","22,157",0,"22,157",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,152259,801-70944,"SEDGEFIELD CAPITAL MANAGEMENT, LLC","SEDGEFIELD CAPITAL MANAGEMENT, LLC",DAVISVILLE CENTRE,"1920 YONGE STREET, SUITE 200","TORONTO, ON",,CANADA,M4S-3E2,416-572-7671,416-572-7771,,,,,,,Approved,1/5/2010,3/29/2010,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,000,000.00",0,"2,000,000.00",6,0,6,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,143098,801-68044,"QUANTEK ASSET MANAGEMENT, LLC","QUANTEK ASSET MANAGEMENT, LLC",701 BRICKELL AVENUE,SUITE 2550,MIAMI,FL,UNITED STATES,33131,305-374-7756,305-374-7757,,,,,,,Approved,6/20/2007,3/29/2010,Y,WWW.QUANTEKFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"543,894,103.00",0,"543,894,103.00",6,0,6,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES (HEDGE FUNDS),0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,125278,801-64152,"ARLINGTON HALL RESEARCH & INVESTMENT MANAGEMENT, LLC","ARLINGTON HALL RESEARCH & INVESTMENT MANAGEMENT, LLC",,,,,,,770-778-7800,413-778-7006,,,,,,,Approved,4/12/2005,3/29/2010,Y,ARLINGTONHALL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"31,189,013.00","1,793,699.00","32,982,712.00",272,3,275,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,148305,801-69630,"FINANCIAL RESOURCE MANAGEMENT, INC.","FINANCIAL RESOURCE MANAGEMENT, INC.","775 RIDGE LAKE BLVD., SUITE 150",,MEMPHIS,TN,UNITED STATES,38120,901-767-5755,901-767-5754,,,,,,,Approved,10/10/2008,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"59,052,901.00",0,"59,052,901.00",568,0,568,Y,Y,N,Y,N,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,122020,801-61533,"RIVERNORTH CAPITAL MANAGEMENT, LLC","RIVERNORTH CAPITAL MANAGEMENT, LLC",325 N LASALLE,SUITE 645,CHICAGO,IL,UNITED STATES,60654,312-832-1440,312-832-1461,,,,,,,Approved,10/15/2002,3/29/2010,Y,RIVERNORTH.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,10-Jun,0,More than 500,"1,000",11-25 percent,Up to 10 percent,Up to 10 percent,51-75 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"412,389,834.00","91,713,842.00","504,103,676.00","1,020",40,"1,060",N,Y,Y,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135546,801-65212,"CALYPSO CAPITAL MANAGEMENT, LP","CALYPSO CAPITAL MANAGEMENT, LP",135 EAST 57TH STREET,2OTH FLOOR,NEW YORK,NY,USA,10022,212-829-4072,212-829-4057,,,,,,,Approved,1/20/2006,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"434,736,875.00",0,"434,736,875.00",7,0,7,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107656,801-39088,BRANSON FOWLKES RUSSELL INC,BRANSON FOWLKES RUSSELL INC,3300 CHIMNEY ROCK RD.,100-B,HOUSTON,TX,UNITED STATES,77056-6659,713-780-0606,713-780-0072,,,,,,,Approved,6/24/1991,3/29/2010,Y,WWW.BRANSONFOWLKES.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,106831,801-19267,COMMONWEALTH FINANCIAL PLANNERS INC,COMMONWEALTH FINANCIAL PLANNERS INC,1033 CANTON STREET,,ROSWELL,GA,UNITED STATES,30075,770-399-6644,770-399-5386,,,,,,,Approved,7/12/1983,3/29/2010,Y,WWW.COMMONWEALTHFP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,THIRD PARTY ADVISER/MANAGER FEES,Y,0,"59,082,868.00","59,082,868.00",0,259,259,Y,Y,N,N,Y,Y,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,137110,801-65467,JD CAPITAL MANAGEMENT LLC,JD CAPITAL MANAGEMENT LLC,TWO GREENWICH PLAZA,2ND FLOOR,GREENWICH,CT,USA,6830,203-485-8800,203-485-8900,,,,,,,Approved,1/18/2006,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"212,045,432.00",0,"212,045,432.00",9,0,9,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,116639,801-67665,"LUCID ADVISORS, INC.","LUCID ADVISORS, INC.",500 UNION STREET,SUITE 600,SEATTLE,WA,USA,98101,206-267-2222,206-267-2227,PO BOX 21014,,SEATTLE,WA,USA,98111-3014,Approved,3/5/2007,3/29/2010,Y,WWW.LUCIDADVISORSINC.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,"363,346,924.00","363,346,924.00",0,233,233,Y,Y,N,Y,Y,Y,N,N,N,Y,EMPLOYEE EDUCATIONAL SEMINARS AND OTHER EMPLOYEE COMMUNICATION SERVICES,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,141926,801-67203,WEALTHTRUST ARIZONA,WEALTHTRUST ARIZONA LLC,8434 E. SHEA BOULEVARD,,SCOTTSDALE,AZ,UNITED STATES,85260,480-483-7300,480-443-4810,,,,,,,Approved,10/4/2006,3/29/2010,Y,WWW.WEALTHTRUST-ARIZONA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,500,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"453,716,127.00","13,704,410.00","467,420,537.00","2,607",80,"2,687",Y,Y,N,Y,Y,Y,N,N,N,N,,More than 500,500,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,146451,801-71283,"ASCENSION WEALTH PARTNERS, LLC","ASCENSION WEALTH PARTNERS, LLC",391 TAYLOR BOULEVARD,SUITE 125,PLEASANT HILL,CA,UNITED STATES,94523,925-798-7200,925-798-7272,,,,,,,Approved,4/1/2010,3/29/2010,Y,WWW.ASCENSIONWP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"28,600,000.00",0,"28,600,000.00",44,0,44,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105444,801-19358,THE EDGAR LOMAX COMPANY,THE EDGAR LOMAX COMPANY,"6564 LOISDALE CT, SUITE 310",,SPRINGFIELD,VA,USA,22150,703-719-0026,703-719-9483,,,,,,,Approved,7/28/1983,3/29/2010,Y,WWW.EDGARLOMAX.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,26-100,0,0 percent,11-25 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"1,019,150,104.00",0,"1,019,150,104.00",42,0,42,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,129824,801-62845,DERN CAPITAL MANAGEMENT CORPORATION,DERN CAPITAL MANAGEMENT CORPORATION,"7777 GLADES ROAD, SUITE 207A",,BOCA RATON,FL,USA,33434,561-883-0740,561-482-4055,,,,,,,Approved,3/4/2004,3/29/2010,Y,WWW.DERNCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"36,360,192.00",0,"36,360,192.00",20,0,20,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGER FOR TWO HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,Y,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,127379,801-62552,DC FUNDING PARTNERS LLC,DC FUNDING PARTNERS LLC,2001 SPRING ROAD STE 220,,OAK BROOK,IL,USA,60523,630-928-2570,630-572-0801,,,,,,,Approved,1/2/2004,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,045,368,653.00",0,"3,045,368,653.00",6,0,6,N,N,N,N,N,N,N,N,N,Y,COMMERCIAL LOAN PORTFOLIO MANAGEMENT FOR STRUCTURED FINANCE ENTITIES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107438,801-46570,SOUND INVESTMENT MANAGEMENT INC,SOUND INVESTMENT MANAGEMENT INC,"8215 TUALATIN SHERWOOD ROAD, SUITE 200",,TUALATIN,OR,USA,97062,503-691-7030,503-691-7031,,,,,,,Approved,5/26/1994,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"75,490,131.00","75,490,131.00",0,76,76,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104875,801-36104,EXCHANGE CAPITAL MANAGEMENT INC,EXCHANGE CAPITAL MANAGEMENT INC,303 DETROIT STREET SUITE 203,,ANN ARBOR,MI,UNITED STATES,48104,734-761-6500,734-761-8073,,,,,,,Approved,2/21/1990,3/29/2010,Y,WWW.EXCHANGECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,INSURANCE COMPANIES,Y,Y,N,N,N,N,N,,Y,"213,417,481.00","3,545,027.00","216,962,508.00",486,15,501,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,139079,801-66106,CAPITAL HOTEL MANAGEMENT (CHM),"CAPITAL HOTEL MANAGEMENT, LLC",548 CABOT STREET,,BEVERLY,MA,USA,1915,978-522-7000,978-522-7008,,,,,,,Approved,2/8/2006,3/29/2010,Y,WWW.CHMHOTEL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,26-50 percent,0 percent,11-25 percent,11-25 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"4,879,800,000.00","5,000,000,000.00","9,879,800,000.00",14,1,15,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106607,801-37185,FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC,FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC,12222 MERIT DRIVE STE 920,,DALLAS,TX,UNITED STATES,75251-2268,972-934-9070,972-934-8718,,,,,,,Approved,8/19/1990,3/29/2010,Y,WWW.FFSS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"245,462,042.00","10,742,510.00","256,204,552.00",626,19,645,N,Y,N,Y,N,N,N,N,N,Y,SEE SCHEDULE D - MISC,,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115762,801-58064,"HEACOCK & JONES FINANCIAL SERVICES, INC.","HEACOCK & JONES FINANCIAL SERVICES, INC.","1635 ASSOCIATES DRIVE, SUITE 103",,DUBUQUE,IA,USA,52002,563-585-1400,563-585-1403,,,,,,,Approved,10/26/2000,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"122,345,376.00","838,234.00","123,183,610.00",281,2,283,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N
FWRO,107595,801-51736,CORNERSTONE FINANCIAL ADVISORS,LEDERGERBER MARICELA MARTINEZ,6363 WOODWAY DR. STE 820,,HOUSTON,TX,UNITED STATES,77057,713-980-2989,713-980-2999,,,,,,,Approved,5/3/1996,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"28,000,000.00","12,000,000.00","40,000,000.00",221,8,229,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,130612,801-65188,"ARTIS CAPITAL MANAGEMENT, L.P.","ARTIS CAPITAL MANAGEMENT, L.P.","ONE MARKET PLAZA, STEUART TOWER, 27TH FLOOR",,SAN FRANCISCO,CA,USA,94105,415-344-6200,415-977-1799,,,,,,,Approved,1/18/2006,3/29/2010,Y,WWW.ARTISCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,314,700,000.00",0,"2,314,700,000.00",12,0,12,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138694,801-65371,"SAGUENAY CAPITAL, LLC","SAGUENAY CAPITAL, LLC",2 MAHATTANVILLE RD.,SUITE 403,PURCHASE,NY,USA,10577-2118,914-729-2411,914-729-2421,,,,,,,Approved,1/27/2006,3/29/2010,Y,SAGUENAYCAP.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,A PERCENTAGE OF ASSETS UNDER INVESTMENT ADVICE,Y,"314,749,729.00","113,828,446.00","428,578,175.00",5,6,11,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,129667,801-62567,"FOREST HILL CAPITAL, LLC","FOREST HILL CAPITAL, LLC",100 MORGAN KEEGAN DRIVE,SUITE 430,LITTLE ROCK,AR,UNITED STATES,72202,501-663-4491,501-663-4490,,,,,,,Approved,1/9/2004,3/29/2010,Y,WWW.FORESTHILLCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"436,300,000.00",0,"436,300,000.00",6,0,6,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,126953,801-62553,DENALI CAPITAL LLC,DENALI CAPITAL LLC,"2001 SPRING RD, SUITE 220",,OAK BROOK,IL,USA,60523,630-928-2570,630-572-0801,,,,,,,Approved,1/23/2004,3/29/2010,Y,WWW.DENALICAP.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"26,400,422.00",0,"26,400,422.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109803,801-8167,CONTINENTAL ASSURANCE COMPANY,CONTINENTAL ASSURANCE COMPANY,"333 S. WABASH AVE., 23RD FL",,CHICAGO,IL,USA,60604,312-822-4921,312-822-4175,,,,,,,Approved,12/14/1971,3/29/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"31,673,280.00",0,"31,673,280.00",2,0,2,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,132513,801-64185,"SBK FINANCIAL, INC.","SBK FINANCIAL, INC.",8720 STONY POINT PARKWAY,SUITE 250,RICHMOND,VA,USA,23235,804-237-1700,804-237-1717,,,,,,,Approved,5/9/2005,3/29/2010,Y,WWW.SBKFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"229,430,795.00",0,"229,430,795.00",551,0,551,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111879,801-57368,GRIFFON CAPITAL MANAGEMENT INC.,GRIFFON CAPITAL MANAGEMENT INC.,100 WEST BIG BEAVER  RD.,SUITE 200,TROY,MI,UNITED STATES,48084,248-828-3600,248-828-8544,,,,,,,Approved,3/14/2000,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,11-25 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"26,154,233.00",0,"26,154,233.00",11,0,11,N,Y,N,Y,N,N,N,N,N,Y,PROXY VOTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104960,801-8293,BURNHAM ASSET MANAGEMENT CORP,BURNHAM ASSET MANAGEMENT CORP,"1325 AVE OF THE AMERICAS, 26TH FL",,NEW YORK,NY,UNITED STATES,10019,212-262-3100,212-603-7525,,,,,,,Approved,12/14/1971,3/29/2010,Y,WWW.BURNHAMFINANCIAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,11-25 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"1,084,860,961.00","982,772.00","1,085,843,733.00",487,3,490,N,Y,Y,Y,N,N,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
FWRO,106917,801-34644,MITCHELL GROUP INC,"THE MITCHELL GROUP, INC.",1100 LOUISIANA ST,SUITE 5000,HOUSTON,TX,UNITED STATES,77002,713-759-2070,713-759-2079,,,,,,,Approved,6/16/1989,3/29/2010,Y,TMGENERGY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,51-75 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,ENDOWMENTS,Y,N,N,N,N,N,Y,SEE MISC.,Y,"500,056,331.00",0,"500,056,331.00",37,0,37,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104663,801-21989,MCQUEEN BALL & ASSOCIATES INC,MCQUEEN BALL & ASSOCIATES INC,MAIN STREET COMMONS,"561 MAIN STREET, SUITE 100",BETHLEHEM,PA,UNITED STATES,18018-5860,610-954-0400,610-954-0500,,,,,,,Approved,8/24/1984,3/29/2010,Y,WWW.MCQUEENBALL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"902,832,459.00",0,"902,832,459.00","1,273",0,"1,273",Y,Y,N,Y,Y,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111148,801-12741,VARI INVESTOR SERVICES INC,VARI INVESTOR SERVICES INC,7777 FAY AVE STE 230,,LA JOLLA,CA,UNITED STATES,92037-4325,858-454-3557,858-454-3559,,,,,,,Approved,1/21/1977,1/25/2010,Y,WWW.VARI-INC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"51,003,094.00","275,095.00","51,278,189.00",173,1,174,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,7597,801-57662,"ALLEGHENY INVESTMENTS, LTD.","ALLEGHENY INVESTMENTS, LTD.",STONE QUARRY CROSSING,"811 CAMP HORNE ROAD, SUITE 100",PITTSBURGH,PA,UNITED STATES,15237,412-367-3880,412-367-8353,,,,,,,Approved,6/2/2000,1/25/2010,Y,WWW.ALLEGHENYINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,More than 500,"5,000",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,"2,778,710.00","910,165,325.00","912,944,035.00",947,"7,177","8,124",Y,Y,N,Y,N,N,N,N,N,N,,More than 500,1000,N,N,Y,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N
SFRO,104935,801-11279,GUARDIAN INVESTMENT MANAGEMENT,GUARDIAN INVESTMENT MANAGEMENT,"425 CALIFORNIA STREET, 17TH FLR.","181 SECOND AVE. SAN MATEO,CA.",SAN FRANCISCO,CA,UNITED STATES,94104,415-765-6860,415-765-1785,,,,,,,Approved,1/22/1976,1/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"135,775,556.00","9,552,574.00","145,328,130.00",107,5,112,N,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104690,801-12566,ALLEGHENY FINANCIAL GROUP LTD,ALLEGHENY FINANCIAL GROUP LTD,STONE QUARRY CROSSING,"811 CAMP HORNE ROAD, SUITE 100",PITTSBURGH,PA,UNITED STATES,15237,412-367-3880,412-367-8353,,,,,,,Approved,1/17/1977,1/25/2010,Y,WWW.ALLEGHENYFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,000",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,TRUSTS,Y,Y,N,Y,Y,Y,Y,RETAINER,Y,"93,050,000.00","1,660,035,423.00","1,753,085,423.00",940,"5,376","6,316",Y,Y,N,Y,N,N,N,N,N,N,,More than 500,1000,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,Y,Y,Y,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N
NYRO,131280,801-63054,"GREENHILL CAPITAL PARTNERS, LLC","GREENHILL CAPITAL PARTNERS, LLC",300 PARK AVENUE,23RD FLOOR,NEW YORK,NY,UNITED STATES,10022,212-389-1500,212-389-1700,,,,,,,Approved,4/27/2004,1/25/2010,Y,WWW.GREENHILL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"714,792,273.00",0,"714,792,273.00",8,0,8,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVICE TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,130417,801-62799,"PROVIDENT WEALTH MANAGEMENT, LLC","PROVIDENT WEALTH MANAGEMENT, LLC","105 WESTWOOD PLACE, SUITE 220",,BRENTWOOD,TN,UNITED STATES,37027,615-656-4050,615-377-9222,,,,,,,Approved,2/12/2004,1/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"72,600,000.00",0,"72,600,000.00",140,0,140,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,140216,801-67473,"GREENHILL VENTURE PARTNERS, LLC","GREENHILL VENTURE PARTNERS, LLC",300 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10022,212-389-1500,212-389-1700,,,,,,,Approved,1/25/2007,1/25/2010,Y,WWW.GREENHILL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"75,572,242.00",0,"75,572,242.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVICE TO VENTURE CAPITAL FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,130152,801-62839,"OUTRIDER MANAGEMENT, L.L.C.","OUTRIDER MANAGEMENT, L.L.C.","455 MARKET ST, SUITE 1600",,SAN FRANCISCO,CA,USA,94105,415-267-1300,415-267-1301,,,,,,,Approved,3/3/2004,1/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,11-25 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"138,000,000.00",0,"138,000,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,132039,801-63352,"KELLY CAPITAL MANAGEMENT, LLC","KELLY CAPITAL MANAGEMENT, LLC",1204 BALTIMORE PIKE,SUITE 305,CHADDS FORD,PA,UNITED STATES,19317-7374,610 558 1159,610 558 1192,,,,,,,Approved,7/15/2004,1/25/2010,Y,KCM-INVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"47,153,926.00",0,"47,153,926.00",164,0,164,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112374,801-57344,HART CAPITAL MANAGEMENT LLC,HART CAPITAL MANAGEMENT LLC,,,,,,,313-417-9740,313-886-2061,P. O. BOX 36414,,GROSSE POINTE,MI,UNITED STATES,48236,Approved,3/13/2000,1/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"29,274,190.00",0,"29,274,190.00",38,0,38,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,140449,801-66643,"JOHN R. FIESTA, LLC","JOHN R. FIESTA, LLC",,,,,,,617-262-0214,617-262-4763,,,,,,,Approved,4/21/2006,6/12/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,300,000.00",0,"25,300,000.00",10,0,10,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104708,801-34937,CLUNE & ASSOCIATES,CLUNE & ASSOCIATES,444 N MICHIGAN AVENUE STE 3450,,CHICAGO,IL,UNITED STATES,60611,312-644-6040,312-644-5046,,,,,,,Approved,8/4/1989,1/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,0,"91,000,000.00","91,000,000.00",0,88,88,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,111196,801-33822,DESTINY CAPITAL CORPORATION,DESTINY CAPITAL CORP,14142 DENVER WEST PARKWAY,SUITE 290,GOLDEN,CO,UNITED STATES,80401-3127,303-277-9977,303-277-1217,,,,,,,Approved,2/10/1989,1/25/2010,Y,WWW.DESTINYCAPITALCORPORATION.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"66,621,047.00","55,296,599.00","121,917,646.00",633,"1,229","1,862",Y,Y,N,N,N,Y,N,N,N,Y,PROJECT MANAGEMENT FOR SPECIFIC PLANNING TASKS FOR SPECIFIC CLIENTS.,101-250,,N,N,Y,Y,N,N,Y,N,Y,BNY MORTGAGE SOLUTIONS,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,144376,801-68209,MCI SERVICES LTD,MCI SERVICES LTD,GLOBAL HOUSE,5/5A SANDY'S ROW,LONDON,,UNITED KINGDOM,E1 7HW,11-44-207-655-4872,11-44-207-655-4816,,,,,,,Approved,8/14/2007,2/16/2010,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),INTERNATIONAL BUSINESS COMPANY,,SEYCHELLES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,145989,801-68729,"BENNETT GROUP FINANCIAL SERVICES, LLC","BENNETT GROUP FINANCIAL SERVICES, LLC","1400 K STREET, NW",SUITE 501,WASHINGTON,DC,USA,20005,202-216-4880,202-216-4908,,,,,,,Approved,1/10/2008,2/16/2010,Y,WWW.BENNETTGROUPFINANCIAL.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108622,801-34265,SALEM CAPITAL MANAGEMENT INC,SALEM CAPITAL MANAGEMENT INC,200 UNICORN PARK DRIVE,,WOBURN,MA,UNITED STATES,1801,781-932-9005,781-938-6056,,,,,,,Approved,4/20/1989,2/16/2010,Y,WWW.SALEMCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"321,499,257.00","10,817,543.00","332,316,800.00",117,2,119,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,120271,801-70002,"FINIGAN FINANCIAL SERVICES, LLC","FINIGAN FINANCIAL SERVICES, LLC",8381 OLD COURTHOUSE ROAD,SUITE 211,VIENNA,VA,USA,22182,703-790-5999,703-749-8588,,,,,,,Approved,4/16/2009,2/16/2010,Y,WWW.FINIGAN.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"42,330,000.00","1,966,000.00","44,296,000.00",113,6,119,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
HQ,125239,801-61823,LAXEY PARTNERS LIMITED,LAXEY PARTNERS LIMITED,"DERBY HOUSE, 64 ATHOL STREET",DOUGLAS,ISLE OF MAN,,UNITED KINGDOM,IM1 1JD,44 1624 690 900,44 1624 690 901,,,,,,,Approved,2/24/2003,9/1/2009,Y,WWW.LAXEYPARTNERS.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,ISLE OF MAN,Nov-50,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,021,153,312.00",0,"1,021,153,312.00",16,0,16,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
PLRO,5871,801-68760,"FIRST GEORGETOWN SECURITIES, INC","FIRST GEORGETOWN SECURITIES, INC.",1700 DIAGONAL RD.,#200,ALEXANDRIA,VA,UNITED STATES,22314,703-519-7700,703-519-7969,,,,,,,Approved,2/5/2008,9/1/2009,Y,WWW.FIRSTGEORGETOWN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,25-Nov,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,0,"40,000,000.00","40,000,000.00",0,20,20,N,Y,N,N,N,N,N,N,N,N,,,,N,N,Y,Y,N,N,N,N,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N
ARO,137761,801-68329,"J.C. REED ADVISORY GROUP, LLC","J.C. REED ADVISORY GROUP, LLC",2555 MERIDIAN BLVD,SUITE 140,FRANKLIN,TN,USA,37067,615-771-7988,615-771-7989,,,,,,,Approved,9/21/2007,10/1/2008,Y,WWW.JCREED.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"64,000,000.00",0,"64,000,000.00",314,0,314,N,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114258,801-67670,FINANCIAL GROUP INVESTMENT ADVISORS,PHIL DWAYNE WHEAT,,,,,,,214-385-2415,214-385-2434,,,,,,,Approved,3/23/2007,2/16/2010,Y,PHILWHEAT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,HOURLY FEES CAN BE AGREED TO,Y,0,"37,966,838.00","37,966,838.00",0,294,294,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,110501,801-9488,MAURY WADE & COMPANY,"EUGENE MAURY WADE, JR.",5100 POPLAR AVENUE,SUITE 2224,MEMPHIS,TN,UNITED STATES,38137,901-682-4613,901-682-4614,,,,,,,Approved,8/2/1973,2/16/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Sole Proprietorship,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"16,973,744.00","16,973,744.00",0,18,18,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,125811,801-64879,"PEARSON CAPITAL, INC.","PEARSON CAPITAL, INC.",,,,,,,813-641-7575,813-641-7755,P.O. BOX 3739,,APOLLO BEACH,FL,USA,33572,Approved,11/17/2005,2/16/2010,Y,WWW.PEARSONCAPITALINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,126,000.00",0,"25,126,000.00",512,0,512,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,145769,801-68621,"YACKTMAN CAPITAL GROUP, LLC","YACKTMAN CAPITAL GROUP, LLC",,,,,,,512-653-2095,512-263-2965,2303 RR 620 SOUTH SUITE 135-174,,AUSTIN,TX,UNITED STATES,78734,Approved,12/14/2007,2/16/2010,Y,WWW.YACKTMANCAPITALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"30,357,233.00",0,"30,357,233.00",55,0,55,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126224,801-63705,"JOHN G. GILOOLY, CPA","GILOOLY, JOHN GOODWIN",83 RAILROAD PLACE,,SARATOGA SPRINGS,NY,UNITED STATES,12866,518-691-0264,518-691-0263,,,,,,,Approved,1/3/2005,2/16/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Sole Proprietorship,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"16,000,000.00",0,"16,000,000.00",364,0,364,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,Y,CPA,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105010,801-35808,CAPITAL MANAGEMENT ASSOCIATES INC,CAPITAL MANAGEMENT ASSOCIATES INC,"7900 XERXES AVE. S, STE 500",,MINNEAPOLIS,MN,USA,55431-1120,952-893-1200,952-893-0133,,,,,,,Approved,1/2/1990,2/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"191,140.00","321,563,834.00","321,754,974.00",1,207,208,Y,Y,N,Y,N,Y,N,N,N,Y,FINANCIAL & BUSINESS CONSULTING,101-250,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,152978,801-71116,"OTTAVIANO & ASSOCIATES, LLC","OTTAVIANO & ASSOCIATES, LLC",SOS. PIPERA-TUNARI 196,,"VOLUNTARI, JUD. ILFOV",,ROMANIA,77190,40-727-88-22-88,40-21-204-4306,,,,,,,Approved,3/5/2010,2/16/2010,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SELECTION OF OTHER ADVISORS,Y,0,0,0,0,0,0,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105743,801-29159,"CCM INVESTMENT ADVISERS, LLC","CCM INVESTMENT ADVISERS, LLC",1201 MAIN STREET SUITE 1910,,COLUMBIA,SC,UNITED STATES,29201,803-254-9500,803-252-9530,,,,,,,Approved,4/3/1987,2/16/2010,Y,WWW.CCMINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,Nov-50,0,5-Jan,0,0,0,Nov-50,0,More than 500,600,26-50 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"2,160,000,000.00",0,"2,160,000,000.00",654,0,654,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,16629,801-69225,"EXCEL SECURITIES & ASSOCIATES,INC.","EXCEL SECURITIES & ASSOCIATES,INC.",200 CANAL VIEW BLVD.,SUITE 204,ROCHESTER,NY,UNITED STATES,14623,585-424-1234,585-424-1247,,,,,,,Approved,6/11/2008,2/16/2010,Y,WWW.EXCELSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"24,000,000.00","38,000,000.00","62,000,000.00",40,177,217,N,Y,N,N,N,Y,N,N,N,N,,0,,Y,Y,Y,N,N,N,Y,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,2625,801-67134,BERNARD L. MADOFF INVESTMENT SECURITIES LLC,BERNARD L. MADOFF INVESTMENT SECURITIES LLC,885 THIRD AVENUE,,NEW YORK,NY,USA,10022,212-230-2424,212-486-8178,,,,,,,Approved,9/12/2006,1/7/2008,Y,WWW.MADOFF.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,51-250,0,5-Jan,0,51-250,0,0,0,25-Nov,0,0 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,51-75 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,N,N,N,N,Y,N,N,,Y,"17,091,640,696.00",0,"17,091,640,696.00",23,0,23,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
BRO,139834,801-66396,"R&A CAPITAL MANAGEMENT, LLC","R&A CAPITAL MANAGEMENT, LLC","PINE TREE PLACE, SUITE 3A",360 ROUTE 101,BEDFORD,NH,USA,3110,603-471-9909,603-471-9996,,,,,,,Approved,3/14/2006,3/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,Y,% OF ASSETS UNDER ADVISEMENT,Y,"290,690,757.00","85,423,364.00","376,114,121.00",147,82,229,N,Y,N,Y,N,Y,N,N,N,Y,PORTFOLIO CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104946,801-34376,CINCINNATI ASSET MANAGEMENT INC,CINCINNATI ASSET MANAGEMENT INC,"4350 GLENDALE MILFORD RD, STE 160",,CINCINNATI,OH,USA,45242-3700,513-554-8500,513-554-8509,,,,,,,Approved,5/5/1989,3/11/2010,Y,CAMBONDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,10-Jun,0,0,0,10-Jun,0,More than 500,"2,000",51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,031,290,000.00",0,"1,031,290,000.00","2,661",0,"2,661",N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107834,801-56412,SEAMOUNT FINANCIAL GROUP INC,SEAMOUNT FINANCIAL GROUP INC,90 SO CASCADE AVENUE,SUITE 1140,COLORADO SPRINGS,CO,USA,80903,719-471-1171,719-471-1972,,,,,,,Approved,4/6/1999,3/11/2010,Y,WWW.SEAMOUNTFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"149,356,678.00","45,266,718.00","194,623,396.00",227,63,290,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,116379,801-60824,INVESTMENT COUNSELORS OF MARYLAND,INVESTMENT COUNSELORS OF MARYLAND LLC,803 CATHEDRAL STREET,,BALTIMORE,MD,UNITED STATES,21201,410-539-3838,410-625-9016,,,,,,,Approved,11/30/2001,3/11/2010,Y,WWW.ICOMD.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,SEED CAPITAL ACCOUNT,Y,N,N,N,N,Y,N,,Y,"2,056,445,544.00",0,"2,056,445,544.00",79,0,79,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,117815,801-60809,DKR CAPITAL PARTNERS L.P.,DKR CAPITAL PARTNERS L.P.,"1281 EAST MAIN STREET, 3RD FL.",,STAMFORD,CT,UNITED STATES,6902,203-324-8400,203-324-8488,,,,,,,Approved,2/1/2002,3/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"446,783,293.00",0,"446,783,293.00",10,0,10,N,N,N,N,N,N,N,N,N,Y,PRIVATE INVESTMENT FUND MANAGEMENT,,,N,N,N,N,Y,N,N,N,N,,N,,Y,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107056,801-58069,"THE SWARTHMORE GROUP, INC.","THE SWARTHMORE GROUP, INC.",1717 ARCH STREET,SUITE 3810,PHILADELPHIA,PA,UNITED STATES,19103,215-557-9300,215-557-9305,,,,,,,Approved,11/3/2000,3/11/2010,Y,WWW.SWARTHMOREGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,11-25 percent,26-50 percent,11-25 percent,FOUNDATIONS,Y,N,N,N,N,N,N,,Y,"1,136,955,500.00",0,"1,136,955,500.00",45,0,45,N,Y,N,Y,N,Y,N,N,N,Y,MUNICIPAL FINANCIAL ADVISORY,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110435,801-4690,JAMISON EATON & WOOD INC,JAMISON EATON & WOOD INC,"135 ROUTE 202/206, SUITE 10",,BEDMINSTER,NJ,UNITED STATES,7921,973-635-6700,908-532-0193,,,,,,,Approved,1/2/1968,3/11/2010,Y,WWW.JAMISONFIRST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,WRAP,Y,N,N,Y,N,Y,N,,Y,"640,957,992.00","8,670,553,983.00","9,311,511,975.00",506,52,558,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109020,801-56615,WOOD & ANTHONY LLC,WOOD & ANTHONY LLC,"135 ROUTE 202/206, SUITE 10",,BEDMINSTER,NJ,UNITED STATES,7921,973-635-6700,908-532-0193,,,,,,,Approved,6/18/1999,3/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"33,767,018.00",0,"33,767,018.00",63,0,63,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111631,801-60301,"MUNICREST INVESTMENT MANAGEMENT COMPANY, LLC","MUNICREST INVESTMENT MANAGEMENT COMPANY, LLC",100 ANDOVER BYPASS ROAD,SUITE 301,NORTH ANDOVER,MA,USA,1845,(877) 227-0847,(978) 683-3653,,,,,,,Approved,5/23/2001,3/11/2010,Y,WWW.MUNICREST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,THIRD PARTY REFERRAL FEES,Y,"192,906,724.00",0,"192,906,724.00",8,0,8,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105658,801-21811,"PRUDENTIAL BACHE ASSET MANAGEMENT, INC.","PRUDENTIAL BACHE ASSET MANAGEMENT, INC.",ONE NEW YORK PLAZA,13TH FLOOR,NEW YORK,NY,UNITED STATES,10292,800-643-2902,212-778-4023,,,,,,,Approved,7/17/1984,3/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"352,408,877.00",0,"352,408,877.00",3,0,3,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,Y,N,N,N,N,Y,N,Y,N
PLRO,104675,801-30823,INVESTMENT RESOURCE GROUP LTD,INVESTMENT RESOURCE GROUP LTD,"9690 DEERECO ROAD, SUITE 115",,TIMONIUM,MD,UNITED STATES,21093,410-561-9690,410-560-9999,,,,,,,Approved,11/20/1987,3/11/2010,Y,WWW.IRGLTD.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"45,837,094.00",0,"45,837,094.00",258,0,258,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109418,801-57786,FAN ASSET MANAGEMENT LLC,FAN ASSET MANAGEMENT LLC,201 SAN ANTONIO CIRCLE,SUITE 265,MOUNTAIN VIEW,CA,UNITED STATES,94040-1256,650-559-0360,650-559-0363,,,,,,,Approved,7/20/2000,3/11/2010,Y,WWW.FANASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"166,000,000.00","420,000,000.00","586,000,000.00",6,1,7,N,Y,N,Y,N,N,N,N,Y,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,129990,801-62939,"CONTEGO CAPITAL PARTNERS, LLC","CONTEGO CAPITAL PARTNERS, LLC",1030 W CHICAGO AVE,THIRD FLOOR,CHICAGO,IL,UNITED STATES,60622,312-376-1007,312-376-1008,1658 N MILWAUKEE AVE,SUITE 261,CHICAGO,IL,UNITED STATES,60647,Approved,4/8/2004,3/11/2010,Y,WWW.CONTEGOCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"254,000,000.00",0,"254,000,000.00",16,0,16,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,116291,801-62802,"ALPHA FINANCIAL ADVISORS, LLC","ALPHA FINANCIAL ADVISORS, LLC",8260 GREENSBORO DRIVE,SUITE 125,MCLEAN,VA,UNITED STATES,22102,703-442-7686,703-442-7597,,,,,,,Approved,2/13/2004,3/11/2010,Y,WWW.ALPHAFINANCIALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"53,449,063.00","1,252,622.00","54,701,685.00",247,1,248,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,134418,801-66443,DKR FUSION MANAGEMENT L.P.,DKR FUSION MANAGEMENT L.P.,1281 EAST MAIN STREET,,STAMFORD,CT,UNITED STATES,6902,203-324-8400,203-324-8488,,,,,,,Approved,4/5/2006,3/11/2010,Y,WWW.DKRFUSION.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,MANAGED ACCOUNTS,Y,N,N,N,N,Y,N,,Y,"288,000,685.00",0,"288,000,685.00",14,0,14,N,N,N,N,N,N,N,N,N,Y,PRIVATE INVESTMENT FUND AND MANAGED ACCOUNT MANAGEMENT,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,149742,801-70573,"AETHER INVESTMENT PARTNERS, LLC","AETHER INVESTMENT PARTNERS, LLC",1515 WYNKOOP STREET,SUITE 310,DENVER,CO,UNITED STATES,80202,720-961-4190,720-920-1690,,,,,,,Approved,9/3/2009,3/11/2010,Y,WWW.AETHERIP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"35,554,545.00",0,"35,554,545.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PRIVATE PLACEMENT MANAGEMENT,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,130505,801-65164,"ZABRISKIE, STEVEN",STEVEN ARTHUR ZABRISKIE,,,,,,,210-979-0485,210-979-0485,,,,,,,Approved,2/1/2006,3/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"40,000,000.00",0,"40,000,000.00",80,0,80,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,133013,801-68399,"CLEAN ENERGY CAPITAL, LLC","CLEAN ENERGY CAPITAL, LLC",5151 EAST BROADWAY,SUITE 510,TUCSON,AZ,UNITED STATES,85711,520-628-2000,520-323-9177,,,,,,,Approved,10/26/2007,3/11/2010,Y,HTTP://WWW.ETHANOLINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,LIMITED PARTNERSHIPS FOR ACCREDITED INVESTORS ONLY,N,N,N,N,N,Y,Y,PERCENTAGE OF INITIAL CAPITAL CONTRIBUTION,Y,"52,900,000.00",0,"52,900,000.00",18,0,18,N,N,N,N,N,N,N,N,N,Y,SERVICES AS AN INVESTMENT ADVISER TO LIMITED PARTNERSHIPS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,144892,801-70951,PALEN FINANCIAL LLC,PALEN FINANCIAL LLC,"1910 EAST KIMBERLY ROAD, SUITE 315",,DAVENPORT,IA,UNITED STATES,52807,563-344-5888,563-344-5889,,,,,,,Approved,1/12/2010,3/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"27,701,703.00","4,980,096.00","32,681,799.00",175,39,214,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,139942,801-66552,"FRENCH WOLF & FARR, INC.","FRENCH WOLF & FARR, INC.","3455 PEACHTREE ROAD, NE",SUITE 350,ATLANTA,GA,UNITED STATES,30326,404-604-3400,404-604-3401,,,,,,,Approved,4/26/2006,3/1/2010,Y,WWW.FRENCHWOLFFARR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"218,310,000.00","6,916,000.00","225,226,000.00",66,3,69,N,Y,N,Y,N,Y,N,N,N,Y,WEALTH ADVISORY SERVICES.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,137789,801-64971,PORTFOLIO DESIGN ADVISORS,PORTFOLIO DESIGN ADVISORS,3010 OLD RANCH PARKWAY,SUITE 460,SEAL BEACH,CA,UNITED STATES,90740,562-596-0465,562-683-0416,,,,,,,Approved,1/19/2006,3/1/2010,Y,WWW.SELECTONE.US,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"127,083,214.00",0,"127,083,214.00",450,0,450,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
FWRO,134086,801-66368,LEVEL FOUR ADVISORY SERVICES,"LEVEL FOUR ADVISORY SERVICES, LLC",5601 DEMOCRACY DRIVE,SUITE 170,PLANO,TX,UNITED STATES,75024,972-665-0878,972-665-0885,,,,,,,Approved,3/3/2006,3/1/2010,Y,WWW.LEVELFOURADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITOR FEES - PORTION OF ASSETS MANAGED BY OTHER ADVISORS,Y,"62,002,598.00","3,813,371.00","65,815,969.00",222,28,250,Y,Y,N,Y,Y,Y,N,N,N,Y,SEMINARS,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,115758,801-66961,"PHILLIPS CAPITAL ADVISORS, INC.","PHILLIPS CAPITAL ADVISORS, INC.",3555 NW 58TH,SUITE 600,OKLAHOMA CITY,OK,USA,73112,405-943-9433,405-943-3902,,,,,,,Approved,7/25/2006,3/1/2010,Y,WWW.PHILLIPSSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"24,112,585.00","167,288,886.00","191,401,471.00",90,15,105,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,Y,N,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,146928,801-69044,PRIVATE HARBOUR,PRIVATE HARBOUR INVESTMENT MANAGEMENT & COUNSEL LLC.,"29525 CHAGRIN BOULEVARD, STE. 110",,PEPPER PIKE,OH,UNITED STATES,44122,216-292-5700,216-292-5719,,,,,,,Approved,4/28/2008,3/1/2010,Y,WWW.PRIVATEHARBOUR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"197,659,404.00","2,556,888.00","200,216,292.00",536,3,539,Y,Y,N,Y,N,N,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,125568,801-61868,"COMPASS EFFICIENT MODEL PORTFOLIOS, LLC","COMPASS EFFICIENT MODEL PORTFOLIOS, LLC",213 OVERLOOK CIRCLE,SUITE A-1,BRENTWOOD,TN,UNITED STATES,37027,615-661-9622,615-661-6640,,,,,,,Approved,3/14/2003,3/1/2010,Y,WWW.COMPASSEMP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,101-250,0,26-50 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"350,861,900.00",0,"350,861,900.00",689,0,689,Y,Y,Y,Y,Y,N,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106019,801-38491,ROFFMAN MILLER ASSOCIATES INC,ROFFMAN MILLLER ASSOCIATES INC,1835 MARKET STREET,SUITE 500,PHILADELPHIA,PA,UNITED STATES,19103,215-981-1030,215-981-0146,,,,,,,Approved,3/22/1991,3/1/2010,Y,WWW.ROFFMANMILLER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,More than 500,500,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"369,809,774.00","7,263,143.00","377,072,917.00",617,10,627,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,137965,801-68208,THE MUTUAL FUND STORE,"TMFS COLUMBUS, LLC",5919 KARRIC SQUARE DRIVE,,DUBLIN,OH,UNITED STATES,43016,614-717-0707,614-717-0757,,,,,,,Approved,8/17/2007,3/1/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,700,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"117,841,383.00",0,"117,841,383.00",701,0,701,Y,Y,N,N,Y,N,N,N,N,Y,GENERAL CONSULTING,0,,N,N,N,N,N,N,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,105008,801-27836,ACADEMY CAPITAL MANAGEMENT,ACADEMY CAPITAL MANAGEMENT,500 N VALLEY MILLS DR STE #200,,WACO,TX,UNITED STATES,76710,254-751-0555,254-751-0611,P.O. BOX 8175,,WACO,TX,UNITED STATES,76714-8175,Approved,11/16/1987,3/1/2010,Y,WWW.ACADEMYCAPITALMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"346,694,670.00",0,"346,694,670.00",836,0,836,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,116554,801-60850,"HOLLO & ASSOCIATES, INC.","HOLLO & ASSOCIATES, INC.",3136 EAST MADISON,,SEATTLE,WA,USA,98112-4267,206-623-4952,206-682-8201,,,,,,,Approved,1/15/2002,3/1/2010,Y,HOLLOASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"33,879,182.00","1,683,749.00","35,562,931.00",183,43,226,Y,Y,N,N,N,N,Y,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110746,801-54496,FINANCIAL SECURITY ADVISORY INC,FINANCIAL SECURITY ADVISORY INC,575 LYNNHAVEN PARKWAY,SUITE 310,VIRGINIA BEACH,VA,UNITED STATES,23452,757-431-1414,757-431-1991,,,,,,,Approved,5/15/1997,3/1/2010,Y,WWW.GOFSG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"282,322,610.00",0,"282,322,610.00","2,713",0,"2,713",Y,Y,N,Y,N,N,N,N,N,N,,More than 500,1000,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108135,801-57784,CADINHA & CO LLC,CADINHA & CO LLC,"900 FORT ST. MALL, STE. 1240",,HONOLULU,HI,USA,96813-3713,808-523-9488,808-526-9725,,,,,,,Approved,6/22/2000,3/1/2010,Y,WWW.CADINHA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,0 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"679,561,464.00",0,"679,561,464.00","1,208",0,"1,208",N,Y,N,Y,N,N,N,N,N,Y,CONSULTING,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,104537,801-63748,H. S. DREHER CAPITAL MANAGEMENT LLC,H. S. DREHER CAPITAL MANAGEMENT LLC,275 SE BROAD STREET,,SOUTHERN PINES,NC,UNITED STATES,28387,[910] 692-4330,[910] 692-4663,,,,,,,Approved,1/3/2005,3/1/2010,Y,WWW.INTERESTONINTEREST.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"43,835,025.00",0,"43,835,025.00",75,0,75,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104995,801-36665,"ATWOOD & PALMER, INC.","ATWOOD & PALMER, INC.",4520 MADISON AVENUE,SUITE 200,KANSAS CITY,MO,USA,64111-3541,816-931-2266,816-931-0864,,,,,,,Approved,5/29/1990,3/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"406,199,791.00",0,"406,199,791.00",685,0,685,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,140614,801-67014,"CAMMACK LARHETTE ADVISORS, LLC","CAMMACK LARHETTE ADVISORS, LLC",65 WILLIAM STREET,SUITE 100,WELLESLEY,MA,USA,2481,781-237-2291,781-237-8536,,,,,,,Approved,7/14/2006,3/1/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,PLAN PARTICIPANTS,Y,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,139792,801-68997,"LEGACYTEXAS WEALTH ADVISORS, LLC","LEGACYTEXAS WEALTH ADVISORS, LLC",3512 PRESTON ROAD,,PLANO,TX,UNITED STATES,75093-7408,972-461-1525,972-461-1530,,,,,,,Approved,4/30/2008,3/1/2010,Y,WWW.LEGACYTEXASWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"30,320,000.00","122,000,000.00","152,320,000.00",85,5,90,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,N,N,N,,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115944,801-68836,FINANCIAL LEGACY ASSOCIATES,"FINANCIAL LEGACY ASSOCIATES, LLC",16020 SWINGLEY RIDGE ROAD,SUITE 100,CHESTERFIELD,MO,USA,63017,636-777-4200,636-777-7090,,,,,,,Approved,2/21/2008,3/1/2010,Y,WWW.FINANCIALLEGACY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"23,250,000.00","20,100,000.00","43,350,000.00",267,120,387,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
FWRO,153066,801-71139,TMS CAPITAL MANAGEMENT LTD.,TMS CAPITAL MANAGEMENT LTD.,9575 KATY FREEWAY,SUITE 360,HOUSTON,TX,UNITED STATES,77024,713-467-2300,713-467-2338,,,,,,,Approved,3/15/2010,3/1/2010,Y,WWW.TMSTRADE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"41,000,000.00",0,"41,000,000.00",2,0,2,N,N,N,N,N,Y,N,N,N,Y,CASH MANAGEMENT,0,,N,N,N,N,Y,N,N,N,Y,CURRENCY & INTEREST RATE HEDGING,N,,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,105096,801-14186,"PROFESSIONAL INVESTMENT COUNSEL, INC","PROFESSIONAL INVESTMENT COUNSEL, INC",5845 CROMO DRIVE,SUITE 3,EL PASO,TX,UNITED STATES,79912,915-845-6700,915-845-6705,,,,,,,Approved,10/1/1978,3/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"47,746,144.00","4,985,617.00","52,731,761.00",158,7,165,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,120205,801-62109,PDV FINANCIAL MANAGEMENT,PDV FINANCIAL MANAGEMENT,10680 WEST PICO BLVD,STE 400,LOS ANGELES,CA,USA,90064,310-559-0898,310-202-9170,,,,,,,Approved,6/4/2003,3/1/2010,Y,WWW.PDVFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"47,279,700.00","759,315.00","48,039,015.00",115,1,116,Y,Y,N,N,N,N,N,N,N,Y,COMPLIMENTARY NEWSLETTER,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,112308,801-14809,CENTURY MANAGEMENT,"VAN DEN BERG MANAGEMENT, INC. I",805 LAS CIMAS PARKWAY,SUITE 430,AUSTIN,TX,UNITED STATES,78746-9903,800-664-4888,512-329-0816,,,,,,,Approved,9/13/1979,3/1/2010,Y,WWW.CENTMAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,500",26-50 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"2,153,829,583.00",0,"2,153,829,583.00","2,349",0,"2,349",Y,Y,Y,Y,N,N,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,Y,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,151434,801-70849,"PACIFIC FINANCIAL STRATEGIES, INC","PACIFIC FINANCIAL STRATEGIES, INC",28720 ROADSIDE DR,STE. 152,AGOURA HILLS,CA,UNITED STATES,91301,(818) 991-7794,(818) 735-0780,,,,,,,Approved,12/7/2009,4/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"40,000,000.00",0,"40,000,000.00",358,0,358,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,143673,801-67820,"PENSION CONSULTING ALLIANCE, INC.","PENSION CONSULTING ALLIANCE, INC.",514 NW 11TH AVE. #203,,PORTLAND,OR,USA,97209-3227,503-226-1050,503-226-7702,,,,,,,Approved,5/4/2007,4/16/2010,Y,WWW.PENSIONCONSULTING.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108273,801-28773,FIDELITY MANAGEMENT & RESEARCH (U.K.) INC.,FIDELITY MANAGEMENT & RESEARCH (U.K.) INC.,82 DEVONSHIRE STREET V10G,,BOSTON,MA,UNITED STATES,2109,617-563-7000,617-692-1784,,,,,,,Approved,5/11/1987,4/16/2010,Y,WWW.FIDELITY.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,OTHER INVESTMENT ADVISERS TO INVESTMENT COMPANIES,Y,N,N,N,N,Y,Y,110% OF REGISTRANT'S COSTS INCURRED IN PROVIDING SERVICES,Y,"11,362,354,651.00",0,"11,362,354,651.00",8,0,8,N,N,Y,Y,N,N,N,N,N,Y,"INVESTMENT CONSULTATION, RESEARCH AND PORTFOLIO MANAGEMENT ADVICE",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,137083,801-71376,GRAVITY PARTNERS,GRAVITY CAPITAL MANAGEMENT LLC,136 MADISON AVENUE,4TH FLOOR,NEW YORK,NY,UNITED STATES,10016,212-743-6917,646-219-0637,,,,,,,Approved,4/30/2010,4/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,Up to 10 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"25,000,000.00",0,"25,000,000.00",25,0,25,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,148045,801-69507,FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED,FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED,"FLOOR 19, 41 CONNAUGHT ROAD CENTRAL",,HONG KONG,,HONG KONG,,852-3711-9322,852-3711-9332,82 DEVONSHIRE STREET V10G,,BOSTON,MA,UNITED STATES,2109,Approved,9/8/2008,4/16/2010,Y,WWW.FIDELITY.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Other (specify),COMPANY LIMITED BY SHARES,,HONG KONG,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,OTHER INVESTMENT ADVISERS TO INVESTMENT COMPANIES,Y,N,N,N,N,Y,Y,110% OF REGISTRANT'S COSTS INCURRED IN PROVIDING SERVICES,Y,"1,856,073,114.00",0,"1,856,073,114.00",1,0,1,N,N,Y,N,N,N,N,N,N,Y,"INVESTMENT CONSULTATION, RESEARCH AND PORTFOLIO MANAGEMENT ADVICE",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
BRO,148239,801-69571,FIDELITY MANAGEMENT & RESEARCH (JAPAN) INC.,FIDELITY MANAGEMENT & RESEARCH (JAPAN) INC.,82 DEVONSHIRE STREET V10G,,BOSTON,MA,UNITED STATES,2109,617-563-7000,617-692-1784,,,,,,,Approved,9/26/2008,4/16/2010,Y,WWW.FIDELITY.COM,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,OTHER INVESTMENT ADVISERS TO INVESTMENT COMPANIES,Y,N,N,N,N,Y,Y,110% OF REGISTRANT'S COSTS INCURRED IN PROVIDING SERVICES,N,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,Y,"INVESTMENT CONSULTATION, RESEARCH AND PORTFOLIO MANAGEMENT ADVICE",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
LARO,153695,801-71379,"YELLOWSTONE CAPITAL MANAGEMENT, LLC","YELLOWSTONE CAPITAL MANAGEMENT, LLC",24 CORPORATE PLAZA DRIVE,SUITE 190,NEWPORT BEACH,CA,UNITED STATES,92660,714-697-2143,949-209-5892,,,,,,,120-Day Approval,5/7/2010,4/16/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISORY FEES,Y,0,0,0,0,0,0,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122212,801-62577,"MARKET STREET WEALTH MANAGEMENT ADVISORS, LLC","MARKET STREET WEALTH MANAGEMENT ADVISORS, LLC","300 NORTH MERIDIAN STREET, SUITE 1100",,INDIANAPOLIS,IN,USA,46204,317-860-1078,317-860-1417,,,,,,,Approved,1/2/2004,4/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"110,000,000.00",0,"110,000,000.00",120,0,120,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,145911,801-68694,NATSOURCE ASSET MANAGEMENT LLC,NATSOURCE ASSET MANAGEMENT LLC,100 WILLIAM STREET,SUITE 2005,NEW YORK,NY,UNITED STATES,10038,212-232-5300,212-747-1905,,,,,,,Approved,1/24/2008,4/19/2010,Y,WWW.NATSOURCE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"101,984,040.00","206,029,165.00","308,013,205.00",4,5,9,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
MIRO,118889,801-60936,"INTEGRATED ASSET MANAGEMENT, LLC","INTEGRATED ASSET MANAGEMENT, LLC",7336 DELAINEY COURT,,SARASOTA,FL,USA,34240,941-907-0700,646-201-4439,,,,,,,Approved,2/28/2002,4/19/2010,Y,IAMLLC.BIZ,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"36,043,703.00",0,"36,043,703.00",202,0,202,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,132894,801-63539,"MARKETTREND ADVISORS, LTD.","MTA CAPITAL, LTD.",,,,,,,512-255-8722,512-255-8732,3720 GATTIS SCHOOL ROAD #800-214,,ROUND ROCK,TX,UNITED STATES,78664,Approved,9/29/2004,4/19/2010,Y,WWW.MARKETTRENDADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"29,000,000.00",0,"29,000,000.00",290,0,290,N,Y,N,N,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,109608,801-54966,"GABLES CAPITAL MANAGEMENT, INC.",GABLES CAPITAL MANAGEMENT INC,"1201 BRICKELL AVENUE, SUITE 440",,MIAMI,FL,UNITED STATES,33131,305-374-9121,305-374-2399,,,,,,,Approved,10/10/1997,4/19/2010,Y,WWW.GABLESCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"234,405,235.00","3,310,187.00","237,715,422.00",227,10,237,N,Y,N,Y,N,N,N,N,N,Y,"ADVISORY SERVICES TO  CYPRESS GROVE PARTNERS, L.P. AND GCM GLOBAL PARTNERS LP (HEDGE FUNDS)",0,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110478,801-18321,GLENN WOODY FINANCIAL CONSULTANTS INC,GLENN WOODY FINANCIAL CONSULTANTS INC,151 KALMUS DRIVE,SUITE C-150,COSTA MESA,CA,UNITED STATES,92626,714-850-0534,714-850-0934,,,,,,,Approved,1/28/1983,4/19/2010,Y,WWW.PLANRETIRE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"120,876,568.00","25,737,289.00","146,613,857.00",333,221,554,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,152047,801-70852,"THE NATIONS GROUP ADVISORS, LLC","THE NATIONS GROUP ADVISORS, LLC",4200 W. 115TH STREET,SUITE 100,LEAWOOD,KS,UNITED STATES,66211,913-647-9700,913-647-9725,,,,,,,Approved,12/11/2009,4/19/2010,Y,WWW.TNG-ADVISORS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,Y,Y,N,Y,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110088,801-50261,TD ASSET MANAGEMENT,TDAM USA INC.,161 BAY STREET,"35TH FLOOR, TD CANADA TRUST TOWER","TORONTO, ONTARIO",,CANADA,M5J 2T2,416-982-7848,416-308-9259,,,,,,,Approved,9/28/1995,4/19/2010,Y,WWW.TDAMUSA.COM,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,251-500,0,51-250,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"18,889,340,000.00",0,"18,889,340,000.00",185,0,185,N,Y,Y,Y,N,N,N,N,N,Y,"PROVIDE INVESTMENT ADVICE TO TRUSTS, ESTATES, CHARITABLE ORGANIZATIONS, PENSION AND PROFIT SHARING PLANS AND PRIVATE FUNDS",0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,105511,801-18176,ST LOUIS FINANCIAL PLANNERS INC,ST LOUIS FINANCIAL PLANNERS INC,"1415 ELBRIDGE PAYNE ROAD, STE 140",,CHESTERFIELD,MO,UNITED STATES,63017,636-532-3900,636-532-4308,,,,,,,Approved,1/17/1983,12/10/2009,Y,WWW.STLFP.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,MO,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,500,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"83,556,579.00","66,136,753.00","149,693,332.00","1,030",260,"1,290",Y,Y,N,N,N,N,Y,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138733,801-70020,BEACH HORIZON LLP,BEACH HORIZON LLP,10 FINSBURY SQUARE,,LONDON,,UNITED KINGDOM,EC2A 1AD,+44 20 7382 2460,+44 20 7382 2462,,,,,,,Approved,3/20/2009,4/19/2010,Y,WWW.BEACHHORIZON.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,Nov-50,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"285,000,000.00",0,"285,000,000.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE FUNDS,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,27108,801-37383,"BUTTONWOOD PARTNERS, INC.","BUTTONWOOD PARTNERS, INC.",701 DEMING WAY,SUITE 100,MADISON,WI,UNITED STATES,53717,608-827-6400,608-827-6407,,,,,,,Approved,9/6/1990,12/10/2009,Y,WWW.BTNWD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,0,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"52,009,380.00",0,"52,009,380.00",72,0,72,N,Y,N,N,N,N,N,N,N,N,,51-100,,N,Y,Y,Y,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N
DRO,146764,801-69152,"VALPAR, INC.","VALPAR, INC.",701 P STREET,SUITE 303,LINCOLN,NE,UNITED STATES,68508,402-440-3910,888-869-7861,,,,,,,Approved,5/12/2008,3/11/2010,Y,WWW.VALPARINC.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,11-25 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,PERSONAL TRUST,Y,N,N,Y,N,N,Y,PARTICIPANT BASED FEES,Y,"2,463,749.00","66,636,200.00","69,099,949.00",7,83,90,N,N,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,Y,QUALIFIED RETIREMENT PLAN COMPLIANCE  MANAGEMENT,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106261,801-53667,SMITHBRIDGE ASSET MANAGEMENT INC,SMITHBRIDGE ASSET MANAGEMENT INC,"5 CHRISTY DRIVE, SUITE 206",,CHADDS FORD,PA,UNITED STATES,19317,610-361-9141,610-361-9140,,,,,,,Approved,1/16/1997,3/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"148,224,720.00",0,"148,224,720.00",150,0,150,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107436,801-53005,ALBION INVESTORS LLC,ALBION INVESTORS LLC,"75 ROCKEFELLER PLAZA, 15TH FL.",,NEW YORK,NY,UNITED STATES,10019,212-277-7529,646-723-3263,,,,,,,Approved,10/10/1996,3/11/2010,Y,HTTPS://WWW.ALBIONINVESTORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"43,736,000.00","981,854,000.00","1,025,590,000.00",3,3,6,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,123676,801-61787,ABINGDON CAPITAL MANAGEMENT,ABINGDON CAPITAL MANAGEMENT LTD.,1650 TYSONS BOULEVARD,SUITE 1575,MCLEAN,VA,UNITED STATES,22102,(703) 269-3400,(703) 269-3380,,,,,,,Approved,2/4/2003,3/11/2010,Y,WWW.ABINGDONCAPITAL.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,555,911.00",0,"5,555,911.00",2,0,2,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,114383,801-60572,"CPA GROUP INVESTMENT MANAGEMENT, LLC","CPA GROUP INVESTMENT MANAGEMENT, LLC",501 WEST 19TH STREET,,PANAMA CITY,FL,UNITED STATES,32405,850-769-9491,850-785-9590,P.O. BOX 1100,,PANAMA CITY,FL,UNITED STATES,32402,Approved,9/14/2001,3/11/2010,Y,WWW.CPAGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"33,057,281.00","548,273.00","33,605,554.00",39,2,41,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104941,801-22150,BRODE MANAGEMENT GROUP LTD,BRODE MANAGEMENT GROUP LTD,,,,,,,847-242-0494,847-242-0711,,,,,,,Approved,8/16/1984,3/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"35,568,408.00",0,"35,568,408.00",79,0,79,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,129669,801-62554,"LEXINGTON ASSET MANAGEMENT, INC.","LEXINGTON ASSET MANAGEMENT, INC.",5847 SAN FELIPE,STE 200,HOUSTON,TX,USA,77057,713-344-9300,713-344-9299,,,,,,,Approved,1/2/2004,3/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"101,462,518.00",0,"101,462,518.00",332,0,332,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
LARO,105737,801-35826,"BENGEN FINANCIAL SERVICES, INC.","BENGEN FINANCIAL SERVICES, INC.",,,,,,,619-579-1444,619-579-0658,,,,,,,Approved,1/11/1990,3/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"51,071,275.00",0,"51,071,275.00",225,0,225,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,115148,801-60681,ABINGDON CAPITAL MANAGEMENT LLC,ABINGDON CAPITAL MANAGEMENT LLC,1650 TYSONS BOULEVARD,SUITE 1575,MCLEAN,VA,USA,22102,(703) 269-3400,(703) 269-3380,,,,,,,Approved,11/5/2001,3/11/2010,Y,WWW.ABINGDONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"56,455,805.00",0,"56,455,805.00",3,0,3,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,110775,801-14116,FLOWER WALTER C & CO INC,FLOWER WALTER C & CO INC,408 MAGAZINE STREET,,NEW ORLEANS,LA,UNITED STATES,70130-2435,504-524-8276,504-524-8657,,,,,,,Approved,10/20/1978,10/13/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"181,791,699.00","1,278,236.00","183,069,935.00",42,3,45,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,141874,801-67186,"ROONEY CAPITAL MANAGEMENT, INC.","ROONEY CAPITAL MANAGEMENT, INC.",,,,,,,651-797-2973,651-797-2974,,,,,,,Approved,9/19/2006,3/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,Nov-50,0,25-Nov,0,0 percent,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,"434,599,000.00","434,599,000.00",0,12,12,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,136213,801-68872,QUANTUM WEALTH MANAGEMENT LLC,QUANTUM WEALTH MANAGEMENT LLC,600 CORPORATE POINTE,SUITE 1120,CULVER CITY,CA,UNITED STATES,90230,310-568-1204,310-568-1207,,,,,,,Approved,2/27/2008,3/11/2010,Y,WWW.QUANTUMWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"60,128,788.00",0,"60,128,788.00",76,0,76,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,18266,801-61265,CULLEN ASSET MANAGEMENT,"CULLEN INVESTMENT GROUP, LTD.",1404 S. COLLEGE RD.,,LAFAYETTE,LA,UNITED STATES,70503,337-237-8000,337-237-8057,P.O. BOX 53669,,LAFAYETTE,LA,UNITED STATES,70505,Approved,7/9/2002,3/11/2010,Y,WWW.CULLENONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,LA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"124,246,281.00","585,220.00","124,831,501.00",371,1,372,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,Y,N,N,,Y,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,109268,801-57982,"PFLUG KOORY, LLC","PFLUG KOORY, LLC",11312 'Q' STREET,,OMAHA,NE,USA,68137,402-691-0988,402-691-0251,,,,,,,Approved,9/26/2000,3/11/2010,Y,WWW.PKLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"44,737,776.00","40,875,315.00","85,613,091.00",79,11,90,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,112368,801-29207,"CROWLEY WEALTH MANAGEMENT, INC.","CROWLEY WEALTH MANAGEMENT, INC.",3201-B MILLCREEK ROAD,,WILMINGTON,DE,UNITED STATES,19808,302-994-4700,302-994-9495,,,,,,,Approved,4/20/1987,3/11/2010,Y,WWW.CROWLEYWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"89,680,122.00","500,238.00","90,180,360.00",628,2,630,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,148975,801-69775,"SEMINOLE ADVISORY SERVICES, LLC","SEMINOLE ADVISORY SERVICES, LLC",516 LAKEVIEW ROAD,VILLA 3,CLEARWATER,FL,UNITED STATES,33756,727-298-8930,727-298-0358,,,,,,,Approved,1/2/2009,3/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"270,871,000.00",0,"270,871,000.00",2,0,2,N,N,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,121956,801-61367,"RICHTER BOBER ASSET MANAGEMENT, LLC","RICHTER BOBER ASSET MANAGEMENT, LLC",777 POST ROAD,,DARIEN,CT,UNITED STATES,06820-2503,203-655-0314,203-655-0354,,,,,,,Approved,3/7/2003,3/11/2010,Y,WWW.RBAM.US,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"326,315,000.00",0,"326,315,000.00",210,0,210,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110153,801-57534,"IRONBRIDGE CAPITAL MANAGEMENT, LP","IRONBRIDGE CAPITAL MANAGEMENT, LP","ONE PARKVIEW PLAZA, SUITE 600",,OAKBROOK TERRACE,IL,UNITED STATES,60181,630-684-8300,630-684-8301,,,,,,,Approved,5/23/2000,3/11/2010,Y,WWW.IRONBRIDGE.NET,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"7,415,098,743.00",0,"7,415,098,743.00",99,0,99,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,115674,801-68156,"INDEPENDENT FINANCIAL PLANNING, INC.","INDEPENDENT FINANCIAL PLANNING, INC.",7001 HERITAGE VILLAGE PLAZA,SUITE 270,GAINESVILLE,VA,UNITED STATES,20155,703-743-9318,703-754-7154,,,,,,,Approved,7/11/2007,10/13/2009,Y,WWW.IFPINVESTORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"27,092,970.00",0,"27,092,970.00",286,0,286,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,120240,801-61092,"MAGEE THOMSON INVESTMENT PARTNERS, LLC","MAGEE THOMSON INVESTMENT PARTNERS, LLC",12531 HIGH BLUFF DRIVE,SUITE 120,SAN DIEGO,CA,UNITED STATES,92130,858-350-5050,858-350-5051,,,,,,,Approved,5/9/2002,3/11/2010,Y,WWW.MAGEETHOMSON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"449,696,001.00",0,"449,696,001.00",14,0,14,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,117842,801-60917,TRAPEZE ASSET MANAGEMENT INC.,TRAPEZE ASSET MANAGEMENT INC.,22 ST. CLAIR AVENUE EAST,18TH FLOOR,"TORONTO, ONTARIO",,CANADA,M4T 2S3,416-861-0774,416-867-9771,,,,,,,Approved,2/8/2002,3/11/2010,Y,WWW.TRAPEZEASSET.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",Nov-50,0,10-Jun,0,10-Jun,0,Nov-50,0,More than 500,500,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"200,671,350.00","33,636,350.00","234,307,700.00","1,164",148,"1,312",N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,7890,801-11448,ASSET PLANNING CORPORATION,ASSET PLANNING CORPORATION,234 S. PETERS RD.,SUITE 102,KNOXVILLE,TN,USA,37923,865-690-1231,865-690-5224,,,,,,,Approved,4/2/1976,3/11/2010,Y,WWW.ASSETPLANNINGCORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"108,551,755.00","3,160,424.00","111,712,179.00",127,4,131,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,Y,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107002,801-38720,COMPTON CAPITAL MANAGEMENT INC,COMPTON CAPITAL MANAGEMENT INC,170 WESTMINSTER STREET,SUITE 1000,PROVIDENCE,RI,UNITED STATES,2903,401-453-4040,401-453-3275,,,,,,,Approved,4/26/1991,3/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,RI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,MEEHAN FUND,Y,N,N,Y,N,N,N,,Y,"193,961,858.00","9,843,551.00","203,805,409.00",431,12,443,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109400,801-57572,HUSSMAN ECONOMETRICS ADVISORS INC,HUSSMAN ECONOMETRICS ADVISORS INC,5136 DORSEY HALL DRIVE,FIRST FLOOR,ELLICOTT CITY,MD,UNITED STATES,21042,410-715-1130,410-715-1131,,,,,,,Approved,5/19/2000,3/11/2010,Y,HTTP://WWW.HUSSMAN.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"7,092,630,924.00",0,"7,092,630,924.00",3,0,3,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,115585,801-60580,"HATTON CONSULTING, INC.","HATTON CONSULTING, INC.",5090 N 40TH STREET,SUITE  160,PHOENIX,AZ,UNITED STATES,85018,602-852-5520,602-852-5535,,,,,,,Approved,9/19/2001,3/11/2010,Y,WWW.HATTONCONSULTING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"170,882,167.00",0,"170,882,167.00",395,0,395,Y,Y,N,N,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR NOT-FOR-PROFIT COMPANIES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107058,801-29001,CHECK CAPITAL MANAGEMENT INC,CHECK CAPITAL MANAGEMENT INC,575 ANTON BLVD,STE 500,COSTA MESA,CA,UNITED STATES,92626-7685,714-641-3579,714-641-8128,,,,,,,Approved,3/6/1987,3/11/2010,Y,WWW.CHECKCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,More than 500,"1,000",Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,Y,N,N,Y,N,,Y,"327,998,000.00","29,466,300.00","357,464,300.00","1,023",90,"1,113",Y,Y,Y,Y,N,Y,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,129486,801-62532,"RAINBOW CAPITAL, LLC","RAINBOW CAPITAL, LLC",,,,,,,831-624-5550,,,,,,,,Approved,12/4/2003,3/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"52,542,071.00",0,"52,542,071.00",72,0,72,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,121964,801-66978,"GOLDEN SUN CAPITAL MANAGEMENT, LLC","GOLDEN SUN CAPITAL MANAGEMENT, LLC",885 ARAPAHOE AVE,,BOULDER,CO,UNITED STATES,80302,303-449-6125,303-449-6126,,,,,,,Approved,7/12/2006,3/11/2010,Y,HTTP://WWW.GOLDENSUNCAPITAL.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"6,300,000.00","700,000.00","7,000,000.00",6,2,8,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105410,801-26083,WILLIS INVESTMENT MANAGEMENT CO,WILLIS INVESTMENT MANAGEMENT CO,"501 FAULCONER DR., STE 2B",,CHARLOTTESVILLE,VA,UNITED STATES,22903-4980,434-977-3348,434-295-9183,,,,,,,Approved,12/30/1985,3/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"80,172,711.00",0,"80,172,711.00",33,0,33,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105195,801-34890,BTR CAPITAL MANAGEMENT INC,BTR CAPITAL MANAGEMENT INC,550 KEARNY STREET,SUITE 510,SAN FRANCISCO,CA,USA,94108,415-989-0100,415-989-0123,,,,,,,Approved,7/28/1989,8/24/2010,Y,WWW.BTRCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,FAMILY LIMITED PARTNERSHIP/LLC,Y,N,N,N,N,N,N,,Y,"420,246,445.00",0,"420,246,445.00",492,0,492,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,108325,801-38096,"RAINSBERGER WEALTH ADVISORS, INC.","RAINSBERGER WEALTH ADVISORS, INC.",980 PICO POINT,,COLORADO SPRINGS,CO,UNITED STATES,80905,719-328-1944,719-328-1861,,,,,,,Approved,2/4/1991,2/26/2010,Y,WWW.RAINSWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"58,820,234.00","10,305,844.00","69,126,078.00",69,15,84,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106895,801-33041,PDS PLANNING INC,PDS PLANNING INC,1621 W FIRST AVE,,COLUMBUS,OH,UNITED STATES,43212,614-481-8449,614-486-0546,,,,,,,Approved,10/13/1988,2/26/2010,Y,WWW.PDSPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"454,292,158.00","454,292,158.00",0,345,345,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,128761,801-62451,SCHULTZ AND ASSOCIATES INC.,SCHULTZ AND ASSOCIATES INC.,125 NORTH 2ND ST,,ASHLAND,OR,USA,97520,541-482-5170,541-482-9173,POST OFFICE BOX 863,,ASHLAND,OR,US,97520,Approved,10/30/2003,2/26/2010,Y,SCHULTZ@MIND.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"42,707,000.00",0,"42,707,000.00",180,0,180,N,Y,N,N,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108255,801-28254,MOUNT LUCAS MANAGEMENT CORP.,MOUNT LUCAS MANAGEMENT CORP.,405 SOUTH STATE STREET,,NEWTOWN,PA,UNITED STATES,18940,267-759-3500,267-759-3501,,,,,,,Approved,10/23/1986,2/26/2010,Y,HTTP://WWW.MTLUCAS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,0 percent,11-25 percent,0 percent,Up to 10 percent,26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,457,000,000.00",0,"1,457,000,000.00",25,0,25,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,112477,801-57306,NATIONAL PENN CAPITAL ADVISORS,"NATIONAL PENN CAPITAL ADVISORS, INC.",95 NORTH BROAD ST,,DOYLESTOWN,PA,UNITED STATES,18901,215-230-7171,215-230-4471,,,,,,,Approved,2/22/2000,2/26/2010,Y,WWW.NATIONALPENNCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,Nov-50,0,251-500,0,26-50 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,Y,N,Y,MUTUAL FUND 12B-1 FEES,Y,"130,032,502.00","574,530,285.00","704,562,787.00",309,243,552,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,Y,N,,N,,Y,N,N,Y,N,Y,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,139249,801-66094,MILLER FINANCIAL GROUP,"MILLER, BRUCE W.",9115 SW OLESON RD,SUITE 200,PORTLAND,OR,UNITED STATES,97223,503-808-9404,503-808-9223,,,,,,,Approved,1/31/2006,2/26/2010,Y,WWW.MILLERFINANCIAL.BIZ,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,OR,UNITED STATES,5-Jan,0,0,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"37,000,000.00",0,"37,000,000.00",360,0,360,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,143203,801-67566,"PALADIN DIRECTORIES & REGISTRIES, INC.","PALADIN INTERNET PROPERTIES, INC.",,,,,,,916-253-3334,916-404-5566,,,,,,,Approved,2/21/2007,8/26/2009,Y,WWW.PALADINREGISTRY.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,More than 500,"5,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,WE ACT AS AN INTERNET MARKETING SERVICE TO OTHER RIAS AND B/DS,N,N,N,N,N,N,Y,"MEMBERSHIP, ADVERTISING, OR MATCH FEE.",N,0,0,0,0,0,0,N,N,N,N,N,Y,N,N,N,Y,MARKETING SERVICES FOR RIA'S AND B/D'S,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,122563,801-61422,SYMMETRY CAPITAL ADVISORS LLC,SYMMETRY CAPITAL ADVISORS LLC,8333 DOUGLAS AVENUE,SUITE 1220,DALLAS,TX,USA,75225-5819,214-696-2929,214-696-8888,,,,,,,Approved,8/23/2002,2/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"123,744,253.00","123,744,253.00",0,52,52,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114102,801-61731,"HORIZON ADVISORS, LLC","HORIZON ADVISORS, LLC","5851 SAN FELIPE, SUITE 700",,HOUSTON,TX,UNITED STATES,77057,713-748-7000,713-343-1986,,,,,,,Approved,1/15/2003,2/26/2010,Y,WWW.HORIZON-ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"100,180,541.00","49,134,054.00","149,314,595.00",334,111,445,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,Y,PUBLIC ACCOUNTING FIRM,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,130516,801-67598,"MARCUS CAPITAL, LLC","MARCUS CAPITAL, LLC","225 WEST WASHINGTON STREET,",SUITE 2200,CHICAGO,IL,USA,60606,312-924-0262,312-924-0201,,,,,,,Approved,3/2/2007,2/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"35,085,430.00","745,565.00","35,830,995.00",57,5,62,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,122451,801-64122,"LONGVIEW FINANCIAL ADVISORS, INC.","LONGVIEW FINANCIAL ADVISORS, INC.",220 B RHETT AVENUE,,HUNTSVILLE,AL,UNITED STATES,35801,256-534-1196,256-539-9529,,,,,,,Approved,3/31/2005,2/26/2010,Y,WWW.LONGVIEWFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"88,957,256.00","4,912,632.00","93,869,888.00",651,14,665,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,115613,801-68006,MCALLISTER CAPITAL MANAGEMENT,MCALLISTER CAPITAL MANAGEMENT CORPORATION,1907 DUNBARTON DRIVE,SUITE E,JACKSON,MS,UNITED STATES,39216,601-362-1000,601-362-1052,,,,,,,Approved,6/13/2007,2/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"47,000,000.00",0,"47,000,000.00",99,0,99,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110735,801-46437,PATTERSON & ASSOCIATES,PATTERSON CAPITAL MANAGEMENT LP,301 CONGRESS AVENUE SUITE 570,,AUSTIN,TX,USA,78701,512-320-5042,512-320-5041,,,,,,,Approved,5/6/1994,2/26/2010,Y,WWW.PATTERSON.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"98,807,638.00","5,368,125,687.00","5,466,933,325.00",1,33,34,N,N,N,Y,N,N,N,N,N,Y,CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,140667,801-66776,WESTLAKE FINANCIAL ADVISORS LLC,WESTLAKE FINANCIAL ADVISORS LLC,4195 E. THOUSAND OAKS,SUITE 125,WESTLAKE VILLAGE,CA,UNITED STATES,91362,805-371-4777,805-371-4122,,,,,,,Approved,6/1/2006,2/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,SELECTION OF OTHER ADVISORS,Y,"33,500,000.00",0,"33,500,000.00",57,0,57,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108411,801-56537,PANTHEON INVESTMENT LLC,PANTHEON INVESTMENT LLC,735 BROAD STREET,SUITE 200,CHATTANOOGA,TN,USA,37402,423-266-8020,423-267-6749,,,,,,,Approved,5/26/1999,2/26/2010,Y,WWW.PANINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"3,922,749.00","230,664,632.00","234,587,381.00",9,5,14,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,117977,801-65213,"KARSTENS INVESTMENT COUNSEL, INC.","KARSTENS INVESTMENT COUNSEL, INC.",10250 REGENCY CIRCLE,SUITE 100,OMAHA,NE,UNITED STATES,68114-4301,402-492-2727,402-408-2680,,,,,,,Approved,1/10/2006,2/26/2010,Y,WWW.KARSTENSINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"91,454,369.00","322,722,079.00","414,176,448.00",114,190,304,Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107789,801-55781,FWD INVESTMENTS INC.,FWD INVESTMENTS INC.,5613 DTC PARKWAY #310,C/O MADISON STREET PARTNERS,GREENWOOD VILLAGE,CO,UNITED STATES,80111-5017,303-815-1676,303-815-1670,,,,,,,Approved,8/18/1998,2/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,"71,000,000.00","71,000,000.00",0,11,11,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,130406,801-63135,"BURNS FINANCIAL MANAGEMENT, INC.","BURNS FINANCIAL MANAGEMENT, INC.","1208 U. S. HIGHWAY 1, SUITE A",,NORTH PALM BEACH,FL,USA,33408,561-624-3210,561-691-3210,"1208 U. S. HIGHWAY 1, SUITE A",,NORTH PALM BEACH,FL,USA,33408,Approved,5/17/2004,2/26/2010,Y,WWW.BURNSFIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,Y,NEGOTIATED FEE FOR SERVICE,Y,"48,824,409.00",0,"48,824,409.00",227,0,227,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105374,801-20567,"JJP CAPITAL MANAGEMENT, INC.","JJP CAPITAL MANAGEMENT, INC.",112 SOUTH COLLEGE AVENUE,,COLUMBIA,MO,UNITED STATES,65201,[573] 442-2763,[573] 443-6948,112 SOUTH COLLEGE AVENUE,,COLUMBIA,MO,UNITED STATES,65201,Approved,3/5/1984,2/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"113,933,004.00",0,"113,933,004.00",208,0,208,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,142962,801-67503,TRUE CAPITAL MANAGEMENT,TRUE CAPITAL MANAGEMENT LLC,455 MARKET STREET,SUITE 2240,SAN FRANCISCO,CA,UNITED STATES,94105,415-538-3600,415-538-3601,,,,,,,Approved,1/24/2007,2/26/2010,Y,WWW.TRUECAPITALMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,"REAL ESTATE AND LENDING, 0 TO 3% DEPENDING ON SIZE OF DEAL",Y,"86,593,886.00","3,426,890.00","90,020,776.00",95,8,103,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,140466,801-66850,"HR BENEFIT ADVISORS, LTD.","HR BENEFIT ADVISORS, LTD.",4 COMMERCIAL STREET,SUITE 100,ROCHESTER,NY,USA,14614,585.777.4114,585.777.4119,,,,,,,Approved,6/14/2006,3/10/2010,Y,WWW.HR-BENEFIT.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,Y,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,145267,801-68442,THUNDERSTORM MUTUAL FUNDS LLC,THUNDERSTORM MUTUAL FUNDS LLC,101 FEDERAL STREET,SUITE 1900,BOSTON,MA,UNITED STATES,2110,617-204-5653,617-204-5655,,,,,,,Approved,10/24/2007,3/10/2010,Y,WWW.THUNDERSTORMVALUE.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"11,490,000.00",0,"11,490,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108692,801-55062,"MORGENS, WATERFALL, VINTIADIS & COMPANY, INC.","MORGENS, WATERFALL, VINTIADIS & COMPANY, INC.","600 FIFTH AVENUE, 27TH FLOOR",,NEW YORK,NY,UNITED STATES,10020,212-218-4100,212-218-4130,,,,,,,Approved,11/25/1997,3/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"207,588,196.00",0,"207,588,196.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT OF PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,130447,801-62779,"PATRIOT WEALTH MANAGEMENT, INC.","PATRIOT WEALTH MANAGEMENT, INC.",5847 SAN FELIPE,SUITE 200,HOUSTON,TX,UNITED STATES,77057,713-344-9300,713-344-9299,,,,,,,Approved,2/9/2004,3/10/2010,Y,WWW.PATRIOTWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"621,730,800.00",0,"621,730,800.00",795,0,795,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
BRO,139013,801-65694,"TRILOGY CAPITAL, LLC","TRILOGY CAPITAL, LLC",33 BENEDICT PLACE,,GREENWICH,CT,UNITED STATES,6830,203-971-3400,203-971-3499,,,,,,,Approved,1/27/2006,3/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"840,744,384.00",0,"840,744,384.00",60,0,60,N,N,N,Y,N,N,N,N,N,Y,PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,143750,801-67818,BIRCH HILL INVESTMENT ADVISORS LLC,BIRCH HILL INVESTMENT ADVISORS LLC,24 FEDERAL STREET  10TH FLOOR,,BOSTON,MA,USA,2110,617-502-8300,617-502-8310,,,,,,,Approved,4/23/2007,3/10/2010,Y,WWW.BIRCHHILLADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"871,628,989.00","20,050,813.00","891,679,802.00",731,5,736,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,139910,801-66805,ROYAL CAPITAL MANAGEMENT,"DUPUIS, RICHARD DANIEL",4400 N. FEDERAL HIGHWAY,SUITE 125,BOCA RATON,FL,UNITED STATES,33431,561-394-4174,561-394-4420,,,,,,,Approved,6/26/2006,3/10/2010,Y,WWW.ROYALCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"75,801,755.00","7,836,128.00","83,637,883.00",131,21,152,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,117392,801-69025,SNIDER RETIREMENT STRATEGIES,"SNIDER RETIREMENT STRATEGIES, INC.",330 112TH AVENUE NE,SUITE 101,BELLEVUE,WA,UNITED STATES,98004,425-453-7080,425-453-5498,,,,,,,Approved,4/14/2008,3/10/2010,Y,WWW.SNIDERRS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),SUBCHAPTER S CORPORATION,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"52,022,000.00",0,"52,022,000.00",367,0,367,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,Y,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105417,801-30150,MONTGOMERY INVESTMENT MANAGEMENT INC,MONTGOMERY INVESTMENT MANAGEMENT INC,6550 ROCK SPRING DRIVE,STE 600A,BETHESDA,MD,UNITED STATES,20817,301-897-9783,301-897-9794,,,,,,,Approved,8/6/1987,3/10/2010,Y,WWW.MIMINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"214,511,273.00","65,247,375.00","279,758,648.00",293,36,329,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,Y,Y,N,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,110280,801-8123,DINSMORE CAPITAL MANAGEMENT CO.,DINSMORE CAPITAL MANAGEMENT CO.,65 MADISON AVE,SUITE 550,MORRISTOWN,NJ,USA,07960-7308,973-631-1177,973-631-9893,,,,,,,Approved,12/12/1971,3/10/2010,Y,WWW.DINSMORECAP.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"196,668,232.00",0,"196,668,232.00",2,0,2,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105289,801-27973,WAGNER BOWMAN MANAGEMENT CORP,WAGNER BOWMAN MANAGEMENT CORP,1838 GREENE TREE RD,SUITE 280,BALTIMORE,MD,UNITED STATES,21208,410-653-7979,410-653-8142,,,,,,,Approved,10/3/1986,3/10/2010,Y,WWW.WAGNERCAPITAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"338,821,000.00",0,"338,821,000.00",346,0,346,Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,131155,801-69262,WAYPOINT WEALTH PARTNERS,"WAYPOINT WEALTH PARTNERS, LLC",4695 MACARTHUR COURT #1100,,NEWPORT BEACH,CA,UNITED STATES,92660,949-215-3225,949-203-2852,,,,,,,Approved,6/17/2008,3/10/2010,Y,WWW.WAYPOINTWP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"129,137,767.00",0,"129,137,767.00",351,0,351,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104891,801-8315,WHITE MOUNTAINS ADVISORS LLC,WHITE MOUNTAINS ADVISORS LLC,200 HUBBARD ROAD,,GUILFORD,CT,UNITED STATES,6437,203-458-5800,203-458-0754,,,,,,,Approved,1/14/1972,3/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"29,171,456,276.00",0,"29,171,456,276.00",74,0,74,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,133619,801-63956,LEWIS CAPITAL MANAGEMENT,"LEWIS CAPITAL MANAGEMENT, LLC",9454 WILSHIRE BLVD.,SUITE M1,BEVERLY HILLS,CA,USA,90212,310-276-1262,310-276-1283,,,,,,,Approved,2/17/2005,3/10/2010,Y,HTTP://WWW.LEWISCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"69,434,103.00",0,"69,434,103.00",223,0,223,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111639,801-62638,"THE PUTNEY FINANCIAL GROUP, REGISTERED INVESTMENT ADVISORS","LENT, RAYMOND LAWRENCE",1099 E STREET,,SAN RAFAEL,CA,USA,94901,415-460-1990,415-460-1997,,,,,,,Approved,1/9/2004,3/10/2010,Y,WWW.PUTNEYFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,0,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"36,342,321.00","37,210,136.00","73,552,457.00",463,302,765,Y,Y,N,Y,N,N,N,N,N,Y,CONSULTING & SEMINARS,101-250,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,136711,801-65763,"SEAMARK CAPITAL, LP","SEAMARK CAPITAL, LP",223 WILMINGTON W. CHESTER PIKE,SUITE 115,CHADDS FORD,PA,USA,19317-9007,484-840-1530,484-840-1510,,,,,,,Approved,1/27/2006,3/10/2010,Y,WWW.SEAMARKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,,N,N,N,Y,N,Y,N,,Y,"29,595,644.00",0,"29,595,644.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT OF AN INVESTMENT PARTNERSHIP,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,113776,801-40965,"BAY CAPITAL, REGISTERED INVESTMENT ADVISOR",STEPHEN M. COOPER,3351 W. BEARSS AVENUE,,TAMPA,FL,USA,33618,813-286-1553,813-286-1526,,,,,,,Approved,3/12/1992,3/10/2010,Y,WWW.BAYCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,Y,N,,Y,"40,193,171.00",0,"40,193,171.00",270,0,270,N,N,N,N,N,Y,N,N,Y,N,,,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109524,801-68510,"ALLSTATE FINANCIAL ADVISORS, LLC","ALLSTATE FINANCIAL ADVISORS, LLC",3100 SANDERS ROAD,,NORTHBROOK,IL,USA,60062,847-402-5296,847-326-5495,,,,,,,Approved,11/21/2007,8/23/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,THIRD PARTY ADVISORY FEES,N,0,0,0,0,0,0,N,N,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N
DRO,115156,801-68780,"HEARTLAND INVESTMENT ADVISORS, LLC","HEARTLAND INVESTMENT ADVISORS, LLC",7015 COLLEGE BLVD,SUITE 750,OVERLAND PARK,KS,UNITED STATES,66211,913-469-8227,913-469-8219,,,,,,,Approved,2/7/2008,8/23/2010,Y,WWW.HEARTLAND-ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"44,514,581.00",0,"44,514,581.00",149,0,149,N,Y,N,N,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,154664,801-71749,"NEXT ASSET MANAGEMENT, LLC","NEXT ASSET MANAGEMENT, LLC","2965 WOODSIDE ROAD, SUITE B",,WOODSIDE,CA,UNITED STATES,94062,650-619-7494,,,,,,,,120-Day Approval,8/24/2010,8/23/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,ADVISER TO PRIVATE INVESTMENT FUND,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,153247,801-71400,RESEARCH FINANCIAL STRATEGIES,"REUTEMANN FINANCIAL SOLUTIONS, INC.",9600 BLACKWELL ROAD,SUITE 101,ROCKVILLE,MD,UNITED STATES,20850,301-294-7500,301-294-7504,,,,,,,Approved,5/3/2010,8/23/2010,Y,WWW.RFSADVSORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE OF ANNUAL INCOME OR NET WORTH,Y,"54,873,215.00",0,"54,873,215.00",340,0,340,Y,Y,N,Y,N,N,Y,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,153242,801-71233,"EDMD FINANCIAL STRATEGIES, LLC","EDMD FINANCIAL STRATEGIES, LLC",2603 CAMINO RAMON,SUITE 200,SAN RAMON,CA,UNITED STATES,94583,925-242-2538,925-889-2002,,,,,,,120-Day Approval,3/25/2010,8/23/2010,Y,WWW.EDMD.ORG,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"11,919,482.00","9,167,115.00","21,086,597.00",265,214,479,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,Y,COLLEGE ADMISSIONS & FINANCIAL AID CONSULTING,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,128053,801-67824,CAMELOTTA,CAMELOT TECHNOLOGY ADVISORS,690 FIFTH STREET,SUITE #201,SAN FRANCISCO,CA,UNITED STATES,94107,415-806-3641,415-357-1583,,,,,,,Approved,4/23/2007,8/23/2010,Y,WWW.DIVORCEANALYSIS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,PORTION OF FEES PAID TO OTHER CAL. MGR SELECTION AND MONITORING,Y,"34,244,849.00",0,"34,244,849.00",63,0,63,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106336,801-22873,WBI INVESTMENTS,WBI INVESTMENTS INC.,34 SYCAMORE AVE,SUITE 1-E,LITTLE SILVER,NJ,UNITED STATES,7739,732-842-4920,732-842-8049,,,,,,,Approved,3/12/1985,8/23/2010,Y,WWW.WBADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,Nov-50,0,5-Jan,0,0,0,Nov-50,0,More than 500,"1,000",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,FAMILY LIMITED PARTNERSHIP/FRATERNITY,Y,N,N,N,N,N,N,,Y,"353,888,167.00",0,"353,888,167.00","1,597",0,"1,597",N,Y,N,Y,N,Y,Y,N,Y,N,,,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104518,801-252,DEUTSCHE INVESTMENT MANAGEMENT AMERICAS INC.,DEUTSCHE INVESTMENT MANAGEMENT AMERICAS INC.,345 PARK AVENUE,,NEW YORK,NY,USA,10154,212-454-7727,212-454-4703,,,,,,,Approved,11/1/1940,8/23/2010,Y,WWW.DEAM-US.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,251-500,0,0 percent,Up to 10 percent,Up to 10 percent,51-75 percent,11-25 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,SPECIAL PURPOSE VEHICLES,Y,N,N,N,N,Y,N,,Y,"249,594,347,851.00",0,"249,594,347,851.00",717,0,717,N,Y,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,N,Y,Y,N,Y,N,N,N,N,Y,N,N,N
HQ,148094,801-69684,CARA TRADING ADVISORS,CARA TRADING ADVISORS (BAHAMAS) LIMITED,SUITE 205A SAFFREY SQUARE,BAY STREET,NASSAU,,"BAHAMAS, THE",CB12762361,242-376-3333,,,,,,,,Approved,10/21/2008,2/2/2010,Y,WWW.CARACOMMUNITY.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"BAHAMAS, THE",5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"21,018,871.00",0,"21,018,871.00",72,0,72,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,140873,801-66975,"CASTLETON PARTNERS, LLC","CASTLETON PARTNERS, LLC",230 PARK AVENUE,SUITE 455,NEW YORK,NY,USA,10169-1525,212-832-9700,212-832-3980,,,,,,,Approved,8/14/2006,2/2/2010,Y,WWW.CASTLETONPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"267,325,123.00",0,"267,325,123.00",71,0,71,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147732,801-69409,KNIGHT TRANSITION MANAGEMENT LLC,KNIGHT TRANSITION MANAGEMENT LLC,TWO PRUDENTIAL PLAZA,"180 NORTH STETSON AVENUE, SUITE 3650",CHICAGO,IL,UNITED STATES,60601,312-553-8341,312-553-8344,,,,,,,Approved,7/11/2008,8/23/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,N,N,N,N,N,N,Y,NONE,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO TRANSITION MANAGEMENT SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,112743,801-65817,"DIVERSIFIED ASSET MANAGEMENT, INC.","DIVERSIFIED ASSET MANAGEMENT, INC.",1113 SPRUCE ST,SUITE 505,BOULDER,CO,UNITED STATES,80302,303-440-2906,303-539-9880,,,,,,,Approved,1/27/2006,8/23/2010,Y,WWW.DIVERSIFIEDASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"46,897,884.00","2,706,128.00","49,604,012.00",73,6,79,Y,Y,N,Y,Y,Y,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,144463,801-68305,CONGRUIX INVESTMENT MANAGEMENT,LEGG MASON ASSET MANAGEMENT SINGAPORE PTE. LIMITED,1 GEORGE STREET,,#23-02,,SINGAPORE,49145,6563178900,6565368567,,,,,,,Approved,9/19/2007,8/23/2010,Y,"WWW.LEGGMASON.COM.SG, WWW.CONGRUIX.COM",Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SINGAPORE,51-250,0,10-Jun,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,RELIGIOUS INSTITUTIONS; NON-U.S. GOVERNMENT ENTITIES,Y,N,N,N,N,Y,N,,Y,"3,439,618,486.00","22,101,201.00","3,461,719,687.00",32,1,33,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,115380,801-68037,"SPECTRUM ADVISORS, INC.","SPECTRUM ADVISORS, INC.",1313 JAMESTOWN ROAD,SUITE 104,WILLIAMSBURG,VA,USA,23185,757-565-1840,757-565-1415,PO BOX 2098,,WILLIAMSBURG,VA,USA,23187,Approved,6/15/2007,2/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"32,106,065.00","3,714,946.00","35,821,011.00",42,2,44,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106398,801-48195,FINANCIAL COUNSELORS INC,FINANCIAL COUNSELORS INC,442 WEST 47TH STREET,,KANSAS CITY,MO,UNITED STATES,64112-1903,816-329-1500,816-329-1505,,,,,,,Approved,1/12/1995,8/23/2010,Y,WWW.FCIADVISORS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"6,195",0 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,TAFT-HARTLEY PLANS,Y,N,N,Y,N,N,Y,REIMBURSEMENT OF COSTS,Y,"3,462,192,336.00","484,938,891.00","3,947,131,227.00","5,481",714,"6,195",N,Y,Y,Y,N,Y,Y,N,N,Y,ASSET ALLOCATION SERVICES,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106176,801-45364,"WEINBERGER ASSET MANAGEMENT, INC","WEINBERGER ASSET MANAGEMENT, INC","11661 SAN VICENTE BLVD, SUITE 820",,LOS ANGELES,CA,UNITED STATES,90049,310-442-8472,310-442-8474,,,,,,,Approved,12/10/1993,2/3/2010,Y,WWW.WAMASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"44,521,145.00",0,"44,521,145.00",155,0,155,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,137712,801-68417,"CORNERSTONE ASSET MANAGEMENT SERVICES, INC.","CORNERSTONE ASSET MANAGEMENT SERVICES, INC.",5923 BROADVIEW RD,,PARMA,OH,USA,44134,216-749-3001,216-749-0129,,,,,,,Approved,10/1/2007,2/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,Nov-50,0,More than 500,545,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"41,320,163.00",0,"41,320,163.00",537,0,537,Y,Y,N,Y,Y,Y,N,N,N,Y,INVESTMENT CONSULTATION SERVICES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110188,801-28843,"SUMMIT INVESTMENT MANAGEMENT, LTD.","SUMMIT INVESTMENT MANAGEMENT, LTD.",400 EAST WISCONSIN AVENUE,SUITE 102,MILWAUKEE,WI,UNITED STATES,53202,414-291-4488,414-291-4499,,,,,,,Approved,2/13/1987,2/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,HOURLY CHARGES--FINANCIAL PLANNING--INFREQUENT,Y,"67,987,464.00",0,"67,987,464.00",187,0,187,N,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
SFRO,106036,801-64934,"LIBERTY GROUP, LLC","LIBERTY GROUP, LLC",3923 GRAND AVENUE,,OAKLAND,CA,UNITED STATES,94610,510-658-1880,510-658-1886,,,,,,,Approved,1/3/2006,8/23/2010,Y,WWW.LIBERTYGROUPLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,700,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,Y,12B-1 FEES,Y,"49,458,425.00","138,622,933.00","188,081,358.00",410,554,964,Y,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT MANAGER OF PRIVATE FUND,More than 500,700,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,136406,801-70076,ALBERTS INVESTMENT MANAGEMENT INC.,ALBERTS INVESTMENT MANAGEMENT INC.,,,,,,,262-432-2323,866-320-4509,,,,,,,Approved,4/7/2009,8/23/2010,Y,WWW.ALBERTSINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"37,000,000.00","106,000,000.00","143,000,000.00",87,4,91,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,132117,801-63395,"CENTAUR CAPITAL PARTNERS, L.P.","CENTAUR CAPITAL PARTNERS, L.P.",1460 MAIN STREET,SUITE 234,SOUTHLAKE,TX,USA,76092,817-488-9632,817-488-9648,,,,,,,Approved,7/30/2004,2/3/2010,Y,WWW.CENTAURCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"82,500,000.00",0,"82,500,000.00",2,0,2,N,N,Y,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109240,801-56562,"WILLOW CREEK FINANCIAL SERVICES, INC.","WILLOW CREEK FINANCIAL SERVICES, INC.",825 GRAVENSTEIN HWY. N. STE. #5,,SEBASTOPOL,CA,USA,95472,707-829-1146,707-829-0111,,,,,,,Approved,5/1/1999,8/23/2010,Y,WWW.WCFSINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"427,088,851.00",0,"427,088,851.00","1,045",0,"1,045",Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107422,801-2252,J.M. FORBES & CO. LLP,J.M. FORBES & CO. LLP,3 POST OFFICE SQUARE,10TH FL,BOSTON,MA,USA,02109-3903,617-423-5705,617-423-6656,,,,,,,Approved,5/6/1960,2/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,More than 500,500,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"458,942,475.00","452,405.00","459,394,880.00",720,1,721,N,Y,N,Y,N,N,N,N,N,Y,CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,6627,801-14065,"AXA ADVISORS, LLC","AXA ADVISORS, LLC",1290 AVENUE OF THE AMERICAS,,NEW YORK,NY,UNITED STATES,10104,212-314-4600,212-707-1877,,,,,,,Approved,9/22/1978,8/24/2010,Y,AXA-ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,More than 1000,"7,000",More than 1000,"4,000",More than 1000,"4,000",0,0,More than 500,"25,500",26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"126,825,584.00","7,211,826,703.00","7,338,652,287.00",477,"32,397","32,874",Y,Y,N,Y,Y,Y,N,N,N,N,,More than 500,2000,N,N,Y,N,N,N,N,N,N,,N,,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,N,N,Y,N,N,N,Y,N,N,N,N
CHRO,142810,801-70539,CHICAGO INVESTMENT ADVISORY GROUP,MICHAEL RUSSO LTD,"9200 W. 191ST STREET, SUITE #3",,MOKENA,IL,UNITED STATES,60448,708-478-7190,708-478-7191,,,,,,,Approved,9/11/2009,2/3/2010,Y,WWW.CIAG.US,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"31,593,659.00",0,"31,593,659.00",216,0,216,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N
SFRO,119980,801-61052,FIRELAKE CAPITAL MANAGEMENT LLC,FIRELAKE CAPITAL MANAGEMENT LLC,575 HIGH STREET,SUITE 330,PALO ALTO,CA,USA,94301,650-321-0880,650-321-0882,,,,,,,Approved,4/15/2002,2/3/2010,Y,WWW.FIRELAKECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"314,036,263.00",0,"314,036,263.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105133,801-35543,DOVER PARTNERS INC,DOVER PARTNERS INC,476 WINDSOR PARK DR.,,DAYTON,OH,UNITED STATES,45459,937-299-4105,937-299-7565,,,,,,,Approved,11/24/1989,8/24/2010,Y,WWW.DOVER-PARTNERS.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"30,352,432.00",0,"30,352,432.00",71,0,71,N,Y,N,Y,Y,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,131507,801-67162,"NORTHSTAR FINANCIAL PLANNERS, INC.","NORTHSTAR FINANCIAL PLANNERS, INC.",278 S. UNIVERSITY DRIVE,,PLANTATION,FL,USA,33324,954-693-0030,954-693-0031,,,,,,,Approved,9/18/2006,8/24/2010,Y,WWW.NORTHSTARPLANNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"59,087,126.00",0,"59,087,126.00",378,0,378,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110376,801-26228,LEDERER & ASSOCIATES INVESTMENT COUNSEL,LEDERER & ASSOCIATES INVESTMENT COUNSEL,111 WEST OCEAN BOULEVARD,SUITE 1350,LONG BEACH,CA,UNITED STATES,90802-7906,562-495-2350,562-495-2006,,,,,,,Approved,2/13/1986,8/24/2010,Y,LEDERER-ASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"83,486,637.00",0,"83,486,637.00",54,0,54,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,4161,801-19665,"MORGAN KEEGAN & COMPANY, INC.","MORGAN KEEGAN & COMPANY, INC.",50 FRONT STREET,,MEMPHIS,TN,UNITED STATES,38103-9880,(901) 524-4100,(901)524-4170,,,,,,,Approved,9/9/1983,8/24/2010,Y,WWW.MORGANKEEGAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,More than 1000,"3,000",More than 1000,"1,000",More than 1000,"1,000",Nov-50,0,More than 500,"24,500",26-50 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"3,490,566,141.00","4,909,113,625.00","8,399,679,766.00","16,043","16,740","32,783",Y,Y,N,Y,Y,Y,N,N,N,N,,More than 500,900,Y,Y,Y,N,Y,N,Y,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
NYRO,128856,801-62452,ESTABROOK CAPITAL MANAGEMENT LLC,ESTABROOK CAPITAL MANAGEMENT LLC,875 THIRD AVENUE,15TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-605-5500,212-605-5503,,,,,,,Approved,10/22/2003,8/24/2010,Y,HTTP://WWW.ESTABROOKCAP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,More than 500,"4,500",More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"2,101,643,150.00","16,700,807.00","2,118,343,957.00","4,382",141,"4,523",N,Y,Y,Y,N,N,N,N,N,Y,"PROVIDES NONDISCRETIONARY SERVICES, INCLUDING INVESTMENT PORTFOLIO MODELS TO OTHER MANAGERS.",0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147855,801-69585,P RYAN & ASSOCIATES P.C.,P RYAN & ASSOCIATES P.C.,,,,,,,810-982-0696,810-987-2734,,,,,,,Approved,9/17/2008,9/5/2008,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,11-25 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,Y,N,Y,N,N,N,N,N,N,N,,10-Jan,,Y,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,153108,801-71244,DAVID SMITH & ASSOCIATES,"DAVID N. SMITH & ASSOCIATES, INC.",5900 SW 73RD STREET,SUITE 300,SOUTH MIAMI,FL,UNITED STATES,33143,305-666-9411,305-513-5888,,,,,,,120-Day Approval,4/7/2010,8/24/2010,Y,WWW.DAVIDSMITHCFP.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,104583,801-56940,BERNZOTT  CAPITAL ADVISORS,BERNZOTT CAPITAL ADVISORS,"888 W. VENTURA BLVD., SUITE B",,CAMARILLO,CA,USA,93010-8383,805-389-9445,805-389-9456,,,,,,,Approved,10/29/1999,2/3/2010,Y,WWW.BERNZOTT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"481,776,095.00",0,"481,776,095.00",707,0,707,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,114843,801-60520,"MCBRIDE FINANCIAL ADVISORS, LLC","MCBRIDE FINANCIAL ADVISORS, LLC",,,,,,,206-223-0561,866-584-5613,P.O. BOX 1328,,SEAHURST,WA,US,98062,Approved,8/31/2001,8/24/2010,Y,WWW.MCBRIDEFINANCIALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"65,000,000.00","65,000,000.00",0,115,115,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,121552,801-61375,LYXOR ASSET MANAGEMENT INC.,LYXOR ASSET MANAGEMENT INC.,1251 AVENUE OF THE AMERICAS,46TH FLOOR,NEW YORK,NY,UNITED STATES,10020,212-205-4100,212-205-4150,,,,,,,Approved,8/9/2002,8/24/2010,Y,WWW.LYXOR-US.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,10-Jun,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,901,001,182.00","469,271,866.00","2,370,273,048.00",13,7,20,N,N,N,Y,N,Y,N,N,N,Y,PORTFOLIO MANAGER FOR POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,140701,801-66798,CARAVEL MANAGEMENT LLC,CARAVEL MANAGEMENT LLC,888 SEVENTH AVE. 37TH FLOOR,,NEW YORK,NY,UNITED STATES,10106,212-994-9820,212-994-9811,,,,,,,Approved,5/25/2006,8/24/2010,Y,WWW.HARMONCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"149,000,000.00",0,"149,000,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,121534,801-62679,SHAKER FINANCIAL SERVICES,"SHAKER FINANCIAL SERVICES, LLC",,,,,,,410-626-7196,410-626-7198,,,,,,,Approved,1/23/2004,3/25/2010,Y,WWW.SHAKERFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,INVESTMENT PARTNERSHIPS,Y,N,N,N,N,N,N,,Y,"76,680,562.00",0,"76,680,562.00",394,0,394,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,103727,801-64836,"GAGNON SECURITIES, LLC","GAGNON SECURITIES, LLC",1370 6TH AVENUE,,NEW YORK,NY,UNITED STATES,10019,212-554-5050,212-265-6417,,,,,,,Approved,10/21/2005,3/25/2010,Y,GAGNONSEC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"355,468,921.00","768,785,916.00","1,124,254,837.00",651,291,942,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108577,801-55929,PLASTRIDGE JOEL FLETCHER,PLASTRIDGE JOEL FLETCHER,44 MERRIMAC STREET,,NEWBURYPORT,MA,USA,1950,978-463-9898,978-499-0928,,,,,,,Approved,10/5/1998,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MA,UNITED STATES,5-Jan,0,0,0,0,0,0,0,10-Jan,0,Up to 10 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,"130,000,000.00","130,000,000.00",0,8,8,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104681,801-34183,CORTLAND ASSOCIATES INC,CORTLAND ASSOCIATES INC,"8000 MARYLAND AVENUE, SUITE 730",,ST. LOUIS,MO,USA,63105,314-726-6164,314-726-5936,,,,,,,Approved,4/20/1989,3/25/2010,Y,CORTLANDASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"449,000,000.00",0,"449,000,000.00",420,0,420,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150082,801-70083,"ARBOR CAPITAL MANAGEMENT, LLC","ARBOR CAPITAL MANAGEMENT, LLC",ONE FINANCIAL PLAZA,"120 SOUTH SIXTH STREET, SUITE 1000",MINNEAPOLIS,MN,UNITED STATES,55402,612-317-2950,612-317-2940,,,,,,,Approved,4/8/2009,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,037,389,722.00",0,"1,037,389,722.00",28,0,28,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107166,801-40910,DIXON FINANCIAL SERVICES,DIXON FINANCIAL SERVICES INC,,,,,,,925-283-3104,925-283-3524,,,,,,,Approved,6/25/1992,3/25/2010,Y,WWW.DFSINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"180,179,352.00","42,991,384.00","223,170,736.00",167,30,197,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,113189,801-68279,"GALLACHER CAPITAL MANAGEMENT, LLC",GALLACHER CAPITAL MANAGEMENT LLC,9250 EAST COSTILLA AVENUE,SUITE 201,GREENWOOD VILLAGE,CO,UNITED STATES,80112-3662,303-708-1640,303-708-1636,,,,,,,Approved,8/29/2007,3/25/2010,Y,GALLACHERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"73,599,488.00",0,"73,599,488.00",425,0,425,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106644,801-42242,BRUNI J V & CO,BRUNI J V & CO,1528 N TEJON STREET,,COLORADO SPRINGS,CO,UNITED STATES,80907-7439,719-575-9880,719-575-9920,,,,,,,Approved,9/3/1992,3/25/2010,Y,HTTP://WWW.JVBRUNI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,500,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"428,803,644.00",0,"428,803,644.00",833,0,833,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,128151,801-64511,SOHO CAPITAL LLC,SOHO CAPITAL LLC,2432 RAILWAY AVENUE,SUITE I/#428,LOS OLIVOS,CA,USA,93441,866-294-7913,866-294-7913,PO BOX 428,,LOS OLIVOS,CA,USA,93441-0428,Approved,7/12/2005,3/25/2010,Y,WWW.SOHOCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"45,076,204.00",0,"45,076,204.00",101,0,101,N,Y,N,Y,N,Y,N,N,N,Y,ADVISORY SERVICES TO PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107233,801-38171,RIGGS ASSET MANAGEMENT CO INC,RIGGS ASSET MANAGEMENT CO INC,8 W MARKET ST,STE 1120,WILKES BARRE,PA,UNITED STATES,18701,570-823-3383,570-823-3416,,,,,,,Approved,1/25/1991,3/25/2010,Y,RIGGSADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"184,015,949.00","6,241,650.00","190,257,599.00",479,19,498,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,142510,801-67481,SOHO FINANCIAL SERVICES LLC,SOHO FINANCIAL SERVICES LLC,2432 RAILWAY AVENUE,SUITE I/#428,LOS OLIVOS,CA,UNITED STATES,93441,866-294-7913,866-294-7913,P.O. BOX 428,,LOS OLIVOS,CA,UNITED STATES,93441-0428,Approved,1/25/2007,3/25/2010,Y,WWW.SOHOFSLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"43,386,448.00",0,"43,386,448.00",86,0,86,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108210,801-44324,PRISM FINANCIAL GROUP INC.,"PRISM FINANCIAL GROUP, LLC",803 N RINGGOLD ST,,PHILADELPHIA,PA,UNITED STATES,19130-1925,215.232.0470,215.232.0472,,,,,,,Approved,7/15/1993,3/25/2010,Y,WWW.PRISMRX.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,0,"50,835,000.00","50,835,000.00",0,115,115,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,126641,801-62031,"BOTT-ANDERSON PARTNERS, INC","BOTT-ANDERSON PARTNERS, INC.",1548 THE GREENS WAY,SUITE 1,JACKSONVILLE,FL,UNITED STATES,32250-2468,904-280-8995,904-280-8996,,,,,,,Approved,5/9/2003,3/25/2010,Y,WWW.BOTTANDERSON.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,0,0,5-Jan,0,5-Jan,0,26-100,0,11-25 percent,11-25 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"900,000,000.00","900,000,000.00",0,35,35,N,N,N,N,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152450,801-70880,"JOEL ISAACSON & CO., LLC","JOEL ISAACSON & CO., LLC",546 FIFTH AVENUE,,NEW YORK,NY,UNITED STATES,10036,212-302-6300,212-302-6390,,,,,,,Approved,12/17/2009,3/25/2010,Y,WWW.JOELISAACSON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,More than 500,500,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,INCOME TAX & ACCOUNTING CLIENTS,Y,Y,N,Y,N,N,N,,Y,"599,822,244.00","982,714,662.00","1,582,536,906.00",660,"2,414","3,074",Y,Y,N,N,N,Y,N,N,N,N,,More than 500,500,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,105807,801-16377,"SEARCY FINANCIAL SERVICES, INC.","SEARCY FINANCIAL SERVICES, INC.",12980 FOSTER STREET STE 160,,OVERLAND PARK,KS,UNITED STATES,66213-2703,913-814-3800,913-814-3900,,,,,,,Approved,9/24/1981,3/25/2010,Y,WWW.SEARCYFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"105,704,576.00","4,923,289.00","110,627,865.00",128,1,129,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108091,801-56420,NORTHWEST CAPITAL MANAGEMENT INC,NORTHWEST CAPITAL MANAGEMENT INC,12511 SW 68TH AVENUE,,PORTLAND,OR,UNITED STATES,97223,503-597-1600,503-597-1649,,,,,,,Approved,5/14/1999,3/25/2010,Y,WWW.NWCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,297,046,783.00","356,933,178.00","1,653,979,961.00",702,268,970,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,Y,THIRD PARTY ADMINISTRATOR,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,150766,801-70335,"HARBOR WEALTH MANAGEMENT, INC.","HARBOR WEALTH MANAGEMENT, INC.",16475 DALLAS PARKWAY,SUITE 600,ADDISON,TX,UNITED STATES,75001-6821,972-897-6500,214-393-8594,,,,,,,Approved,7/15/2009,3/25/2010,Y,WWW.HARBORWEALTHDFW.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"34,782,601.00",0,"34,782,601.00",126,0,126,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,119183,801-64486,PROSPER ADVISORS LLC,PROSPER ADVISORS LLC,145 BEDFORD ROAD,SECOND FLOOR,ARMONK,NY,USA,10504,914-730-3500,914-730-3503,,,,,,,Approved,7/11/2005,3/25/2010,Y,WWW.PROSPERADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"196,881,938.00","513,540.00","197,395,478.00",331,3,334,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,135470,801-64317,PHOCAS FINANCIAL CORPORATION,PHOCAS FINANCIAL CORPORATION,980 ATLANTIC AVENUE,SUITE 106,ALAMEDA,CA,UNITED STATES,94501-1001,510-523-5800,510-523-5801,,,,,,,Approved,6/1/2005,3/25/2010,Y,WWW.PHOCASFINANCIAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,0 percent,11-25 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"450,177,983.00",0,"450,177,983.00",193,0,193,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,128919,801-64870,"1ST FINANCIAL SERVICES, LLC","1ST FINANCIAL SERVICES, LLC",400 S. COLORADO BLVD #820,,DENVER,CO,UNITED STATES,80246,303-333-3609,303-333-6355,,,,,,,Approved,1/10/2006,3/25/2010,Y,1STFINSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,More than 500,"1,189",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"83,390,354.00","11,883,338.00","95,273,692.00","1,005",388,"1,393",Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108139,801-57019,KARPAS STRATEGIES LLC,KARPAS STRATEGIES LLC,488 MADISON AVENUE,17TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-223-7280,212-223-4098,,,,,,,Approved,11/29/1999,3/25/2010,Y,WWW.KARPASONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"165,499,071.00",0,"165,499,071.00",114,0,114,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104825,801-5346,NORTH AMERICAN MANAGEMENT CORP,NORTH AMERICAN MANAGEMENT CORP,TEN POST OFFICE SQUARE SUITE 1200,,BOSTON,MA,UNITED STATES,02109-4621,617-695-2100,617-695-2121,,,,,,,Approved,1/8/1969,3/25/2010,Y,NAMCORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"922,787,707.00","61,706,244.00","984,493,951.00",967,4,971,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,143703,801-71057,"DAVID S. REINDERS CFP, INC.","DAVID S. REINDERS CFP, INC.",25129 THE OLD ROAD,SUITE 105,STEVENSON RANCH,CA,UNITED STATES,91381-2293,661-222-2331,661-222-9291,3200 BUCKINGHAM ROAD,,GLENDALE,CA,UNITED STATES,91206-1407,Approved,2/4/2010,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"29,350,165.00","2,577,167.00","31,927,332.00",198,229,427,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,140786,801-66831,"COMPERIO RETIREMENT CONSULTING, INC.","COMPERIO RETIREMENT CONSULTING, INC.",6320 QUADRANGLE DRIVE,SUITE 310,CHAPEL HILL,NC,UNITED STATES,27517,919-401-3500,919-401-3501,,,,,,,Approved,5/30/2006,3/25/2010,Y,WWW.COMPERIORC.COM,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,140986,801-66925,NPJ ASSET MANAGEMENT LLP,NPJ ASSET MANAGEMENT LLP,ALAMEDA HOUSE,90-100 SYDNEY STREET,LONDON,,UNITED KINGDOM,SW3 6NJ,44 2073519831,44 2073519824,,,,,,,Approved,6/30/2006,3/25/2010,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"198,790,486.00",0,"198,790,486.00",2,0,2,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT MANAGER TO PRIVATE POOL INVESTMENT VEHICLE,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,131714,801-67867,EVOLVE INVESTMENT ADVISORS,"AFS INVESTMENT ADVISORS, INC.",5300 BEE CAVES ROAD,BLDG III SUITE 100,AUSTIN,TX,UNITED STATES,78746,800-835-2331,866-387-6964,,,,,,,Approved,4/30/2007,3/25/2010,Y,WWW.EVOLVESEC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,Nov-50,0,Nov-50,0,5-Jan,0,251-500,0,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"3,559,178.00","56,513,551.00","60,072,729.00",34,414,448,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,Y,N,N,Y,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,138752,801-65642,"IMPALA ASSET MANAGEMENT, LLC","IMPALA ASSET MANAGEMENT, LLC",134 MAIN STREET,,NEW CANAAN,CT,USA,6840,203-972-4100,203-972-4101,,,,,,,Approved,1/30/2006,3/25/2010,Y,WWW.IMPALAFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,309,358,041.00",0,"1,309,358,041.00",9,0,9,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,145159,801-68388,"R.M.SINCERBEAUX CAPITAL MANAGEMENT, LLC.","R.M.SINCERBEAUX CAPITAL MANAGEMENT, LLC.","1120 6TH AVENUE, SUITE 4103",,NEW YORK,NY,UNITED STATES,10036,212-626-6544,212-626-6543,,,,,,,Approved,10/15/2007,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"101,555,043.00",0,"101,555,043.00",27,0,27,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,132931,801-69427,THE J R BAKER GROUP,FFR FINANCIAL & INSURANCE SERVICES LLC,,,,,,,805-688-8562,805-688-2985,PO BOX 66,,BUELLTON,CA,USA,93427,Approved,7/30/2008,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"42,537,948.00",0,"42,537,948.00",30,0,30,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
SFRO,106551,801-12928,ASTER INVESTMENT MANAGEMENT CO INC,ASTER INVESTMENT MANAGEMENT CO INC,60 E SIR FRANCIS DRAKE BLVD STE 306,,LARKSPUR,CA,UNITED STATES,94939,415-461-8770,415-461-0856,,,,,,,Approved,4/15/1977,3/25/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,579,414,332.00",0,"2,579,414,332.00",31,0,31,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115530,801-69864,HAUKEDAHL FINANCIAL SERVICES,"HAUKEDAHL FINANCIAL SERVICES, LLC",9801 DUPONT AVENUE SOUTH SUITE 395,,BLOOMINGTON,MN,UNITED STATES,55431,952-888-1211,952-888-0703,,,,,,,Approved,3/19/2009,3/25/2010,Y,WWW.HAUKEDAHLFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"48,191,847.00","48,191,847.00",0,68,68,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105256,801-10312,AMERICAN SHAREHOLDERS INVESTMENT CORP,AMERICAN SHAREHOLDERS INVESTMENT CORP,3 THURSTONS CT,,NANTUCKET,MA,UNITED STATES,02554-3656,1-888-228-2995,,,,,,,,Approved,11/2/1974,3/25/2010,Y,WWW.AMSHAR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"30,265,717.00",0,"30,265,717.00",155,0,155,N,Y,N,N,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,128081,801-62323,"IBBOTSON ASSOCIATES ADVISORS, LLC","IBBOTSON ASSOCIATES ADVISORS, LLC",22 WEST WASHINGTON STREET,,CHICAGO,IL,UNITED STATES,60602-7676,312-696-6000,312-696-6630,,,,,,,Approved,9/17/2003,3/25/2010,Y,WWW.IBBOTSON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"2,482,684,423.00",0,"2,482,684,423.00",17,0,17,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,132485,801-63464,"WATERSTREET INVESTMENT CONSULTANTS, LLC","WATERSTREET INVESTMENT CONSULTANTS, LLC",100 CONGRESS AVENUE,SUITE 1400,AUSTIN,TX,UNITED STATES,78701,512-334-3300,512-334-3301,,,,,,,Approved,8/27/2004,3/25/2010,Y,WWW.WATERSTREETCONSULTANTS.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,N,N,Y,ASSET BASED,Y,"5,728,848.00","356,719,711.00","362,448,559.00",3,31,34,N,Y,N,N,Y,Y,N,N,N,Y,PERFORMANCE MONITORING,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,121237,801-64100,"PERRY B. SEIFFERT, INVESTMENT MANAGEMENT",SEIFFERT LTD.,4550 MONTGOMERY AVENUE,SUITE 760 N,BETHESDA,MD,USA,20814,301-951-1588,301-951-1599,,,,,,,Approved,4/7/2005,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"43,780,248.00",556,"43,780,804.00",189,1,190,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109604,801-55107,"SACAJAWEA & CO, LLP","SACAJAWEA & CO, LLP","148 LINDEN STREET, SUITE 204",,WELLESLEY,MA,UNITED STATES,02482-7904,781-237-9290,,,,,,,,Approved,1/9/1998,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,"% MARKET VALUE + % INDICATED INC, NOT CAP GNS OR APPRECIATION",Y,"82,453,200.00",0,"82,453,200.00",21,0,21,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,134703,801-66933,"BECKWITH FINANCIAL ADVISORS, INC.","BECKWITH FINANCIAL ADVISORS, INC.",115 EAST CAMPERDOWN WAY,,GREENVILLE,SC,USA,29601,864-233-7770,864-271-8682,,,,,,,Approved,6/23/2006,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"31,635,943.00","4,083,830.00","35,719,773.00",132,1,133,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107350,801-29487,ANGELBECK J M INC,ANGELBECK J M INC,,,,,,,860-633-3326,860-633-7886,,,,,,,Approved,3/1/1987,2/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"26,638,766.00","26,638,766.00",0,8,8,N,Y,N,N,N,N,N,N,N,Y,PERIODIC OR ONE-TIME PORTFOLIO REVIEWS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105437,801-19247,"JOHN W. BROOKER & CO., CPAS,PC","JOHN W. BROOKER & CO., CPAS, PC",80 SWAN WAY,SUITE 300,OAKLAND,CA,UNITED STATES,94621-1443,510-638-1815,510-635-6165,,,,,,,Approved,7/15/1983,2/12/2010,Y,WWW.BROOKERANDCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"184,601,514.00",0,"184,601,514.00",424,0,424,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,113958,801-60545,"WILLIAMS INVESTMENT MANAGEMENT, INC.","WILLIAMS INVESTMENT MANAGEMENT, INC.",,,,,,,727-343-6062,727-343-6933,P.O. BOX 66115,,ST.PETE BEACH,FL,USA,33736,Approved,8/31/2001,2/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"75,990,000.00",0,"75,990,000.00",17,0,17,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,46206,801-56684,LEADER CAPITAL CORP.,LEADER CAPITAL CORP.,1750 SW SKYLINE BLVD.,SUITE 204,PORTLAND,OR,UNITED STATES,97221,503-294-1010,503-294-9977,,,,,,,Approved,7/16/1999,2/12/2010,Y,WWW.LEADERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,11-25 percent,Up to 10 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"253,323,405.00","3,086,561.00","256,409,966.00",36,38,74,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N
CHRO,105128,801-36331,WYNN CAPITAL MANAGEMENT INC.,WYNN CAPITAL MANAGEMENT INC.,411 EAST WISCONSIN AVENUE,SUITE 320,MILWAUKEE,WI,UNITED STATES,53202,414-276-9966,414-276-1503,,,,,,,Approved,4/2/1990,2/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"97,966,590.00","71,720,317.00","169,686,907.00",25,14,39,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106079,801-27225,"THE TARBOX GROUP, INC.","THE TARBOX GROUP, INC.",500 NEWPORT CENTER DRIVE,STE 500,NEWPORT BEACH,CA,USA,92660,949-721-2330,949-721-0734,,,,,,,Approved,6/16/1986,2/12/2010,Y,WWW.TARBOXGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"232,000,000.00",0,"232,000,000.00",314,0,314,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,138223,801-65013,"MCCOMSEY ASSET MANAGEMENT, LLC","MCCOMSEY ASSET MANAGEMENT, LLC",11400 W. OLYMPIC BLVD.,SUITE 300,LOS ANGELES,CA,UNITED STATES,90064,310-473-7100,310-473-2400,,,,,,,Approved,12/12/2005,2/12/2010,Y,WWW.MCCOMSEYGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"47,228,901.00","4,920,662.00","52,149,563.00",130,29,159,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,127960,801-62327,"PATHWAYS FINANCIAL PARTNERS,INC.","PATHWAYS FINANCIAL PARTNERS,INC.",4703 E. CAMP LOWELL,SUITE 253,TUCSON,AZ,UNITED STATES,85712,520-299-5875,520-299-5546,,,,,,,Approved,9/11/2003,2/12/2010,Y,WWW.2PATHWAYS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,Y,ADVISORY REFERRAL FEES,Y,"53,410,000.00","106,643,962.00","160,053,962.00",115,49,164,Y,Y,N,N,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107503,801-50514,LAUREL GROVE CAPITAL LLC,LAUREL GROVE CAPITAL LLC,1801 AVE OF THE STARS STE 1000,,LOS ANGELES,CA,USA,90067,310-789-0000,310-789-0022,,,,,,,Approved,11/21/1995,2/12/2010,Y,WWW.LAURELGROVECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"149,169,000.00","743,000.00","149,912,000.00",315,2,317,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,141775,801-67209,"TRICOR ADVISORY SERVICES, LLC","TRICOR ADVISORY SERVICES, LLC",7201 W. LAKE MEAD BLVD.,SUITE 114,LAS VEGAS,NV,UNITED STATES,89128,702-254-1263,702-254-8952,,,,,,,Approved,10/17/2006,2/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,11-25 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"70,000,000.00","70,000,000.00",0,415,415,Y,Y,N,Y,Y,N,N,N,N,Y,3RD PARTY MANAGER SELECTION THROUGH ENVESTNET,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108363,801-37261,RAPAPORT CAPITAL MANAGEMENT INC,RAPAPORT CAPITAL MANAGEMENT INC,3628 WALNUT HILLS ROAD,STE 101,ORANGE VILLAGE,OH,UNITED STATES,44122,216-464-6969,216-464-6970,,,,,,,Approved,8/30/1990,2/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"35,561,571.00","2,431,721.00","37,993,292.00",74,3,77,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,104563,801-45828,"MARK I ASSET MANAGEMENT, LTD","MARK I ASSET MANAGEMENT, LTD","6301 NORTH WESTERN, SUITE 220",,OKLAHOMA CITY,OK,UNITED STATES,73118,405-525-6688,405-525-6317,,,,,,,Approved,2/10/1994,2/12/2010,Y,MARK1WEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"35,563,444.00","35,563,444.00",0,58,58,N,Y,N,Y,N,N,Y,N,N,Y,WEALTH MANAGEMENT,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111069,801-49966,ABERDEEN ASSET MANAGEMENT INC.,ABERDEEN ASSET MANAGEMENT INC,1735 MARKET STREET,32 ND FLOOR,PHILADELPHIA,PA,UNITED STATES,19103,215-405-5700,215-405-5780,,,,,,,Approved,8/23/1995,5/19/2010,Y,WWW.ABERDEEN-ASSET.US,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,251-500,0,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,26-50 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,TAFT HARTLEY/UNION CLIENTS,Y,N,N,Y,N,Y,N,,Y,"18,861,847,480.00","104,247,688.00","18,966,095,168.00",146,3,149,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,15340,801-45573,"PRIMEVEST FINANCIAL SERVICES, INC.","PRIMEVEST FINANCIAL SERVICES, INC.",400 FIRST ST SOUTH STE 300,,ST CLOUD,MN,UNITED STATES,56301-3600,320-656-4300,320-656-4391,P.O. BOX 283,,ST. CLOUD,MN,UNITED STATES,56302,Approved,1/5/1994,5/19/2010,Y,WWW.PRIMEVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,501-1000,0,501-1000,0,501-1000,0,Nov-50,0,More than 500,"2,400",51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,CREDIT UNIONS,Y,Y,N,Y,Y,N,N,,Y,"2,238,741.00","508,752,600.00","510,991,341.00",4,"2,460","2,464",Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,Y,Y,Y,N,N,N,Y,N,N,,N,N,Y,Y,Y,Y,N,N,N,N,Y,N,N,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,Y,N
NYRO,110761,801-13000,"GRACE & WHITE, INC","GRACE & WHITE, INC",515 MADISON AVE,SUITE 1700,NEW YORK,NY,UNITED STATES,10022,212-935-5990,212-935-0503,,,,,,,Approved,5/13/1977,5/20/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"694,252,519.00","8,663,654.00","702,916,173.00",296,7,303,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109265,801-58149,SILIGMUELLER FINANCIAL MANAGEMENT LLC,SILIGMUELLER FINANCIAL MANAGEMENT LLC,586 DUANE ST.,SUITE 202,GLEN ELLYN,IL,UNITED STATES,60137,630-858-3651,630-793-9638,,,,,,,Approved,12/4/2000,1/19/2010,Y,SILIGMUELLER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"66,290,438.00",0,"66,290,438.00",38,0,38,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
PLRO,16678,801-56332,"CBIZ FINANCIAL SOLUTIONS, INC.","CBIZ FINANCIAL SOLUTIONS, INC.",44 BALTIMORE STREET,,CUMBERLAND,MD,USA,21502,301-777-7550,301-724-1643,,,,,,,Approved,3/18/1999,5/20/2010,Y,WWW.CBIZ.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,51-250,0,Nov-50,0,51-250,0,5-Jan,0,More than 500,"1,500",26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"256,928,868.00","1,070,759,895.00","1,327,688,763.00",652,849,"1,501",Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,Y,N,Y,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,Y,N,Y,Y,N,N,N,Y,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N
PLRO,139096,801-65840,"BLB & B ADVISORS, LLC","BLB & B ADVISORS, LLC",516 N. BETHLEHEM PIKE,,AMBLER,PA,UNITED STATES,19002,215-643-9100,215-643-9106,P.O. BOX 950,,SPRING HOUSE,PA,UNITED STATES,19477,Approved,3/8/2006,5/20/2010,Y,WWW.BLBB.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,More than 500,"1,500",26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"419,007,901.00","20,092,077.00","439,099,978.00","1,312",18,"1,330",N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124893,801-63106,"MAYFIELDGENTRY REALTY ADVISORS, LLC","MAYFIELDGENTRY REALTY ADVISORS, LLC",100 RIVER PLACE,SUITE 300,DETROIT,MI,USA,48207,313-221-1270,313-221-1271,,,,,,,Approved,4/29/2004,1/19/2010,Y,WWW.MAYFIELDGENTRY.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,Y,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,REAL ESTATE INVESTMENT ADVISORY SERVICES TO PUBLIC PENSION FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,153091,801-71484,"CONCERTO ASSET MANAGEMENT, LLC","CONCERTO ASSET MANAGEMENT, LLC",401 NORTH TRYON STREET,10TH FLOOR,CHARLOTTE,NC,UNITED STATES,28202,704-998-5488,704-998-5301,,,,,,,Approved,6/3/2010,5/20/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"65,393,322.00",0,"65,393,322.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109727,801-33684,"CONCORD INTERNATIONAL INVESTMENTS, L.P.","CONCORD INTERNATIONAL INVESTMENTS, L.P.",725 FIFTH AVENUE,15TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-759-2375,212-759-2553,,,,,,,Approved,3/9/1989,5/20/2010,Y,WWW.CONCORDUS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"1,368,681,375.00",0,"1,368,681,375.00",19,0,19,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105978,801-25266,SANTORI & PETERS,"SANTORI & PETERS, INC.",3824 NORTHERN PIKE,SUITE 450,MONROEVILLE,PA,UNITED STATES,15146,412-373-6904,412-373-6903,,,,,,,Approved,10/24/1985,5/20/2010,Y,WWW.SANTORIANDPETERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,959,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"60,544,136.00",0,"60,544,136.00","1,139",0,"1,139",Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104539,801-63659,CORNERSTONE ASSET MANAGEMENT,"CORNERSTONE ASSET MANAGEMENT, INC.",30 EAST MAIN STREET,,BERRYVILLE,VA,UNITED STATES,22611,540-955-9914,540-955-6006,,,,,,,Approved,3/11/2005,3/10/2009,Y,CORNERSTONEMONEY.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,TRUST ACCOUNTS,Y,N,N,N,N,N,N,,Y,"7,000,000.00","14,000,000.00","21,000,000.00",1,160,161,N,Y,Y,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
FWRO,136531,801-64590,"RHOADS LUCCA CAPITAL PARTNERS, L.P.",RHOADS LUCCA CAPITAL PARTNERS L.P.,14911 QUORUM DR.,SUITE 380,DALLAS,TX,UNITED STATES,75254-7058,214-373-9771,214-373-9775,,,,,,,Approved,8/16/2005,1/19/2010,Y,WWW.RHOADSLUCCA.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"21,704,357.00",0,"21,704,357.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,104715,801-29419,ASSET PLANNING SERVICES INC,ASSET PLANNING SERVICES INC,509 W. 21ST AVENUE,,COVINGTON,LA,UNITED STATES,70433,985-867-8679,985-867-8038,,,,,,,Approved,5/14/1987,1/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,LA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"155,949,599.00","25,645,018.00","181,594,617.00",336,97,433,Y,Y,N,Y,Y,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111464,801-35601,PENNFIELD CAPITAL CORP,PENNFIELD CAPITAL CORP,205 WEST JEFFERSON BLVD. - SUITE 400,,SOUTH BEND,IN,UNITED STATES,46601,574-968-9010,574-968-9020,,,,,,,Approved,11/27/1989,5/20/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"17,264,667.00","11,406,084.00","28,670,751.00",22,12,34,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111973,801-57620,CONCORD INVESTMENT MANAGEMENT,CONCORD INVESTMENT MANAGEMENT,725 FIFTH AVENUE,15TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-759-2375,212-759-2553,,,,,,,Approved,12/11/2000,5/20/2010,Y,WWW.CONCORDUS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"385,755,330.00",0,"385,755,330.00",12,0,12,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,138732,801-65851,"NOONDAY ASSET MANAGEMENT, L.P.","NOONDAY ASSET MANAGEMENT, L.P.",401 NORTH TRYON STREET,SUITE 1000,CHARLOTTE,NC,UNITED STATES,28202,704-333-9192,704-333-9193,,,,,,,Approved,1/31/2006,5/20/2010,Y,WWW.NOONDAY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,Y,N,,Y,"4,080,489,297.00",0,"4,080,489,297.00",17,0,17,N,N,N,Y,N,N,N,N,N,Y,ADVICE TO PRIVATE INVESTMENT FUNDS.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,120214,801-63501,"JOHN SHAO PORTFOLIO MANAGEMENT, INC.","JOHN SHAO PORTFOLIO MANAGEMENT, INC.",5521 ROLAND DR.,,PLANO,TX,USA,75093,972-608-5374,469-546-3697,,,,,,,Approved,9/10/2004,1/19/2010,Y,WWW.JOHN-SHAO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"50,270,000.00","2,000,000.00","52,270,000.00",50,3,53,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,139790,801-71486,"OAK ASSET MANAGEMENT, LLC","OAK ASSET MANAGEMENT, LLC",903 COMMERCE DRIVE,SUITE #333,OAK BROOK,IL,UNITED STATES,60523,630-928-5200,630-571-8810,,,,,,,Approved,6/1/2010,5/20/2010,Y,WWW.OAKASSETMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"75,000,000.00",0,"75,000,000.00",170,0,170,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107377,801-42259,WILLIAM MACK & ASSOCIATES INC,WILLIAM MACK & ASSOCIATES INC,"1301 W. LONG LAKE RD., SUITE 115",,TROY,MI,UNITED STATES,48098,248-643-4310,248-643-8205,,,,,,,Approved,9/3/1992,5/20/2010,Y,WWW.WMACK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,More than 500,500,11-25 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"346,627,082.00","17,582,000.00","364,209,082.00",715,59,774,Y,Y,N,N,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108120,801-55938,"NANCY A SOCHA & ASSOCIATES, LLC","NANCY A SOCHA & ASSOCIATES, LLC",181 EAST SECOND STREET,,CORNING,NY,UNITED STATES,14830,607-962-0605,607-962-0933,,,,,,,Approved,10/8/1998,1/19/2010,Y,NSOCHA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,600,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"158,158,000.00","3,448,800.00","161,606,800.00","1,209",8,"1,217",Y,Y,N,Y,N,N,N,N,N,Y,TAX PREPARATION,101-250,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,421,801-54905,"WOODBURY FINANCIAL SERVICES, INC.","WOODBURY FINANCIAL SERVICES, INC.",7755 THIRD STREET NORTH,,OAKDALE,MN,UNITED STATES,55128,800-800-2638,860-380-3320,P.O. BOX 64284,,ST. PAUL,MN,UNITED STATES,55164-0284,Approved,9/19/1997,5/20/2010,Y,WWW.WOODBURYFINANCIALSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,More than 1000,"2,000",More than 1000,"1,000",More than 1000,"2,000",Nov-50,0,More than 500,"12,500",51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"764,000,000.00","764,000,000.00",0,"4,700","4,700",Y,Y,N,Y,Y,Y,N,N,N,Y,SEMINARS,More than 500,1500,Y,Y,Y,N,N,N,Y,N,N,,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,,Y,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,N,Y,N,N,Y,Y
PLRO,153021,801-71487,ADVANCED QUANTITATIVE CONSULTING,"ADVANCED QUANTITATIVE CONSULTING, LLC",354 W. LANCASTER AVE.,SUITE 200,WAYNE,PA,UNITED STATES,19087,610-341-9451,610-341-9455,,,,,,,Approved,5/27/2010,5/20/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,N,N,N,Y,N,N,Y,A PERCENTAGE OF ASSETS ADVISED UPON BUT NOT QUALIFYING AS AUM.,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,CONDUCTING SEMINARS TO PRESENT ACADEMIC RESEARCH TO RIAS; ASSET ALLOCATION RECCOMENDATIONS TO INSTITUTIONAL CLIENTS.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105142,801-6691,LB&C,LOWE BROCKENBROUGH & CO INC,1802 BAYBERRY CT.,SUITE 400,RICHMOND,VA,UNITED STATES,23226-3767,804-288-0404,804-288-3040,,,,,,,Approved,7/1/1970,3/4/2010,Y,LOWEBROCKENBROUGH.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,502,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"956,904,352.00",0,"956,904,352.00",500,0,500,N,Y,Y,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,112595,801-57805,BROTHERTON INVESTMENT CONSULTANTS LLC,BROTHERTON INVESTMENT CONSULTANTS LLC,8658 E. SAN ALBERTO DRIVE,,SCOTTSDALE,AZ,UNITED STATES,85258,480-609-3080,480-609-3085,,,,,,,Approved,8/4/2000,3/4/2010,Y,WWW.BROTHERTONINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"192,000,000.00",0,"192,000,000.00",690,0,690,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,146021,801-71124,"MCALVANY WEALTH MANAGEMENT, LLLP","MCALVANY WEALTH MANAGEMENT, LLLP","166 TURNER DRIVE, SUITE 100",,DURANGO,CO,UNITED STATES,81303,970-385-3100,970-385-3240,,,,,,,Approved,3/11/2010,3/4/2010,Y,WWW.MWEALTHM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED LIABILITY LIMITED PARTNESHIP (LLLP),CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"36,804,679.00",0,"36,804,679.00",113,0,113,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106817,801-51715,"PINNACLE WEALTH PLANNING SERVICES, INC.","PINNACLE WEALTH PLANNING SERVICES, INC.",6 WEST 3RD ST.,STE 100,MANSFIELD,OH,USA,44902,419-526-5226,419-526-0323,,,,,,,Approved,5/30/1996,3/4/2010,Y,WWW.PINNACLEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,10-Jun,0,0,0,Nov-50,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"375,693,656.00","375,693,656.00",0,"1,985","1,985",Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
SFRO,130726,801-63993,PARACLE ADVISORS LLC,PARACLE ADVISORS LLC,"7900 SE 28TH STREET, SUITE 204",,MERCER ISLAND,WA,UNITED STATES,98040,425-646-9292,888-855-4887,"7900 SE 28TH STREET, SUITE 204",,MERCER ISLAND,WA,UNITED STATES,98040,Approved,3/31/2005,3/4/2010,Y,WWW.PARACLEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"199,271,692.00","1,571,477.00","200,843,169.00",156,2,158,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131445,801-63093,"CARRET ASSET MANAGEMENT, LLC","CARRET ASSET MANAGEMENT, LLC",40 WEST 57TH STREET,20TH FLOOR,NEW YORK,NY,USA,10019,212-593-3800,212-593-9796,,,,,,,Approved,5/17/2004,3/4/2010,Y,WWW.CARRET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,10-Jun,0,More than 500,"1,000",Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,529,566,250.00",0,"1,529,566,250.00","1,317",0,"1,317",N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
NYRO,134605,801-68603,"MACE CAPITAL MANAGEMENT, LLC","MACE CAPITAL MANAGEMENT, LLC",1120 AVENUE OF THE AMERICAS,SUITE 4038,NEW YORK,NY,USA,10036,212-626-6632,212-626-6999,,,,,,,Approved,12/13/2007,3/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"28,666,717.00","28,666,717.00",0,96,96,N,Y,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,123440,801-64253,WALLS INVESTMENT MANAGEMENT COMPANY,WALLS INVESTMENT MANAGEMENT COMPANY,102 BUCKWALTER PARKWAY,SUITE 3Y,BLUFFTON,SC,USA,29910,888-925-5764,800-727-6198,,,,,,,Approved,5/6/2005,3/4/2010,Y,WWW.WALLSINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"37,000,000.00","24,000,000.00","61,000,000.00",150,6,156,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114357,801-63795,"LUMMIS ASSET MANAGEMENT, L.P.","LUMMIS ASSET MANAGEMENT, L.P.",301 COMMERCE STREET,SUITE 1790,FORT WORTH,TX,UNITED STATES,76102,817-348-0577,817-348-0583,P.O. BOX 471443,,FORT WORTH,TX,UNITED STATES,76147,Approved,1/6/2005,3/4/2010,Y,WWW.LUMMISASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"47,619,567.00",0,"47,619,567.00",97,0,97,Y,Y,N,N,N,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108157,801-56433,"LAURA J. BOXER REGISTERED INVESTMENT ADVISORS, LLC","LAURA J. BOXER REGISTERED INVESTMENT ADVISORS, LLC",,,,,,,510-525-7835,510-525-1760,,,,,,,Approved,4/13/1999,3/4/2010,Y,WWW:\LAURABOXER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"93,560,975.00",0,"93,560,975.00",276,0,276,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,136253,801-65332,"CEDARVIEW CAPITAL MANAGEMENT, LP","CEDARVIEW CAPITAL MANAGEMENT, LP",ONE PENN PLAZA,45TH FLOOR,NEW YORK,NY,UNITED STATES,10119,212-375-6000,212-375-6030,,,,,,,Approved,1/23/2006,9/11/2009,Y,WWW.CEDARVIEWCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP (LP),DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"108,000,000.00",0,"108,000,000.00",5,0,5,N,N,N,Y,N,N,N,N,N,Y,CEDARVIEW PROVIDES PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES AND SEPARATELY MANAGED ACCOUNTS.,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107829,801-16254,PERSONAL INVESTMENT MANAGEMENT INC,PERSONAL INVESTMENT MANAGEMENT INC,16701  NE 80TH STREET,SUITE 103,REDMOND,WA,UNITED STATES,98052,425-883-7990,425-883-8660,,,,,,,Approved,8/7/1981,3/4/2010,Y,WWW.PIM4YOU.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,COMMISSION FROM NONINVESTMENT PRODUCTS-LIFE AND HEALTH INSURANCE,Y,"316,692,585.00",0,"316,692,585.00","1,639",0,"1,639",Y,Y,N,N,N,Y,N,N,N,Y,ASSET ALLOCATION SERVICES,26-50,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,116386,801-68480,"UNIVERSAL FINANCIAL PLANNING CONSULTANTS, INC.","UNIVERSAL FINANCIAL PLANNING CONSULTANTS, INC.","7751 CARONDELET AVE., SUITE 708",,ST. LOUIS,MO,USA,63105,314-721-5522,314-721-1393,,,,,,,Approved,11/6/2007,3/4/2010,Y,WWW.UFGWORLD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISORY FEES,Y,"51,632,981.00",0,"51,632,981.00",166,0,166,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,125903,801-64133,HEYDORN CAPITAL MANAGEMENT LLC,HEYDORN CAPITAL MANAGEMENT LLC,15 NORTH MILL STREET,SUITE 222,NYACK,NY,UNITED STATES,10960,845-512-8540,845-512-8543,,,,,,,Approved,4/29/2005,3/4/2010,Y,WWW.HEYDORNCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"35,288,960.00","1,596,038.00","36,884,998.00",211,2,213,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,152510,801-70906,"LIMESTONE VALUE PARTNERS, LLC","LIMESTONE VALUE PARTNERS, LLC",510 BERING,SUITE 100,HOUSTON,TX,UNITED STATES,77057,713-871-8302,713-871-8307,,,,,,,Approved,1/4/2010,3/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"80,000,000.00",0,"80,000,000.00",32,0,32,N,Y,N,N,N,N,N,N,N,Y,FIRM OFFERINGS INVESTMENT SUPERVISORY SERVICES TO POOLED INVESTMENT VEHICLES.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107347,801-38960,"ARMSTRONG, FLEMING & MOORE, INC.","ARMSTRONG, FLEMING & MOORE, INC.","1850 M STREET, NW",SUITE #250,WASHINGTON,DC,USA,20036,202-887-8135,202-887-6763,,,,,,,Approved,6/26/1991,3/4/2010,Y,WWW.AFMFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DC,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"239,268,940.00","239,268,940.00",0,226,226,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,23757,801-57016,"OHANESIAN / LECOURS, INC.","OHANESIAN / LECOURS, INC.",433 SOUTH MAIN STREET,SUITE 104,WEST HARTFORD,CT,UNITED STATES,06110-9944,860-521-4751,860-521-4755,,,,,,,Approved,11/22/1999,3/4/2010,Y,WWW.OL-ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"62,743,009.00","161,654,183.00","224,397,192.00",235,241,476,Y,Y,N,N,Y,N,N,N,N,N,,25-Nov,,N,Y,Y,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
SFRO,119352,801-62717,PERKINS COIE CAPITAL MANAGEMENT,"PERKINS COIE CAPITAL MANAGEMENT, LLC",1201 3RD AVE,SUITE 4800,SEATTLE,WA,UNITED STATES,98101-3099,888-720-8382,206-359-9000,,,,,,,Approved,2/25/2004,3/4/2010,Y,WWW.PERKINSCOIE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,"PERKINS COIE FIDUCIARY SERVICES, PC IN ITS CAPACITY AS TRUSTEE OR EXECUTOR",Y,Y,N,Y,N,N,Y,"MINIMUM FEE OF $6,000 PER ACCOUNT PER YEAR",Y,"126,358,017.00","301,674,223.00","428,032,240.00",149,1,150,Y,Y,N,Y,N,N,N,N,N,Y,"INVESTMENT ADVICE TO PERKINS COIE FIDUCIARY SERVICES, PC IN ITS CAPACITY AS FIDUCIARY (TRUSTEE OR EXECUTOR)",10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,148484,801-70475,MESTMAKER & PETREY WEALTH ADVISORS,"MPWA, INC.","1675 CHESTER AVENUE, STE. 190",,BAKERSFIELD,CA,UNITED STATES,93301,(661) 395-9400,,,,,,,,Approved,8/18/2009,3/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"23,500,000.00","3,000,000.00","26,500,000.00",209,161,370,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137825,801-65137,"GREYLOCK CAPITAL MANAGEMENT, LLC","GREYLOCK CAPITAL MANAGEMENT, LLC",99 PARK AVENUE,SUITE 1110,NEW YORK,NY,USA,10016-1501,1-212-808-1800,1-212-808-1801,,,,,,,Approved,2/1/2006,3/4/2010,Y,WWW.GREYLOCKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"350,000,000.00",0,"350,000,000.00",4,0,4,N,Y,N,Y,N,N,N,N,N,Y,POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,131670,801-66358,THE WILLIS GROUP,"THE WILLIS GROUP, INC.",128 SOUTH TEJON STREET,SUITE 150,COLORADO SPRINGS,CO,UNITED STATES,80903,719-884-7500,719-884-7506,,,,,,,Approved,3/9/2006,2/5/2010,Y,WWW.THEWILLISGROUP.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,000,000.00",0,"34,000,000.00",2,0,2,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,142093,801-68336,"FLOYD CAPITAL MANAGEMENT, LLC","FLOYD CAPITAL MANAGEMENT, LLC",,,,,,,843-357-3700,843-357-3701,,,,,,,Approved,10/3/2007,2/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"28,791,629.00",0,"28,791,629.00",63,0,63,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,127435,801-67625,"OKLO FINANCIAL, LLC","OKLO FINANCIAL, LLC",1050 NORTHGATE DR,#333,SAN RAFAEL,CA,UNITED STATES,94903,866-399-1990,415-492-1970,,,,,,,Approved,3/13/2007,2/9/2010,Y,WWW.OKLO-FINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,10-Jun,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"62,313,601.00",0,"62,313,601.00",253,0,253,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106233,801-40501,ALASKA PERMANENT CAPITAL MANAGEMENT CO,ALASKA PERMANENT CAPITAL MANAGEMENT CO,"900 W 5TH AVENUE, SUITE 601",,ANCHORAGE,AK,USA,99501,907-272-7575,907-272-7574,,,,,,,Approved,12/31/1991,2/9/2010,Y,APCM.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AK,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,More than 75 percent,Up to 10 percent,HEALTH AND WELFARE TRUSTS,Y,Y,N,Y,N,N,N,,Y,"1,976,071,524.00",0,"1,976,071,524.00",198,0,198,Y,Y,N,Y,N,N,Y,N,N,Y,SUPERVISORY INVESTMENT MANAGEMENT,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,114412,801-62611,MCDANIEL KNUTSON FINANCIAL PARTNERS,MCDANIEL KNUTSON FINANCIAL PARTNERS,2500 W 31ST ST.,SUITE B,LAWRENCE,KS,UNITED STATES,66047-3051,785-841-4664,785-841-7719,,,,,,,Approved,1/2/2004,2/9/2010,Y,WWW.MCDANIELFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SHARE IN FEES FROM THIRD PARTY MANAGERS,Y,"71,700,000.00",0,"71,700,000.00",860,0,860,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,112061,801-60209,TACTICAL GLOBAL MANAGEMENT (UK) LIMITED,TACTICAL GLOBAL MANAGEMENT (UK) LIMITED,6TH FLOOR,39 ST. JAMES'S STREET,LONDON,,UNITED KINGDOM,SW1A 1JD,44 (20) 7290-1234,44 (20) 7290-1222,,,,,,,Approved,4/27/2001,2/9/2010,Y,WWW.TGM-GLOBAL.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,10-Jun,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,118376,801-68890,BURTON ENRIGHT WELCH,BURTON ENRIGHT WELCH,1333 NORTH CALIFORNIA BOULEVARD,SUITE 140,WALNUT CREEK,CA,UNITED STATES,94596,(925) 932-8010,(925) 932-8048,,,,,,,Approved,3/11/2008,2/9/2010,Y,WWW.BURTONENRIGHT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"123,589,971.00","11,913,878.00","135,503,849.00",374,3,377,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112413,801-51307,"STANDARD VALUATIONS, INC.",STANDARD VALUATIONS INC,790 CLEVELAND AVE SOUTH STE 220,,ST PAUL,MN,UNITED STATES,55116,651-690-5441,651-690-2810,,,,,,,Approved,2/15/1996,2/9/2010,Y,WWW.STANDARDVALUATIONS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,152970,801-71120,INSIGHT EBC,"INSIGHT EMPLOYEE NEMEFIT COMMUNICATIONS, INC.",4643 S. ULSTER STREET,SUITE 800,DENVER,CO,UNITED STATES,80237,720-228-4157,720-228-4158,,,,,,,Approved,3/11/2010,2/9/2010,Y,WWW.INSIGHTEBC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"279,969,657.00","279,969,657.00",0,9,9,N,N,N,N,Y,Y,N,N,N,Y,RETIREMENT PLAN PARTICIPANT EDUCATION AND COUNSELING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,144798,801-68292,"PFE ADVISORS, INC.","PFE ADVISORS, INC.","144 TURNPIKE ROAD, SUITE 360",,SOUTHBOROUGH,MA,UNITED STATES,1772,508-683-1400,508-683-1401,,,,,,,Approved,8/30/2007,2/9/2010,Y,WWW.PFEGROUP.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,Y,FINANCIAL EDUCATION SERVICES,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,148106,801-69657,"ABSOLUTE RETURN SOLUTIONS, INC.","ABSOLUTE RETURN SOLUTIONS, INC.",16310 NE 80TH STREET,SUITE 100,REDMOND,WA,USA,98052,425-558-3700,425-696-2492,,,,,,,Approved,10/6/2008,2/9/2010,Y,HTTP://WWW.ABSOLUTERETURNSOLUTIONS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"7,984,925.00","18,617,796.00","26,602,721.00",27,39,66,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,112853,801-58221,THE NEWTON FOLLIS PARTNERSHIP LIMITED,THE NEWTON FOLLIS PARTNERSHIP LIMITED,,,,,,,011 44 1798 344610,011 44 1798 342382,,,,,,,Approved,12/22/2000,2/10/2010,Y,WWW.NEWTONFOLLIS.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,SCALE CHARGES,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES: PROVIDED TO INDIVIDUALS PARTICIPATING IN UNDERWRITING AT LLOYD'S,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,133157,801-63583,"STAIRWAY PARTNERS, LLC","STAIRWAY PARTNERS, LLC",2215 YORK ROAD,SUITE 515,OAK BROOK,IL,UNITED STATES,60523,630-371-2626,630-371-2617,,,,,,,Approved,10/29/2004,2/10/2010,Y,WWW.STAIRWAYPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"204,214,757.00",0,"204,214,757.00",62,0,62,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108747,801-32023,DCA GLOBAL INVESTMENT MANAGEMENT,"DAVID COOK & ASSOCIATES, INC.",5185 PEACHTREE PARKWAY,SUITE 260,NORCROSS,GA,UNITED STATES,30092,770-622-9937,770-622-9957,,,,,,,Approved,7/25/1988,2/10/2010,Y,WWW.DCAGLOBAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"195,938,378.00",0,"195,938,378.00",401,0,401,Y,Y,N,N,N,Y,N,N,N,Y,INVESTMENT ADVICE TO A POOLED INVESTMENT VEHICLE,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124971,801-68884,"LENOX CAPITAL MANAGEMENT, INC.","LENOX CAPITAL MANAGEMENT, INC.",322 ALANA DRIVE,,NEW LENOX,IL,USA,60451-1784,815-485-5559,815-485-9130,,,,,,,Approved,2/27/2008,2/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"215,651.00","31,789,785.00","32,005,436.00",3,470,473,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123247,801-66182,"MERITUS CAPITAL MANAGEMENT, INC.","MERITUS CAPITAL MANAGEMENT, INC.","645 TOLLGATE ROAD, SUITE 140",,ELGIN,IL,UNITED STATES,60123,847-289-7700,847-289-7777,,,,,,,Approved,2/1/2006,2/10/2010,Y,HTTP://WWW.MERITUSFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"36,951,960.00",0,"36,951,960.00",69,0,69,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,147429,801-69255,"KVO CAPITAL MANAGEMENT, LLC","KVO CAPITAL MANAGEMENT, LLC",33 S. MAIN STREET,SUITE 3,HANOVER,NH,UNITED STATES,3755,603-643-0500,603-643-0511,,,,,,,Approved,6/12/2008,2/10/2010,Y,WWW.KVOCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"180,000,000.00",0,"180,000,000.00",4,0,4,N,Y,N,Y,N,Y,N,N,N,Y,ASSET ALLOCATION,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,128637,801-62493,"RETAIL INTELLIGENCE GROUP, LLC","RETAIL INTELLIGENCE GROUP, LLC",3922 COCONUT PALM DRIVE,SUITE 300,TAMPA,FL,UNITED STATES,33619,813-627-6958,813-627-6882,,,,,,,Approved,11/20/2003,2/10/2010,Y,WWW.RETAILINTELL.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,Y,Y,N,N,N,,N,0,0,0,0,0,0,N,N,Y,Y,N,N,Y,N,N,Y,CUSTOMIZED REPORTS AND DISCUSSIONS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,135062,801-67484,THE MUTUAL FUND STORE,"TMFS-AUSTIN, LLC",4201 W PARMER LANE,"BUILDING B, SUITE 250",AUSTIN,TX,UNITED STATES,78727,512-490-0044,512-490-6699,,,,,,,Approved,1/31/2007,3/3/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"74,470,000.00",0,"74,470,000.00",555,0,555,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,138241,801-67940,THE MUTUAL FUND STORE,"TMFS-SAN ANTONIO, LLC",555 EAST BASSE ROAD,SUITE 206,SAN ANTONIO,TX,USA,78209,210-826-9400,210-826-9409,,,,,,,Approved,5/30/2007,3/3/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"72,141,000.00",0,"72,141,000.00",406,0,406,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,138243,801-67946,THE MUTUAL FUND STORE,"TMFS-MILWAUKEE, LLC",21675 LONG VIEW DRIVE SUITE 300,,WAUKESHA,WI,USA,53186,262-717-0022,262-717-9579,,,,,,,Approved,6/7/2007,3/3/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,500,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"93,856,000.00",0,"93,856,000.00",535,0,535,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,120742,801-61284,"BIECHELE ROYCE ADVISORS, INC.","BIECHELE ROYCE ADVISORS, INC.",8784 STATION STREET,,FISHERS,IN,UNITED STATES,46038,317-913-7000,317-913-7020,,,,,,,Approved,7/3/2002,3/3/2010,Y,WWW.BIECHELE-ROYCE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"136,298,847.00","6,832,910.00","143,131,757.00",328,8,336,Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,N,Y,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,37503,801-60828,"GURUN INVESTMENT ADVISORS, INC.","GURUN INVESTMENT ADVISORS, INC.",4925 GREENVILLE AVENUE,SUITE 1102,DALLAS,TX,UNITED STATES,75206,214-691-4451,214-987-9405,,,,,,,Approved,1/9/2002,3/3/2010,Y,WWW.GURUNINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"80,792,878.00",0,"80,792,878.00",69,0,69,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,137944,801-70740,THE MUTUAL FUND STORE,"TMFS-BIRMINGHAM, LLC",TWO CHASE CORPORATE DRIVE,SUITE 55,HOOVER,AL,UNITED STATES,35244,205-403-9200,205-403-9133,,,,,,,Approved,11/17/2009,3/3/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"28,947,000.00",0,"28,947,000.00",137,0,137,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,141793,801-67265,"NLJ ADVISORS, INC.","NLJ ADVISORS, INC.",201 NE PARK PLAZA DRIVE,SUITE 120,VANCOUVER,WA,UNITED STATES,98684,360-314-6545,360-314-6233,,,,,,,Approved,11/8/2006,3/3/2010,Y,NLJADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"877,776,422.00","877,776,422.00",0,7,7,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,124989,801-61768,"VINOY CAPITAL, LLC","VINOY CAPITAL, LLC",1800 PEMBROOK DRIVE,SUITE 300,ORLANDO,FL,UNITED STATES,32810,407-599-1104,407-599-0299,,,,,,,Approved,1/29/2003,3/3/2010,Y,WWW.VINOYCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"137,945,200.00",0,"137,945,200.00",432,0,432,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,134532,801-67942,THE MUTUAL FUND STORE,"TMFS-RICHMOND, LLC",11541 NUCKOLS ROAD,SUITE C,GLEN ALLEN,VA,USA,23059,804-523-4555,804-523-4390,,,,,,,Approved,5/29/2007,3/3/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"50,881,000.00",0,"50,881,000.00",330,0,330,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,153224,801-71191,"MARS HILL PARTNERS, LLC","MARS HILL PARTNERS, LLC",102 S. TEJON STREET,#430,COLORADO SPRINGS,CO,UNITED STATES,80903,719-522-1339,719-522-1361,,,,,,,Approved,3/18/2010,3/3/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
FWRO,139722,801-66344,KEVIN CLARIDAY INVESTMENT ADVISOR,KEVIN PATRICK CLARIDAY,,,,,,,972-385-1677,972-385-2414,,,,,,,Approved,3/14/2006,3/10/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"33,000,000.00","33,000,000.00",0,70,70,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147482,801-69303,"LIFETIME WEALTH MANAGEMENT, LLC","LIFETIME WEALTH MANAGEMENT, LLC",,,,,,,507-288-5587,507-288-5864,,,,,,,Approved,6/27/2008,3/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"37,500,000.00","5,540,000.00","43,040,000.00",199,141,340,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,142787,801-67438,THIRSTY HORSES,"THIRSTY HORSES GROUP, INC.",80 EAST SIR FRANCIS DRAKE BLVD.,SUITE 3A,LARKSPUR,CA,USA,94939,415-464-0800,415-449-6690,,,,,,,Approved,1/25/2007,3/3/2010,Y,WWW.THIRSTYHORSESGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"36,406,842.00",0,"36,406,842.00",223,0,223,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105328,801-35397,GREENPORT FINANCIAL ADVISERS INC.,GREENPORT FINANCIAL ADVISERS INC,6215 FRANK AVENUE NW,,NORTH CANTON,OH,USA,44720,(330) 433-1800,(330) 433-1801,,,,,,,Approved,10/27/1989,3/3/2010,Y,WWW.GREENPORTFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"75,710,752.00",0,"75,710,752.00",123,0,123,N,Y,N,Y,Y,N,N,N,N,Y,ADVISORY CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,130005,801-63127,"FREESTONE ADVISORS, LLC","FREESTONE ADVISORS, LLC",1918 8TH AVE,SUITE 3400,SEATTLE,WA,UNITED STATES,98101,206-398-1100,206-398-0310,,,,,,,Approved,5/18/2004,3/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"101,940,771.00",0,"101,940,771.00",2,0,2,N,N,N,Y,N,N,N,N,N,Y,FREESTONE ADVISORS LLC SERVES AS GENERAL PARTNER TO TWO INVESTMENT RELATED LIMITED PARTNERSHIPS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,109386,801-56534,BARRINGTON FINANCIAL ADVISORS INC,BARRINGTON FINANCIAL ADVISORS INC,9800 RICHMOND AVE,STE 250,HOUSTON,TX,USA,77042,713-785-7100,713-785-6266,,,,,,,Approved,5/26/1999,3/3/2010,Y,WWW.BARRINGTONFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"200,000,000.00",0,"200,000,000.00","1,665",0,"1,665",Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,Y,Y,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105341,801-20433,BULLARD MCLEOD & ASSOCIATES INC,BULLARD MCLEOD & ASSOCIATES INC,"194 WASHINGTON AVENUE, SUITE 520",,ALBANY,NY,USA,12210-2314,518-694-8400,518-694-8297,,,,,,,Approved,1/30/1984,3/3/2010,Y,HTTP://WWW.BMA-INC.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"112,139,310.00",0,"112,139,310.00",542,0,542,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112702,801-60264,"ALLEY COMPANY, LLC","ALLEY COMPANY, LLC",585 BANK LANE,SUITE 2400,LAKE FOREST,IL,UNITED STATES,60045,847-482-0938,847-482-1237,,,,,,,Approved,5/14/2001,3/3/2010,Y,WWW.ALLEYCOMPANYLLC.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"119,797,267.00","16,532,608.00","136,329,875.00",45,1,46,Y,Y,Y,Y,N,Y,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108299,801-57120,SOMERSET CAPITAL ADVISERS LLC,SOMERSET CAPITAL ADVISERS LLC,10 EAST 40TH STREET,SUITE 3201,NEW YORK,NY,UNITED STATES,10016,212-931-9600,212-931-8201,,,,,,,Approved,12/30/1999,3/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"58,395,964.00",0,"58,395,964.00",5,0,5,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104994,801-17827,KEELEY ASSET MANAGEMENT CORP,KEELEY ASSET MANAGEMENT CORP,"401 S LASALLE ST., STE 1201",,CHICAGO,IL,USA,60605,312-786-5000,312-786-5002,,,,,,,Approved,10/14/1982,3/3/2010,Y,WWW.KIC-KAMCO.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,5-Jan,0,More than 500,"1,000",Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"6,588,288,352.00",0,"6,588,288,352.00","1,240",0,"1,240",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,Y,N,N,N,N,,N,,N,Y,Y,N,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,128990,801-62477,ZEVENBERGEN CAPITAL INVESTMENTS LLC,ZEVENBERGEN CAPITAL INVESTMENTS LLC,601 UNION STREET,SUITE 4600,SEATTLE,WA,UNITED STATES,98101-2323,206-682-8469,206-682-9625,,,,,,,Approved,10/1/2003,3/3/2010,Y,WWW.ZCI.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"2,207,093,936.00",0,"2,207,093,936.00",57,0,57,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,128586,801-62398,THE GOLUB GROUP,"GOLUB GROUP, LLC",1850 GATEWAY DRIVE,SUITE 600,SAN MATEO,CA,UNITED STATES,94404-4060,650-212-2240,650-212-2249,,,,,,,Approved,9/26/2003,3/3/2010,Y,WWW.GOLUBGROUP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,500,51-75 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"593,048,092.00","16,989,063.00","610,037,155.00","1,519",94,"1,613",N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,124273,801-61650,"ROCK CANYON ADVISORY GROUP, INC.","ROCK CANYON ADVISORY GROUP, INC.","2989 WEST MAPLE LOOP,SUITE 210",,LEHI,UT,USA,84043,801-753-0045,801-753-0051,,,,,,,Approved,12/10/2002,3/3/2010,Y,HTTP://WWW.ROCKCANYONADVISORS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"10,000,000.00",0,"10,000,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,104775,801-14393,SUNDERMANN CAPITAL MANAGEMENT LLC,SUNDERMANN CAPITAL MANAGEMENT LLC,8400 E. PRENTICE AVENUE,SUITE 1360,GREENWOOD VILLAGE,CO,UNITED STATES,80111-2925,303-758-1223,303-793-3111,,,,,,,Approved,2/16/1979,3/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"47,306,433.00","2,568,082.00","49,874,515.00",50,1,51,N,Y,N,N,N,N,N,N,N,Y,CONSULTING FOR SECURITIES ARBITRATION AND LITIGATION,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108567,801-56296,"COVENANT ASSET MANAGEMENT, LLC","COVENANT ASSET MANAGEMENT, LLC",408 MAIN STREET,,CHESTER,NJ,UNITED STATES,7930,908-879-4090,908-879-6468,,,,,,,Approved,3/18/1999,2/23/2010,Y,WWW.COVASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"137,536,655.00",0,"137,536,655.00",296,0,296,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,Y,FINANCIAL PLANNING,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110966,801-30304,"FISCHER INVESTMENT GROUP, INC.","FISCHER INVESTMENT GROUP, INC.",1170 PITTSFORD-VICTOR RD,SUITE 200,PITTSFORD,NY,UNITED STATES,14534,585-586-2460,585-586-9583,,,,,,,Approved,8/7/1987,2/23/2010,Y,WWW.FISCHERIG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"69,554,819.00","18,568,995.00","88,123,814.00",399,13,412,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131688,801-63540,BUCKMAN ADVISORY GROUP LLC,BUCKMAN ADVISORY GROUP LLC,174 PATTERSON AVENUE,,SHREWSBURY,NJ,UNITED STATES,7702,732-530-0303,732-530-2937,,,,,,,Approved,9/24/2004,2/23/2010,Y,WWW.BUCKMANBUCKMAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"150,000,000.00",0,"150,000,000.00",490,0,490,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,125553,801-63021,"GRUBMAN FINANCIAL CONSULTING, INC","GRUBMAN FINANCIAL CONSULTING, INC",2115 MILVIA STREET,SUITE 3,BERKELEY,CA,UNITED STATES,94704-1157,510-883-1350,510-548-3148,,,,,,,Approved,5/3/2004,2/23/2010,Y,WWW.GRUBMANFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"131,539,995.00",0,"131,539,995.00",493,0,493,Y,Y,N,Y,N,N,Y,N,N,Y,INCOME TAX PREPARATION,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106777,801-51444,JACOBUS WEALTH MANAGEMENT INC,JACOBUS WEALTH MANAGEMENT INC,"2323 N.MAYFAIR ROAD,SUITE 240",,MILWAUKEE,WI,UNITED STATES,53226-1506,414-475-6565,414-475-0317,,,,,,,Approved,3/5/1996,2/23/2010,Y,WWW.JWMFAMILYOFFICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"365,775,461.00","249,154,929.00","614,930,390.00",470,399,869,Y,Y,N,Y,N,Y,Y,N,N,N,,25-Nov,,N,N,N,N,N,Y,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105023,801-56921,SNOW INVESTMENT SERVICES CO INC,SNOW INVESTMENT SERVICES CO INC,728 SHADES CREEK PKWY,SUITE 130,BIRMINGHAM,AL,UNITED STATES,35209,205-870-1166,205-870-4144,,,,,,,Approved,10/20/1999,2/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,INVESTMENT PARTNERSHIPS (NON-DISCRETIONARY AND NOT THE GENERAL PARTNER),Y,Y,N,Y,N,N,N,,Y,"6,898,100.00","48,845,200.00","55,743,300.00",30,57,87,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,121222,801-64172,SCOTT SNOW (FINANCIAL ADVISORS) LLC,SCOTT SNOW (FINANCIAL ADVISORS) LLC,"24601 CENTER RIDGE ROAD, SUITE 175",,WESTLAKE,OH,USA,44145,440-871-7669,440-871-7642,,,,,,,Approved,4/26/2005,2/23/2010,Y,WWW.S2FA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"210,000,000.00","210,000,000.00",0,49,49,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106696,801-53480,"ROOF, EIDAM & MAYCOCK",ROOF EIDAM & MAYCOCK,1 POST STREET,SUITE 2725,SAN FRANCISCO,CA,UNITED STATES,94104,415-788-4600,415-788-4606,,,,,,,Approved,12/19/1996,2/23/2010,Y,WWW.ROOFEIDAMMAYCOCK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"283,387,415.00",0,"283,387,415.00","1,336",0,"1,336",Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,N,Y,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,122122,801-66441,"RETIREMENT ADVISORS, INC.","RETIREMENT ADVISORS, INC.",1009 DOWNTOWNER BLVD,,MOBILE,AL,USA,36609,251-344-0707,251-343-7420,,,,,,,Approved,3/27/2006,2/23/2010,Y,WWW.PLANTORETIRE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"30,526,641.00","15,030,039.00","45,556,680.00",87,31,118,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,112129,801-64553,"THE KOCEN FINANCIAL GROUP, INC.","THE KOCEN FINANCIAL GROUP, INC.","35900 BOB HOPE DR., SUITE 202",,RANCHO MIRAGE,CA,UNITED STATES,92270-1767,760-324-4015,760-324-4301,,,,,,,Approved,7/21/2005,2/23/2010,Y,WWW.KFGINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,10-Jun,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"59,779,458.00",0,"59,779,458.00",718,0,718,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,Y,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109970,801-57176,FOCUS INVESTMENT ADVISORS,FOCUS INVESTMENT ADVISORS,"511 SAXONY PLACE,",SUITE 101,ENCINITAS,CA,UNITED STATES,92024,760-230-1880,760-230-1341,,,,,,,Approved,4/10/2000,2/23/2010,Y,WWW.FOCUSINVESTMENT.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Partnership,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,0,"61,277,866.00","61,277,866.00",0,13,13,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110426,801-37068,DAIWA SB INVESTMENTS (SINGAPORE) LTD.,DAIWA SB INVESTMENTS (SINGAPORE) LTD.,"152 BEACH ROAD, # 06-01/02",THE GATEWAY EAST,SINGAPORE,,SINGAPORE,189721,065-6297-6811,065-6297-6822,,,,,,,Approved,7/23/1990,2/23/2010,Y,WWW.DAIWASBI.CO.JP,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,SINGAPORE,10-Jun,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"677,838,223.00","5,621,925,796.00","6,299,764,019.00",6,8,14,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137109,801-64984,THE SUMITOMO TRUST FINANCE (HK) LIMITED,THE SUMITOMO TRUST FINANCE (HK) LIMITED,"704-706, 7/F THREE EXCHANGE SQUARE","8 CONNAUGHT PLACE, CENTRAL",HONG KONG,,CHINA,,852-2801-8800,852-2840-0496,,,,,,,Approved,1/5/2006,2/23/2010,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,11-25 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"304,559,064.00",0,"304,559,064.00",16,0,16,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR UNIT TRUST,,,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGER AND INVESTMENT ADVISOR,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107049,801-9747,"LATEEF INVESTMENT MANAGEMENT, LP.","LATEEF INVESTMENT MANAGEMENT, LP.",300 DRAKES LANDING ROAD,SUITE #100,GREENBRAE,CA,UNITED STATES,94904-3123,415-461-3800,415-461-0436,,,,,,,Approved,2/16/1974,2/23/2010,Y,WWW.LATEEF.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,CA,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,More than 500,"2,500",Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,212,170,000.00",0,"3,212,170,000.00","2,166",0,"2,166",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138437,801-65540,LILY POND CAPITAL MANAGEMENT LLC,LILY POND CAPITAL MANAGEMENT LLC,450 PARK AVENUE,SUITE 1901,NEW YORK,NY,UNITED STATES,10022,646-572-4600,212 906-9040,,,,,,,Approved,3/6/2006,2/24/2010,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"483,000,000.00",0,"483,000,000.00",9,0,9,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109449,801-57149,"GRAMERCY ADVISORS, L.L.C.","GRAMERCY ADVISORS, L.L.C.",20 DAYTON AVENUE,,GREENWICH,CT,UNITED STATES,6830,203-552-1900,203-552-1901,,,,,,,Approved,1/27/2000,2/24/2010,Y,WWW.GRAMERCY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,10-Jun,0,251-500,0,Up to 10 percent,11-25 percent,0 percent,0 percent,26-50 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,035,273,782.00",0,"1,035,273,782.00",3,0,3,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,131711,801-63425,GRAMERCY INVESTMENT ADVISORS LLC,GRAMERCY INVESTMENT ADVISORS LLC,20 DAYTON AVENUE,,GREENWICH,CT,UNITED STATES,6830,203-552-1900,203-552-1901,,,,,,,Approved,8/19/2004,2/24/2010,Y,WWW.GRAMERCY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,26-50 percent,11-25 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,299,168,245.00",0,"1,299,168,245.00",7,0,7,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,124676,801-61946,TALL SHIPS CAPITAL MANAGEMENT LLC,TALL SHIPS CAPITAL MANAGEMENT LLC,20 DAYTON AVENUE,,GREENWICH,CT,UNITED STATES,6830,(203) 552-1900,(203) 552-1901,,,,,,,Approved,4/3/2003,2/24/2010,Y,WWW.GRAMERCY.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,10-Jun,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"9,130,207.00",0,"9,130,207.00",5,0,5,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,113209,801-62966,BALCH HILL CAPITAL,"BALCH HILL CAPITAL, LLC",,,,,,,415-474-7055,415-276-4562,PO BOX 7775,ECM# 56293,SAN FRANCISCO,CA,UNITED STATES,94120,Approved,3/30/2004,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"75,949,870.00",0,"75,949,870.00",2,0,2,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,144764,801-68235,TAMRO CAPITAL PARTNERS LLC,TAMRO CAPITAL PARTNERS LLC,1660 DUKE STREET,SUITE 200,ALEXANDRIA,VA,UNITED STATES,22314,703-740-1000,703-836-0495,,,,,,,Approved,6/30/2007,3/29/2010,Y,WWW.TAMROCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,COMPENSATION PROGRAM,Y,N,N,N,N,N,Y,MODEL PORTFOLIO PROVIDER FOR ASSETS NOT INCLUDED IN FIRM AUM,Y,"1,247,500,036.00",0,"1,247,500,036.00",128,0,128,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,141445,801-67161,MULLINTBG ADVISORS,"MULLINTBG ADVISORY SERVICES, LLC",610 NEWPORT CENTER DRIVE,SUITE 950,NEWPORT BEACH,CA,UNITED STATES,92660,949-760-6215,949-760-1041,,,,,,,Approved,9/18/2006,3/29/2010,Y,WWW.MULLINTBGADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"62,931,689.00","16,345,133.00","79,276,822.00",190,31,221,Y,Y,N,N,N,Y,N,N,N,Y,FINANCIAL EDUCATION SERVICES THROUGH CONTINUUM (SM) SERVICES,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,Y,N,Y,N
PLRO,146221,801-68810,"RIVERFRONT INVESTMENT GROUP, LLC","RIVERFRONT INVESTMENT GROUP, LLC",9011 ARBORETUM PARKWAY,SUITE 110,RICHMOND,VA,UNITED STATES,23236,804-549-4800,804-549-4819,,,,,,,Approved,2/14/2008,3/29/2010,Y,WWW.RIVERFRONTIG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,More than 500,"3,500",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,Y,Y,N,N,N,,Y,"1,454,196,805.00",0,"1,454,196,805.00","3,924",0,"3,924",N,Y,Y,Y,N,N,Y,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106957,801-53336,HALCYON ASSET MANAGEMENT LLC,HALCYON ASSET MANAGEMENT LLC,"477 MADISON AVENUE, 8TH FL",,NEW YORK,NY,UNITED STATES,10022-5843,212-303-9400,212-935-1831,,,,,,,Approved,1/2/1997,3/29/2010,Y,WWW.HALCYONLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"769,880,000.00",0,"769,880,000.00",6,0,6,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,122442,801-61411,"FPL ASSET MANAGEMENT, LLC","FPL ASSET MANAGEMENT, LLC",1890 HUDSON CIRCLE,SUITE 1,MONROE,LA,UNITED STATES,71201,318-323-3752,318-387-4511,,,,,,,Approved,8/28/2002,3/29/2010,Y,WWW.FPLAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"82,781,044.00","48,737,510.00","131,518,554.00",389,45,434,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,146040,801-68688,"SHORELINE FINANCIAL ADVISORS, LLC","SHORELINE FINANCIAL ADVISORS, LLC",246 GOOSE LANE,SUITE 201,GUILFORD,CT,USA,6437,203-458-6800,203-458-7965,,,,,,,Approved,5/12/2008,3/29/2010,Y,WWW.SFADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"55,055,372.00","3,784,028.00","58,839,400.00",259,75,334,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,Y,TAX PREPARATION,N,,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,143881,801-69145,"ALPHASHARES, LLC","ALPHASHARES, LLC",1515 OAKLAND BLVD.,SUITE 260,WALNUT CREEK,CA,USA,94596,925-930-6991,925-930-6992,,,,,,,Approved,5/2/2008,3/29/2010,Y,WWW.ALPHASHARES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,11-25 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"550,148,444.00",0,"550,148,444.00",9,0,9,N,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109800,801-31757,"CAPITOL FINANCIAL CONSULTANTS, INC.","CAPITOL FINANCIAL CONSULTANTS, INC.",8180 GREENSBORO DRIVE,SUITE 1150,MCLEAN,VA,UNITED STATES,22102,703-821-2000,703-821-2007,,,,,,,Approved,4/22/1988,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"79,265,120.00","79,265,120.00",0,565,565,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,Y,N,N,N,N,Y,N,N,,Y,N,Y,N,N,Y,N,N,N,Y,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,138872,801-66711,"BIRD ROCK ASSET MANAGEMENT, LP","BIRD ROCK ASSET MANAGEMENT, LP.",1611 NUECES ST.,,AUSTIN,TX,UNITED STATES,78701,512-236-0071,512-597-3141,,,,,,,Approved,5/12/2006,3/29/2010,Y,WWW.BIRDROCKASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"12,063,454.00","41,650,492.00","53,713,946.00",94,2,96,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107182,801-53491,HALCYON OFFSHORE ASSET MANAGEMENT LLC,HALCYON OFFSHORE ASSET MANAGEMENT LLC,477 MADISON AVE,,NEW YORK,NY,UNITED STATES,10022-5843,212-303-9400,212-935-1831,,,,,,,Approved,1/2/1997,3/29/2010,Y,WWW.HALCYONLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,458,230,000.00",0,"1,458,230,000.00",10,0,10,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108821,801-57694,WILTON ASSET MANAGEMENT LLC,WILTON ASSET MANAGEMENT LLC,C/O STATE STREET GLOBAL ADVISORS ATTN: J. ANGELL,"STATE STREET FINANCIAL CENTER,ONE LINCOLN STREET",BOSTON,MA,UNITED STATES,02111-2900,617-664-0216,617-664-0481,,,,,,,Approved,6/30/2000,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"123,899,071.00",0,"123,899,071.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,119201,801-69308,"ZEROCELSIUS WEALTH STUDIO, INC.","ZEROCELSIUS WEALTH STUDIO, INC.",228 MAIN STREET,,NEW LONDON,NH,UNITED STATES,3257,603-526-8000,603-526-8001,P.O. BOX 2340,,NEW LONDON,NH,UNITED STATES,3257,Approved,6/26/2008,3/29/2010,Y,WWW.ZEROCELSIUSWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"25,667,146.00",0,"25,667,146.00",188,0,188,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105213,801-34173,CARMICHAEL HILL & ASSOCIATES INC,CARMICHAEL HILL & ASSOCIATES INC,18 EAST DIAMOND AVE,,GAITHERSBURG,MD,UNITED STATES,20877,301-217-9300,301-591-4195,,,,,,,Approved,1/13/1989,3/29/2010,Y,WWW.CARMICHAEL-HILL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"114,268,624.00",0,"114,268,624.00",623,0,623,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,140413,801-66664,"CHESWOLD LANE ASSET MANAGEMENT, LLC","CHESWOLD LANE ASSET MANAGEMENT, LLC",100 FRONT STREET,SUITE 960,WEST CONSHOHOCKEN,PA,UNITED STATES,19428,610-940-5330,610-941-5009,,,,,,,Approved,5/1/2006,3/29/2010,Y,WWW.CHESWOLDLANE.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,11-25 percent,11-25 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"117,293,131.00",0,"117,293,131.00",29,0,29,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,149936,801-70357,"LEE MUNDER CAPITAL GROUP, LLC","LEE MUNDER CAPITAL GROUP, LLC",200 CLARENDON ST.,T-28,BOSTON,MA,UNITED STATES,2116,617-380-5600,617-380-5598,,,,,,,Approved,7/6/2009,3/29/2010,Y,WWW.LEEMUNDER.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,5-Jan,0,More than 500,500,11-25 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"4,365,146,922.00","43,934,150.00","4,409,081,072.00",708,12,720,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105585,801-28362,MICHAEL J. BERGQUIST FINANCIAL & ESTATE PLANNING,BERGQUIST MICHAEL JOHN,"1114 STATE STREET, SUITE 300",,SANTA BARBARA,CA,UNITED STATES,93101,805-568-5313,805-568-5315,,,,,,,Approved,12/22/1986,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,N,N,N,N,,Y,"31,896,400.00","52,298,900.00","84,195,300.00",44,44,88,Y,Y,N,N,N,Y,N,N,N,Y,HOURLY RATE TAX & ESTATE PLANNING ADVICE & FIDUCIARY ADVISORY SERVICES RELATED THERETO WITH EXISTING FINANCIAL PLANNING CLIENTS,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,136604,801-64618,CORE CAPITAL SOLUTIONS LLC,FLUETT WEALTH MANAGEMENT LLC,40 SHUMAN BOULEVARD SUITE 240,,NAPERVILLE,IL,UNITED STATES,60563-8465,630-753-9900,630-753-9909,,,,,,,Approved,8/26/2005,3/29/2010,Y,WWW.CORECAPITALSOLUTIONS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"115,331,277.00",0,"115,331,277.00",197,0,197,Y,Y,N,Y,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,125790,801-62010,PACIFICA CAPITAL INVESTMENTS,PACIFICA CAPITAL INVESTMENTS LLC,,,,,,,858-759-6800,858-759-6900,P.O. BOX 710,,RANCHO SANTA FE,CA,UNITED STATES,92067,Approved,5/16/2003,3/29/2010,Y,WWW.PACIFICACAPITAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,10-Jun,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"191,282,070.00",0,"191,282,070.00",250,0,250,N,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,Y,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109805,801-57157,"STERLING WEALTH MANAGEMENT, INC.",STERLING WEALTH MANAGEMENT INC,8180 GREENSBORO DR,STE 1150,MCLEAN,VA,UNITED STATES,22102,703-821-2019,703-821-2007,,,,,,,Approved,1/13/2000,3/29/2010,Y,WWW.STERLINGWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"28,940,332.00","438,059.00","29,378,391.00",66,14,80,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,Y,N,N,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,114575,801-63377,"THE MOLPUS WOODLANDS GROUP, LLC","THE MOLPUS WOODLANDS GROUP, LLC",654 NORTH STATE STREET,,JACKSON,MS,USA,39202,601-948-8733,601-352-7463,,,,,,,Approved,7/22/2004,3/29/2010,Y,WWW.MOLPUS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MS,UNITED STATES,51-250,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,Y,TIMBERLAND ACQUISITION & DISPOSITION FEES,Y,0,"344,000,000.00","344,000,000.00",0,2,2,N,N,N,N,N,N,N,N,N,Y,TIMBER MANAGEMENT SERVICES,,,N,N,N,N,N,N,N,N,Y,TIMBERLAND INVESTMENT MANAGEMENT,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110795,801-23610,ECM ADVISORS INC,ECM ADVISORS INC,4740 PEACH STREET,,ERIE,PA,UNITED STATES,16509,814-868-7551,814-868-7557,,,,,,,Approved,2/26/1985,3/29/2010,Y,WWW.ECMNET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"96,772,000.00",0,"96,772,000.00",351,0,351,Y,Y,N,Y,N,Y,N,N,N,Y,EDUCATIONAL SEMINARS & MODEL PORTFOLIO CREATION AND MONITORING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,112556,801-60244,AVALON ADVISORS LLC,AVALON ADVISORS LLC,"717 TEXAS AVE., SUITE 3000",,HOUSTON,TX,UNITED STATES,77002,713-238-2050,713-238-2051,,,,,,,Approved,5/4/2001,3/29/2010,Y,WWW.AVALONLP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,598,284,545.00","610,624,760.00","3,208,909,305.00","1,198",312,"1,510",N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,107236,801-44259,RINEHART WEALTH MANAGEMENT,FIRST PERSONAL FINANCIAL SERVICES INC,521 E. MOREHEAD ST,SUITE 580,CHARLOTTE,NC,UNITED STATES,28202,704-374-0646,704-377-0746,,,,,,,Approved,6/1/1993,3/29/2010,Y,WWW.RINEHARTASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"214,000,000.00","4,000,000.00","218,000,000.00",788,11,799,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,123305,801-67320,"ALESSANDRA CAPITAL MANAGEMENT, LLC","ALESSANDRA CAPITAL MANAGEMENT, LLC","501 DEEP VALLEY DR., STE 202",,ROLLING HILLS ESTATES,CA,UNITED STATES,90274,310-377-9220,310-377-3825,,,,,,,Approved,11/20/2006,3/29/2010,Y,WWW.ALESSANDRACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"35,458,210.00",0,"35,458,210.00",192,0,192,Y,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,N,Y,N,N,Y,N,Y,GUARANTEED INTRODUCING BROKER,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,908,801-150,"WULFF, HANSEN & CO.","WULFF, HANSEN & CO.",351 CALIFORNIA STREET,SUITE 1000,SAN FRANCISCO,CA,UNITED STATES,94104,415-421-8900,415-956-6929,,,,,,,Approved,11/5/1941,3/29/2010,Y,WWW.WULFFHANSEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"51,707,234.00","1,695,633.00","53,402,867.00",65,2,67,N,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,Y,N,N,N,Y,N,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
SFRO,110805,801-56685,ROBERT ALAN YAGER,YAGER ROBERT ALAN,4820 HARWOOD ROAD,SUITE 240,SAN JOSE,CA,UNITED STATES,95124,408-978-2214,408-978-3654,,,,,,,Approved,7/16/1999,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"86,000,000.00","86,000,000.00",0,300,300,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,120780,801-64141,"BONAVENTURE CAPITAL, LLC","BONAVENTURE CAPITAL, LLC","3104 BLUE LAKE DR., STE. 120",,BIRMINGHAM,AL,USA,35243,205-870-8050,800-490-6448,,,,,,,Approved,4/12/2005,3/29/2010,Y,WWW.BONAVENTURECAPITAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"18,012,403.00","54,803,030.00","72,815,433.00",15,2,17,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,116638,801-67766,TALBOT CAPITAL MANAGEMENT INC.,TALBOT CAPITAL MANAGEMENT INC.,200 E. 11TH ST SUITE C,,PINE BLUFF,AR,UNITED STATES,71601,870-535-6801,870-534-3033,P. O. BOX 9259,,PINE BLUFF,AR,UNITED STATES,71611,Approved,4/17/2007,3/29/2010,Y,WWW.TALBOTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"32,781,100.00","399,900.00","33,181,000.00",77,1,78,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104604,801-16639,"CHRISTIAN BROTHERS INVESTMENT SERVICES, INC.","CHRISTIAN BROTHERS INVESTMENT SERVICES, INC.",1200 JORIE BLVD,SUITE 210,OAK BROOK,IL,UNITED STATES,60523-2262,630-571-2182,630-571-2723,,,,,,,Approved,12/22/1981,3/29/2010,Y,WWW.CBISONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,SRI SERVICES,Y,"3,745,595,298.00",0,"3,745,595,298.00",39,0,39,N,N,N,Y,N,N,N,N,N,Y,"SOCIALLY RESPONSIBLE INVESTING PORTFOLIO REVIEWS, SRI PROXY VOTING SERVICES",,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,134835,801-64086,"SORIN CAPITAL MANAGEMENT, LLC","SORIN CAPITAL MANAGEMENT, LLC","400 ATLANTIC STREET, 12TH FLOOR",,STAMFORD,CT,USA,6901,203-274-9300,203-274-9311,,,,,,,Approved,4/8/2005,3/29/2010,Y,WWW.SORINCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"188,771,000.00",0,"188,771,000.00",10,0,10,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,142261,801-67338,"EDGE ADVISORS, LLC","EDGE ADVISORS, LLC",1380 WEST PACES FERRY RD.,SUITE 1000,ATLANTA,GA,UNITED STATES,30327,404-890-7707,,,,,,,,Approved,12/14/2006,3/29/2010,Y,WWW.EDGECAPPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"244,060,678.00","334,550,695.00","578,611,373.00",275,245,520,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104641,801-12196,"T.H.FITZGERALD & CO., L.L.C.",T.H. FITZGERALD & CO. L.L.C.,180 CHURCH STREET,,NAUGATUCK,CT,UNITED STATES,6770,203-729-1200,203-729-2989,P.O.BOX 618,,NAUGATUCK,CT,UNITED STATES,6770,Approved,7/8/1977,2/25/2010,Y,WWW.THFITZGERALD.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,51-75 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"116,982,211.00",0,"116,982,211.00",13,0,13,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,136191,801-64560,"WEST GATE HORIZONS ADVISORS, LLC","WEST GATE HORIZONS ADVISORS, LLC",333 SOUTH GRAND AVENUE,SUITE 4100,LOS ANGELES,CA,UNITED STATES,90071,213-621-3700,213-621-3795,,,,,,,Approved,8/12/2005,2/25/2010,Y,WWW.WESTGATEHORIZONS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,CLOS,Y,N,N,N,N,Y,N,,Y,"1,271,163,164.00","293,961,464.00","1,565,124,628.00",4,3,7,N,N,N,N,N,N,N,N,N,Y,"MANAGEMENT OF POOLED INVESTMENT VEHICLES, INCLUDING CLOS",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,110471,801-57170,SHEPARD & ASSOCIATES INC,"SHEPARD & ASSOCIATES FINANCIAL SERVICES, INC.","8655 COLLEGE BLVD., SUITE 100",,OVERLAND PARK,KS,USA,66210-1835,913-362-2712,913-362-2799,,,,,,,Approved,2/10/2000,2/25/2010,Y,WWW.SHEPARDFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"75,171,760.00",0,"75,171,760.00",584,0,584,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,152001,801-70751,"GEA SPHERE, LLC","GEA SPHERE, LLC",694 MAIN STREET,,EAST GREENWICH,RI,UNITED STATES,29818,401-351-4900,401-398-7615,,,,,,,Approved,10/27/2009,2/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,Up to 10 percent,26-50 percent,0 percent,0 percent,11-25 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,Y,Y,N,N,N,,Y,"25,300,000.00",0,"25,300,000.00",262,0,262,Y,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT CONSULTING,251-500,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,142293,801-67268,"DRG INVESTMENT ADVISORY SERVICES, LLC","DRG INVESTMENT ADVISORY SERVICES, LLC",151 ROSE STREET,SUITE 623,KALAMAZOO,MI,UNITED STATES,49007,269-381-1788,269-381-1799,,,,,,,Approved,10/26/2006,2/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"73,784,215.00",0,"73,784,215.00",238,0,238,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112626,801-56923,"THE STEWARDSHIP CENTER, INC.","THE STEWARDSHIP CENTER,INC.",,,,,,,314-726-0300,888-580-1962,PO BOX 16165,,ST LOUIS,MO,UNITED STATES,63105,Approved,10/26/1999,2/25/2010,Y,THESTEWARDSHIPCENTER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"28,360,000.00","70,630,000.00","98,990,000.00",20,12,32,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,132248,801-68132,"SALTMARSH FINANCIAL ADVISORS, L.L.C.","SALTMARSH FINANCIAL ADVISORS, L.L.C.",900 N. 12TH AVENUE,,PENSACOLA,FL,USA,32501,850-435-8300,850-435-8983,P.O. DRAWER 13207,,PENSACOLA,FL,USA,32591-3207,Approved,7/5/2007,2/25/2010,Y,WWW.SALTMARSHFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"36,368,450.00","6,413,611.00","42,782,061.00",69,34,103,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,137743,801-65903,"NPB FINANCIAL GROUP, LLC","NPB FINANCIAL GROUP, LLC",3500 W. OLIVE AVENUE,SUITE 300,BURBANK,CA,UNITED STATES,91505,818-827-7132,818-827-7133,,,,,,,Approved,1/27/2006,2/25/2010,Y,WWW.NPBFG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"149,224,000.00",0,"149,224,000.00",977,0,977,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,Y,N,N,N,Y,N,N,,N,N,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,116752,801-66951,"PAYSSE JENNISON, INC.","PAYSSE JENNISON, INC.",9311 SE 36TH STREET,SUITE 206,MERCER ISLAND,WA,USA,98040,206-236-7343,206-236-8126,,,,,,,Approved,7/6/2006,2/25/2010,Y,WWW.PAYSSEJENNISON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"32,775,857.00",0,"32,775,857.00",216,0,216,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144442,801-68323,"NEWPORT CAPITAL GROUP, LLC","NEWPORT CAPITAL GROUP, LLC","12 BROAD STREET, 5TH FLOOR",,RED BANK,NJ,USA,7701,732-741-8400,732-741-6797,,,,,,,Approved,9/18/2007,2/25/2010,Y,WWW.NEWPORTCAPITALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"70,000,000.00","80,000,000.00","150,000,000.00",100,3,103,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105719,801-12138,LINCAP MANAGEMENT COMPANY,LINCAP MANAGEMENT COMPANY,,,,,,,415-882-9909,415-449-3491,,,,,,,Approved,10/14/1976,2/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"69,977,088.00",0,"69,977,088.00",316,0,316,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,119176,801-68291,WESTHAMPTON CAPITAL,"WESTHAMPTON CAPITAL, LLC",2150 COUNTRY CLUB RD,SUITE 250,WINSTON-SALEM,NC,UNITED STATES,27104,336-725-5579,336-725-3923,,,,,,,Approved,8/30/2007,2/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"38,200,000.00",0,"38,200,000.00",100,0,100,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,126896,801-62173,MORGAN STANLEY INVESTMENT MANAGEMENT COMPANY,MORGAN STANLEY INVESTMENT MANAGEMENT COMPANY,23 CHURCH STREET,#16-01 CAPITAL SQUARE,SINGAPORE,,SINGAPORE,49481,65-6834 6800,65-6834 8968,,,,,,,Approved,7/24/2003,2/25/2010,Y,WWW.MORGANSTANLEY.COM/IM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,SINGAPORE,51-250,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,26-50 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"20,053,277,945.00",0,"20,053,277,945.00",71,0,71,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,110115,801-60222,"ADVISOR FINANCIAL SERVICES, LLP","ADVISOR FINANCIAL SERVICES, LLP",302 CREEKSTONE RIDGE,,WOODSTOCK,GA,UNITED STATES,30188,770-517-6411,678-445-5893,,,,,,,Approved,5/4/2001,2/25/2010,Y,WWW.DELTA401K.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,GA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"287,209,183.00",0,"287,209,183.00","1,884",0,"1,884",Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,109315,801-57854,ADAM FINANCIAL ASSOCIATES INC,ADAM FINANCIAL ASSOCIATES INC,2424 N. FEDERAL HIGHWAY,SUITE 159,BOCA RATON,FL,UNITED STATES,33431,561-417-0001,561-417-0002,,,,,,,Approved,8/11/2000,2/25/2010,Y,WWW.ADAMFINL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"60,377,774.00",0,"60,377,774.00",443,0,443,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,139785,801-66386,CLARIVEST ASSET MANAGEMENT LLC,CLARIVEST ASSET MANAGEMENT LLC,11452 EL CAMINO REAL,SUITE 250,SAN DIEGO,CA,USA,92130,858-480-2440,858-480-2441,,,,,,,Approved,3/9/2006,2/25/2010,Y,WWW.CLARIVEST.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,SEED ACCOUNTS,Y,N,N,N,N,Y,N,,Y,"1,800,000,000.00",0,"1,800,000,000.00",32,0,32,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110885,801-8055,CAPITAL RESEARCH AND MANAGEMENT COMPANY,CAPITAL RESEARCH AND MANAGEMENT COMPANY,333 S HOPE STREET,55TH FLOOR,LOS ANGELES,CA,USA,90071,213-486-9200,213-486-9041,,,,,,,Approved,12/6/1971,9/28/2009,Y,WWW.CAPGROUP.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,NON 40 ACT INVESTMENT FUNDS,Y,N,N,N,N,N,N,,Y,"889,093,171,000.00",0,"889,093,171,000.00",62,0,62,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N
ARO,117878,801-65204,WUNDERLICH CAPITAL MANAGEMENT,"WUNDERLICH CAPITAL MANAGEMENT, LLC",6000 POPLAR AVENUE,SUITE 150,MEMPHIS,TN,UNITED STATES,38119,901-251-1330,901-251-1349,,,,,,,Approved,4/26/2006,2/25/2010,Y,WUNDERLICHSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"65,460,409.00",0,"65,460,409.00",75,0,75,N,Y,N,N,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106090,801-51685,"VECTOR WEALTH MANAGEMENT, LLC","VECTOR WEALTH MANAGEMENT, LLC",43 MAIN ST SE,STE 236,MINNEAPOLIS,MN,UNITED STATES,55414,612-378-7560,612-379-4895,,,,,,,Approved,4/12/1996,2/25/2010,Y,WWW.VECTORWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,500,51-75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"337,605,499.00","241,593,014.00","579,198,513.00","1,472",172,"1,644",Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,126615,801-62040,HUNTINGTON STEELE LLC,HUNTINGTON STEELE LLC,925 4TH AVENUE #3700,,SEATTLE,WA,USA,98104-1143,206-204-0320,206-204-0322,,,,,,,Approved,5/9/2003,2/25/2010,Y,WWW.HUNTINGTONSTEELE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"366,022,814.00",0,"366,022,814.00",316,0,316,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,145931,801-68752,"R. E. WACKER ASSOCIATES, INC.","R. E. WACKER ASSOCIATES, INC.","973 HIGUERA STREET, SUITE A",,SAN LUIS OBISPO,CA,UNITED STATES,93401,805-541-1308,805-541-5517,,,,,,,Approved,1/4/2008,2/25/2010,Y,WWW.REWACKER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"429,030,539.00","825,945.00","429,856,484.00",431,2,433,Y,Y,N,Y,Y,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,112471,801-28191,"THE CARMACK GROUP, INC.","THE CARMACK GROUP, INC.",,,,,,,626-403-5921,626-403-2819,,,,,,,Approved,10/24/1986,9/28/2009,Y,WWW.THECARMACKGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,Y,Y,N,N,N,,Y,"20,000,000.00","10,000,000.00","30,000,000.00",8,1,9,N,Y,N,N,Y,Y,N,N,N,Y,ASSET ALLOCATION RECOMMENDATIONS TO FOUNDATIONS AND OTHERS.,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137790,801-64942,INVESTCORP INVESTMENT ADVISERS LLC,INVESTCORP INVESTMENT ADVISERS LLC,280 PARK AVENUE,39TH FLOOR,NEW YORK,NY,UNITED STATES,10017,917-332-5700,917-332-5776,,,,,,,Approved,11/25/2005,9/28/2009,Y,WWW.INVESTCORPADVISERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,SPECIAL PURPOSE VEHICLES,Y,N,N,N,N,Y,N,,Y,"3,932,521,678.00","43,291,260.00","3,975,812,938.00",60,1,61,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT OF UNREGISTERED HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,105375,801-32172,"PROVISE MANAGEMENT GROUP, LLC","PROVISE MANAGEMENT GROUP, LLC",611 DRUID RD E. STE 105,,CLEARWATER,FL,UNITED STATES,33756,[727] 441-9022,[727] 449-1625,,,,,,,Approved,6/2/1988,2/25/2010,Y,WWW.PROVISE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,10-Jun,0,More than 500,540,51-75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,"REFERRAL FEES AS SOLICITOR FOR GE PRIVATE ASSET MANAGEMENT, INC.",Y,"652,814,017.00","6,452,255.00","659,266,272.00",528,12,540,Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,Y,N,N,,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,131442,801-63126,"FINLEY FINANCIAL, LLC","FINLEY FINANCIAL, LLC",1709 NE 27TH STREET,SUITE B,MCMINNVILLE,OR,UNITED STATES,97128,503-474-3535,,,,,,,,Approved,5/13/2004,3/2/2010,Y,WWW.FINLEYFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"47,050,221.00",0,"47,050,221.00",121,0,121,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111081,801-56616,ROMAIN WALSH CLEROU PROFESSIONAL INVESTMENT MGMT,CLEROU ROMAIN PIERRE WALSH,,,,,,,707-938-2220,707-938-2221,P.O. BOX 1607,,SONOMA,CA,UNITED STATES,95476,Approved,6/30/1999,3/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"61,655,328.00",0,"61,655,328.00",30,0,30,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112181,801-61931,WARNKE/NICHOLS LTD.,WARNKE/NICHOLS LTD.,"5307 S. 92ND STREET, SUITE 125",,HALES CORNERS,WI,USA,53130,414-427-1020,414-427-1024,,,,,,,Approved,4/3/2003,3/2/2010,Y,WWW.WARNKENICHOLS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"74,342,500.00","1,440,500.00","75,783,000.00",83,6,89,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,128449,801-69740,"REGIS MANAGEMENT COMPANY, LLC","REGIS MANAGEMENT COMPANY, LLC","300 HAMILTON AVENUE,4TH FLOOR",,PALO ALTO,CA,UNITED STATES,94301,650-838-1030,650-328-8044,,,,,,,Approved,11/21/2008,11/3/2008,Y,WWW.REGISLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"879,445,050.00",0,"879,445,050.00",80,0,80,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,134921,801-69992,"LONGHORN CAPITAL MANAGEMENT, LLC","LONGHORN CAPITAL MANAGEMENT, LLC",,,,,,,817-800-4031,817-804-0446,,,,,,,Approved,4/3/2009,2/26/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"60,000,000.00",0,"60,000,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N
LARO,43011,801-54589,MAIN STREET ADVISORS,"MAIN STREET ADVISORS, INC.",3110 MAIN ST,STE 300,SANTA MONICA,CA,USA,90405,310-392-7607,310-392-3541,,,,,,,Approved,7/8/1997,3/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"550,000,000.00","735,000,000.00","1,285,000,000.00",27,30,57,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110681,801-56526,"CAPITAL GUARDIAN (CANADA), INC.","CAPITAL GUARDIAN (CANADA), INC.",333 SOUTH HOPE STREET,55TH FLOOR,LOS ANGELES,CA,UNITED STATES,90071-1406,(213) 486-9200,(213) 486-9217,,,,,,,Approved,6/1/1999,9/28/2009,Y,WWW.CAPGROUP.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,BASED UPON COST OF OPERATION PLUS TEN PERCENT.,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISORY RESEARCH AND RELATED SERVICES TO AN AFFILIATE.,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110688,801-54943,"CAPITAL INTERNATIONAL RESEARCH, INC.","CAPITAL INTERNATIONAL RESEARCH, INC.",333 SOUTH HOPE STREET,55TH FLOOR,LOS ANGELES,CA,UNITED STATES,90071-1406,(213) 486-9200,(213) 486-9217,,,,,,,Approved,10/27/1997,9/28/2009,Y,WWW.CAPGROUP.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,CA,UNITED STATES,51-250,0,51-250,0,0,0,0,0,10-Jan,0,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,BASED UPON COST OF OPERATION PLUS TEN PERCENT.,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISORY RESEARCH AND RELATED SERVICES TO 5 AFFILIATED COMPANIES.,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108236,801-60145,CAPITAL GUARDIAN TRUST COMPANY,CAPITAL GUARDIAN TRUST COMPANY,333 SOUTH HOPE STREET,55TH FLOOR,LOS ANGELES,CA,UNITED STATES,90071-1406,(213) 486-9200,(213) 486-9217,11100 SANTA MONICA BLVD.,15TH FLOOR,LOS ANGELES,CA,UNITED STATES,90025-3384,Approved,4/27/2001,9/28/2009,Y,WWW.CAPGROUP.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,251-500,0,Nov-50,0,Nov-50,0,Nov-50,0,More than 500,"1,500",0 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,FOREIGN GOVERNMENTAL ENTITIES,Y,N,N,N,N,Y,N,,Y,"77,522,783,000.00",0,"77,522,783,000.00","3,133",0,"3,133",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,Y,N,,N,,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,153092,801-71160,TOLLEFSON AND COMPANY INVESTMENT MANAGEMENT LLC,TOLLEFSON AND COMPANY INVESTMENT MANAGEMENT LLC,5335 WISCONSIN AVENUE NW,SUITE 440,WASHINGTON,DC,UNITED STATES,20015,202-363-6128,202-315-3253,P.O. BOX 96503,#45773,WASHINGTON,DC,UNITED STATES,20090,Approved,3/12/2010,3/2/2010,Y,WWW.TOLLEFSONCO.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"4,227,736,833.00",0,"4,227,736,833.00",53,0,53,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,142409,801-67600,RESOLUTION CAPITAL LIMITED,RESOLUTION CAPITAL LIMITED,"LEVEL 38, AUSTRALIA SQUARE",264 GEORGE STREET,"SYDNEY, NSW",,AUSTRALIA,2000,61 2 8258 9188,61 2 8258 9199,GPO BOX 553,,"SYDNEY, NSW",,AUSTRALIA,2001,Approved,3/7/2007,9/28/2009,Y,WWW.RESOLUTIONCAPITAL.COM.AU,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,AUSTRALIA,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,272,800,000.00",0,"1,272,800,000.00",11,0,11,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,109867,801-60334,"FINANCIAL AND INVESTMENT MANAGEMENT ADVISORS, INC.","FINANCIAL AND INVESTMENT MANAGEMENT ADVISORS, INC.",72096 RAMOS AVENUE,SUITE D,COVINGTON,LA,UNITED STATES,70433,985-893-1440,985-893-1450,P.O. BOX 1723,,COVINGTON,LA,UNITED STATES,70434-1723,Approved,6/22/2001,3/2/2010,Y,HTTP://WWW.FIMADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,LA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,Nov-50,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"69,872,784.00","2,646,552.00","72,519,336.00",276,21,297,Y,Y,N,Y,Y,Y,Y,N,Y,Y,ESTATE PLANNING,101-250,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,148452,801-69648,FUTURE VALUE CONSULTANTS LIMITED,FUTURE VALUE CONSULTANTS LIMITED,151 SHEEN LANE,,LONDON,,UNITED KINGDOM,SW14 8LR,44 20 8878 8572,44 845 869 9518,,,,,,,Approved,10/23/2008,9/29/2009,Y,WWW.FUTUREVC.CO.UK,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),UK LIMITED COMPANY,,UNITED KINGDOM,10-Jun,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,Y,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109319,801-56698,GERBER/TAYLOR MANAGEMENT COMPANY,GERBER/TAYLOR MANAGEMENT COMPANY,ONE COMMERCE SQUARE,SUITE 1900,MEMPHIS,TN,USA,38103,901-526-9750,901-526-4385,,,,,,,Approved,7/22/1999,3/2/2010,Y,HTTPS://WWW.GERBERTAYLOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"2,140,920,000.00",0,"2,140,920,000.00",29,0,29,N,N,N,N,N,Y,N,N,N,Y,"PORTFOLIO MANAGEMENT FOR OTHER POOLED INVESTMENT VEHICLES (E.G., HEDGE FUNDS)",0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109868,801-56356,CAPITAL RESEARCH & CONSULTING LLC,CAPITAL RESEARCH & CONSULTING LLC,15 S. RAYMOND AVENUE,SUITE 200,PASADENA,CA,UNITED STATES,91105,626-844-1440,626-440-1319,,,,,,,Approved,3/23/1999,3/2/2010,Y,WWW.CAPITALRESEARCHANDCONSULTING.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,N,N,N,Y,N,N,Y,ASSET BASED FEES,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,119058,801-60982,"G/T OFFSHORE MANAGEMENT, L.L.C.","G/T OFFSHORE MANAGEMENT,L.L.C.",ONE COMMERCE SQUARE,SUITE 1900,MEMPHIS,TN,USA,38103,901-526-9750,901-473-2851,,,,,,,Approved,4/5/2002,3/2/2010,Y,HTTPS://WWW.GERBERTAYLOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"722,840,000.00",0,"722,840,000.00",2,0,2,N,N,N,N,N,Y,N,N,N,Y,"PORTFOLIO MANAGEMENT FOR OTHER POOLED INVESTMENT VEHICLES (E.G., HEDGE FUNDS)",0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107053,801-46461,KURIYAMA & CO LLC,KURIYAMA & CO LLC,1440 KAPIOLANI BLVD.,SUITE 970,HONOLULU,HI,UNITED STATES,96814,808-593-1600,808-593-1400,,,,,,,Approved,5/11/1994,3/2/2010,Y,ADVISORS@KURIYAMACO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,HI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,700,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"138,375,500.00","11,076,233.00","149,451,733.00",686,207,893,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112239,801-60326,RICHARD G. SLATER R.I.A.,RICHARD G. SLATER,,,,,,,916-971-4129,916-971-4129,,,,,,,Approved,6/1/2001,3/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"79,987,243.00","79,987,243.00",0,284,284,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108008,801-55111,"OPTIMUM GROWTH ADVISORS,LLC","OPTIMUM GROWTH ADVISORS, LLC",1745 MERRICK AVE,SUITE #21A,N. MERRICK,NY,UNITED STATES,11566,516.623.2228,516.623.1520,,,,,,,Approved,1/5/1998,3/2/2010,Y,WWW.OGADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"123,686,431.00",0,"123,686,431.00",118,0,118,N,Y,N,N,N,N,N,N,N,Y,CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,125320,801-61798,"EXCELSIA, INC.","EXCELSIA, INC.",15 LAKE STREET,SUITE 100,SAVANNAH,GA,UNITED STATES,31411,912-598-4032,912-598-4142,,,,,,,Approved,2/7/2003,3/2/2010,Y,WWW.EXCELSIA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,"FOUNDATIONS, ENDOWMENTS",Y,N,N,N,N,N,N,,Y,"170,000,000.00","2,000,000.00","172,000,000.00",76,7,83,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143462,801-70011,"R.S. PETRELL & ASSOCIATES, LLC D/B/A STRATEGIC WEALTH ADVISORS","RS PETRELL & ASSOCIATES, LLC",211 WEST JEFFERSON,SUITE 22,SYRACUSE,NY,UNITED STATES,13202-0000,315-218-7350,315-218-7348,,,,,,,Approved,4/1/2009,3/2/2010,Y,STRATEGICWEALTHADVISORS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"36,000,000.00","36,000,000.00",0,85,85,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N
PLRO,106410,801-39857,GODSHALK ERIC M & CO,ERIC M. GODSHALK & CO.,170 N. RADNOR CHESTER RD,SUITE 100,RADNOR,PA,UNITED STATES,19087-5221,610-971-0202,610-971-0683,,,,,,,Approved,9/18/1991,3/2/2010,Y,WWW.EMGODSHALK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"154,322,000.00",0,"154,322,000.00",314,0,314,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106304,801-47765,TOEWS CORPORATION,TOEWS CORPORATION,1201 NEW ROAD,SUITE 111,LINWOOD,NJ,UNITED STATES,8221,877-863-9726,800-511-8490,,,,,,,Approved,12/9/1994,3/2/2010,Y,WWW.TOEWSCORP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"145,635,114.00",0,"145,635,114.00",768,0,768,N,Y,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,122600,801-68675,CAPITAL INVESTMENT MANAGEMENT INC.,CAPITAL INVESTMENT MANAGEMENT INC.,5950 SYMPHONY WOODS ROAD,SUITE 215,COLUMBIA,MD,UNITED STATES,21044,410-997-6755,410-997-7162,,,,,,,Approved,1/7/2008,3/2/2010,Y,WWW.CAPITALMANAGE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"27,978,665.00","532,614.00","28,511,279.00",299,8,307,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,105550,801-35858,PIN OAK INVESTMENT ADVISORS INC,PIN OAK INVESTMENT ADVISORS INC,510 BERING DRIVE,STE 100,HOUSTON,TX,USA,77057,713-871-8300,713-871-8307,,,,,,,Approved,1/12/1990,3/2/2010,Y,WWW.PINOAKINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"123,000,000.00",0,"123,000,000.00",101,0,101,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109134,801-55677,"PALISADES HUDSON ASSET MANAGEMENT, L.P.","PALISADES HUDSON ASSET MANAGEMENT, L.P.",2 OVERHILL ROAD,SUITE 100,SCARSDALE,NY,UNITED STATES,10583,914-723-5000,914-723-5139,,,,,,,Approved,6/29/1998,3/18/2010,Y,WWW.PALISADESHUDSON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"524,811,940.00","428,076,705.00","952,888,645.00",83,18,101,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108709,801-56916,MSDW VENTURE PARTNERS IV INC,MSDW VENTURE PARTNERS IV INC,1585 BROADWAY,"39TH FLOOR, ATTN:  DEBRA ABRAMOVITZ",NEW YORK,NY,UNITED STATES,10036,212-761-7070,212-507-3971,,,,,,,Approved,10/26/1999,3/24/2010,Y,WWW.MORGANSTANLEY.COM/INSTITUTIONAL/VENTUREPARTNERS/,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ADMINISTRATIVE FEES,Y,"184,257,692.00",0,"184,257,692.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,131463,801-63312,"BLUE RIVER ASSET MANAGEMENT, LLC","BLUE RIVER ASSET MANAGEMENT, LLC",700 17TH STREET,SUITE 2400,DENVER,CO,USA,80202,303-292-5900,303-454-8154,,,,,,,Approved,6/30/2004,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"110,000,000.00",0,"110,000,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,ADVISORY SERVICES TO POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106494,801-9046,ING INVESTMENT MANAGEMENT CO.,ING INVESTMENT MANAGEMENT CO.,230 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10169,212-309-8200,212-808-6134,,,,,,,Approved,1/7/1973,3/24/2010,Y,WWW.INGINVESTMENT.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,501-1000,0,51-250,0,51-250,0,Nov-50,0,More than 500,"5,500",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,FOUNDATIONS/ENDOWMENTS/TRUSTS,Y,N,N,N,N,Y,N,,Y,"61,099,869,235.00","174,130,765.00","61,274,000,000.00","5,453",1,"5,454",N,Y,Y,Y,N,Y,Y,N,N,N,,,,N,Y,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108328,801-56671,"EMERITUS INVESTMENT MANAGEMENT, INC.","EMERITUS INVESTMENT MANAGEMENT, INC.",254 MILLER AVENUE,,MILL VALLEY,CA,UNITED STATES,94941,415-388-3830,415-388-3803,,,,,,,Approved,7/9/1999,3/24/2010,Y,WWW.EMERITUSINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"30,477,949.00",0,"30,477,949.00",100,0,100,Y,Y,N,N,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150911,801-70565,"HILLENBRAND CAPITAL, LLC","HILLENBRAND CAPITAL, LLC",190 S. LASALLE STREET,STE. 3900,CHICAGO,IL,UNITED STATES,60603-3431,312-920-9600,312-920-9696,,,,,,,Approved,11/30/2009,11/24/2009,Y,WWW.HILLENBRANDPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"60,704,548.00",0,"60,704,548.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107775,801-30535,ALLSTATE INVESTMENT MANAGEMENT COMPANY,ALLSTATE INVESTMENT MANAGEMENT COMPANY,"3075 SANDERS ROAD, SUITE G6A",,NORTHBROOK,IL,UNITED STATES,60062-7127,847-402-8484,847-326-5044,,,,,,,Approved,9/11/1987,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,10-Jan,0,0 percent,0 percent,11-25 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,COLLATERALIZED LOAN OBLIGATIONS,Y,N,N,N,N,Y,N,,Y,"5,999,642,210.00","950,143,296.00","6,949,785,506.00",5,1,6,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105780,801-33358,"NORTHERN TRUST INVESTMENTS, NATIONAL ASSOCIATION.","NORTHERN TRUST INVESTMENTS, NATIONAL ASSOCIATION.",181 W. MADISON ST.,,CHICAGO,IL,UNITED STATES,60602-4562,312-557-3032,312-557-8644,,,,,,,Approved,11/25/1988,3/24/2010,Y,WWW.NORTHERNTRUST.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),NATIONAL BANKING ASSOCIATION,IL,UNITED STATES,251-500,0,51-250,0,51-250,0,Nov-50,0,More than 500,"12,000",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,FOREIGN SOVEREIGN GOVERNMENT ENTITIES,Y,N,N,Y,N,Y,Y,MODEL PROVIDER FEES,Y,"398,414,864,310.00","176,708.00","398,415,041,018.00","11,719",1,"11,720",N,Y,Y,Y,N,N,N,N,N,Y,MODEL PORTFOLIO PROVIDER,,,N,Y,N,N,Y,N,N,Y,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147210,801-69403,"WALTON STREET CAPITAL, L.L.C.","WALTON STREET CAPITAL, L.L.C.",900 N. MICHIGAN AVE.,SUITE 1900,CHICAGO,IL,USA,60611,312-915-2800,312-915-2881,,,,,,,Approved,7/24/2008,3/24/2010,Y,WWW.WALTONST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,REAL ESTATE ACQUISITION FEES AND OVERSIGHT FEES,Y,"1,905,735,830.00",0,"1,905,735,830.00",24,0,24,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,145262,801-68406,"SCURLYDOG CAPITAL, LLC","SCURLYDOG CAPITAL, LLC",740 RIVER ROAD,,FAIR HAVEN,NJ,UNITED STATES,7704,732-530-0082,732-530-0094,,,,,,,Approved,10/4/2007,3/24/2010,Y,WWW.SCURLYDOG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"45,021,485.00",0,"45,021,485.00",21,0,21,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,143606,801-67747,REDMILE GROUP,"REDMILE GROUP, LLC","100 PINE STREET, SUITE 1925",,SAN FRANCISCO,CA,UNITED STATES,94111,415-489-9980,415-449-3639,,,,,,,Approved,4/19/2007,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"145,500,000.00",0,"145,500,000.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,132367,801-63563,DYNAMIC CREDIT PARTNERS LLC,DYNAMIC CREDIT PARTNERS LLC,1500 BROADWAY,,NEW YORK,NY,UNITED STATES,10036,212 319-7009,212 319-9206,,,,,,,Approved,10/8/2004,3/24/2010,Y,WWW.DYNAMICCREDIT.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"4,426,281,857.00",0,"4,426,281,857.00",10,0,10,N,N,N,Y,N,N,N,Y,N,Y,PORTFOLIO  RELATED SERVICES INCLUDING VALUATIONS,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147376,801-69317,"AMERICAN COMMUNITY WEALTH MANAGEMENT, LLC","AMERICAN COMMUNITY WEALTH MANAGEMENT, LLC",1290 LAKE AVENUE,,WOODSTOCK,IL,USA,60098,815-338-2300,815-338-9289,P.O. BOX 1720,,WOODSTOCK,IL,USA,60098,Approved,6/19/2008,3/24/2010,Y,WWW.AMCOMWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"29,873,077.00","29,873,077.00",0,451,451,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,116974,801-60774,"MSVP 2002, INC.","MSVP 2002, INC.",1585 BROADWAY,"39TH FLOOR, ATTN:  DEBRA ABRAMOVITZ",NEW YORK,NY,UNITED STATES,10036,212-761-7070,212-507-3971,,,,,,,Approved,1/9/2002,3/24/2010,Y,WWW.MORGANSTANLEY.COM/INSTITUTIONAL/VENTUREPARTNERS/,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ADMINISTRATIVE FEES,Y,"83,766,899.00",0,"83,766,899.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109795,801-57772,"R. BRIAN HOWELL & ASSOCIATES, INC.","R. BRIAN HOWELL & ASSOCIATES, INC.",6 TACOMA AVENUE NORTH,,TACOMA,WA,UNITED STATES,98403,253-759-2914,253-759-2577,,,,,,,Approved,7/31/2000,3/24/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"24,747,141.00",0,"24,747,141.00",52,0,52,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108542,801-56391,"SKBA CAPITAL MANAGEMENT, LLC","SKBA CAPITAL MANAGEMENT, LLC","44 MONTGOMERY ST., SUITE 3500",,SAN FRANCISCO,CA,UNITED STATES,94104-4808,415-989-7852,415-989-7869,,,,,,,Approved,4/2/1999,3/24/2010,Y,WWW.SKBA.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,26-50 percent,11-25 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,PERCENTAGE OF SUBSCRIBED ASSETS,Y,"581,495,646.00",0,"581,495,646.00",57,0,57,N,Y,Y,Y,N,N,N,N,N,Y,RESEARCH PROVIDER,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104689,801-28037,"BUSH O'DONNELL INVESTMENT ADVISORS, INC","BUSH O'DONNELL INVESTMENT ADVISORS, INC","101 S HANLEY RD, STE 1260",,ST LOUIS,MO,USA,63105,314-727-4555,314-754-1413,,,,,,,Approved,9/29/1986,3/24/2010,Y,WWW.BUSHODONNELL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"182,701,307.00","2,669,990.00","185,371,297.00",72,1,73,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107491,801-37257,BEDDOW CAPITAL MANAGEMENT INC,BEDDOW CAPITAL MANAGEMENT INC,"250 HEALDSBURG AVENUE, SUITE 202",,HEALDSBURG,CA,USA,95448-4128,707-431-0700,707-431-9295,,,,,,,Approved,8/30/1990,3/24/2010,Y,WWW.BEDDOWCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"251,845,936.00","4,499,877.00","256,345,813.00",214,25,239,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106196,801-38647,STW ASSOCIATES,STW ASSOCIATES,,,,,,,415-460-6416,415-532-1710,PO BOX 597,,ROSS,CA,UNITED STATES,94957-0597,Approved,4/18/1991,3/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"78,733,189.00","78,733,189.00",0,20,20,Y,Y,N,N,N,Y,N,N,N,Y,TAX COMPLIANCE,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110268,801-18310,PLANNING ALTERNATIVES LTD,PLANNING ALTERNATIVES LTD,36800 WOODWARD AVE.,SUITE 200,BLOOMFIELD HILLS,MI,UNITED STATES,48304,248-645-1520,248-645-2661,,,,,,,Approved,2/2/1983,3/24/2010,Y,WWW.PLANNINGALT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,500,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"413,525,851.00",0,"413,525,851.00","1,600",0,"1,600",Y,Y,N,Y,N,Y,N,N,N,Y,SUB-ADVISOR,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,132889,801-63644,"FIDUCIARY CONSULTING GROUP, INC.","FIDUCIARY CONSULTING GROUP, INC.",735 E VENICE AVE,SUITE 206,VENICE,FL,UNITED STATES,34285,941-412-3451,941-483-4992,,,,,,,Approved,1/3/2005,3/8/2010,Y,WWW.FIDUCIARYCONSULTING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"35,000,000.00",0,"35,000,000.00",37,0,37,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,140944,801-66908,"INTERSERV, LLC","INTERSERV, LLC",307 UNIVERSITY BLVD. NORTH,"BLDG 3, SUITE 2900",MOBILE,AL,UNITED STATES,36688,251-662-2516,251-662-2519,307 UNIVERSITY BOULEVARD NORTH,BUILDING 3 SUITE 2900,MOBILE,AL,UNITED STATES,36688,Approved,6/20/2006,3/8/2010,Y,WWW.INTERSERVLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,TRUST COMPANY,Y,N,N,Y,N,N,N,,Y,0,"318,547,619.00","318,547,619.00",0,47,47,N,N,N,Y,N,Y,N,N,N,Y,INVESTMENT PERFORMANCE ANALYTICS FOR QUALIFIED PLANS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,128945,801-62570,LANSDOWNE PARTNERS LIMITED,LANSDOWNE PARTNERS LIMITED,15 DAVIES STREET,,LONDON,,UNITED KINGDOM,W1K 3AG,44-20-7290-5500,44-20-7409-1122,,,,,,,Approved,1/2/2004,3/8/2010,Y,WWW.LANSDOWNEPARTNERS.COM,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,,UNITED KINGDOM,51-250,0,Nov-50,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,EXPENSES REIMBURSED BY AFFILIATED SEC-INVESTMENT ADVISER,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,GENERAL PARTNER OF AFFILIATED SEC-REGISTERED INVESTMENT ADVISER,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110540,801-53560,CITADEL INVESTMENT ADVISORY INC,CITADEL INVESTMENT ADVISORY INC,,,,,,,440-942-8877,,PO BOX 900,,CHESTERLAND,OH,UNITED STATES,44026,Approved,3/5/1997,3/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"40,810,484.00",0,"40,810,484.00",78,0,78,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104634,801-10809,"KIRR, MARBACH & COMPANY, LLC","KIRR, MARBACH & COMPANY, LLC",621 WASHINGTON STREET,,COLUMBUS,IN,UNITED STATES,47201,812-376-9444,812-376-3889,P.O. BOX 1729,,COLUMBUS,IN,UNITED STATES,47202-1729,Approved,6/2/1975,3/8/2010,Y,WWW.KIRRMAR.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,FOUNDATIONS/ENDOWMENTS,Y,N,N,N,N,N,N,,Y,"313,032,209.00",0,"313,032,209.00",261,0,261,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110335,801-29930,ANNA CORP,ANNA CORP,1728 9TH AVE,,HELENA,MT,UNITED STATES,59601-4657,406-442-2400,406-442-1230,,,,,,,Approved,7/23/1987,3/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"79,587,811.00",0,"79,587,811.00",256,0,256,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107475,801-49160,"FREDERIC T. KUTSCHER ASSOCIATES,INC.","FREDERIC T. KUTSCHER ASSOCIATES,INC.","705 SECOND AVENUE, SUITE 800",,SEATTLE,WA,UNITED STATES,98104,206-382-4414,206-382-4412,,,,,,,Approved,6/16/1995,3/8/2010,Y,WWW.FTKUTSCHER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,N,N,Y,RESPONSE PROVIDED IN MISCELLANEOUS SECTION OF SCHEDULE D.,Y,0,"167,000,000.00","167,000,000.00",0,106,106,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110482,801-58031,"HARVEY INVESTMENT COMPANY, LLC","HARVEY INVESTMENT COMPANY, LLC","4965 U.S. HIGHWAY 42, SUITE 1600",,LOUISVILLE,KY,UNITED STATES,40222,502-339-8270,502-339-9617,,,,,,,Approved,10/26/2000,3/8/2010,Y,WWW.HARVEYINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"278,338,301.00",0,"278,338,301.00",183,0,183,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,112105,801-60169,STUART CHAUSSEE & ASSOCIATES,"CHAUSSEE, STUART DUBES",,,,,,,(310) 373-3732,(310) 373-9554,468 NORTH CAMDEN DRIVE,,BEVERLY HILLS,CA,USA,90210,Approved,4/17/2001,3/8/2010,Y,WWW.PRESERVINGWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"36,622,540.00","11,840,463.00","48,463,003.00",122,33,155,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,105862,801-47774,GLOBAL INVESTMENT ADVISER LC,GLOBAL INVESTMENT ADVISER LC,721 US HIGHWAY ONE,SUITE 117,NORTH PALM BEACH,FL,UNITED STATES,33408,561-8819688,561-8819680,,,,,,,Approved,11/10/1994,3/8/2010,Y,WWW.GLOBALINVESTMENTADVISER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"13,438,453.00","516,951,268.00","530,389,721.00",16,2,18,N,Y,N,N,N,Y,N,N,N,Y,ASSET CONSOLIDATION SERVICES FOR HIGH NET-WORTH FAMILIES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,140518,801-66773,HEADINVEST,"HEADINVEST, LLC",121 MIDDLE ST,,PORTLAND,ME,UNITED STATES,04101-4194,207-773-5333,207-773-1735,,,,,,,Approved,6/8/2006,3/8/2010,Y,WWW.HEADINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"500,934,121.00",0,"500,934,121.00",399,0,399,N,Y,N,Y,N,Y,N,N,N,Y,RESEARCH,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,144358,801-68108,"FUSION ASSET MANAGEMENT, LLC","FUSION ASSET MANAGEMENT, LLC",10425 DOUBLE R. BLVD.,,RENO,NV,UNITED STATES,89521,775-657-8065,775-825-9655,,,,,,,Approved,7/6/2007,3/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"65,000,000.00",0,"65,000,000.00",40,0,40,Y,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,136996,801-64848,"INR ADVISORY SERVICES, LLC","INR ADVISORY SERVICES, LLC",115 W. STATE STREET,SUITE 300,MEDIA,PA,USA,19063,610-891-1677,610-891-1679,,,,,,,Approved,10/26/2005,3/8/2010,Y,WWW.I-N-R.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,5-Jan,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"110,662,720.00","214,141,431.00","324,804,151.00",291,38,329,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,147306,801-69253,TAYLOR INVESTMENT COUNSELORS LLC,TAYLOR INVESTMENT COUNSELORS LLC,50 FEDERAL STREET,,BOSTON,MA,USA,02110-2509,617-482-2222,617-482-8484,,,,,,,Approved,7/24/2008,3/8/2010,Y,WWW.TAYLORINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,TRUSTS,Y,N,N,N,N,N,N,,Y,"316,466,924.00",0,"316,466,924.00",274,0,274,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,128101,801-62440,"CATON FINANCIAL, INC.","CATON FINANCIAL, INC.",2350 KERNER BOULEVARD,SUITE 370,SAN RAFAEL,CA,UNITED STATES,94901,415-461-6248,415-461-3748,,,,,,,Approved,10/17/2003,3/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISORY FEES,Y,0,"88,509,036.00","88,509,036.00",0,250,250,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,128638,801-62488,"MYFINANCIALADVICE, INC.","MYFINANCIALADVICE, INC.",3005 CENTER GREEN DRIVE,SUITE 115,BOULDER,CO,UNITED STATES,80301,(303) 395.3355,(303) 395.3355,,,,,,,Approved,11/5/2003,3/8/2010,Y,WWW.MYFINANCIALADVICE.COM,N,N,N,N,N,N,N,N,N,Y,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,0,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,NEGOTIATED FEES,N,0,0,0,0,0,0,N,N,N,N,N,Y,N,N,N,Y,LISTING SERVICE FOR INVESTMENT ADVISERS AND OTHER ADVISERS.,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,151096,801-70592,"WAKEFIELD CAPITAL MANAGEMENT, INC.","WAKEFIELD CAPITAL MANAGEMENT, INC.",2 WISCONSIN CIRCLE,SUITE 540,CHEVY CHASE,MD,UNITED STATES,20815,301-941-1660,301-941-1661,,,,,,,Approved,10/1/2009,3/8/2010,Y,HTTP://WWW.WAKEFIELDCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"750,000,000.00",0,"750,000,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,132022,801-64349,INVESTORS RESEARCH CORPORATION,INVESTORS RESEARCH CORPORATION,115 PERIMETER CENTER PLACE,SUITE 425,ATLANTA,GA,UNITED STATES,30346,404-456-5924,770-407-7310,,,,,,,Approved,1/23/2006,3/8/2010,Y,WWW.IRCINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"72,571,641.00",0,"72,571,641.00",136,0,136,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,113412,801-62677,"HUNTLEIGH ADVISORS, INC.","HUNTLEIGH ADVISORS, INC.",7800 FORSYTH BLVD.,5TH FLOOR,ST. LOUIS,MO,UNITED STATES,63105,314-236-2455,314-236-2402,,,,,,,Approved,1/22/2004,3/8/2010,Y,WWW.HNTLGH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,Nov-50,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,Y,N,,Y,"76,500,000.00","1,500,000.00","78,000,000.00",293,5,298,N,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
BRO,107937,801-55188,MACKENSEN & CO INC,MACKENSEN & CO INC,6 MERRILL DRIVE,,HAMPTON,NH,UNITED STATES,3842,603-926-1775,603-926-1249,,,,,,,Approved,1/21/1998,3/8/2010,Y,WWW.MACKENSEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"61,180,273.00","7,830,428.00","69,010,701.00",462,77,539,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,128066,801-62370,"BAKER STREET ADVISORS, LLC","BAKER STREET ADVISORS, LLC",455 MARKET STREET,SUITE #620,SAN FRANCISCO,CA,UNITED STATES,94105,415-344-6180,415-344-6190,,,,,,,Approved,9/22/2003,3/8/2010,Y,WWW.BAKERSTREETADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"3,360,000,000.00","3,360,000,000.00",0,203,203,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,114994,801-64256,"CAPITOL WEALTH MANAGEMENT, INC.","CAPITOL WEALTH MANAGEMENT, INC.",7900 WESTPARK DR.,SUITE T420,MCLEAN,VA,UNITED STATES,22102,703-891-4070,703-556-9382,,,,,,,Approved,5/6/2005,3/8/2010,Y,WWW.CAPITOLWEALTHMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"19,586,956.00","6,166,314.00","25,753,270.00",53,46,99,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106414,801-47007,"HEMSLEY ADVISORS, LTD.","HEMSLEY ADVISORS, LTD.",432 N HOUGH STREET,,BARRINGTON,IL,UNITED STATES,60010,847-381-7314,847-381-2768,,,,,,,Approved,7/26/1994,3/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"98,818,307.00","98,818,307.00",0,105,105,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,104780,801-14853,FIRST CITY CAPITAL MANAGEMENT INC,FIRST CITY CAPITAL MANAGEMENT INC,136 HABERSHAM ST,,SAVANNAH,GA,UNITED STATES,31401,(912) 233-5492,912-238-4871,PO BOX 8375,,SAVANNAH,GA,UNITED STATES,31412-8375,Approved,10/11/1979,3/5/2010,Y,WWW.FIRSTCITYCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"278,880,547.00",0,"278,880,547.00",519,0,519,N,Y,N,Y,N,N,N,N,N,Y,PREPARE SOME CLIENT TAX RETURNS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,112235,801-61759,"TULL FINANCIAL GROUP, INC.","TULL FINANCIAL GROUP, INC.",640 INDEPENDENCE PARKWAY,SUITE 300,CHESAPEAKE,VA,UNITED STATES,23320,(757)436-1122,(757)436-1803,,,,,,,Approved,1/23/2003,3/5/2010,Y,WWW.TULLFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"64,276,000.00",0,"64,276,000.00",112,0,112,Y,Y,N,N,N,N,N,N,N,Y,"1)NON-SECURITY ADVICE TO CLIENTS, I.E. INSURANCE; 2) 3RD-PTY ADVICE TO PARTICIPANTS OF 401K FOR FIXED FEE",26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105710,801-31437,SHEETS SMITH WEALTH MANAGEMENT,SHEETS SMITH WEALTH MANAGEMENT,120 CLUB OAKS COURT,SUITE 200,WINSTON SALEM,NC,UNITED STATES,27104-4680,336-765-2020,336-765-6756,,,,,,,Approved,2/12/1988,3/5/2010,Y,WWW.SHEETSSMITH.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"475,219,416.00",0,"475,219,416.00",627,0,627,Y,Y,Y,Y,N,Y,N,N,N,N,,101-250,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,121554,801-61349,GULF COAST INVESTMENT MANAGEMENT,"GULF COAST INVESTMENT MANAGEMENT, LLC",,,,,,,239-992-0931,239-992-6921,PMB 330,24600 S. TAMIAMI TR. STE. 212,BONITA SPRINGS,FL,UNITED STATES,34134,Approved,8/2/2002,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"27,285,233.00",0,"27,285,233.00",41,0,41,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,147574,801-69414,MADDEN ASSET MANAGEMENT LLC,MADDEN ASSET MANAGEMENT LLC,ONE INTERNATIONAL PLACE,24TH FLOOR,BOSTON,MA,USA,2110,617-310-6192,617-310-6194,,,,,,,Approved,8/5/2008,3/5/2010,Y,WWW.MADDENASSET.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,PERFORMANCE PROFITS ALLOCATION PAYABLE TO AN AFFILIATE,Y,"47,000,000.00",0,"47,000,000.00",2,0,2,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,113541,801-60398,"KEY CAPITAL ADVISORS, INC.","KEY CAPITAL ADVISORS, INC.",350 WOODCREST ROAD,,KEY BISCAYNE,FL,USA,33149,305-365-5164,305-365-5165,,,,,,,Approved,7/18/2001,3/5/2010,Y,WWW.KEYCAPITALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,REBATE OF FEES FROM FUND MANAGERS AND ASSET CUSTODIAN,Y,"57,116,943.00",0,"57,116,943.00",24,0,24,Y,Y,N,N,N,N,N,N,N,Y,"PORT MGT SVCS FOR OFFSHORE INVESTORS:INDIVIDUALS,CORPORATIONS,TRUSTS",25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104693,801-32773,SCHWARTZ INVESTMENT COUNSEL INC,SCHWARTZ INVESTMENT COUNSEL INC,"3707 W MAPLE RD, SUITE 100",,BLOOMFIELD HILLS,MI,UNITED STATES,48301,248-644-8500,248-644-4250,,,,,,,Approved,8/29/1988,3/5/2010,Y,WWW.SCHWARTZINVEST.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,11-25 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"604,909,135.00","645,419.00","605,554,554.00",62,1,63,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122625,801-67497,"FINANCIAL PLANNING ADVISORS, INC.","FINANCIAL PLANNING ADVISORS, INC.",1600 WASHINGTON AVENUE,,ALTON,IL,UNITED STATES,62002,618-474-0000,618-474-0002,,,,,,,Approved,1/26/2007,3/5/2010,Y,WWW.HOWTORETIRE.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,ADVISOR'S AGENTS MAY RECEIVE COMMISSION COMPENSATION.,Y,"41,573,337.00","1,579,734.00","43,153,071.00",761,126,887,Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,127321,801-69891,"HIGH DESERT INVESTMENT ADVISORS,LLC","HIGH DESERT INVESTMENT ADVISORS,LLC",,,,,,,505-469-3467,505-797-1901,,,,,,,Approved,1/27/2009,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NM,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"50,000,000.00","50,000,000.00",0,350,350,Y,Y,N,Y,Y,Y,N,N,Y,Y,ECONOMIC MODELING,51-100,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,105923,801-38841,CHARLES D. HYMAN & COMPANY,CHARLES D. HYMAN & COMPANY,224 PONTE VEDRA PARK DRIVE,SUITE 200,PONTE VEDRA BEACH,FL,UNITED STATES,32082,904-543-0360,904-543-0390,,,,,,,Approved,5/10/1991,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,675,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"404,000,000.00","124,000,000.00","528,000,000.00",662,13,675,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,127816,801-62663,"DANIELS + TANSEY, L.L.P.","DANIELS + TANSEY, L.L.P.",3711 KENNETT PIKE,SUITE 130,WILMINGTON,DE,UNITED STATES,19807,302-594-1070,302-594-1074,,,,,,,Approved,1/6/2004,3/5/2010,Y,WWW.DANIELSTANSEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"219,308,829.00","7,491,600.00","226,800,429.00",570,1,571,Y,Y,N,Y,Y,Y,N,N,N,Y,"CONSULTATION, EXPERT WITNESS,LITIGATION SUPPORT",26-50,,N,Y,N,N,N,N,Y,N,Y,CERTIFIED PUBLIC ACCOUNTANT,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,146010,801-68672,"CRYSTAL CAPITAL PARTNERS, LLC","CRYSTAL CAPITAL PARTNERS, LLC",1111 KANE CONCOURSE,SUITE 404,BAY HARBOR ISLANDS,FL,UNITED STATES,33154,305-868-1500,305-868-1595,,,,,,,Approved,12/20/2007,3/5/2010,Y,WWW.CRYSTALFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"244,303,800.00","58,429,845.00","302,733,645.00",3,13,16,N,N,N,N,N,N,N,N,N,Y,HEDGE FUND ADVISORY,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105904,801-33446,"PAYNE WEALTH PARTNERS, INC.","PAYNE WEALTH PARTNERS, INC.",7144 EAST VIRGINIA STREET,,EVANSVILLE,IN,UNITED STATES,47715,812-477-6221,812-477-0417,,,,,,,Approved,12/9/1988,3/5/2010,Y,WWW.PAYNEWEALTHPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"223,333,668.00","33,448,037.00","256,781,705.00",255,22,277,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,132339,801-71123,"OUTLOOK CAPITAL MANAGEMENT, LLC","OUTLOOK CAPITAL MANAGEMENT, LLC",125 S. WILKE ROAD SUITE 200E,,ARLINGTON HEIGHTS,IL,UNITED STATES,60005-1522,847-797-0600,847-342-0514,,,,,,,Approved,2/18/2010,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"32,243,688.00",0,"32,243,688.00",85,0,85,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,132237,801-63353,"STILLWATER INVESTMENT MANAGEMENT, LLC","STILLWATER INVESTMENT MANAGEMENT, LLC",226 EAST MYRTLE STREET,,STILLWATER,MN,UNITED STATES,55082,651-275-9380,651-275-9381,,,,,,,Approved,7/21/2004,3/5/2010,Y,WWW.STILLWATERINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"114,931,766.00",0,"114,931,766.00",521,0,521,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,129436,801-62624,"DISCIPLINED EQUITY MANAGEMENT, INC.","DISCIPLINED EQUITY MANAGEMENT, INC.",200 FIRST STREET,SUITE 204,NEPTUNE BEACH,FL,USA,32266,(904) 222-0280,(904) 222-0283,,,,,,,Approved,1/2/2004,3/5/2010,Y,WWW.DEMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),S-CORP,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"85,723,781.00",0,"85,723,781.00",126,0,126,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124264,801-69752,"COLE INVESTMENT ADVISORS, INC.","COLE INVESTMENT ADVISORS, INC.",2401 WEST CENTRE AVENUE,,PORTAGE,MI,UNITED STATES,49024,269-329-6600,269-329-6608,,,,,,,Approved,11/13/2008,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"17,428,840.00","18,974,907.00","36,403,747.00",158,21,179,Y,Y,N,N,Y,Y,N,N,N,Y,CONSULTATION SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,121061,801-69198,COMPREHENSIVE MONEY MANAGEMENT SERVICES LLC,COMPREHENSIVE MONEY MANAGEMENT SERVICES LLC,,,,,,,305-662-7757,305-402-8409,,,,,,,Approved,5/28/2008,3/5/2010,Y,WWW.COMPREHENSIVEMONEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,RETAINER,Y,"50,000,000.00",0,"50,000,000.00",80,0,80,Y,Y,N,N,N,N,N,N,N,Y,TAX PREPARATION SERVICES,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108837,801-55522,ALDER FINANCIAL GROUP INC,ALDER FINANCIAL GROUP INC,300 GALLERIA PKWY,SUITE 1650,ATLANTA,GA,UNITED STATES,30339,877-249-2629,770-857-2670,,,,,,,Approved,5/12/1998,3/5/2010,Y,ALDERFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"91,731,950.00",0,"91,731,950.00",214,0,214,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,127391,801-71071,HILL FINANCIAL GROUP,"J.R. HILL & ASSOCIATES, INC.","29225 CHAGRIN BLVD., SUITE 100",,PEPPER PIKE,OH,UNITED STATES,44122,216-292-9288,216-292-7865,,,,,,,Approved,2/25/2010,3/5/2010,Y,WWW.HILLFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"45,000,000.00","4,200,000.00","49,200,000.00",237,2,239,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106048,801-53189,JOHNSTON & ASSOCIATES INC,JOHNSTON JAMES M & ASSOCIATES INC,600 SOUTH CHERRY ST.,SUITE 1110,DENVER,CO,UNITED STATES,80246,303-831-6120,303-830-0794,,,,,,,Approved,11/26/1996,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,PARTNERSHIPS,Y,Y,N,Y,N,N,N,,Y,"39,394,201.00",0,"39,394,201.00",74,0,74,Y,Y,N,N,N,Y,Y,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105440,801-31747,DATATEX INVESTMENT SERVICES INC,DATATEX INVESTMENT SERVICES INC,7800 FORSYTH BLVD,FIFTH FLOOR,CLAYTON,MO,UNITED STATES,63105,314-236-2444,314-236-2443,,,,,,,Approved,4/1/1988,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,Nov-50,0,More than 500,"1,200",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"42,147,148.00",0,"42,147,148.00","1,200",0,"1,200",N,Y,N,Y,N,N,N,N,N,Y,SECTOR ALLOCATION,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
DRO,109541,801-54632,ENDEX CAPITAL MANAGMENT LLC,ENDEX CAPITAL MANAGMENT LLC,6320 LAMAR,,OVERLAND PARK,KS,UNITED STATES,66202,913-384-2720,913-981-1382,PO BOX 7027,,KANSAS CITY,MO,UNITED STATES,64113,Approved,6/13/1997,3/5/2010,Y,WWW.ENDEXCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"64,200,000.00",0,"64,200,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108176,801-57007,SUNDVOLD FINANCIAL,SUNDVOLD CAPITAL MANAGEMENT LLC,1000 W. NIFONG,"BUILDING 4, SUITE 104",COLUMBIA,MO,USA,65203,573-443-1000,573-443-8888,,,,,,,Approved,11/18/1999,3/5/2010,Y,WWW.SUNDVOLD.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,26-50 percent,11-25 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"15,500,000.00","15,500,000.00",0,140,140,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,145851,801-68693,"DISCRETIONARY MANAGEMENT SERVICES, LLC","DISCRETIONARY MANAGEMENT SERVICES, LLC",6320 LAMAR AVE,,OVERLAND PARK,KS,UNITED STATES,66202-4247,913-384-4994,913-981-1382,,,,,,,Approved,1/29/2008,3/5/2010,Y,WWW.DMS-DEMARCHE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"323,362,407.00",0,"323,362,407.00",5,0,5,N,N,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119833,801-66619,"RESOURCE FINANCIAL GROUP, LTD.","RESOURCE FINANCIAL GROUP, LTD.",1000 SKOKIE BLVD.,SUITE 525,WILMETTE,IL,UNITED STATES,60091,847-256-7495,847-256-7497,,,,,,,Approved,5/9/2006,3/5/2010,Y,WWW.RFGLTD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"269,000.00","69,000,000.00","69,269,000.00",3,264,267,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,121907,801-71210,"DELTA FINANCIAL ADVISORS, INC","DELTA FINANCIAL ADVISORS, INC",,,,,,,301-962-0480,301-962-0481,,,,,,,Approved,3/22/2010,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"35,000,000.00","35,000,000.00",0,100,100,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122768,801-63573,"PATHFINDER ADVISORY, INC.","PATHFINDER WEALTH MANAGEMENT, INC.",6981 REDANSA DR,,ROCKFORD,IL,UNITED STATES,61108,815.399.9806,815.399.7808,,,,,,,Approved,10/29/2004,3/5/2010,Y,WWW.PATHFINDERADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"42,774,782.00",0,"42,774,782.00",488,0,488,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
ARO,110671,801-24252,"RESOURCE ADVISORY SERVICES, INC.","RESOURCE ADVISORY SERVICES, INC.",ONE LAKESIDE CENTRE,"2035 LAKESIDE CENTRE WAY, SUITE 110",KNOXVILLE,TN,UNITED STATES,37922,865-560-0140,865-560-0150,,,,,,,Approved,6/4/1985,3/5/2010,Y,WWW.RESOURCEADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"40,818,431.00","6,317,747.00","47,136,178.00",255,17,272,Y,Y,N,N,N,N,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108345,801-57100,BEAUMONT FINANCIAL PARTNERS LLC,BEAUMONT FINANCIAL PARTNERS LLC,20 WALNUT STREET,SUITE # 1,WELLESLEY HILLS,MA,UNITED STATES,2481,781-237-7170,781-237-7179,,,,,,,Approved,1/11/2000,3/22/2010,Y,WWW.BFPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,251-500,0,11-25 percent,More than 75 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,NON-PROFIT ENDOWMENTS/HEDGE FUND (SEE MISCELLANEOUS),Y,Y,N,Y,N,N,Y,HEDGE FUND (SEE MISCELLANEOUS),Y,"760,441,623.00","274,503,786.00","1,034,945,409.00","1,708",265,"1,973",Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,Y,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131352,801-63067,"FISCHER & CO., LP","FISCHER & CO., LP",767 3RD AVENUE,38TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-759-4400,212-759-5756,,,,,,,Approved,5/10/2004,3/22/2010,Y,WWW.FISCHERANDCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"408,328,273.00",0,"408,328,273.00",9,0,9,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110384,801-40371,"PERSONAL CHOICE FINANCIAL ADVISORS, LLC","PERSONAL CHOICE FINANCIAL ADVISORS, LLC",4555 LAKE FOREST DRIVE,650 WESTLAKE CENTER,CINCINNATI,OH,UNITED STATES,45242-3785,513-588-8080,513-488-1120,,,,,,,Approved,12/16/1991,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"60,541,303.00","9,787,337.00","70,328,640.00",303,68,371,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,118798,801-61024,"TELLIGENT INVESTMENT MANAGEMENT, LLC","TELLIGENT INVESTMENT MANAGEMENT, LLC","SUITE 808, TOWER TWO LIPPO CENTRE",89 QUEENSWAY,ADMIRALTY,,HONG KONG,,011-852-3150-0888,011-852-3150-0777,,,,,,,Approved,3/29/2002,3/22/2010,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"192,948,350.00",0,"192,948,350.00",3,0,3,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,127242,801-62293,ALLIANZ INVESTMENT COMPANY LLC,ALLIANZ INVESTMENT COMPANY LLC,55 GREENS FARMS ROAD,,WESTPORT,CT,UNITED STATES,06881-5160,(203) 221-8500,(203) 341-5722,,,,,,,Approved,8/21/2003,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,10-Jan,0,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,"FOR CERTAIN AFFILIATED ENTITIES, ON A COST BASIS",Y,"1,272,661,000.00",0,"1,272,661,000.00",2,0,2,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,108122,801-55551,WOODLANDS ASSET MANAGEMENT INC,WOODLANDS ASSET MANAGEMENT INC,10077 GROGANS MILL RD STE 130,,THE WOODLANDS,TX,UNITED STATES,77380,281-367-2483,281-298-1182,,,,,,,Approved,5/15/1998,3/22/2010,Y,WWW.WOODLANDSASSETMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,10-Jun,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"93,254,792.00",0,"93,254,792.00",363,0,363,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,Y,N,N,Y,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,129290,801-70913,HARVEY MERSON,"MERSON, HARVEY NEIL",,,,,,,732-382-5663,732-382-1084,,,,,,,Approved,1/4/2010,3/22/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Sole Proprietorship,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,0,"22,000,000.00","22,000,000.00",0,126,126,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,Y,PORTFOLIO MANAGER FOR A MUTUAL FUND,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,112983,801-60258,THE PALMER KNIGHT COMPANY,THE PALMER KNIGHT COMPANY,1022 PARK STREET,SUITE 402,JACKSONVILLE,FL,UNITED STATES,32204,904-358-9080,800-856-5214,,,,,,,Approved,5/11/2001,3/22/2010,Y,WWW.PALMERKNIGHT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"51,000,000.00",0,"51,000,000.00",151,0,151,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,126909,801-62613,GENESIS CAPITAL LLC,GENESIS CAPITAL LLC,7191 WAGNER WAY NW,SUITE 302,GIG HARBOR,WA,UNITED STATES,98335,253-853-4900,253-851-8819,,,,,,,Approved,1/7/2004,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"146,453,725.00",0,"146,453,725.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR OTHER POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,126748,801-63017,"CAPITAL ADVISORS, LLC","CAPITAL ADVISORS, LLC",SOUTHBOROUGH PLACE,"136 TURNPIKE ROAD, SUITE 120",SOUTHBOROUGH,MA,UNITED STATES,1772,508-229-3610,508-229-2703,,,,,,,Approved,4/16/2004,3/22/2010,Y,WWW.CAPADVISORS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"48,479,712.00","3,163,013.00","51,642,725.00",149,12,161,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106329,801-43006,TUCKER HARGROVE MANAGEMENT INC,TUCKER HARGROVE MANAGEMENT INC,202 N MONROE ST,,MEDIA,PA,UNITED STATES,19063,610-891-1444,610-891-1448,P O BOX 669,,MEDIA,PA,UNITED STATES,19063,Approved,12/30/1992,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"17,312,875.00","11,351,322.00","28,664,197.00",35,3,38,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,150581,801-70437,LYONS WEALTH MANAGEMENT,"LYONS WEALTH MANAGEMENT, LLC",807 W MORSE BLVD,# 105,WINTER PARK,FL,UNITED STATES,32789,407 951 8710,407-951-8720,,,,,,,Approved,7/28/2009,3/22/2010,Y,WWW.LYONSWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"242,520,918.00",0,"242,520,918.00",597,0,597,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,Y,N,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,132162,801-63410,"MCCARTHY GROUP ADVISORS, L.L.C.","MCCARTHY GROUP ADVISORS, L.L.C.",1125 SOUTH 103RD STREET,SUITE 580,OMAHA,NE,UNITED STATES,68124,402-393-1300,402-361-2053,,,,,,,Approved,7/1/2004,3/22/2010,Y,WWW.MGAMX.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"866,570,942.00","160,968,376.00","1,027,539,318.00",197,2,199,N,Y,Y,Y,Y,Y,N,N,N,Y,CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,121776,801-68272,"TAYLOR & WILLIAMS, INC.","TAYLOR & WILLIAMS, INC.",288 CRYSTAL GROVE BLVD.,,LUTZ,FL,UNITED STATES,33548,813-936-0222,813-265-0222,,,,,,,Approved,8/16/2007,3/22/2010,Y,WWW.TAYLORANDWILLIAMS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"34,154,698.00","1,276,666.00","35,431,364.00",411,18,429,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,142490,801-67355,"HOLTER, WILLIAM LATIMER","HOLTER, WILLIAM LATIMER",,,,,,,361-571-1914,,SJ08886 P.O. BOX 025331,,MIAMI,FL,USA,33102-5331,Approved,12/4/2006,3/22/2010,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,,COSTA RICA,5-Jan,0,0,0,0,0,0,0,25-Nov,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"10,000,000.00","10,000,000.00",0,23,23,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,129313,801-67597,BEECHWOOD INVESTMENT MANAGEMENT INC.,BEECHWOOD INVESTMENT MANAGEMENT INC.,146 MAIN STREET,2ND FLOOR,NORFOLK,MA,UNITED STATES,2056,508-520-2270,508-520-2280,,,,,,,Approved,3/6/2007,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"29,768,435.00",0,"29,768,435.00",31,0,31,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,143069,801-67543,"MUNROS CAPITAL MANAGEMENT, LLC","MUNROS CAPITAL MANAGEMENT, LLC",21 EAST LONG LAKE ROAD,SUITE 200,BLOOMFIELD HILLS,MI,UNITED STATES,48304,248-647-5990,248-647-0537,,,,,,,Approved,2/20/2007,3/22/2010,Y,HTTP://WWW.MUNROSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"74,840,711.00",0,"74,840,711.00",3,0,3,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107051,801-33188,"GEI FINANCIAL SERVICES, INC.",GEI FINANCIAL SERVICES INC,"ONE IBM PLAZA, 330 N. WABASH",SUITE 2600,CHICAGO,IL,UNITED STATES,60611,312-670-4434,312-670-2016,,,,,,,Approved,11/3/1988,11/11/2008,Y,WWW.GEIFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,976,817.00",0,"25,976,817.00",86,0,86,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108739,801-68910,TOWER VIEW INVESTMENT MANAGEMENT & RESEARCH LLC,TOWER VIEW INVESTMENT MANAGEMENT & RESEARCH LLC,,,,,,,414-791-6834,414-433-1935,,,,,,,Approved,3/11/2008,3/22/2010,Y,WWW.TOWER-VIEW.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,OTHER INVESTMENT ADVISOR,Y,Y,N,N,N,N,N,,Y,"50,700,000.00",0,"50,700,000.00",60,0,60,N,Y,N,N,N,N,N,N,N,Y,WRITING AND PROVIDING EQUITY RESEARCH TO OTHER INVESTMENT ADVISORS.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,114052,801-60478,"STATETRUST CAPITAL, LLC.","STATETRUST CAPITAL, LLC.",800 BRICKELL AVENUE,SUITE 100,MIAMI,FL,UNITED STATES,33131,305-921-8100,305-921-8111,,,,,,,Approved,8/10/2001,3/22/2010,Y,WWW.STATETRUST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,26-50 percent,PERSONAL HOLDING COMPANIES,Y,N,N,N,N,N,N,,Y,"86,485,182.00",0,"86,485,182.00",482,0,482,N,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109692,801-55936,"CCP, INC","CCP, INC",4801 EMERSON,SUITE 106,PALATINE,IL,UNITED STATES,60067,847-303-1220,847-303-1255,,,,,,,Approved,10/6/1998,3/22/2010,Y,WWW.CCPFPS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"109,508,606.00",0,"109,508,606.00",343,0,343,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151013,801-70471,"RD LEGAL CAPITAL, LLC","RD LEGAL CAPITAL, LLC",45 LEGION DRIVE,2ND FLOOR,CRESSKILL,NJ,UNITED STATES,7626,201-568-9007,201-568-9307,,,,,,,Approved,8/18/2009,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,EXCESS INCOME OVER 13.5% ANNUAL RETURN TO INVESTORS,Y,"53,409,225.00",0,"53,409,225.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,148863,801-70033,"WANGER INVESTMENT MANAGEMENT, INC.","WANGER INVESTMENT MANAGEMENT, INC.",401 N. MICHIGAN AVENUE,SUITE 1301,CHICAGO,IL,UNITED STATES,60611,312-245-8000,661-459-2328,,,,,,,Approved,4/6/2009,3/22/2010,Y,WWW.WANGERFUNDS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"19,000,000.00",0,"19,000,000.00",3,0,3,N,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,130457,801-64183,"SPARTAN CAPITAL MANAGEMENT, LLC","SPARTAN CAPITAL MANAGEMENT, LLC",501 WEST STREET ROAD,,WEST CHESTER,PA,USA,19382-7212,610-399-8201,610-399-8202,501 WEST STREET ROAD,,WEST CHESTER,PA,USA,19382-7212,Approved,4/18/2005,3/22/2010,Y,WWW.SPARTANCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"129,455,923.00","1,861,562.00","131,317,485.00",183,7,190,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,147086,801-69129,"PACIFIC VALUE, LLC","PACIFIC VALUE, LLC",101 SOUTH CAPITAL BLVD.,SUITE 502,BOISE,ID,UNITED STATES,83702,208-331-2315,208-331-2316,,,,,,,Approved,5/12/2008,3/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,ID,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"140,000,000.00",0,"140,000,000.00",550,0,550,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,115435,801-66390,LARMER & ELSTUN LLC,LARMER & ELSTUN LLC,13715 WEST 109TH STREET,SUITE 110,LENEXA,KS,UNITED STATES,66215,913-451-8351,913-451-8364,,,,,,,Approved,3/16/2006,11/23/2009,Y,WWW.LARMER-ELSTUN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,0,"100,000,000.00","100,000,000.00",0,100,100,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106400,801-39648,"THE NEW ENGLAND GUILD, INC.","THE NEW ENGLAND GUILD, INC.",120 OXFORD ST,,HARTFORD,CT,UNITED STATES,6105,860-236-3301,860-236-3349,,,,,,,Approved,8/29/1991,3/22/2010,Y,WWW.NEGUILD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"246,473,608.00","6,757,161.00","253,230,769.00",785,10,795,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,125335,801-61893,"WILCOX INVESTMENT, INC.","WILCOX INVESTMENT, INC.",,,,,,,1-617-322-4666,,,,,,,,Approved,3/14/2003,3/22/2010,Y,WWW.WILCOXINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,CONSULTING PROJECTS,Y,"106,483,000.00","49,376,000.00","155,859,000.00",2,2,4,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,147557,801-69415,CANDOR WEALTH ADVISORS LLC,CANDOR WEALTH ADVISORS LLC,129 SUMMIT AVENUE,,SUMMIT,NJ,UNITED STATES,7901,908-277-1300,413-845-4747,,,,,,,Approved,7/11/2008,3/22/2010,Y,WWW.CANDORWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,FINANCIAL PLANNING FEES,Y,"117,900,000.00",0,"117,900,000.00",277,0,277,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,109509,801-57797,"WESTERN RESEARCH AND MANAGEMENT, L.L.C.","WESTERN RESEARCH AND MANAGEMENT, L.L.C.",3100 W SEVENTH STREET,SUITE 300,FORT WORTH,TX,UNITED STATES,76107,817-877-9980,817-877-0139,,,,,,,Approved,7/28/2000,3/29/2010,Y,WWW.WESTERN-COMPANIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,101-250,0,26-50 percent,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"121,084,614.00",0,"121,084,614.00",189,0,189,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,124261,801-61749,LARRY HELLER & ASSOCIATES,"TOTAL MANAGEMENT GROUP, INC.",445 BROADHOLLOW ROAD,SUITE 230,MELVILLE,NY,UNITED STATES,11747,631-293-2806,631-293-2726,,,,,,,Approved,1/17/2003,3/29/2010,Y,WWW.LARRYHELLER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"60,441,702.00","970,501.00","61,412,203.00",256,6,262,Y,Y,N,Y,N,N,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137049,801-64890,"DEL MAR ASSET MANAGEMENT, LP","DEL MAR ASSET MANAGEMENT, LP",711 FIFTH AVENUE,,NEW YORK,NY,UNITED STATES,10022,212-328-7140,212-328-7128,,,,,,,Approved,11/18/2005,3/29/2010,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"758,553,236.00",0,"758,553,236.00",7,0,7,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107200,801-38363,CUTWATER ASSET MANAGEMENT,CUTWATER INVESTOR SERVICES CORP.,113 KING STREET,,ARMONK,NY,UNITED STATES,10504,800-395-5505,800-765-7600,,,,,,,Approved,3/1/1991,3/29/2010,Y,WWW.CUTWATER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"6,822,777,166.00","7,874,841,933.00","14,697,619,099.00",41,160,201,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N
PLRO,110613,801-51471,ZIRKIN CUTLER INVESTMENTS INC,ZIRKIN CUTLER INVESTMENTS INC,3 BETHESDA METRO CTR STE 840,,BETHESDA,MD,USA,20814,301-961-9000,301-961-9009,,,,,,,Approved,3/7/1996,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,More than 500,"1,000",Up to 10 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,1 ACCOUNT IS CHARGED A FEE BASED ON BONDS PURCHASED.,Y,"1,694,011,891.00","97,452,048.00","1,791,463,939.00",863,87,950,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,148408,801-69641,OBERWEIS ASSET MANAGEMENT (ASIA) LIMITED,OBERWEIS ASSET MANAGEMENT (ASIA) LIMITED,"SUITE 2702, 27/F ONE INTERNATIONAL FINANCE CENTRE",1 HARBOUR VIEW,CENTRAL HONG KONG,,CHINA,,852-2234-7330,852-2234-7138,3333 WARRENVILLE ROAD,SUITE 500,LISLE,IL,UNITED STATES,60532,Approved,10/10/2008,3/29/2010,N,,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,"COST OF SERVICES, PLUS 5% OF THE VALUE OF SUCH COSTS",Y,"373,801,274.00",0,"373,801,274.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104748,801-36431,TWIN CAPITAL MANAGEMENT INC,TWIN CAPITAL MANAGEMENT INC,3244 WASHINGTON RD,SUITE 202,MCMURRAY,PA,UNITED STATES,15317-3153,[724]942-2000,[724]942-2002,,,,,,,Approved,4/2/1990,3/29/2010,Y,WWW.TWINCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,0 percent,11-25 percent,26-50 percent,11-25 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"653,977,764.00","52,546,712.00","706,524,476.00",30,3,33,N,Y,Y,Y,N,N,N,N,Y,Y,NON-DISCRETIONARY INVESTMENT CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114219,801-63219,"VOGEL FINANCIAL ADVISORS, LLC","VOGEL FINANCIAL ADVISORS, LLC",12400 COIT ROAD,SUITE 1000,DALLAS,TX,USA,75251,214-346-5880,214-346-5899,,,,,,,Approved,6/4/2004,3/29/2010,Y,WWW.VFAONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"150,000,000.00",0,"150,000,000.00",160,0,160,Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110837,801-44891,ALBERT HEEG INVESTMENT MANAGEMENT,HEEG ALBERT JOSEPH JR.,2231 HARBOR BAY PARKWAY,,ALAMEDA,CA,UNITED STATES,94502,510-864-2900,510-864-2901,,,,,,,Approved,11/10/1993,3/29/2010,Y,WWW.HEEG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"177,507,000.00",0,"177,507,000.00",3,0,3,Y,N,N,Y,N,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,148943,801-69847,BLACKSTONE CLEANTECH VENTURE ADVISORS L.L.C.,BLACKSTONE CLEANTECH VENTURE ADVISORS L.L.C.,345 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10154,212-583-5000,212-583-5687,,,,,,,Approved,1/13/2009,3/29/2010,Y,WWW.BLACKSTONE.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,120668,801-61220,HOVDE CAPITAL ADVISORS LLC,HOVDE CAPITAL ADVISORS LLC,"1826 JEFFERSON PLACE, NW",,WASHINGTON,DC,UNITED STATES,20036,202-822-8117,202-822-8432,,,,,,,Approved,6/20/2002,3/29/2010,Y,WWW.HOVDECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"646,945,466.00",0,"646,945,466.00",4,0,4,N,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,Y,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151831,801-70853,STANDARD GENERAL L.P.,STANDARD GENERAL L.P.,650 MADISON AVENUE,23RD FLOOR,NEW YORK,NY,UNITED STATES,10022,212-610-9170,212-610-9171,,,,,,,Approved,12/9/2009,3/29/2010,Y,WWW.STANDARDGENERALLP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"313,026,358.00",0,"313,026,358.00",9,0,9,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS.,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,109831,801-42843,GREYLIN INVESTMENT MANAGEMENT,GREYLIN INVESTMENT MANAGEMENT INC,5068 W. PLANO PARKWAY,SUITE 277,PLANO,TX,USA,75093,972-931-4808,972-931-4811,,,,,,,Approved,12/9/1992,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"278,455,219.00",0,"278,455,219.00",847,0,847,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,135145,801-67609,"TALIS ADVISORY SERVICES, LLC","TALIS ADVISORY SERVICES, LLC",6205 CHAPEL HILL BLVD,SUITE 400,PLANO,TX,USA,75093,972-378-1795,972-378-6547,,,,,,,Approved,3/2/2007,3/29/2010,Y,WWW.TALISADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"81,661,859.00","4,832,468.00","86,494,327.00",488,4,492,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109106,801-57640,BLACKSTONE COMMUNICATIONS ADVISORS I LLC,BLACKSTONE COMMUNICATIONS ADVISORS I LLC,345 PARK AVENUE,,NEW YORK,NY,USA,10154,212-583-5000,212-583-5258,,,,,,,Approved,7/7/2000,3/29/2010,Y,WWW.BLACKSTONE.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"877,549,317.00",0,"877,549,317.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122064,801-61387,"INVESTMENT CONSULTING SERVICES, LLC","INVESTMENT CONSULTING SERVICES, LLC",2215 YORK ROAD,SUITE 501,OAK BROOK,IL,UNITED STATES,60523,630-928-1052,630-928-1053,,,,,,,Approved,8/29/2002,3/29/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,Y,"BASE FEE $15,000 PER YR. & $10,000 PER INVESTMENT MANAGER PER YR",N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,Y,INVESTMENT CONSULTANT,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,132046,801-63304,WAYZATA INVESTMENT PARTNERS LLC,WAYZATA INVESTMENT PARTNERS LLC,701 EAST LAKE STREET,SUITE 300,WAYZATA,MN,UNITED STATES,55391,952-345-0700,952-345-8901,,,,,,,Approved,5/31/2004,3/29/2010,Y,WWW.WAYZATAINVESTMENTPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"6,224,250,979.00",0,"6,224,250,979.00",9,0,9,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE EQUITY FUNDS AND A HEDGE FUND,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
LARO,137070,801-68965,"OPTIVEST, INC.","OPTIVEST, INC.",24901 DANA POINT HARBOR DRIVE,SUITE 230,DANA POINT,CA,USA,92629,949-363-8686,949-363-1133,,,,,,,Approved,3/26/2008,11/24/2009,Y,WWW.OPTIVESTINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"66,654,229.00","107,253,165.00","173,907,394.00",56,19,75,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131460,801-63100,MEREDITH PORTFOLIO MANAGEMENT INC.,MEREDITH PORTFOLIO MANAGEMENT INC.,600 LEXINGTON AVE,29TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212 969-9292,212 247-3840,,,,,,,Approved,3/31/2004,3/29/2010,Y,MEREDITHPM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"35,704,000.00",0,"35,704,000.00",21,0,21,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,139198,801-66649,FORESIGHT WEALTH MANAGEMENT,"FORESIGHT ASSET MANAGEMENT, LLC",,,,,,,865-679-6177,,,,,,,,Approved,5/26/2006,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"43,640,608.00",0,"43,640,608.00",6,0,6,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,136018,801-64461,"MONSOON CAPITAL, LLC","MONSOON CAPITAL, LLC",7475 WISCONSIN AVENUE,SUITE 850,BETHESDA,MD,UNITED STATES,20814,(301) 222-8000,(301) 222-8001,,,,,,,Approved,7/7/2005,3/29/2010,Y,HTTP://WWW.MONSOONCAPITAL.COM/,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"454,918,308.00",0,"454,918,308.00",12,0,12,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,115086,801-67764,"BAKER JENSEN INVESTMENT ADVISORS, LLC","BAKER JENSEN INVESTMENT ADVISORS, LLC",3551 CAMINO MIRA COSTA,SUITE D-1,SAN CLEMENTE,CA,UNITED STATES,92672-3504,949-481-1805,949-481-1806,,,,,,,Approved,8/9/2007,3/29/2010,Y,HTTP://WWW.BAKERJENSEN.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"35,000,000.00","1,000,000.00","36,000,000.00",90,1,91,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112305,801-60616,MERK INVESTMENTS LLC,MERK INVESTMENTS LLC,2672 BAYSHORE PARKWAY SUITE 1001,,MOUNTAIN VIEW,CA,UNITED STATES,94043,650-323-4341,650-745-7045,555 BRYANT STREET #455,,PALO ALTO,CA,UNITED STATES,94301,Approved,10/10/2001,3/29/2010,Y,HTTP://WWW.MERKFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"562,000,000.00",0,"562,000,000.00",3,0,3,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,132166,801-64016,WOLF ASSET MANAGEMENT INTERNATIONAL LLC,WOLF ASSET MANAGEMENT INTERNATIONAL LLC,650 FIFTH AVENUE,10TH FLOOR,NEW YORK,NY,UNITED STATES,10019,505-955-9950,505-955-9951,C/O WOLF INTERNATIONAL ADVISORS,425 SANDOVAL STREET,SANTA FE,NM,UNITED STATES,87501,Approved,3/3/2005,3/29/2010,Y,WWW.WOLFRISK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,SUBSCRIPTION AND REDEMPTION FEES,Y,"232,300,000.00",0,"232,300,000.00",16,0,16,N,N,N,N,N,Y,N,N,N,Y,HEDGE FUND OF FUNDS MANAGEMENT,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,119897,801-62614,"GUIDANCE INVESTMENTS, LLC","GUIDANCE INVESTMENTS, LLC",11109 SUNSET HILLS RD,,RESTON,VA,UNITED STATES,20190,703.885.0824,,,,,,,,Approved,1/9/2004,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"86,700,000.00","86,700,000.00",0,1,1,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110743,801-47490,MULLANEY KEATING & WRIGHT INC,MULLANEY KEATING & WRIGHT INC,29 SOUTH MAIN STREET,SUITE 212,WEST HARTFORD,CT,UNITED STATES,6107,860.521.9900,860.521.9905,,,,,,,Approved,9/21/1994,11/24/2009,Y,WWW.MKWINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"178,528,003.00","1,377,212.00","179,905,215.00",423,4,427,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,129505,801-62580,"CAMDEN CAPITAL MANAGEMENT, LLC","CAMDEN CAPITAL MANAGEMENT, LLC",2321 ROSECRANS AVE. SUITE 4255,,EL SEGUNDO,CA,UNITED STATES,90245,310-725-0210,310-727-0767,,,,,,,Approved,1/2/2004,3/29/2010,Y,WWW.CAMDENCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"500,000,000.00","7,000,000.00","507,000,000.00",399,5,404,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111718,801-58193,ENERGY TRUST LLC,ENERGY TRUST LLC,"551 FIFTH AVENUE, 37TH FLOOR",,NEW YORK,NY,UNITED STATES,10176,212-557-0868,212-557-0876,,,,,,,Approved,12/7/2000,3/29/2010,Y,WWW.ENERGYTRUSTLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,UNIVERSITY ENDOWMENT FUND,Y,N,N,N,N,Y,Y,ORIGINATION FEES; PERCENTAGE OF INCENTIVE DISTRIBUTIONS,Y,"858,841,435.00","238,529,325.00","1,097,370,760.00",16,7,23,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,120177,801-68963,"ABUNDA FINANCIAL, LLC","ABUNDA FINANCIAL, LLC","1100 LARKSPUR LANDING CIRCLE, SUITE 112",,LARKSPUR,CA,UNITED STATES,94939,415-339-8944,415-339-8945,,,,,,,Approved,3/13/2008,3/29/2010,Y,WWW.ABUNDAFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"3,002,339.00","45,000,000.00","48,002,339.00",8,243,251,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109922,801-38517,LINCOLN CAPITAL CORP,LINCOLN CAPITAL CORP,40 WESTMINSTER STREET,SUITE 202,PROVIDENCE,RI,UNITED STATES,2903,401-454-3040,401-453-0678,,,,,,,Approved,4/19/1991,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,RI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"125,725,432.00",0,"125,725,432.00",396,0,396,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110371,801-57412,VILLAFRANCO WEALTH MANAGEMENT,SOUTHWIND ASSOCIATES OF NJ INC.,"100 PARAGON DRIVE, SUITE 250",,MONTVALE,NJ,UNITED STATES,7645,201-505-9495,201-307-5030,,,,,,,Approved,3/27/2000,3/17/2010,Y,HTTP://WWW.VILLAFRANCOWEALTH.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,FAMILY L.P. AND FAMILY LLC,Y,N,N,N,Y,N,Y,REFFERAL FEES,Y,"320,000,000.00",0,"320,000,000.00",195,0,195,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109437,801-57622,MOLEWSKI FINANCIAL PARTNERS,MOLEWSKI FINANCIAL SOLUTIONS LLC,"100 GATEWAY DRIVE, SUITE 300",,BETHLEHEM,PA,UNITED STATES,18017,610-865-2600,610-865-2408,,,,,,,Approved,6/16/2000,3/23/2010,Y,WWW.MOLEWSKIFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"751,031,449.00","886,524,084.00","1,637,555,533.00",719,32,751,Y,Y,N,Y,Y,Y,N,N,N,Y,WEBCASTS,26-50,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,120109,801-61082,LEPERCQ DE NEUFLIZE ASSET MANAGEMENT LLC,LEPERCQ DE NEUFLIZE ASSET MANAGEMENT LLC,"156 W. 56TH STREET, 18TH FLOOR",,NEW YORK,NY,UNITED STATES,10019,212-698-0700,212-262-0155,,,,,,,Approved,4/18/2002,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"162,854,000.00",0,"162,854,000.00",18,0,18,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,135061,801-64182,"BRC INVESTMENT MANAGEMENT, LLC","BRC INVESTMENT MANAGEMENT, LLC",8400 EAST PRENTICE AVENUE,SUITE 1401,GREENWOOD VILLAGE,CO,UNITED STATES,80111,303-414-1100,303-414-1111,,,,,,,Approved,4/15/2005,3/23/2010,Y,WWW.BRCINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"470,629,259.00","12,727,116.00","483,356,375.00",292,49,341,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106375,801-47290,SIGNATURE FINANCIAL MANAGEMENT INC,SIGNATURE FINANCIAL MANAGEMENT INC,"150 WEST MAIN STREET, STE 1550",,NORFOLK,VA,UNITED STATES,23510-1676,757-625-7670,757-625-7673,,,,,,,Approved,9/6/1994,3/23/2010,Y,WWW.SIGFIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"1,504,884,783.00","583,449,845.00","2,088,334,628.00",678,56,734,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108862,801-56093,"GOODE INVESTMENT MANAGEMENT, INC.","GOODE INVESTMENT MANAGEMENT, INC.",1700 TERMINAL TOWER,50 PUBLIC SQUARE,CLEVELAND,OH,UNITED STATES,44113-2207,216-771-9000,216-771-1949,,,,,,,Approved,12/24/1998,3/23/2010,Y,WWW.GOODEINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"471,836,905.00",0,"471,836,905.00",14,0,14,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,108168,801-55805,PARAGON CAPITAL MANAGEMENT LLC,PARAGON CAPITAL MANAGEMENT LLC,9200 INDIAN CREEK PKWY,SUITE 230,OVERLAND PARK,KS,UNITED STATES,66210,913-451-2254,913-451-2505,,,,,,,Approved,8/18/1998,3/23/2010,Y,WWW.PARAGONCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"284,975,713.00",0,"284,975,713.00",672,0,672,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,117465,801-69051,TURLOFF FINANCIAL CONSULTING INC.,TURLOFF FINANCIAL CONSULTING INC.,,,,,,,206 842-1422,,,,,,,,Approved,4/15/2008,3/23/2010,Y,WWW.TURLOFF.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"34,122,315.00",0,"34,122,315.00",186,0,186,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,129972,801-62688,"SCOTT WHITE ADVISORS, LLC","SCOTT WHITE ADVISORS, LLC",1510 ROYAL PALM SQUARE BLVD,SUITE 103,FORT MYERS,FL,UNITED STATES,33919-1068,239-936-6300,239-936-0780,,,,,,,Approved,1/15/2004,3/23/2010,Y,WWW.ASCOTTWHITE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISER / MANAGER FEES,Y,0,"46,541,151.00","46,541,151.00",0,103,103,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,104536,801-46991,KAYNE ANDERSON CAPITAL ADVISORS LP,KAYNE ANDERSON CAPITAL ADVISORS LP,1800 AVENUE OF THE STARS,SECOND FLOOR,LOS ANGELES,CA,USA,90067,310-556-2721,310-284-6444,,,,,,,Approved,8/15/1994,3/23/2010,Y,WWW.KAYNECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,CA,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,083,700,000.00",0,"5,083,700,000.00",36,0,36,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
SFRO,111166,801-39540,HARBOUR INVESTMENT MANAGEMENT L.L.C.,HARBOUR INVESTMENT MANAGEMENT L.L.C.,2722 COLBY AVENUE,SUITE 520,EVERETT,WA,UNITED STATES,98201-6600,425-742-1557,425-645-8046,,,,,,,Approved,7/24/1991,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"213,131,892.00",0,"213,131,892.00",497,0,497,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108674,801-31648,DAVIS SELECTED ADVISERS LP,DAVIS SELECTED ADVISERS LP,3601 EAST BRITANNIA DRIVE,,TUCSON,AZ,UNITED STATES,85706-5041,1-800-279-2279,520-434-3770,2949 EAST ELVIRA ROAD,SUITE 101,TUCSON,AZ,UNITED STATES,85756-7159,Approved,1/1/1988,3/23/2010,Y,WWW.DAVISADVISORS.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,CO,UNITED STATES,51-250,0,Nov-50,0,51-250,0,Nov-50,0,101-250,0,11-25 percent,Up to 10 percent,0 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"73,134,381,110.00",0,"73,134,381,110.00",177,0,177,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y
DRO,111516,801-66615,"INTERVEST INTERNATIONAL, INC.","INTERVEST INTERNATIONAL, INC.","1980 DOMINION WAY, SUITE 202",,COLORADO SPRINGS,CO,UNITED STATES,80918,719-592-9299,719-592-9329,,,,,,,Approved,4/18/2006,3/23/2010,Y,WWW.INTERVESTINTL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SPLIT FEES FROM THIRD-PARTY MONEY MANAGERS OR RIAS,Y,"15,718,000.00","18,614,000.00","34,332,000.00",126,149,275,Y,Y,N,N,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,129764,801-62732,"EVERGREEN CAPITAL MANAGEMENT, INC.","EVERGREEN CAPITAL MANAGEMENT, INC.","5505 SOUTH 900 EAST, SUITE 105",SPORTS MALL CORPORATE PLAZA I,SALT LAKE CITY,UT,UNITED STATES,84117,801-266-4204,801-263-1764,,,,,,,Approved,2/3/2004,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"72,700,000.00",0,"72,700,000.00",51,0,51,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105391,801-26332,PHILADELPHIA INVESTMENT MANAGEMENT CO,PHILADELPHIA INVESTMENT MANAGEMENT CO,105 CLARKE AVENUE,,POCOMOKE,MD,UNITED STATES,21851,410 957-4181,410 957-4933,,,,,,,Approved,2/3/1986,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"69,536,337.00",0,"69,536,337.00",121,0,121,N,Y,N,Y,N,N,Y,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,150657,801-70330,"KEEFER PENSION CONSULTING, INC.","KEEFER PENSION CONSULTING, INC.","4640 ADMIRALTY WAY, 9TH FLOOR",,MARINA DEL REY,CA,UNITED STATES,90292,310-600-9604,310-919-3187,,,,,,,Approved,7/13/2009,3/23/2010,Y,WWW.KEEFERPENSION.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"31,761,359.00","31,761,359.00",0,30,30,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,115948,801-60941,"MIDDLETON GARDINER GROUP, LLC","MIDDLETON GARDINER GROUP, LLC",601 BALTIMORE-ANNAPOLIS BLVD,SUITE 202,SEVERNA PARK,MD,UNITED STATES,21146,410-975-0099,443-557-0862,,,,,,,Approved,2/22/2002,3/23/2010,Y,WWW.MIDDLETONGARDINERGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"97,749,480.00","774,680.00","98,524,160.00",370,3,373,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105051,801-22437,NORTHEAST INVESTMENT MANAGEMENT INC,NORTHEAST INVESTMENT MANAGEMENT INC,100 HIGH STREET,SUITE 1000,BOSTON,MA,UNITED STATES,02110-2301,888-404-1557,617-523-5412,,,,,,,Approved,10/2/1984,3/23/2010,Y,WWW.NORTHEASTINVESTORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,More than 500,"1,500",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,237,135,051.00","34,741,388.00","1,271,876,439.00","1,285",43,"1,328",N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,144878,801-69033,"DBL INVESTORS, LLC","DBL INVESTORS, LLC",ONE BUSH STREET,12TH FLOOR,SAN FRANCISCO,CA,USA,94104-4418,415-354-2867,415-986-3230,,,,,,,Approved,4/14/2008,3/23/2010,Y,WWW.DBLINVESTORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"110,000,000.00",0,"110,000,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105448,801-13878,DAVIS R M INC,DAVIS R M INC,24 CITY CENTER,,PORTLAND,ME,UNITED STATES,04101-4069,207-774-0022,207-774-0023,,,,,,,Approved,6/30/1978,3/23/2010,Y,WWW.RMDAVIS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,ME,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,More than 500,"1,500",26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,986,492,877.00","9,085,791.00","1,995,578,668.00","3,181",9,"3,190",Y,Y,N,Y,N,Y,N,N,N,N,,More than 500,1000,N,Y,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,113931,801-60606,CAZ INVESTMENTS L.P.,CAZ INVESTMENTS L.P.,ONE RIVERWAY,SUITE 2000,HOUSTON,TX,U.S.A.,77056,713-403-8250,713-403-8251,,,,,,,Approved,9/27/2001,3/23/2010,Y,WWW.CAZINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"65,000,000.00",0,"65,000,000.00",160,0,160,Y,Y,N,Y,N,N,N,N,N,Y,INVESTMENT SUPERVISORY SERVICES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107708,801-60610,"NORTHSTAR FINANCIAL PARTNERS, INC.","NORTHSTAR FINANCIAL PARTNERS, INC.",2150 BUTTERFIELD DR.,SUITE 220,TROY,MI,UNITED STATES,48084,248-290-5273,248-458-6700,,,,,,,Approved,10/2/2001,3/23/2010,Y,WWW.NSTARFP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"67,000,000.00","1,000,000.00","68,000,000.00",128,3,131,Y,Y,N,N,Y,Y,N,N,N,N,,26-50,,N,N,Y,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109420,801-57193,"GRIMES & COMPANY, INC.","GRIMES & COMPANY, INC.",110 TURNPIKE RD,SUITE 100,WESTBOROUGH,MA,UNITED STATES,1581,508-366-3883,508-366-0999,,,,,,,Approved,1/28/2000,3/23/2010,Y,WWW.GRIMESCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,More than 500,"1,500",11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"813,778,627.00",0,"813,778,627.00","1,217",0,"1,217",Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110891,801-57151,"MAJORITY ASSET MANAGEMENT, INC.","MAJORITY ASSET MANAGEMENT, INC.",3330 NOYAC ROAD,"BUILDING E, SUITE 6",SAG HARBOR,NY,UNITED STATES,11963,631-725-7755,631-725-7975,,,,,,,Approved,1/3/2000,3/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"46,321,678.00",0,"46,321,678.00",64,0,64,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,131212,801-63390,"PIER CAPITAL, LLC","PIER CAPITAL, LLC",600 SUMMER STREET,SUITE 203,STAMFORD,CT,UNITED STATES,6901,203-425-1450,203-425-1432,,,,,,,Approved,8/11/2004,3/23/2010,Y,WWW.PIERCAP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,FOUNDATIONS AND NON-PROFIT,Y,N,N,N,N,Y,N,,Y,"703,351,369.00",0,"703,351,369.00",42,0,42,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,128338,801-65053,"HIGHSIDE CAPITAL MANAGEMENT, L.P.","HIGHSIDE CAPITAL MANAGEMENT, L.P.","100 CRESCENT COURT, SUITE 860",,DALLAS,TX,UNITED STATES,75201,214-855-2300,214-855-2301,,,,,,,Approved,1/6/2006,3/23/2010,Y,WWW.HIGHSIDE.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,469,494,000.00",0,"2,469,494,000.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR INVESTMENT PARTNERSHIPS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,23131,801-54859,"ROYAL ALLIANCE ASSOCIATES, INC.","ROYAL ALLIANCE ASSOCIATES, INC.",ONE WORLD FINANCIAL CENTER,15TH FLOOR,NEW YORK,NY,UNITED STATES,10281,800-821-5100 EXT. 5389,212-551-5377,,,,,,,Approved,9/10/1997,7/27/2010,Y,WWW.ROYALALLIANCE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,501-1000,0,501-1000,0,501-1000,0,10-Jun,0,More than 500,"6,000",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"167,827,266.00","1,180,847,675.00","1,348,674,941.00","1,345","7,018","8,363",Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,Y,Y,Y,N,N,N,Y,N,N,,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,Y,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,Y,Y,Y,N
FWRO,146148,801-68724,"FROST INVESTMENT ADVISORS, LLC","FROST INVESTMENT ADVISORS, LLC",100 WEST HOUSTON STREET,,SAN ANTONIO,TX,UNITED STATES,78205,210-220-6102,210-220-4058,P.O. BOX 2509,,SAN ANTONIO,TX,UNITED STATES,78299-2509,Approved,1/25/2008,7/27/2010,Y,WWW.FROSTBANK.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,51-75 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"5,919,963,697.00","771,089,625.00","6,691,053,322.00",28,1,29,N,Y,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107844,801-52499,ANDERSON ROXANNE FIE,ANDERSON ROXANNE FIE,,,,,,,303-948-2313,303-948-2419,,,,,,,Approved,7/25/1996,1/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,More than 75 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,Y,0,"69,477,353.00","69,477,353.00",0,13,13,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,30833,801-56882,"CENTAURUS FINANCIAL, INC.","CENTAURUS FINANCIAL, INC.",2300 EAST KATELLA,SUITE 200,ANAHEIM,CA,USA,92806,714-456-1790,714-456-1799,,,,,,,Approved,10/8/1999,7/27/2010,Y,WWW.CENTAURUSFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"6,000",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"5,500,000.00","280,000,000.00","285,500,000.00",30,"2,000","2,030",Y,Y,N,Y,Y,Y,N,N,Y,N,,251-500,,Y,Y,Y,Y,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
HQ,140500,801-66876,NIPPON VALUE INVESTORS,NIPPON VALUE INVESTORS KK,"3RD FLOOR, OMORI-BULIDING",2-2-2 KANDA TSUKASAMACHI CHIYODA-KU,TOKYO,,JAPAN,101-0048,011-813-5289-0970,011-813-5289-0980,,,,,,,Approved,6/22/2006,7/28/2010,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,JAPAN,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"404,178,510.00",0,"404,178,510.00",3,0,3,N,Y,N,Y,N,N,N,N,N,Y,RESEARCH OF JAPANESE EQUITY SECURITIES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,125243,801-62730,WIMMER ASSOCIATES LLC,"WIMMER ASSOCIATES I, LLC",350 WEST COLORADO BOULEVARD,SUITE 200,PASADENA,CA,UNITED STATES,91105-1855,626-683-3150,626-683-3188,,,,,,,Approved,1/22/2004,1/28/2010,Y,WWW.WIMMERASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"133,737,000.00","11,362,000.00","145,099,000.00",174,183,357,N,Y,N,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105201,801-35497,PANAGORA ASSET MANAGEMENT INC,PANAGORA ASSET MANAGEMENT INC,470 ATLANTIC AVENUE,8TH FLOOR,BOSTON,MA,UNITED STATES,2210,617-439-6300,617-439-6355,,,,,,,Approved,11/9/1989,7/28/2010,Y,HTTPS:\\WWW.PANAGORA.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,10-Jun,0,5-Jan,0,101-250,0,0 percent,Up to 10 percent,0 percent,26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"15,216,666,471.00","867,234,221.00","16,083,900,692.00",132,3,135,N,Y,Y,Y,N,N,N,N,N,Y,ASSET ALLOCATION SERVICES,,,N,N,N,N,Y,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
MIRO,108552,801-56951,THE HERZFELD GROUP,HERZFELD GROUP INC,1715 EAST BAY DRIVE,SUITE C,LARGO,FL,UNITED STATES,33771,727-587-0009,727-586-0100,,,,,,,Approved,11/5/1999,7/28/2010,Y,WWW.HERZFELD.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"43,000,000.00",0,"43,000,000.00",350,0,350,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
ARO,111715,801-27629,"MORGAN ASSET MANAGEMENT, INC.","MORGAN ASSET MANAGEMENT, INC.",1901 6TH AVENUE NORTH,FOURTH FLOOR,BIRMINGHAM,AL,UNITED STATES,35203,205-326-7825,205-326-7767,,,,,,,Approved,8/15/1986,7/28/2010,Y,WWW.REGIONS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,51-250,0,51-250,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,26-50 percent,11-25 percent,TRUSTS,Y,N,N,Y,N,N,Y,REGIONS MK TRUST DIV. COMPENSATES MORGAN ASSET MGMT FOR SERVICES,Y,"24,047,250,011.00","41,485,327,000.00","65,532,577,011.00",5,1,6,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N
NYRO,107835,801-13068,"J.W.BURNS & COMPANY, INC.",BURNS J W & CO INC,GLACIER CREEK OFFICE PARK,"6711 TOWPATH ROAD, STE. 200",EAST SYRACUSE,NY,UNITED STATES,13057,315-449-1341,315-449-1349,,,,,,,Approved,5/9/1977,7/28/2010,Y,WWW.JWBURNS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"249,462,972.00","5,912,625.00","255,375,597.00",792,6,798,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,137463,801-64791,CONSULTNG GROUP ADVISORY SERVICES LLC,CONSULTNG GROUP ADVISORY SERVICES LLC,222 DELAWARE AVENUE,,WILMINGTON,DE,UNITED STATES,19801,914-225-7307,,,,,,,,Approved,11/29/2005,7/28/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"6,637,276,597.00",0,"6,637,276,597.00",11,0,11,N,N,Y,N,N,Y,N,N,N,Y,ASSET ALLOCATION ADVICE,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,N,Y
ARO,110397,801-16306,ZWJ INVESTMENT COUNSEL INC,ZWJ INVESTMENT COUNSEL INC,75 14TH STREET NE,SUITE 2900,ATLANTA,GA,UNITED STATES,30309-7604,404-873-2211,404-873-6424,,,,,,,Approved,8/10/1981,3/26/2009,Y,ZWJIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,10-Jun,0,More than 500,"1,000",26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"743,375,773.00","25,704,573.00","769,080,346.00","1,105",2,"1,107",N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110398,801-44161,"NORTON CAPITAL MANAGEMENT, INC.","NORTON CAPITAL MANAGEMENT, INC.",999 WATERSIDE DR. STE 2206,,NORFOLK,VA,UNITED STATES,23510-3326,(757)623-1200,(757)623-1100,,,,,,,Approved,6/18/1993,7/28/2010,Y,WWW.NORTONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,FLAT FEES,Y,"52,851,361.00",0,"52,851,361.00",296,0,296,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111297,801-58266,CLIFTON GUNDERSON WEALTH MANAGEMENT,CLIFTON GUNDERSON FINANCIAL ADVISORS L.L.C.,8215 GREENWAY BLVD.,SUITE 600,MIDDLETON,WI,UNITED STATES,53562,608.662.8600,608.662.9142,,,,,,,Approved,1/23/2001,7/28/2010,Y,WWW.CLIFTONFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"1,500",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"600,187,640.00",0,"600,187,640.00","2,440",0,"2,440",Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106247,801-44471,"DOLIVER CAPITAL ADVISORS, L.P.","DOLIVER CAPITAL ADVISORS, L.P.",6363 WOODWAY,SUITE 963,HOUSTON,TX,UNITED STATES,77057,713-917-0022,713-917-0033,,,,,,,Approved,8/11/1993,1/28/2010,Y,WWW.DOLIVERADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"170,000,000.00",0,"170,000,000.00",270,0,270,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,140552,801-66744,"HUDSON VALLEY INVESTMENT ADVISORS, LLC","HUDSON VALLEY INVESTMENT ADVISORS, LLC",117 GRAND STREET SUITE 201,,GOSHEN,NY,UNITED STATES,10924,845-294-6127,845-294-1438,PO BOX 268,,GOSHEN,NY,UNITED STATES,10924,Approved,5/16/2006,7/28/2010,Y,WWW.HVIAONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,11-25 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"288,179,706.00","920,601.00","289,100,307.00",947,3,950,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110076,801-55699,SANDS BROTHERS ASSET MANAGEMENT LLC,SANDS BROTHERS ASSET MANAGEMENT LLC,15 VALLEY DR,,GREENWICH,CT,UNITED STATES,6831,203-661-7500,203-661-6500,,,,,,,Approved,7/13/1998,7/28/2010,Y,WWW.SANDSBROS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"95,340,474.00",0,"95,340,474.00",14,0,14,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,N,Y,N,N,N,N
CHRO,28289,801-68763,"WORLD TREND FINANCIAL PLANNING SERVICES, LTD.","WORLD TREND FINANCIAL PLANNING SERVICES, LTD.",210 2ND STREET SE SUITE 400,,CEDAR RAPIDS,IA,USA,52401,319-364-3041,319-364-4296,,,,,,,Approved,2/14/2008,1/28/2010,Y,WWW.REALFINANCIALSTRATEGIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"80,000,000.00","80,000,000.00",0,75,75,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,Y,Y,N,N,Y,N,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
DRO,115207,801-60554,PEAK FINANCIAL ADVISORS,"PEAK FINANCIAL ADVISORS, LLC",50 SOUTH STEELE STREET,SUITE 435,DENVER,CO,UNITED STATES,80209,303-316-2799,303-316-7726,,,,,,,Approved,9/10/2001,1/28/2010,Y,WWW.PEAKFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"61,356,667.00","592,423.00","61,949,090.00",345,2,347,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,149842,801-70136,"ALPHA OMEGA WEALTH MANAGEMENT, LLC","ALPHA OMEGA WEALTH MANAGEMENT, LLC",7202 GLEN FOREST DRIVE; SUITE 300,,RICHMOND,VA,UNITED STATES,23226,804-955-1600,804-955-1616,,,,,,,Approved,4/21/2009,1/28/2010,Y,WWW.AOWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,WRAP FEES,Y,"62,250,134.00","55,002,736.00","117,252,870.00",285,63,348,Y,Y,N,N,Y,N,N,N,N,N,,0,,Y,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,154399,801-71681,MEGA TRAKKER ENDOWMENTS,"HANES, MORGAN & COMPANY",,,,,,,516-813-9900,206-984-4602,,,,,,,120-Day Approval,7/29/2010,7/28/2010,Y,HTTP://MEGATRAKKER.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,SECURITIES TRADING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,104556,801-29892,"H.D. VEST ADVISORY SERVICES, INC","H.D. VEST ADVISORY SERVICES, INC",6333 NORTH STATE HIGHWAY 161,4TH FLOOR,IRVING,TX,UNITED STATES,75038,972-870-6000,972-870-6128,,,,,,,Approved,9/20/1987,7/28/2010,Y,WWW.HDVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,More than 1000,"2,000",More than 1000,"2,000",More than 1000,"2,000",Nov-50,0,More than 500,"25,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"1,646,293,770.00","3,451,602,124.00","5,097,895,894.00","12,558","23,720","36,278",Y,Y,N,N,N,Y,N,N,N,N,,101-250,,Y,Y,Y,N,N,N,Y,N,N,,N,,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,N,N,,N,N,Y,N,Y,Y,Y,N,Y,Y,Y,Y,N,Y,Y,N,Y,N,Y,Y,N,Y,N,Y,N
PLRO,105138,801-34612,FEDERATED INVESTMENT MANAGEMENT COMPANY,FEDERATED INVESTMENT MANAGEMENT COMPANY,FEDERATED INVESTORS TOWER,1001 LIBERTY AVENUE,PITTSBURGH,PA,UNITED STATES,15222-3779,(412) 288-1900,(412) 288-3939,,,,,,,Approved,6/12/1989,7/28/2010,Y,FEDERATEDINVESTORS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),STATUTORY TRUST,DE,UNITED STATES,51-250,0,51-250,0,0,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,ADDITIONAL FEES BASED ON GROSS INCOME.,Y,"287,200,091,762.00",0,"287,200,091,762.00",109,0,109,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
SFRO,115970,801-60935,"HALLETT & ASSOCIATES, P.S.","HALLETT & ASSOCIATES, P.S.",321 EAST FIRST STREET,P.O. BOX 3050,PORT ANGELES,WA,USA,98362-0338,360-457-6000,360-457-6030,321 EAST FIRST STREET,P. O. BOX 3050,PORT ANGELES,WA,USA,98362-0338,Approved,2/22/2002,7/28/2010,Y,WWW.HALLETTADVISORS.US,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"1,650,000.00","48,280,064.00","49,930,064.00",11,302,313,Y,Y,N,N,N,Y,N,N,N,Y,CONSULTATION SERVICES,51-100,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106327,801-36692,MCS FINANCIAL ADVISORS,MCS FINANCIAL ADVISORS LLC,360 EAST 10TH AVENUE,SUITE 200,EUGENE,OR,UNITED STATES,97401-3273,541-345-7023,541-345-9871,,,,,,,Approved,5/31/1990,1/28/2010,Y,WWW.MCSFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"128,268,887.00",0,"128,268,887.00",191,0,191,Y,Y,N,Y,N,N,N,N,N,Y,FAMILY BUSINESS AND FAMILY WEALTH COUNSELING,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,145467,801-68528,"WHITLEY PENN FINANCIAL, L.L.P.","WHITLEY PENN FINANCIAL, L.L.P.","1400 WEST 7TH STREET, SUITE 400",,FORT WORTH,TX,UNITED STATES,76102,817-259-9160,817-259-9101,,,,,,,Approved,1/2/2008,7/28/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"108,000,000.00","11,000,000.00","119,000,000.00",367,446,813,Y,Y,N,Y,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,128611,801-62500,FEDERATED ADVISORY SERVICES COMPANY,FEDERATED ADVISORY SERVICES COMPANY,FEDERATED INVESTORS TOWER,1001 LIBERTY AVENUE,PITTSBURGH,PA,UNITED STATES,15222-3779,(412) 288-1900,(412) 288-3939,,,,,,,Approved,11/28/2003,7/28/2010,Y,FEDERATEDINVESTORS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Other (specify),STATUTORY TRUST,DE,UNITED STATES,51-250,0,51-250,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,REGISTERED INVESTMENT ADVISERS,N,N,N,N,N,N,Y,COST PLUS MARGIN,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,"EQUITY TRADING AND TRANSACTION SETTLEMENT, AND FUNDAMENTAL AND QUANTITATIVE ANALYSIS.",,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111203,801-60216,DBA FAMILY WEALTH LEADERSHIP,"ADVANTAGE ASSET MANAGEMENT, INC.","2 VENTURE, SUITE 240",,IRVINE,CA,UNITED STATES,92618,949-468-2000,949-468-2020,,,,,,,Approved,5/4/2001,1/28/2010,Y,WWW.FAMILYWEALTHLEADERSHIP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"25,000,000.00","25,000,000.00",0,175,175,Y,Y,N,N,N,Y,Y,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,Y,"LPS, REITS, TAX CREDITS, PRIVATE EQUITY, LOANS",Y,Y,Y,N,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108012,801-57910,KENSINGTON INVESTMENT COUNSEL,KENSINGTON INVESTMENT COUNSEL,444 W. OCEAN BLVD.,SUITE 1401,LONG BEACH,CA,UNITED STATES,90802,562-983-6677,562-983-6673,,,,,,,Approved,1/16/2004,1/28/2010,Y,WWW.KENSINGTONIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"36,358,308.00",0,"36,358,308.00",61,0,61,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,128610,801-62501,FEDERATED EQUITY MANAGEMENT COMPANY OF PENNSYLVANIA,FEDERATED EQUITY MANAGEMENT COMPANY OF PENNSYLVANIA,FEDERATED INVESTORS TOWER,1001 LIBERTY AVENUE,PITTSBURGH,PA,UNITED STATES,15222-3779,(412) 288-1900,(412) 288-3939,,,,,,,Approved,11/28/2003,7/28/2010,Y,FEDERATEDINVESTORS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),STATUTORY TRUST,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"14,061,298,491.00",0,"14,061,298,491.00",26,0,26,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,104915,801-30262,"AARON FLECK & ASSOCIATES, LLC",AARON FLECK & ASSOCIATES LLC,12121 WILSHIRE BLVD.,SUITE 1001,LOS ANGELES,CA,UNITED STATES,90025,310-526-3228,310-571-0755,,,,,,,Approved,9/11/1987,11/14/2008,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"31,000,000.00",0,"31,000,000.00",48,0,48,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,136433,801-68319,"INSPHERE SECURITIES, INC.","INSPHERE SECURITIES, INC.",150 SOCIAL HALL AVE.,SUITE 675,SALT LAKE CITY,UT,UNITED STATES,84111,800-278-1103,800-615-2060,PO BOX 3510,,SALT LAKE CITY,UT,UNITED STATES,84110-3510,Approved,9/12/2007,7/28/2010,Y,WWW.INSPHEREIS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,Nov-50,0,Nov-50,0,51-250,0,Nov-50,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"41,293,212.00","41,293,212.00",0,285,285,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTING ON INVESTMENTS AND NON SECURITIES MATTERS,25-Nov,,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
DRO,14559,801-67301,GILL CAPITAL PARTNERS,GILL CAPITAL PARTNERS,600 S. CHERRY ST.,SUITE 800,DENVER,CO,USA,80246-1710,303-296-6260,303-296-6213,,,,,,,Approved,12/15/2006,7/28/2010,Y,WWW.GILLINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,0,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"80,564,283.00","36,869,145.00","117,433,428.00",472,19,491,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,Y,N,N,,N,Y,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N
PLRO,106088,801-38204,ROBBINS WEALTH MANAGEMENT,ROBBINS FINANCIAL ADVISORY SERVICE INC,3939 WEST RIDGE ROAD,SUITE C2,ERIE,PA,UNITED STATES,16506-1887,814-838-4185,814-838-2268,,,,,,,Approved,1/31/1991,7/28/2010,Y,WWW.INVESTRWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"2,033,244.00","77,404,591.00","79,437,835.00",3,200,203,Y,Y,N,Y,N,N,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,148221,801-69561,ROSEMAN WAGNER WEALTH MANAGEMENT,"RWWM, INC.","3260 PENRYN RD, STE. 100",,LOOMIS,CA,UNITED STATES,95650,(888) 552-1524,,,,,,,,Approved,9/16/2008,1/28/2010,Y,WWW.ROSEMANWAGNER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"86,357,395.00",0,"86,357,395.00",435,0,435,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,Y,MORTGAGE LOANS,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109271,801-58077,WOODLAND LEISHMAN & ASSOCIATES,WOODLAND LEISHMAN & ASSOCIATES,5075 S. BRADLEY ROAD,SUITE 234,SANTA MARIA,CA,USA,93455,805-937-4556,805-934-5257,,,,,,,Approved,11/8/2000,1/28/2010,Y,WWW.WOODLANDLEISHMAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"36,077,832.00",0,"36,077,832.00",124,0,124,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,125410,801-61905,RICE HALL JAMES & ASSOCIATES LLC,RICE HALL JAMES & ASSOCIATES LLC,600 WEST BROADWAY SUITE 1000,,SAN DIEGO,CA,UNITED STATES,92101-3383,619-239-9005,619-239-6034,,,,,,,Approved,2/13/2003,7/28/2010,Y,WWW.RICEHALLJAMES.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,251-500,0,11-25 percent,Up to 10 percent,0 percent,11-25 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,SUB-ADVISORY CLIENTS,Y,N,N,Y,N,Y,N,,Y,"1,203,218,265.00",0,"1,203,218,265.00",292,0,292,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109587,801-56239,CASTLEARK MANAGEMENT LLC,CASTLEARK MANAGEMENT LLC,"1 N. WACKER DRIVE, SUITE 3950",,CHICAGO,IL,USA,60606,312-456-9682,312-456-9690,,,,,,,Approved,2/4/1999,1/28/2010,Y,WWW.CASTLEARK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,418,260,000.00",0,"2,418,260,000.00",230,0,230,N,Y,N,Y,N,N,N,N,N,N,,251-500,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111962,801-69356,"STERLING FINANCIAL ADVISORS, LLC","STERLING FINANCIAL ADVISORS, LLC",1330 BROADCASTING ROAD,,WYOMISSING,PA,USA,19610-6008,610-376-9561,610-898-8159,PO BOX 6321,,WYOMISSING,PA,USA,19619-6008,Approved,7/8/2008,3/16/2010,Y,WWW.STERLINGFN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"70,617,992.00","70,617,992.00",0,362,362,Y,Y,N,Y,Y,N,N,N,N,Y,CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,131423,801-63211,"ASCENT CAPITAL MANAGEMENT, LLC","ASCENT CAPITAL MANAGEMENT, LLC",975 SW COLORADO,SUITE 200,BEND,OR,USA,97702,541-382-4847,541-388-1124,,,,,,,Approved,6/1/2004,3/16/2010,Y,WWW.ASCENTCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"102,000,000.00","2,500,000.00","104,500,000.00",651,12,663,Y,Y,N,N,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,108516,801-47894,INTREPID CAPITAL MANAGEMENT INC,INTREPID CAPITAL MANAGEMENT INC,1400 MARSH LANDING PARKWAY STE 106,,JACKSONVILLE BEACH,FL,UNITED STATES,32250,904-246-3433,904-246-3533,,,,,,,Approved,11/28/1994,3/16/2010,Y,WWW.INTREPIDCAPITAL.NET,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"629,346,207.00","1,900,000.00","631,246,207.00",152,10,162,Y,Y,Y,Y,N,N,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111304,801-60139,"ROUND TABLE SERVICES, LLC","ROUND TABLE SERVICES, LLC",319 LENOX AVE.,,WESTFIELD,NJ,UNITED STATES,7090,908-789-7310,908-789-7312,,,,,,,Approved,4/2/2001,3/16/2010,Y,WWW.ROUNDTABLESERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"470,952,502.00","264,502,247.00","735,454,749.00",510,56,566,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110279,801-49137,FORTRESS WEALTH MANAGEMENT INC,FORTRESS WEALTH MANAGEMENT INC,2010 CROW CANYON PLACE,SUITE 100,SAN RAMON,CA,UNITED STATES,94583-4940,925-277-3446,925-277-3447,,,,,,,Approved,5/11/1995,3/16/2010,Y,WWW.FORTRESSRETIREMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"36,832,575.00","3,339,731.00","40,172,306.00",116,69,185,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109519,801-57596,SEQUOIA PLANNING & INVESTMENTS LLC,SEQUOIA PLANNING & INVESTMENTS LLC,1333 NORTH CALIFORNIA BLVD.,SUITE 340,WALNUT CREEK,CA,USA,94596,(925) 934-8200,(925) 934-8210,,,,,,,Approved,5/17/2000,3/16/2010,Y,WWW.SEQUOIAPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"8,118,318.00","118,731,524.00","126,849,842.00",3,56,59,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,141223,801-67422,"SUSAN A. NESTOR, P.C.","SUSAN A. NESTOR, P.C.",9600 SW CAPITOL HWY,SUITE 100,PORTLAND,OR,UNITED STATES,97219,503-245-8090,503-245-9098,,,,,,,Approved,1/9/2007,3/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"32,640,344.00","32,640,344.00",0,230,230,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,132773,801-63646,ADAR INVESTMENT MANAGEMENT LLC,ADAR INVESTMENT MANAGEMENT LLC,156 WEST 56TH STREET,SUITE 801,NEW YORK,NY,UNITED STATES,10019,212-373-8900,212-373-8901,,,,,,,Approved,12/1/2004,3/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"193,300,000.00",0,"193,300,000.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,133038,801-64431,"ALLEN WEALTH MANAGEMENT, LLC","ALLEN WEALTH MANAGEMENT, LLC",980 HIGHWAY 105,,BOONE,NC,USA,28607,828-268-9693,828-268-9694,PO BOX 1508,,BOONE,NC,,28607,Approved,6/20/2005,3/16/2010,Y,WWW.ALLENWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,CHARITABLE ENDOWMENTS,Y,Y,N,N,N,N,N,,Y,0,"73,702,193.00","73,702,193.00",0,336,336,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,18322,801-34246,"BECKER, BURKE ASSOCIATES, INC.","BECKER, BURKE ASSOCIATES, INC.",225 WEST WACKER DRIVE,SUITE 400,CHICAGO,IL,UNITED STATES,60606,312-782-5665,312-782-6904,,,,,,,Approved,4/14/1989,3/16/2010,Y,WWW.BECKERBURKE.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,Up to 10 percent,11-25 percent,11-25 percent,26-50 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,Y,FINANCIAL CONSULTANT,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,132967,801-63545,CAPITAL ROYALTY L.P.,CAPITAL ROYALTY L.P.,"1000 MAIN STREET, SUITE 2500",,HOUSTON,TX,USA,77002,713-209-7350,713-209-7351,,,,,,,Approved,10/1/2004,3/16/2010,Y,WWW.CAPITALROYALTY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,PRIVATE EQUITY FUNDS,Y,N,N,N,N,N,N,,Y,"325,000,000.00",0,"325,000,000.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,INVESTMENT MANAGER TO ONE OR MORE PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,148428,801-69612,"COHEN KLINGENSTEIN, LLC","COHEN KLINGENSTEIN, LLC",355 WEST 52ND STREET,5TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-757-0235,212-757-0293,355 WEST 52ND STREET,5TH FLOOR,NEW YORK,NY,UNITED STATES,10019,Approved,9/23/2008,3/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"228,871,199.00",0,"228,871,199.00",50,0,50,N,Y,N,Y,N,N,N,N,N,Y,CK LLC ADVISES TWO PRIVATELY PLACED FUNDS: BROAD STREET LP AND SHELTERED GROWTH FUND LLC.,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,39163,801-60354,GIRARD PARTNERS LTD.,GIRARD PARTNERS LTD.,555 CROTON  ROAD,SUITE 210,KING OF PRUSSIA,PA,UNITED STATES,19406,610-337-7640,610-337-7644,,,,,,,Approved,6/14/2001,3/16/2010,Y,WWW.GIRARDPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"214,034,720.00",0,"214,034,720.00","1,401",0,"1,401",Y,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR CHARITABLE ORGANIZATIONS,10-Jan,,N,N,Y,N,N,N,Y,N,N,,N,N,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,139101,801-68781,GLOBAL WEALTH ADVISORS LLC,GLOBAL WEALTH ADVISORS LLC,200 EAST BIG BEAVER ROAD,,TROY,MI,UNITED STATES,48083-1208,248-457-4555,248-457-4556,,,,,,,Approved,2/7/2008,3/16/2010,Y,WWW.GWALLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"35,406,626.00",0,"35,406,626.00",147,0,147,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,145884,801-68630,HANA ROAD CAPITAL LLC,HANA ROAD CAPITAL LLC,1420 FIFTH AVENUE,SUITE 1750,SEATTLE,WA,UNITED STATES,98101,206-223-8550,206-223-8551,,,,,,,Approved,12/18/2007,3/16/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"25,433,601.00",0,"25,433,601.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112175,801-42158,LPC REALTY ADVISORS I LTD,LPC REALTY ADVISORS I LTD,"120 NORTH LA SALLE, SUITE 1750",,CHICAGO,IL,UNITED STATES,60602,312-345-8780,312-345-8760,2000 MCKINNEY AVENUE,SUITE 1000,DALLAS,TX,UNITED STATES,75201,Approved,8/19/1992,3/16/2010,N,,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,Y,ACQUISITION FEE,Y,0,"556,484,356.00","556,484,356.00",0,1,1,N,N,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106721,801-52308,WELCH CAPITAL PARTNERS LLC,WELCH CAPITAL PARTNERS LLC,"600 LEXINGTON AVENUE, 31ST FL",,NEW YORK,NY,UNITED STATES,10022,212-754-6077,212-754-6495,,,,,,,Approved,7/1/1996,3/16/2010,Y,WWW.WELCHCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"322,535,000.00",0,"322,535,000.00",43,0,43,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,132374,801-63756,"HARDT GROUP ADVISORS, INC.","HARDT GROUP ADVISORS, INC.",99 PARK AVENUE,SUITE 1550,NEW YORK,NY,UNITED STATES,10016-1601,(212) 523-0212,(212) 523-0214,,,,,,,Approved,1/3/2005,3/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,RECEIVES PORTION OF CLIENT'S ASSETS UNDER MANAGEMENT,Y,0,"425,482,086.00","425,482,086.00",0,11,11,N,N,N,N,N,Y,N,N,N,Y,SELECT HEDGE FUNDS ON BEHALF OF CLIENT ACCOUNTS; PROVIDE HEDGING OVERLAYS,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,115577,801-69066,"TURK CAPITAL MANAGEMENT, INC.","TURK CAPITAL MANAGEMENT, INC.",,,,,,,703-481-3401,703-481-3409,,,,,,,Approved,4/23/2008,3/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,057,158.00",0,"34,057,158.00",92,0,92,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,146569,801-69114,"INTEGRAL INVESTMENT ADVISORS, INC.","INTEGRAL INVESTMENT ADVISORS, INC.",1111 I STREET,SUITE 304,MODESTO,CA,UNITED STATES,95354,209-338-5570,209-338-5575,,,,,,,Approved,5/7/2008,3/16/2010,Y,WWW.2IADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"18,898,933.00","59,396,010.00","78,294,943.00",76,257,333,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,119167,801-60927,"C.S. MCKEE, L.P.","C.S. MCKEE, L.P.",ONE GATEWAY CENTER,8TH FLOOR,PITTSBURGH,PA,UNITED STATES,15222,412-566-1234,412-566-1548,,,,,,,Approved,1/10/2002,3/26/2010,Y,WWW.CSMCKEE.COM,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,PA,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,251-500,0,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,11-25 percent,51-75 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"8,211,379,060.00","951,459,256.00","9,162,838,316.00",444,35,479,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,Y,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,147536,801-70689,"GREENSPRING ASSOCIATES, INC.","GREENSPRING ASSOCIATES, INC.",100 PAINTERS MILL ROAD,SUITE 700,OWINGS MILLS,MD,UNITED STATES,21117,410-363-2725,410-363-9075,,,,,,,Approved,10/14/2009,3/26/2010,Y,WWW.MONTAGUNEWHALL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,431,065,536.00","24,263,857.00","1,455,329,393.00",22,2,24,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,107376,801-53319,"TRANSAMERICA ASSET MANAGEMENT, INC.","TRANSAMERICA ASSET MANAGEMENT, INC.",570 CARILLON PKWY,,ST PETERSBURG,FL,UNITED STATES,33716,727-299-1800,727-299-1832,,,,,,,Approved,12/31/1996,3/26/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"43,476,738,957.00",0,"43,476,738,957.00",163,0,163,N,N,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112108,801-58297,"HART CAPITAL MANAGEMENT, INC.","CWH CAPITAL MANAGEMENT, INC.","W.601 MAIN AVENUE, SUITE 1214",,SPOKANE,WA,UNITED STATES,99201,509-444-7007,509-444-7441,,,,,,,Approved,1/25/2001,3/26/2010,Y,WWW.HARTCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"111,395,674.00","6,368,389.00","117,764,063.00",419,5,424,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,125095,801-63309,"BOULEGERIS INVESTMENTS, INC.","BOULEGERIS INVESTMENTS, INC.",3340 PEACHTREE RD. NE,SUITE 1800,ATLANTA,GA,UNITED STATES,30326-1081,404-812-5386,404-812-5385,,,,,,,Approved,6/30/2004,3/26/2010,Y,WWW.BOULEGERIS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"64,724,971.00",0,"64,724,971.00",56,0,56,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,113820,801-61078,LOFTUS INVESTMENT ADVISORS,BETTY RAE LOFTUS,11344 COLOMA ROAD,SUITE 525,GOLD RIVER,CA,USA,95670,916-858-8525,916-858-8528,,,,,,,Approved,4/15/2002,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"54,000,000.00","54,000,000.00",0,80,80,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,124446,801-67970,"J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC","J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC",ONE BUCKHEAD PLAZA,"3060 PEACHTREE ROAD NW, 11TH FLOOR",ATLANTA,GA,UNITED STATES,30305,404-479-8300,800-833-1329,,,,,,,Approved,6/27/2007,3/26/2010,Y,WWW.JPTURNERCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,51-250,0,51-250,0,51-250,0,Nov-50,0,More than 500,"1,271",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"50,807,941.00","110,089,586.00","160,897,527.00",269,"1,002","1,271",Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
LARO,108016,801-54251,PATHWAY CAPITAL MANAGEMENT LLC,PATHWAY CAPITAL MANAGEMENT LLC,2211 MICHELSON,NINTH FLOOR,IRVINE,CA,UNITED STATES,92612,949-622-1000,949-622-1010,,,,,,,Approved,4/11/1997,3/26/2010,Y,PATHWAYCAPITAL.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"8,813,433,710.00","979,069,161.00","9,792,502,871.00",43,7,50,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109335,801-57250,ARLINGTON PARTNERS LLC,ARLINGTON PARTNERS LLC,THE JOHN HAND BUILDING,"2000 MORRIS AVENUE, SUITE 1300",BIRMINGHAM,AL,UNITED STATES,35203,205.488.4300,205.488.4310,,,,,,,Approved,2/8/2000,3/26/2010,Y,WWW.ARLINGTONPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AL,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,Y,PERCENTAGE OF ASSETS UNDER ADVISEMENT,Y,"552,706,079.00","930,097,923.00","1,482,804,002.00",651,149,800,Y,Y,N,Y,N,Y,N,N,N,Y,FAMILY OFFICE & CONSULTING SERVICES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,120011,801-61016,KEY INVESTMENT TEAM,KEY INVESTMENT TEAM,16830 VENTURA BLVD,STE 224,ENCINO,CA,UNITED STATES,91436,818-205-1013,818-205-1017,,,,,,,Approved,4/2/2002,3/26/2010,Y,WWW.KEYINVESTMENTTEAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"41,773,938.00","2,944,038.00","44,717,976.00",483,264,747,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,113563,801-67637,QUANTUM FINANCIAL ADVISORS INC,QUANTUM FINANCIAL ADVISORS INC,"1633 Q. STREET, NW",SUITE 230,WASHINGTON,DC,USA,20009,"202 955 9201, 202 332 3566",202 955 9204,9710 TRAVILLE GATEWAY DRIVE,# 236,ROCKVILLE,MD,USA,20850,Approved,3/23/2007,3/26/2010,Y,WWW.MYSPACE.COM/QUANTUMFINANCIALADVISORS,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,FINANCIAL PLANNING FEE,Y,"31,121,000.00",0,"31,121,000.00",273,0,273,Y,Y,N,Y,Y,N,N,N,N,Y,"STRUCTRD FINANCE, MORTG FINANCE RISK MGMT, TAX REVIEW,VALUATN OF SECUITIES(PUBLIC+ PRIV)&CONTRACTOR W/FOR FDIC OR INDIVD BANKS",25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,109341,801-56979,CAPSTONE FINANCIAL ADVISORS INC,CAPSTONE FINANCIAL ADVISORS INC,"2001 BUTTERFIELD ROAD, STE 1750",,DOWNERS GROVE,IL,UNITED STATES,60515,630-241-0833,630-241-0834,,,,,,,Approved,11/16/1999,3/26/2010,Y,WWW.CAPSTONE-ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"533,276,852.00",0,"533,276,852.00",223,0,223,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,146597,801-68979,AVIANCE CAPITAL PARTNERS LLC,AVIANCE CAPITAL PARTNERS LLC,"2180 IMMOKALEE ROAD, #301",,NAPLES,FL,UNITED STATES,34110-1407,239-598-4747,239-598-4244,,,,,,,Approved,3/25/2008,3/26/2010,Y,WWW.AVIANCECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"146,000,000.00","16,000,000.00","162,000,000.00",150,32,182,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,142618,801-68456,"THE WEALTH COLLABORATIVE, INC.","THE WEALTH COLLABORATIVE, INC.",21550 OXNARD STREET,SUITE 990,WOODLAND HILLS,CA,UNITED STATES,91367,818-444-7980,818-444-7985,,,,,,,Approved,10/24/2007,3/26/2010,Y,WWW.THEWEALTHCOLLABORATIVE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"242,277,560.00","396,389.00","242,673,949.00",309,3,312,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109396,801-57721,"SENTINEL ASSET MANAGEMENT, INC.","SENTINEL ASSET MANAGEMENT, INC.",ONE NATIONAL LIFE DRIVE,,MONTPELIER,VT,UNITED STATES,5604,800-282-3863,802-229-3743,,,,,,,Approved,7/11/2000,3/26/2010,N,,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,VT,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,0 percent,11-25 percent,26-50 percent,11-25 percent,0 percent,,Y,N,N,N,N,N,Y,AT NO FEE TO AN AFFILIATE,Y,"21,783,100,000.00",0,"21,783,100,000.00",29,0,29,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,112915,801-60294,"HADRIAN PARTNERS, LTD.","HADRIAN PARTNERS, LTD.",717 FIFTH AVENUE,9TH FLOOR,NEW YORK,NY,USA,10022,212-935-3175,212-935-4093,,,,,,,Approved,5/21/2001,3/26/2010,Y,WWW.HADRIANPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,Y,Y,N,Y,N,,Y,"27,129,134.00",0,"27,129,134.00",3,0,3,N,Y,N,Y,N,Y,Y,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,121003,801-67685,"EK RILEY INVESTMENTS, LLC","EK RILEY INVESTMENTS, LLC",1201 THIRD AVENUE,SUITE 5300,SEATTLE,WA,UNITED STATES,98101,206-832-1520,206-832-1527,,,,,,,Approved,4/18/2007,3/26/2010,Y,WWW.EKRILEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,51-250,0,10-Jun,0,10-Jun,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"29,225,478.00","4,538,247.00","33,763,725.00",66,10,76,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,Y,Y,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
SFRO,133620,801-63761,"NORTHGATE CAPITAL, LLC","NORTHGATE CAPITAL, LLC",649 SAN RAMON VALLEY BLVD,,DANVILLE,CA,UNITED STATES,94526,925-820-9970,925-820-9994,,,,,,,Approved,12/17/2004,3/26/2010,Y,WWW.NORTHGATE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,813,271,555.00",0,"1,813,271,555.00",32,0,32,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105562,801-17866,MCDONALD CAPITAL INVESTORS INC,MCDONALD CAPITAL INVESTORS INC,4 ORINDA WAY,SUITE 120-D,ORINDA,CA,UNITED STATES,94563,925-258-5401,925-258-1324,,,,,,,Approved,10/26/1982,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"551,473,885.00","5,069,041.00","556,542,926.00",83,1,84,N,Y,N,Y,N,N,N,N,N,Y,NON-DISCRETIONARY INVESTMENT ADVICE TO ONE INVESTMENT ADVISOR,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,152526,801-70959,SOLITAIRE OVERSEAS LTD.,SOLITAIRE OVERSEAS LTD.,BASTEIPLATZ 7,,ZUERICH,,SWITZERLAND,8001,+41 44 227 19 00,+41 44 227 19 07,,,,,,,Approved,1/4/2010,12/22/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,SWITZERLAND,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"40,000,000.00",0,"40,000,000.00",15,0,15,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,134013,801-64038,BLACKSTONE DISTRESSED SECURITIES ADVISORS L.P.,BLACKSTONE DISTRESSED SECURITIES ADVISORS L.P.,280 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10017,212-503-2100,212-503-6924,,,,,,,Approved,3/11/2005,3/26/2010,Y,WWW.BLACKSTONE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"163,251,387.00",0,"163,251,387.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,136969,801-68517,TRINITY FINANCIAL PARTNERS,"CLOVER FINANCIAL & INSURANCE SERVICES, INC.","701 N. HAVEN AVE, SUITE 280",,ONTARIO,CA,UNITED STATES,91764,909-481-4000,909-481-4001,,,,,,,Approved,11/9/2007,3/26/2010,Y,WWW.TRINITYFP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"82,638,603.00","82,638,603.00",0,338,338,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,129271,801-62551,"DIX HILLS PARTNERS, LLC","DIX HILLS PARTNERS, LLC",50 JERICHO QUADRANGLE,SUITE 117,JERICHO,NY,UNITED STATES,11753,516-393-9135,516-393-9138,,,,,,,Approved,1/2/2004,3/26/2010,Y,WWW.DIXHILLSPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,10-Jun,0,26-100,0,26-50 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,FAMILY OFFICE,Y,N,N,N,N,Y,N,,Y,"812,008,955.00","134,475,000.00","946,483,955.00",85,4,89,N,Y,Y,Y,N,N,N,N,N,Y,INVESTMENT ADVICE TO POOLED INVESTMENT VEHICLES,,,N,Y,N,N,Y,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,140305,801-66803,LOURD CAPITAL MANAGEMENT,"LOURD CAPITAL, LLC",350 S. BEVERLY DRIVE,#360,BEVERLY HILLS,CA,UNITED STATES,90212,800-780-9858,310-388-1329,,,,,,,Approved,5/24/2006,3/26/2010,Y,WWW.LOURDCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"250,107,497.00","227,446,011.00","477,553,508.00",504,72,576,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,110137,801-62178,"COVENANT PARTNERS, LLC","COVENANT PARTNERS, LLC",BURTON HILLS IV OFFICE BUILDING,"40 BURTON HILLS BLVD, SUITE 140",NASHVILLE,TN,USA,37215,615-665-1801,615-665-1802,P.O. BOX 158187,,NASHVILLE,TN,USA,37215,Approved,6/27/2003,3/27/2010,Y,WWW.COVENANTPARTNERSLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"133,894,172.00",0,"133,894,172.00",93,0,93,Y,Y,N,N,N,N,N,N,N,Y,FISCAL COUNSEL,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,126819,801-62412,"MONTGOMERY CAPITAL MANAGEMENT, LLC","MONTGOMERY CAPITAL MANAGEMENT, LLC",753-B THIMBLE SHOALS BOULEVARD,,NEWPORT NEWS,VA,USA,23606,757/597-9525,757/597-9529,,,,,,,Approved,10/10/2003,3/27/2010,Y,WWW.MONTGOMERYCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"55,830,000.00","911,000.00","56,741,000.00",166,4,170,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,135008,801-70917,STRATHMORE CAPITAL ADVISORS,"STRATHMORE CAPITAL ADVISORS, INC.",319 S. SHARON AMITY ROAD,SUITE 200,CHARLOTTE,NC,UNITED STATES,28211,704-364-4241,1-866-904-1774,,,,,,,Approved,1/4/2010,3/27/2010,Y,WWW.STRATHMORECAPADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"40,467,220.00",0,"40,467,220.00",16,0,16,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,141112,801-67038,"ANCIENT ART, L.P.","ANCIENT ART, L.P.",610 WEST 5TH STREET,SUITE 600,AUSTIN,TX,UNITED STATES,78701,512.351.4440,512.480.9569,,,,,,,Approved,7/14/2006,3/27/2010,Y,WWW.TETONCAPITAL.NET,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"214,806,899.00",0,"214,806,899.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,112359,801-55994,KT ADMINISTRATORS INC,KT ADMINISTRATORS INC,987 OLD EAGLE SCHOOL ROAD,SUITE 710,WAYNE,PA,UNITED STATES,19087,610-341-0900,610-341-1818,,,,,,,Approved,10/30/1998,3/27/2010,Y,WWW.KTADMIN.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,154258,801-71591,PROSAPIA CAPITAL MANAGEMENT,"PROSAPIA CAPITAL MANAGEMENT, LLC",425 2ND ST SE SUITE 300,,CEDAR RAPIDS,IA,UNITED STATES,52401,319-202-8835,319-286-1018,,,,,,,120-Day Approval,6/21/2010,7/16/2010,Y,WWW.PROSAPIAFINANCIAL.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,IA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,11-25 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138121,801-65169,RALPH PARKS INVESTMENT GROUP LLC,RALPH PARKS INVESTMENT GROUP LLC,MEADOWGATE OFFICE PARK,101 SULLY'S TRAIL BLDG 10,PITTSFORD,NY,UNITED STATES,14534,585-248-5700,585-248-5703,,,,,,,Approved,1/18/2006,7/16/2010,Y,WWW.RPIGLLC.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"12,000,000.00","25,000,000.00","37,000,000.00",147,348,495,Y,Y,Y,Y,N,N,N,N,N,N,,101-250,,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106757,801-15077,LINKER CAPITAL MANAGEMENT INC,LINKER CAPITAL MANAGEMENT INC,500 STARKS BUILDING,,LOUISVILLE,KY,UNITED STATES,40202-2509,502-584-3313,502-584-3317,,,,,,,Approved,3/7/1980,7/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"46,851,000.00",0,"46,851,000.00",25,0,25,N,Y,N,N,N,N,N,N,N,Y,"PORTFOLIO MANAGEMENT FOR ERISA PLANS, TRUSTS, IRAS, SEGREGATED PROFIT SHARING PARTICIPANT PORTFOLIOS",0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,130758,801-62911,VERITABLE LP,VERITABLE LP,6022 WEST CHESTER PIKE,,NEWTOWN SQUARE,PA,UNITED STATES,19073,610-640-9551,610-640-9554,,,,,,,Approved,3/12/2004,7/16/2010,Y,WWW.VERITABLELP.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,PA,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,More than 500,500,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"8,852,804,699.00",0,"8,852,804,699.00","2,575",0,"2,575",N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,149378,801-69961,INSTITUTIONAL ADVISORS LLC,INSTITUTIONAL ADVISORS LLC,2201 RIDGEWOOD ROAD #180,,WYOMISSING,PA,UNITED STATES,19610,610-372-6414,610-372-1896,,,,,,,Approved,3/4/2009,2/25/2010,Y,WWW.INSTITUTIONAL-ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,More than 500,500,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,26-50 percent,11-25 percent,11-25 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"490,006,736.00","84,789,473.00","574,796,209.00",361,337,698,N,Y,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,130693,801-71641,"COMPASS WEALTH MANAGEMENT, LLC","COMPASS WEALTH MANAGEMENT, LLC",,,,,,,(781) 862-7030,(781) 862-7030,P.O. BOX 250,,LEXINGTON,MA,UNITED STATES,2420,Approved,7/26/2010,7/16/2010,Y,WWW.COMPASSINVESTMENTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"27,948,654.00","2,284,042.00","30,232,696.00",134,22,156,Y,Y,N,N,Y,Y,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,153005,801-71113,"BEPLAT ASSET MANAGEMENT, INC.","BEPLAT ASSET MANAGEMENT, INC.",,,,,,,(307) 734-0774,(503) 635-2955,PO BOX 2277,,JACKSON,WY,UNITED STATES,83001,Approved,2/16/2010,2/25/2010,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,Corporation,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,106640,801-33726,"WEISS CAPITAL MANAGEMENT, INC.","WEISS CAPITAL MANAGEMENT, INC.",7111 FAIRWAY DR,SUITE 102,PALM BEACH GARDENS,FL,UNITED STATES,33418,561-515-8558,561-627-1011,,,,,,,Approved,1/19/1989,7/16/2010,Y,WWW.WEISSCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"1,000",26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"371,494,827.00",0,"371,494,827.00","1,723",0,"1,723",N,Y,N,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,127351,801-71064,GOOD HARBOR FINANCIAL,"GOOD HARBOR FINANCIAL, INC.",8770 W. BRYN MAWR AVE.,SUITE 1300,CHICAGO,IL,UNITED STATES,60631,312-612-2245,630-982-1711,,,,,,,Approved,2/16/2010,7/16/2010,Y,WWW.GOODHARBORFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"64,978,355.00","1,009,637.00","65,987,992.00",272,5,277,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,126975,801-71625,FERGUSON INVESTMENT SERVICES PLLC,FERGUSON INVESTMENT SERVICES PLLC,4400 EAST BROADWAY BLVD,SUITE 500,TUCSON,AZ,UNITED STATES,85711,520-321-4100,520-321-4102,,,,,,,Approved,7/13/2010,7/16/2010,Y,WWW.BRUCEFERGUSON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"39,000,000.00","38,000,000.00","77,000,000.00",210,183,393,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153871,801-71706,"KINGSLAND CAPITAL MANAGEMENT, LLC","KINGSLAND CAPITAL MANAGEMENT, LLC",1325 AVENUE OF THE AMERICAS,27TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-763-8356,212-763-8373,,,,,,,Approved,8/4/2010,7/16/2010,Y,WWW.KINGSLANDCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"2,130,893,221.00",0,"2,130,893,221.00",6,0,6,N,N,N,Y,N,N,N,N,N,Y,INSTITUTIONAL ADVISORY SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,154602,801-71707,FINVASIA FINANCIAL SERVICES PVT LTD,FINVASIA FINANCIAL SERVICES PVT LTD,,,,,,,-9872599938,617-607-9179,,,,,,,Approved,8/4/2010,7/16/2010,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,INDIA,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137137,801-70476,"TWO SIGMA INVESTMENTS, LLC","TWO SIGMA INVESTMENTS, LLC",379 WEST BROADWAY,5TH FLOOR,NEW YORK,NY,UNITED STATES,10012,212-625-5700,212-625-5800,,,,,,,Approved,8/21/2009,2/25/2010,Y,WWW.TWOSIGMA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,403,696,758.00",0,"2,403,696,758.00",14,0,14,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153577,801-71501,RICHARD BERNSTEIN ADVISORS LLC,RICHARD BERNSTEIN ADVISORS LLC,520 MADISON AVENUE 28TH FLOOR,,NEW YORK,NY,UNITED STATES,10022,212-692-4000,212-692-4001,,,,,,,120-Day Approval,6/1/2010,7/16/2010,Y,WWW.RBA-LLC.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,0,0,0 percent,Up to 10 percent,0 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,INVESTMENT MGMT. AND ADVISORY SERVICES VIA PUBLISHED RESEARCH AND INVESTMENT COMMENTARY AND ASSET ALLOCATION TO BD'S AND IA'S.,Y,N,N,Y,N,N,N,,Y,0,0,0,0,0,0,N,Y,Y,N,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111535,801-62993,"ASSET PLANNING, INC","ASSET PLANNING, INC",10833 VALLEY VIEW STREET,SUITE 470,CYPRESS,CA,UNITED STATES,90630,714-827-5794,714-995-4992,,,,,,,Approved,4/13/2004,2/25/2010,Y,WWW.ASSETPLANNINGINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"72,187,312.00","2,959,883.00","75,147,195.00",357,48,405,Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,146007,801-68707,"HALL & NORTH FINANCIAL GROUP, LLC","HALL & NORTH FINANCIAL GROUP, LLC",,,,,,,(281) 870-9400,(281) 870-9404,,,,,,,Approved,1/14/2008,2/25/2010,Y,WWW.HALLANDNORTHFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"40,200,000.00","500,000.00","40,700,000.00",238,10,248,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,144714,801-68204,"CAPITAL FIDUCIARY ADVISORS, INC.","CAPITAL FIDUCIARY ADVISORS, INC.",604 S. KING STREET,SUITE 101,LEESBURG,VA,UNITED STATES,20175,703-777-5855,703-777-5893,,,,,,,Approved,8/7/2007,7/16/2010,Y,WWW.CAPITALFIDUCIARYADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,ENDOWMENTS,Y,Y,N,Y,N,N,N,,Y,0,"155,000,000.00","155,000,000.00",0,174,174,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,152169,801-70948,"ACACIA INVESTMENT ADVISORY GROUP, INC.","ACACIA INVESTMENT ADVISORY GROUP, INC.","FOUR GREENTREE CENTRE, SUITE 206",13000 LINCOLN DRIVE WEST,MARLTON,NJ,UNITED STATES,8053,856-234-2266,856-234-6697,,,,,,,120-Day Approval,1/7/2010,2/25/2010,Y,WWW.ACACIAFIN.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,NJ,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,113832,801-60387,ALTMAN INVESTMENT MANAGEMENT LLC,ALTMAN INVESTMENT MANAGEMENT LLC,34 CHAMBERS STREET,,PRINCETON,NJ,UNITED STATES,8542,609-252-0048,609-497-3246,,,,,,,Approved,7/10/2001,7/16/2010,Y,ALTMAN-INVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"46,383,939.00","330,394.00","46,714,333.00",52,2,54,N,Y,N,Y,N,N,N,N,N,Y,IT IS PROPOSED FOR THE APPLICANT TO ACT IN AN INVESTMENT CONSULTING CAPACITY FOR INSTITUTIONS FOR FIXED FEES.,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,139370,801-66377,"KAUFMAN + BERNSTEIN, INC.","KAUFMAN + BERNSTEIN, INC.","1925 CENTURY PARK EAST,",SUITE 800,LOS ANGELES,CA,USA,90067,310-277-1900,310-277-1049,,,,,,,Approved,3/13/2006,2/25/2010,Y,KBWTR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,N,Y,N,Y,N,N,Y,5% OF PROFESSIONAL OR GROSS INCOME,Y,"592,964,104.00",0,"592,964,104.00",59,0,59,Y,N,N,N,Y,Y,N,N,N,Y,"ON MORE THAN OCCASIONAL BASIS, FURNISH ADVICE TO CLIENTS ON MATTERS NOT INVOLVING SECURITIES.",51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124610,801-71209,PATRICK FINANCIAL GROUP LLC.,"PATRICK,JOBIE,ALLEN",MILLPOND PARKE OFFICE BUILDING,824 WEST GRAND RIVER AVENUE,BRIGHTON,MI,UNITED STATES,48116,810-225-9876,810-225-3350,,,,,,,Approved,4/1/2010,7/16/2010,Y,WWW.PATRICKFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"27,762,000.00","27,762,000.00",0,350,350,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137703,801-65955,VISION INVESTMENT MANAGEMENT (BVI) LIMITED,VISION INVESTMENT MANAGEMENT (BVI) LIMITED,CRAIGMUIR CHAMBERS,PO BOX 71,"ROAD TOWN, TORTOLA",,BRITISH VIRGIN ISLANDS,,+852 2878 3600,+852 2878 7687,29TH FLOOR,"100 QUEEN'S ROAD CENTRAL,",HONG KONG SAR,,CHINA,,Approved,2/1/2006,2/25/2010,Y,WWW.VISIONINVESTMENT.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,BRITISH VIRGIN ISLANDS,5-Jan,0,5-Jan,0,0,0,Nov-50,0,251-500,0,0 percent,11-25 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"840,080,531.00",0,"840,080,531.00",330,0,330,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137701,801-65956,VISION INVESTMENT MANAGEMENT (ASIA) LIMITED,VISION INVESTMENT MANAGEMENT (ASIA) LIMITED,29TH FLOOR,100 QUEEN'S ROAD CENTRAL,HONG KONG SAR,,CHINA,,+852 2878 3600,+852 2878 7687,,,,,,,Approved,2/1/2006,2/25/2010,Y,WWW.VISIONINVESTMENT.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,Nov-50,0,Nov-50,0,0,0,0,0,251-500,0,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,PERCENTAGE OF INCURRED GENERAL AND ADMIN EXPENSES,Y,0,"840,080,531.00","840,080,531.00",0,330,330,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,154344,801-71709,BRETTON CAPITAL MANAGEMENT,BRETTON CAPITAL MANAGEMENT LLC,338 SPEAR ST,UNIT 21B,SAN FRANCISCO,CA,UNITED STATES,94105,415-868-4470,415-508-6586,,,,,,,120-Day Approval,7/29/2010,7/16/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,EXPECT TO BE MANAGING AN INVESTMENT COMPANY WITHIN 120 DAYS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107750,801-14391,"CJM WEALTH ADVISERS, LTD.","CJM WEALTH ADVISERS, LTD.",11320 RANDOM HILLS ROAD,SUITE 250,FAIRFAX,VA,USA,22030,703-425-0700,703-764-9530,,,,,,,Approved,2/27/1979,2/26/2010,Y,WWW.CJMLTD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"313,360,001.00","313,360,001.00",0,483,483,Y,Y,N,Y,N,N,N,N,N,N,,251-500,,Y,Y,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122408,801-67271,SECURITY FIRST FINANCIAL,SECURITY FIRST FINANCIAL INC.,6012 S. LINDEN ROAD,SUITE 10,SWARTZ CREEK,MI,UNITED STATES,48473,810-655-2129,810-655-6860,,,,,,,Approved,11/9/2006,2/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"46,268,284.00",0,"46,268,284.00",618,0,618,Y,Y,N,N,N,N,Y,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107596,801-45047,NETWORTH ADVISORS,M FINANCIAL NETWORK INC,"999 HOME PLAZA, SUITE 200",,WATERLOO,IA,UNITED STATES,50701,319-232-5500,319-232-5004,PO BOX 1230,,WATERLOO,IA,UNITED STATES,50704,Approved,11/17/1993,2/26/2010,Y,NETWORTHADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"50,000,000.00","50,000,000.00",0,200,200,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,25545,801-67034,FEIC FINANCIAL INC.,FEIC FINANCIAL INC.,147 FEDERAL PLAZA WEST,,YOUNGSTOWN,OH,UNITED STATES,44503,330-746-0203,330-746-0922,,,,,,,Approved,8/28/2006,7/16/2010,Y,WWW.FEICFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),INCORPORATED,OH,UNITED STATES,10-Jun,0,0,0,0,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"50,000,000.00",0,"50,000,000.00",330,0,330,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,142175,801-67240,"BLACK SWAN ADVISORS, LP","BLACK SWAN ADVISORS, L.P.",112 E. PECAN STREET,SUITE 806,SAN ANTONIO,TX,UNITED STATES,78205-1533,210-477-7610,210-477-7611,,,,,,,Approved,10/16/2006,2/26/2010,Y,WWW.BLACKSWANSA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,PERFORMANCE BASED COMPENSATION,Y,"73,000,000.00","10,000,000.00","83,000,000.00",5,70,75,N,Y,N,N,N,Y,N,N,N,Y,MANAGEMENT OF POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153018,801-71167,ANTHONY FIELDS & ASSOCIATES,"FIELDS, ANTHONY",,,,,,,708-743-4311,708-221-6445,"8155 W. OGDEN AVENUE, # 19",,LYONS,IL,UNITED STATES,60534,Approved,3/15/2010,7/16/2010,Y,WWW.ANTHONYFIELDSANDASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,11-25 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"200,000,000.00","200,000,000.00","400,000,000.00",2,2,4,Y,Y,N,Y,N,N,N,N,N,Y,GOVERNMENT SECURITIES ADVISE,0,,N,N,Y,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107099,801-26821,MOUNT VERNON ASSOCIATES INC,MOUNT VERNON ASSOCIATES INC,"6080 FALLS ROAD, SUITE 200",,BALTIMORE,MD,USA,21209,410-377-9780,410-377-9787,,,,,,,Approved,3/24/1986,2/26/2010,Y,WWW.MTVERNONASSOC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"249,150,263.00",0,"249,150,263.00",125,0,125,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,137901,801-64975,"STRATFORD ADVISORY GROUP, INC.","STRATFORD ADVISORY GROUP, INC.",500 W. MADISON STREET,SUITE 2740,CHICAGO,IL,UNITED STATES,60661,312-798-3200,312-902-1984,,,,,,,Approved,12/15/2005,2/26/2010,Y,WWW.STRATFORDAG.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,0 percent,26-50 percent,11-25 percent,0 percent,0 percent,,N,Y,N,Y,N,N,Y,A PERCENTAGE OF ASSETS UNDER ADVISORY SERVICES,Y,"7,556,764.00",0,"7,556,764.00",5,0,5,N,Y,N,Y,Y,Y,N,N,N,Y,"INVESTMENT CONSULTING SERVICES INVOLVING POLICY, STRATEGY, EVALUATION AND EDUCATION",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126524,801-62300,"FRISCH FINANCIAL GROUP, INC.","FRISCH FINANCIAL GROUP, INC.",290 BROAD HOLLOW ROAD,SUITE 130E,MELVILLE,NY,USA,11747,631-271-7900,631-271-5795,,,,,,,Approved,8/21/2003,7/16/2010,Y,WWW.FRISCHFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"171,714,439.00","24,966,091.00","196,680,530.00",776,159,935,Y,Y,N,N,Y,N,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES,26-50,,N,N,N,N,N,N,N,N,Y,TAX PREPARATION,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105708,801-16856,LANHAM ODELL & CO INC,LANHAM ODELL & CO INC,3981 TEAYS VALLEY RD,,HURRICANE,WV,UNITED STATES,25526,304-757-8131,304-757-8333,PO BOX 537,,HURRICANE,WV,UNITED STATES,25526,Approved,2/10/1982,7/16/2010,Y,WWW.LANHAMODELL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WV,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,More than 500,"1,000",11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"477,412,647.00","43,358,445.00","520,771,092.00","1,655",12,"1,667",N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,121700,801-62118,RODGERS & ASSOCIATES,"RODGERS & ASSOCIATES, LTD.",647 E. ROSEVILLE ROAD,,LANCASTER,PA,USA,17601,717-560-3800,717-581-1435,,,,,,,Approved,7/3/2003,7/16/2010,Y,WWW.RODGERS-ASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"261,298,286.00","19,088,448.00","280,386,734.00","1,506",128,"1,634",Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110233,801-6756,LOEWENBERG R E CAPITAL MANAGEMENT CORP,LOEWENBERG R E CAPITAL MANAGEMENT CORP,900 THIRD AVENUE,,NEW YORK,NY,UNITED STATES,10022,212-753-4100,212-593-0693,,,,,,,Approved,7/21/1970,2/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"50,415,673.00","369,039,494.00","419,455,167.00",3,13,16,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112079,801-51693,DOBSON ASSET MANAGEMENT,DOBSON ASSET MANAGEMENT - NORTHERN CALIFORNIA,7 FOURTH STREET,SUITE 25,PETALUMA,CA,UNITED STATES,94952,707-766-9254,707-766-9354,,,,,,,Approved,4/10/1996,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"94,574,126.00","1,584,670.00","96,158,796.00",134,19,153,Y,Y,N,N,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,113261,801-19890,COBEY JACOBSON & GORDON INC,COBEY JACOBSON & GORDON INC,30 ROWES WHARF,,BOSTON,MA,UNITED STATES,2110,617-439-4000,,,,,,,,Approved,9/27/1983,3/25/2010,Y,HTC@COBEYINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"110,000,000.00",0,"110,000,000.00",22,0,22,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107888,801-24230,DOLAN CAPITAL MANAGEMENT,DOLAN CAPITAL MANAGEMENT,635 BRYANT STREET,,PALO ALTO,CA,UNITED STATES,94301-2502,650-327-8100,650-327-8399,,,,,,,Approved,5/22/1985,3/25/2010,Y,DOLANCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"59,149,000.00",0,"59,149,000.00",38,0,38,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109844,801-56013,ALPHA ANALYTICS INVESTMENT GROUP LLC,ALPHA ANALYTICS INVESTMENT GROUP LLC,"1901 AVENUE OF THE STARS, SUITE 1100",,LOS ANGELES,CA,UNITED STATES,90067,310-556-0389,310-556-8945,,,,,,,Approved,11/16/1998,3/25/2010,Y,WWW.ALPHAANALYTICS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,MONTHLY RETAINERS,Y,"5,839,194.00","74,033,065.00","79,872,259.00",19,72,91,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,124235,801-61702,SALI FUND SERVICES,"SALI FUND MANAGEMENT, LLC",1802 W. 6TH STREET,SUITE B,AUSTIN,TX,UNITED STATES,78703,512-682-1883,512-519-8500,,,,,,,Approved,1/9/2003,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,Nov-50,0,10-Jun,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,260,900,000.00",0,"1,260,900,000.00",37,0,37,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,129494,801-64539,VEGA CAPITAL GROUP LLC,VEGA CAPITAL GROUP LLC,100 BUSH STREET,SUITE 1625,SAN FRANCISCO,CA,USA,94104,415-318-8740,415-318-8745,,,,,,,Approved,7/21/2005,3/25/2010,Y,WWW.VEGACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"31,286,562.00",0,"31,286,562.00",145,0,145,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108295,801-22428,CAPITAL & SECURITY MANAGEMENT INC,"CAPITAL & SECURITY MANAGEMENT, INC.",34 WEST MINER STREET,,WEST CHESTER,PA,UNITED STATES,19382-3214,610-692-4794,610-692-0118,,,,,,,Approved,10/19/1984,3/25/2010,Y,WWW.CAPSECMAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"62,339,631.00","4,023,791.00","66,363,422.00",117,5,122,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107488,801-50660,ADELL HARRIMAN & CARPENTER,ADELL HARRIMAN & CARPENTER INC,2700 POST OAK BLVD STE 1200,,HOUSTON,TX,USA,77056,713-621-1155,713-621-7318,,,,,,,Approved,11/29/1995,3/25/2010,Y,WWW.AHCINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,More than 500,"1,000",26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"360,918,303.00",0,"360,918,303.00","1,075",0,"1,075",Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,151328,801-70550,"BEACON POINTE WEALTH ADVISORS, LLC","BEACON POINTE WEALTH ADVISORS, LLC",500 NEWPORT CENTER DRIVE,SUITE 125,NEWPORT BEACH,CA,UNITED STATES,92660,949-718-1600,949-718-0601,,,,,,,Approved,9/10/2009,3/25/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111581,801-56891,CCG INVESTMENTS,CFM ADVISORS INC,1800 WALT WHITMAN ROAD,,MELVILLE,NY,UNITED STATES,11747,631.249.0500,631.249.5653,,,,,,,Approved,10/25/1999,3/25/2010,Y,WWW.CCG1800.COM/C500-CCG-INVESTMENTS.HTML,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,10-Jun,0,101-250,0,11-25 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"123,600,000.00","123,600,000.00",0,234,234,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,2997,801-49498,PECAUT & CO.,PECAUT & CO.,401 DOUGLAS STE 415,,SIOUX CITY,IA,USA,51101,712-252-3268,712-252-4996,,,,,,,Approved,6/23/1995,11/23/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"107,057,535.00","2,744,538.00","109,802,073.00",294,1,295,N,Y,N,Y,N,N,Y,N,N,Y,MAKES INVESTMENT RECOMMENDATIONS.,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,108513,801-56176,BARING ASSET MANAGEMENT (ASIA) LIMITED,BARING ASSET MANAGEMENT (ASIA) LIMITED,"19/F EDINBURGH TOWER, 15 QUEEN'S ROAD CENTRAL",THE LANDMARK,HONG KONG,,CHINA,,852-2841-1411,852-2845-9050,,,,,,,Approved,1/8/1999,3/25/2010,Y,WWW.BARINGS.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,51-250,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"11,345,187,691.00",0,"11,345,187,691.00",48,0,48,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
LARO,143097,801-67581,"TRINITY CAPITAL MANAGEMENT, LLC","TRINITY CAPITAL MANAGEMENT, LLC",1334 ANACAPA STREET,SUITE A,SANTA BARBARA,CA,UNITED STATES,93101,805-963-0500,805-299-1868,,,,,,,Approved,2/23/2007,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"118,099,582.00",0,"118,099,582.00",414,0,414,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114614,801-67768,"DISCIPLINED INVESTORS, L.L.C.","DISCIPLINED INVESTORS, L.L.C.","100 NORTH 6TH STREET, SUITE 500",,WACO,TX,USA,76701,254-754-7973,254-754-7940,,,,,,,Approved,4/17/2007,3/26/2010,Y,WWW.DINVESTORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"50,576,765.00",0,"50,576,765.00",476,0,476,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107426,801-47547,CHERRY CREEK INVESTMENT ADVISORS INC,CHERRY CREEK INVESTMENT ADVISORS INC,68 INVERNESS LANE EAST #206,,ENGLEWOOD,CO,UNITED STATES,80112,303-320-5774,303-320-5764,,,,,,,Approved,10/6/1994,3/26/2010,Y,WWW.CHERRYCREEKINVESTMENTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"104,200,000.00",0,"104,200,000.00",235,0,235,Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107966,801-55181,ATLANTIC CAPITAL MANAGEMENT LLC,ATLANTIC CAPITAL MANAGEMENT LLC,"500 LIBBIE AVENUE, SUITE 1B",,RICHMOND,VA,UNITED STATES,23226,804-915-4500,866-613-2352,,,,,,,Approved,1/15/1998,3/26/2010,Y,WWW.ACMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,FOUNDATIONS AND ENDOWMENTS,Y,N,N,N,N,N,N,,Y,"37,800,000.00",0,"37,800,000.00",63,0,63,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,106796,801-37633,INVESTORS ASSET MANAGEMENT OF GEORGIA INC,INVESTORS ASSET MANAGEMENT OF GEORGIA INC,7000 PEACHTREE DUNWOODY ROAD,BLDG 9 SUITE 200,ATLANTA,GA,UNITED STATES,30328,770-394-5619,770-394-5532,,,,,,,Approved,11/1/1990,3/26/2010,Y,INVESTORSASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"44,910,161.00","3,657,518.00","48,567,679.00",150,5,155,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,129208,801-62494,"SMART401K, LLC","SMART401K, LLC",7501 COLLEGE BLVD STE 225,,OVERLAND PARK,KS,USA,66210,877-627-8401,866-666-5583,,,,,,,Approved,11/14/2003,3/26/2010,Y,WWW.SMART401K.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,Nov-50,0,10-Jun,0,0,0,51-250,0,More than 500,"10,500",More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"61,876,683.00",0,"61,876,683.00",9,0,9,N,Y,N,N,N,N,N,N,N,Y,RECOMMENDATION TO CLIENT AS TO INVESTMENT ALLOCATION OF CLIENT'S 401(K) ASSETS IN COMPANY SPONSORED PLANS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112683,801-62207,"GREYSTONE FINANCIAL GROUP, INC.","GREYSTONE FINANCIAL GROUP, INC.",1301 WEST LONG LAKE ROAD,SUITE 255,TROY,MI,UNITED STATES,48098,248-267-1270,248-267-1280,,,,,,,Approved,7/14/2003,3/26/2010,Y,WWW.GREYSTONEFG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"257,000,000.00","10,000,000.00","267,000,000.00",330,100,430,Y,Y,N,N,N,N,N,N,N,Y,ADVICE ON NON-SECURITIES MATTERS,251-500,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,131168,801-63196,THREADNEEDLE,THREADNEEDLE INTERNATIONAL LTD.,60 ST. MARY AXE,,LONDON,,UNITED KINGDOM,EC3A 8JQ,011-44-20-7464-5000,011-44-20-7464-5050,,,,,,,Approved,6/4/2004,3/26/2010,Y,WWW.THREADNEEDLE.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,501-1000,0,51-250,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,26-50 percent,11-25 percent,26-50 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"5,625,513,948.00",0,"5,625,513,948.00",34,0,34,N,N,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR OTHER POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
DRO,109037,801-55164,FINANCIAL NETWORK SPECIALISTS LLC,FINANCIAL NETWORK SPECIALISTS LLC,5220 S ULSTER ST UNIT 2210,,GREENWOOD VILLAGE,CO,UNITED STATES,80111,303-325-7597,303-997-5434,,,,,,,Approved,1/7/1998,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"43,000,000.00","14,000,000.00","57,000,000.00",278,103,381,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108242,801-56184,ZWEIG CONSULTING LLC,ZWEIG CONSULTING LLC,900 3RD AVENUE 31ST FLOOR,,NEW YORK,NY,USA,10022,212-451-1100,212-451-1415,,,,,,,Approved,1/15/1999,3/26/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,Y,INVESTMENT RESEARCH,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,135044,801-64174,"ACACIA WEALTH ADVISORS, LLC","ACACIA WEALTH ADVISORS, LLC",245 SOUTH BEVERLY DRIVE,,BEVERLY HILLS,CA,USA,90212-3807,310-246-0560,310-246-0580,,,,,,,Approved,4/15/2005,3/26/2010,Y,WWW.ACACIAWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"622,065,119.00","622,065,119.00",0,129,129,Y,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT CONSULTING,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,131668,801-63189,"POEHLING CAPITAL MANAGEMENT, INC.","POEHLING CAPITAL MANAGEMENT, INC.",525 JUNCTION ROAD,SUITE 8900,MADISON,WI,UNITED STATES,53717,(608) 664-9600,(608) 664-9601,,,,,,,Approved,5/27/2004,3/26/2010,Y,WWW.POEHLINGCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"79,900,064.00","309,092.00","80,209,156.00",857,5,862,Y,Y,N,N,N,Y,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115211,801-62857,"EDUCATOR'S FINANCIAL SERVICES, INC.","EDUCATOR'S FINANCIAL SERVICES, INC.",440 EMERSON ST N SUITE 2,,CAMBRIDGE,MN,USA,55008,763-689-9023,763-689-3742,,,,,,,Approved,3/11/2004,3/26/2010,Y,WWW.TSAINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,Nov-50,0,More than 500,"9,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,Y,OTHER MONEY MANAGERS MAY PAY CERTAIN PORTION OF FEES,Y,"210,000,000.00","81,000,000.00","291,000,000.00","5,500","3,500","9,000",Y,Y,N,Y,N,Y,Y,N,N,N,,More than 500,9000,N,N,N,Y,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,N,Y,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,145988,801-68684,KANON BLOCH CARRE,KBC HOLDINGS LLC,150 GROSSMAN DRIVE,SUITE 309,BRAINTREE,MA,UNITED STATES,2184,781 849 0034,781 849 3206,,,,,,,Approved,1/7/2008,3/26/2010,Y,WWW.KANON.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,N,Y,Y,N,N,N,,Y,"49,708,000.00",0,"49,708,000.00",2,0,2,N,N,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137217,801-64727,"THE BAY RIDGE GROUP ADVISORY SERVICES, INC.","THE BAY RIDGE GROUP ADVISORY SERVICES, INC.",1405 DAVIS AVENUE,,ENDWELL,NY,UNITED STATES,13760,607-754-7222,607-754-8608,,,,,,,Approved,9/26/2005,3/26/2010,Y,WWW.BAYRIDGEGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"15,195,211.00","92,120,184.00","107,315,395.00",59,16,75,N,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,Y,Y,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139164,801-66120,HELIOS CAPITAL MANAGEMENT PTE. LTD,HELIOS CAPITAL MANAGEMENT PTE. LTD,#14:96/97,"THE CENTRAL, 8 EU TONG SEN STREET",SINGAPORE,,SINGAPORE,59818,65 62270336,65 62270661,,,,,,,Approved,4/24/2006,3/26/2010,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SINGAPORE,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"106,636,511.00",0,"106,636,511.00",6,0,6,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,Y
PLRO,2331,801-57968,"INVESTORS SECURITY COMPANY, INC.","INVESTORS SECURITY COMPANY, INC.","127 E. WASHINGTON STREET, SUITE 101",,SUFFOLK,VA,USA,23434,757-539-2396,757-925-4353,,,,,,,Approved,10/27/2000,3/26/2010,Y,WWW.INVESTORSSECURITY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"6,809,627.00","46,326,569.00","53,136,196.00",30,248,278,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,Y,Y,Y,N,N,N,Y,N,N,,N,Y,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,Y,N
CHRO,117054,801-60676,"JOHNSON INVESTMENT COUNSEL, INC.","JOHNSON INVESTMENT COUNSEL, INC.",3777 WEST FORK ROAD,,CINCINNATI,OH,UNITED STATES,45247,513-661-3100,513-661-3160,,,,,,,Approved,11/20/2001,3/26/2010,Y,WWW.JOHNSONINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,More than 500,"3,000",51-75 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"4,709,160,527.00",0,"4,709,160,527.00","9,341",0,"9,341",Y,Y,Y,Y,Y,Y,N,N,N,N,,More than 500,3000,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,126869,801-65115,"KRAEMATON INVESTMENT ADVISORS, INC","KRAEMATON INVESTMENT ADVISORS, INC",20 WALNUT ST,,WELLESLEY,MA,UNITED STATES,2482,781-431-1003,781-431-1063,,,,,,,Approved,1/6/2006,3/26/2010,Y,WWW.KRAEMATONINVESTMENTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"60,874,758.00","537,637.00","61,412,395.00",195,2,197,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,140745,801-66859,STRATEGIC WEALTH MANAGEMENT LLC,STRATEGIC WEALTH MANAGEMENT LLC,555 PLEASANTVILLE RD.,NORTH BUILDING,BRIARCLIFF MANOR,NY,USA,10510,646-220-3327,,,,,,,,Approved,6/16/2006,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"33,300,000.00","33,300,000.00",0,100,100,Y,Y,N,Y,N,Y,N,N,N,Y,ACTIVE INVESTMENT MANAGEMENT,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109609,801-57737,"BAIRD VENTURE PARTNERS MANAGEMENT COMPANY I, L.L.C.","BAIRD VENTURE PARTNERS MANAGEMENT COMPANY I, L.L.C.",777 EAST WISCONSIN AVE,,MILWAUKEE,WI,USA,53202,414-765-3500,414-298-7800,,,,,,,Approved,7/12/2000,3/26/2010,Y,WWW.RWBAIRD.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"57,177,965.00",0,"57,177,965.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,OFFERS ADVICE TO LIMITED PARTNERSHIPS FORMED TO MAKE INVESTMENTS IN EQUITY SECURITIES ISSUED IN VENTURE CAPITAL OPPORTUNITIES.,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,108118,801-56539,"BAIRD CAPITAL PARTNERS MANAGEMENT COMPANY III, LLC","BAIRD CAPITAL PARTNERS MANAGEMENT COMPANY III, LLC",777 EAST WISCONSIN AVENUE,,MILWAUKEE,WI,USA,53202,414-765-3500,414-298-7800,,,,,,,Approved,5/26/1999,3/26/2010,Y,WWW.RWBAIRD.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"25,866,181.00",0,"25,866,181.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,ADVICE TO LIMITED PARTNERSHIPS FORMED TO INVEST IN MIDDLE MARKET CAPITAL OPPORTUNITIES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
LARO,152694,801-71070,"MARKS THERIOT WALSTON & COMPANY, INC.","MARKS THERIOT WALSTON & COMPANY, INC.",545 S. FIGUEROA STREET,SUITE 1202,LOS ANGELES,CA,UNITED STATES,90071,213-221-7604,213-537-0274,,,,,,,Approved,2/2/2010,7/28/2010,Y,WWW.MTWINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"65,309,412.00",0,"65,309,412.00",83,0,83,N,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,134200,801-63981,"ARMOR INVESTMENT ADVISORS, LLC","ARMOR INVESTMENT ADVISORS, LLC",3909 SUNSET RIDGE ROAD,SUITE 102,RALEIGH,NC,UNITED STATES,27607,919-571-4382,919-571-4368,,,,,,,Approved,2/23/2005,2/19/2010,Y,WWW.ARMORINVESTMENTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"57,908,601.00","43,972.00","57,952,573.00",220,1,221,Y,Y,N,Y,Y,Y,N,N,N,Y,INVESTMENT CONSULTING,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,108387,801-20695,"PHILLIPS, HAGER & NORTH INVESTMENT MANAGEMENT LTD","PHILLIPS, HAGER & NORTH INVESTMENT MANAGEMENT LTD","200 BURRARD STREET, 20TH FL.",,"VANCOUVER, BC",,CANADA,V6C 3N5,604-408-6000,604-685-5712,,,,,,,Approved,6/1/1994,7/28/2010,Y,WWW.PHN.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,251-500,0,51-250,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,UNION PENSION PLANS,Y,N,N,N,N,Y,N,,Y,"54,545,609,458.00","264,941,721.00","54,810,551,179.00","11,143",424,"11,567",N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110451,801-26380,BRANSON FRANK A INC,BRANSON FRANK A INC,1290 HOWARD AVE,STE 323,BURLINGAME,CA,UNITED STATES,94010-4222,650-685-5454,650-685-1551,,,,,,,Approved,2/7/1986,6/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"139,434,866.00",0,"139,434,866.00",24,0,24,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105325,801-34611,FEDERATED INVESTMENT COUNSELING,FEDERATED INVESTMENT COUNSELING,FEDERATED INVESTORS TOWER,1001 LIBERTY AVENUE,PITTSBURGH,PA,UNITED STATES,15222-3779,412-288-1900,412-288-3939,,,,,,,Approved,6/12/1989,7/28/2010,Y,FEDERATEDINVESTORS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),STATUTORY TRUST,DE,UNITED STATES,51-250,0,51-250,0,0,0,5-Jan,0,More than 500,"8,925",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"5,579,785,841.00","3,225,370,170.00","8,805,156,011.00","8,890",35,"8,925",N,Y,Y,Y,N,N,N,N,N,Y,ADVISER ALSO PROVIDES MODEL PORTFOLIOS AND ASSET ALLOCATION RECOMMENDATIONS AND PERIODIC UPDATES TO THEM.,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,119642,801-61006,"VIGILANT CAPITAL MANAGEMENT, LLC","VIGILANT CAPITAL MANAGEMENT, LLC",TWO CITY CENTER,4TH FLOOR,PORTLAND,ME,UNITED STATES,4101,207-523-1110,207-523-1115,,,,,,,Approved,3/15/2002,2/19/2010,Y,WWW.VIGILANTCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,ME,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"255,942,103.00",0,"255,942,103.00",340,0,340,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104618,801-14191,SPC FINANCIAL INC,SPC FINANCIAL INC,3202 TOWER OAKS BLVD,SUITE 400,ROCKVILLE,MD,UNITED STATES,20852,301-770-6800,301-770-9031,,,,,,,Approved,11/30/1978,6/10/2010,Y,WWW.SPCFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,251-500,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"189,597,840.00","240,541,346.00","430,139,186.00",614,"2,506","3,120",Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151450,801-70571,WOODBINE CAPITAL ADVISORS LP,WOODBINE CAPITAL ADVISORS LP,245 PARK AVE,,NEW YORK,NY,UNITED STATES,10167,212-351-9250,212-351-9279,,,,,,,Approved,9/28/2009,2/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,"FAMILY OFFICE, INSURANCE, PLATFORM",Y,N,N,N,N,Y,N,,Y,"2,500,000,000.00",0,"2,500,000,000.00",9,0,9,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104764,801-18060,COZAD ASSET MANAGEMENT INC,COZAD ASSET MANAGEMENT INC,2501 GALEN DRIVE,,CHAMPAIGN,IL,USA,61821,217-356-8363,217-355-1359,P. O. BOX 3669,,CHAMPAIGN,IL,USA,61826-3669,Approved,12/7/1982,2/19/2010,Y,WWW.COZADASSETMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,Nov-50,0,More than 500,500,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"412,242,634.00","131,062,145.00","543,304,779.00","1,042",215,"1,257",Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,Y,Y,N,Y,MAY ACT AS SOLICITOR FOR OTHER RIA'S,Y,N,Y,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,118849,801-66680,"MAIN STREET FINANCIAL GROUP, INC","MAIN STREET FINANCIAL GROUP, INC",22 NORTH TRADE STREET,,TRYON,NC,USA,28782,828-859-9252,828-859-6144,,,,,,,Approved,5/4/2006,7/28/2010,Y,WWW.LOW-STRESS-INVESTING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"54,300,000.00","2,443,517.00","56,743,517.00",382,10,392,Y,Y,N,N,Y,N,N,N,N,Y,MUTUAL FUND ACCOUNT SETUP SERVICES.,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105742,801-6642,TCW ASSET MANAGEMENT CO,TCW ASSET MANAGEMENT CO,865 S FIGUEROA ST,STE 1800,LOS ANGELES,CA,USA,90017,213-244-0000,213-244-0645,,,,,,,Approved,6/12/1970,7/28/2010,Y,WWW.TCW.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,251-500,0,251-500,0,Nov-50,0,5-Jan,0,251-500,0,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,26-50 percent,11-25 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"64,074,359,735.00","25,000,000.00","64,099,359,735.00",408,1,409,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108263,801-57781,"GUGGENHEIM INVESTMENT ADVISORS, LLC","GUGGENHEIM INVESTMENT ADVISORS, LLC",135 EAST 57TH STREET,15TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-901-2400,212-644-8457,,,,,,,Approved,7/18/2000,7/28/2010,Y,WWW.GUGGENHEIMPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,Up to 10 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,11-25 percent,TRUSTS,Y,N,N,Y,N,Y,N,,Y,"185,986,564.00","3,403,430,505.00","3,589,417,069.00",139,141,280,N,Y,N,Y,N,Y,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,46035,801-68315,"SYNERGY INVESTMENT GROUP, LLC","SYNERGY INVESTMENT GROUP, LLC",8320 UNIVERSITY EXECUTIVE PARK DR.,SUITE 112,CHARLOTTE,NC,UNITED STATES,28262,704-333-7637,704-333-7676,,,,,,,Approved,10/24/2007,7/28/2010,Y,WWW.SYNERGYINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"30,228,221.00",0,"30,228,221.00",252,0,252,Y,Y,N,N,N,Y,N,N,Y,N,,10-Jan,,N,N,Y,Y,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
CHRO,105197,801-30842,"SVA WEALTH MANAGEMENT, INC.","SVA WEALTH MANAGEMENT, INC.",1221 JOHN Q HAMMONS DRIVE,,MADISON,WI,UNITED STATES,53717-2912,608-826-2300,608-831-4243,P.O. BOX 44966,,MADISON,WI,UNITED STATES,53744-4966,Approved,11/6/1987,2/19/2010,Y,WWW.SVAWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,More than 500,800,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"555,415,873.00","219,747,681.00","775,163,554.00","2,551",179,"2,730",Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,147423,801-69264,"EULAV ASSET MANAGEMENT, LLC","EULAV ASSET MANAGEMENT, LLC","220 EAST 42ND STREET, 6TH FLOOR",,NEW YORK,NY,UNITED STATES,10017-5891,(212) 907-1827,(212) 907-1963,,,,,,,Approved,6/30/2008,7/28/2010,Y,WWW.EULAVAM.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,11-25 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,061,618,841.00",0,"2,061,618,841.00",17,0,17,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,146203,801-71138,ARTEMIS FINANCIAL ADVISORS LLC,ARTEMIS FINANCIAL ADVISORS LLC,54 CHANDLER ST.,,BOSTON,MA,UNITED STATES,2116,617-542-2420,617-542-0011,,,,,,,Approved,2/25/2010,2/19/2010,Y,WWW.ARTEMISADVISORS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"41,136,592.00",0,"41,136,592.00",16,0,16,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109640,801-56308,RCM,RCM CAPITAL MANAGEMENT LLC,555 MISSION STREET,SUITE 1700,SAN FRANCISCO,CA,UNITED STATES,94105,415 954-5400,415 954-8200,,,,,,,Approved,2/24/1999,7/28/2010,Y,WWW.RCM.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,10-Jun,0,101-250,0,Up to 10 percent,11-25 percent,Up to 10 percent,26-50 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,"FOREIGN GOVERNMENT ENTITIES, SUPRANATIONAL ORGANIZATIONS",Y,N,N,Y,N,Y,N,,Y,"17,270,743,495.00","564,497,015.00","17,835,240,510.00",180,24,204,N,Y,Y,Y,N,Y,N,N,N,N,,,,N,Y,N,Y,Y,N,N,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109826,801-48380,BRIDGEWATER ADVISORS INC.,BRIDGEWATER ADVISORS INC.,"489 FIFTH AVENUE, 30TH FLOOR",,NEW YORK,NY,UNITED STATES,10017-6114,212-221-5300,212-221-5385,,,,,,,Approved,1/1/1995,2/19/2010,Y,WWW.BRIDGEWATERADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"792,472,000.00",0,"792,472,000.00","1,465",0,"1,465",N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106523,801-43897,MUTUAL OF AMERICA CAPITAL MANAGEMENT CORP.,MUTUAL OF AMERICA CAPITAL MANAGEMENT CORP.,320 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10022-6839,212-224-1900,212-224-2411,,,,,,,Approved,5/12/1993,7/28/2010,Y,WWW.CAPITALMANAGEMENTCORP.COM,N,Y,N,N,Y,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"9,763,000,000.00",0,"9,763,000,000.00",37,0,37,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111776,801-55304,UNION SQUARE INVESTMENT CO,UNION SQUARE INVESTMENT CO,"180 GEARY STREET, SUITE 500",,SAN FRANCISCO,CA,UNITED STATES,94108,415-392-9228,415-392-1928,,,,,,,Approved,2/27/1998,7/28/2010,Y,WWW.USQIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"97,639,963.00",0,"97,639,963.00",1,0,1,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,Y,N,Y,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,128566,801-62980,GROSSMAN FINANCIAL MANAGEMENT,"GROSSMAN, LAWRENCE I","940 ADAMS STREET, SUITE L",,BENICIA,CA,USA,94510,707-745-8756,707-745-8723,,,,,,,Approved,4/14/2004,2/19/2010,Y,WWW.GROSSMANFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"74,000,000.00","1,000,000.00","75,000,000.00",492,7,499,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111045,801-25416,VAN ALSTYNE & CO INC,VAN ALSTYNE & CO INC,2555 FLORES ST,STE 300,SAN MATEO,CA,UNITED STATES,94403-2344,650-522-9090,650-522-9798,,,,,,,Approved,9/27/1985,8/19/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"11,634,998.00","15,525,297.00","27,160,295.00",23,4,27,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,15007,801-71386,AEGIS CAPITAL CORP.,AEGIS CAPITAL CORP.,810 7TH AVE.,11TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-813-2700,212-813-1047,,,,,,,Approved,5/10/2010,7/28/2010,Y,WWW.AEGISCAPCORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,10-Jan,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,Y,REFERRAL FEES,Y,"34,462,637.00","26,705,783.00","61,168,420.00",99,199,298,N,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N
LARO,133862,801-63909,"SEQUOIA FINANCIAL ADVISORS, INC.","SEQUOIA FINANCIAL ADVISORS, INC.",5635 EAST THOMAS ROAD,,PHOENIX,AZ,USA,85018,480-421-0600,480-421-0619,,,,,,,Approved,3/10/2005,2/19/2010,Y,401KCOACH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,Up to 10 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"33,364,336.00","132,344,574.00","165,708,910.00",49,96,145,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,119442,801-62941,"WATERFORD ADVISORS, LLC","WATERFORD ADVISORS, LLC",6225 SHERIDAN DRIVE,SUITE 214,WILLIAMSVILLE,NY,UNITED STATES,14221-5806,716-580-3906,716-580-3913,,,,,,,Approved,4/9/2004,2/20/2010,Y,WWW.WATERFORDADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"71,552,784.00","2,038,110.00","73,590,894.00",324,8,332,Y,Y,N,Y,N,N,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES,51-100,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,154363,801-71692,INTERBOLSA INVESTMENT MANAGEMENT LLC,INTERBOLSA INVESTMENT MANAGEMENT LLC,"1200 BRICKELL AVE, SUITE 800",,MIAMI,FL,UNITED STATES,33131,305-392-1556,305-392-1557,,,,,,,120-Day Approval,7/30/2010,7/28/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151032,801-70878,LAZARD WEALTH MANAGEMENT,LAZARD WEALTH MANAGEMENT LLC,30 ROCKEFELLER PLAZA,,NEW YORK,NY,UNITED STATES,10112-6300,212-632-6000,212-332-5626,,,,,,,Approved,1/4/2010,7/28/2010,Y,WWW.LAZARD.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,131308,801-63287,"CONTANGO CAPITAL ADVISORS, INC.","CONTANGO CAPITAL ADVISORS, INC.","WELMAN HOLDINGS, INC.","111 SUTTER STREET, SUITE 975",SAN FRANCISCO,CA,UNITED STATES,94104,(415) 677-6700,(415) 677-6715,,,,,,,Approved,7/28/2004,7/28/2010,Y,WWW.CONTANGOADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,10-Jun,0,More than 500,"1,000",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"80,000,000.00","48,000,000.00","128,000,000.00",600,300,900,Y,Y,N,Y,N,Y,Y,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109627,801-57906,CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC,CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC,4250 EXECUTIVE DRIVE,SUITE 400,LA JOLLA,CA,UNITED STATES,92037,858-452-3811,858-535-9068,,,,,,,Approved,9/5/2000,7/28/2010,Y,WWW.CAYWOOD-SCHOLL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,11-25 percent,11-25 percent,COLLATERALIZED DEBT OBLIGATIONS,Y,N,N,Y,N,Y,N,,Y,"1,094,183,050.00",0,"1,094,183,050.00",19,0,19,N,Y,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR COLLATERALIZED DEBT OBLIGATIONS,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,109870,801-60091,PALM BEACH CAPITAL CORPORATION,PALM BEACH CAPITAL CORPORATION,4120 ROGERS AVENUE,SUITE M-5,FORT SMITH,AR,UNITED STATES,72903,479-785-4630,479-785-4631,P. O. BOX 11851,,FORT SMITH,AR,UNITED STATES,72917,Approved,6/1/2001,2/20/2010,Y,HTTP://WWW.PALMBEACHCAPITALCORPORATION.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,OTHER TRUSTS,Y,Y,N,N,N,N,N,,Y,"4,242,959.00",0,"4,242,959.00",125,0,125,Y,Y,N,N,Y,Y,Y,N,Y,Y,TAX ADVISE,26-50,,Y,Y,N,N,N,N,N,N,Y,PENSION PLANS,Y,N,Y,N,N,Y,N,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N
PLRO,152789,801-71683,"HALIFAX INVESTMENT MANAGEMENT, L.L.C.","HALIFAX INVESTMENT MANAGEMENT, L.L.C.","1133 CONNECTICUT AVENUE, NW",SUITE 700,WASHINGTON,DC,UNITED STATES,20036,202-530-8300,202-296-7133,,,,,,,Approved,7/21/2010,7/28/2010,Y,WWW.THEHALIFAXGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"303,137,425.00",0,"303,137,425.00",10,0,10,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,151862,801-71708,WATKINSON CAPITAL ADVISORS LLC,WATKINSON CAPITAL ADVISORS LLC,150 N. RADNOR CHESTER ROAD,SUITE A 150,RADNOR,PA,UNITED STATES,19087-5271,610-989-9090 EXT. 151,610-989-9092,,,,,,,Approved,8/5/2010,7/28/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,10-Jun,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"29,054,000.00",0,"29,054,000.00",45,0,45,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105753,801-5182,"WILSON, KEMP & ASSOCIATES, INC.","WILSON, KEMP & ASSOCIATES, INC.",255 EAST BROWN STREET,SUITE 200,BIRMINGHAM,MI,UNITED STATES,48009-6220,248-594-4100,248-594-4135,255 EAST BROWN STREET,SUITE 200,BIRMINGHAM,MI,UNITED STATES,48009-6220,Approved,12/6/1968,7/28/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,224,370,316.00",0,"1,224,370,316.00",757,0,757,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
LARO,133611,801-63816,"WOLMAN WEALTH MANAGEMENT, INC","WOLMAN WEALTH MANAGEMENT, INC.",10640 ROCHESTER AVE,,LOS ANGELES,CA,UNITED STATES,90024,310-234-1992,310-234-1928,PO BOX 251499,,LOS ANGELES,CA,UNITED STATES,90025,Approved,2/17/2005,2/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,NO SEPARATE FEE CHARGED.,Y,0,"30,000,000.00","30,000,000.00",0,17,17,Y,N,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,117410,801-64883,"CARSON ADVISORY, INC.","CARSON ADVISORY, INC.",470 HILL ST.,,ATHENS,GA,UNITED STATES,30601,706-353-1190,706-543-6579,,,,,,,Approved,1/3/2006,2/22/2010,Y,WWW.CARSONADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,MANAGEMENT FEES,Y,0,"151,225,982.00","151,225,982.00",0,738,738,Y,Y,N,N,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111743,801-30504,BRINKER CAPITAL INC,BRINKER CAPITAL INC,1055 WESTLAKES DRIVE,SUITE 250,BERWYN,PA,UNITED STATES,19312,610-407-5500,610-407-5407,,,,,,,Approved,2/26/1988,2/22/2010,Y,WWW.BRINKERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,51-250,0,51-250,0,More than 500,"23,000",Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,NONE,Y,N,N,N,N,N,N,,Y,"4,922,134,180.00","3,953,991,132.00","8,876,125,312.00","20,377","8,738","29,115",Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,Y,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,136150,801-71151,WEISS MULTI-STRATEGY ADVISERS LLC,WEISS MULTI-STRATEGY ADVISERS LLC,ONE STATE STREET,20TH FLOOR,HARTFORD,CT,UNITED STATES,6103,860-240-8900,860-246-4557,,,,,,,Approved,3/16/2010,2/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,11-25 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,975,030,000.00",0,"1,975,030,000.00",10,0,10,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,113579,801-60858,"SAR SERVICES, INC.","SAR SERVICES, INC.",208 WESTFALL ROAD,,ROCHESTER,NY,USA,14620-4679,585-473-3750,585-442-9516,,,,,,,Approved,1/18/2002,8/27/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"21,850,203.00","3,650,025.00","25,500,228.00",90,155,245,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,24549,801-66208,"FIRST DALLAS SECURITIES, INC.","FIRST DALLAS SECURITIES, INC.",2905 MAPLE AVE.,,DALLAS,TX,UNITED STATES,75201,214-954-1177,214-954-1523,,,,,,,Approved,1/30/2006,8/27/2009,Y,WWW.FIRSTDALLAS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,More than 500,500,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,Y,Y,N,N,,Y,"134,402,683.00",0,"134,402,683.00",716,0,716,N,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR INVESTMENT CLUBS/LIMITED PARTNERSHIPS,0,,N,N,Y,N,N,N,N,N,N,,N,,Y,N,Y,Y,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
DRO,111709,801-60148,"CAPITAL FINANCIAL GROUP, INC.","CAPITAL FINANCIAL GROUP, INC.",1660 WYNKOOP STREET SUITE 1155,,DENVER,CO,USA,80202-1146,303-629-7500,303-629-7560,,,,,,,Approved,4/13/2001,2/22/2010,Y,WWW.RAYMONDJAMES.COM/CFG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"25,947,543.00","2,697,970.00","28,645,513.00",47,14,61,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,Y,MORTGAGE ORIGINATION,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,141608,801-67304,CHALLENGER MANAGED INVESTMENTS (INTERNATIONAL) PTY LIMITED,CHALLENGER MANAGED INVESTMENTS (INTERNATIONAL) PTY LIMITED,LEVEL 15,255 PITT STREET,SYDNEY,,AUSTRALIA,2000,011 61 2 9994 7000,011 61 2 9994 7777,,,,,,,Approved,12/8/2006,8/27/2009,Y,WWW.CHALLENGER.COM.AU,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),AUSTRALIAN PROPRIETARY COMPANY LIMITED BY SHARES,,AUSTRALIA,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,REGISTRANT HAS A STRATEGIC ALLIANCE TO ACT AS SUB-ADVISOR TO A US REGISTERED INVESTMENT ADVISER.,Y,N,N,N,N,Y,N,,Y,"53,700,000.00",0,"53,700,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,151222,801-70527,BRONTE CAPITAL,BRONTE CAPITAL MANAGEMENT PTY LTD,SUITE 2101B,520 OXFORD STREET,BONDI JUNCTION,,AUSTRALIA,2022,+ 61 2 9389 3293,,,,,,,,Approved,9/3/2009,8/28/2009,Y,WWW.BRONTECAPITAL.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,,AUSTRALIA,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,AUSTRALIAN INVESTMENT TRUST,Y,N,N,N,N,Y,N,,Y,"1,550,000.00",0,"1,550,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HIGH NET WORTH INDIVIDUALS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,133673,801-63967,"GALLERIA FINANCIAL ADVISORS, LLC","GALLERIA FINANCIAL ADVISORS, LLC",3625 CUMBERLAND BOULEVARD,SUITE 1000,ATLANTA,GA,USA,30339,678-302-1482,770-390-0394,,,,,,,Approved,2/23/2005,2/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"82,300,325.00","82,300,325.00",0,62,62,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106668,801-47168,ADVISER INVESTMENTS,ADVISER INVESTMENT MANAGEMENT INC,85 WELLS AVE SUITE 109,,NEWTON,MA,UNITED STATES,2459,617-321-2200,617-321-2210,,,,,,,Approved,8/4/1994,2/22/2010,Y,WWW.ADVISERINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,500",51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,140,000,000.00",0,"1,140,000,000.00","4,520",0,"4,520",N,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150529,801-70712,"WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC","WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC",140 BROADWAY,,NEW YORK,NY,UNITED STATES,10005,212-320-2000,212-320-3040,,,,,,,Approved,3/9/2010,2/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"762,518,747.00","9,471,926.00","771,990,673.00",497,8,505,N,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,N,Y,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
PLRO,110094,801-57015,PERESS INVESTMENT ADVISORS LTD,PERESS INVESTMENT ADVISORS LTD,"1497 CHAIN BRIDGE ROAD, SUITE 200",,MCLEAN,VA,USA,22101,703-356-8611,703-356-5086,"1497 CHAIN BRIDGE ROAD, SUITE 200",,MCLEAN,VA,,22101,Approved,12/2/1999,2/22/2010,Y,WWW.OUTFITTERFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"232,121,657.00",0,"232,121,657.00",344,0,344,N,Y,N,Y,N,N,N,N,N,Y,FEE-BASED CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
CHRO,106689,801-48232,MENCH FINANCIAL INC,MENCH FINANCIAL INC,8280 MONTGOMERY ROAD,SUITE 201,CINCINNATI,OH,UNITED STATES,45236-6101,513-745-5111,513-745-5115,,,,,,,Approved,1/17/1995,2/22/2010,Y,WWW.MENCHFIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,More than 500,"1,000",Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"193,658,045.00",0,"193,658,045.00",577,0,577,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,106865,801-31219,"WHITENER CAPITAL MANAGEMENT, INC","WHITENER CAPITAL MANAGEMENT, INC","THE POWER PLANT, SUITE 200",1701 SUNSET AVE,ROCKY MOUNT,NC,UNITED STATES,27804,252-972-8908,252-972-7793,P.O. BOX 7743,,ROCKY MOUNT,NC,UNITED STATES,27804,Approved,12/31/1987,2/22/2010,Y,WWW.WHITENERCAPITALMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,000,000.00","99,091,000.00","100,091,000.00",10,465,475,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,149021,801-70755,"WELLINGTON SHIELDS & CO., LLC","WELLINGTON SHIELDS & CO., LLC",140 BROADWAY,,NEW YORK,NY,UNITED STATES,10005,212-320-3000,212-320-3040,,,,,,,Approved,3/9/2010,2/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,Y,N,,Y,"135,246,296.00",0,"135,246,296.00",196,0,196,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,Y,Y,N,N,Y,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,121812,801-61906,INVESTMENT PARTNERS ASSET MANAGEMENT,INVESTMENT PARTNERS ASSET MANAGEMENT,1 HIGHLAND AVENUE,,METUCHEN,NJ,USA,8840,732-205-0391,732-205-0395,,,,,,,Approved,3/28/2003,2/22/2010,Y,WWW.INVESTMENTPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"72,956,663.00","1,077,838.00","74,034,501.00",195,4,199,Y,Y,Y,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,N,N,N,,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,150310,801-70369,"PARRISH & COMPANY PRIVATE WEALTH MANAGEMENT, LLC","PARRISH & COMPANY PRIVATE WEALTH MANAGEMENT, LLC",5425 WISCONSIN AVENUE,SUITE 201,CHEVY CHASE,MD,UNITED STATES,20815,301-656-8326,301-656-1301,,,,,,,Approved,7/20/2009,2/22/2010,Y,WWW.PARRISHPWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,% OF ASSETS UNDER ADVISEMENT,Y,"91,069,389.00","4,146,614.00","95,216,003.00",431,10,441,Y,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT MANAGEMENT CONSULTING AND MONITORING,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,120277,801-61100,"LM CAPITAL GROUP, LLC","LM CAPITAL GROUP, LLC","401 B STREET, SUITE 950",,SAN DIEGO,CA,UNITED STATES,92101,619-814-1401,619-814-1404,,,,,,,Approved,4/1/2002,2/22/2010,Y,WWW.LMCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,51-75 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,010,525,407.00",0,"4,010,525,407.00",27,0,27,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,36644,801-69346,"PRIVATE PORTFOLIO OF SAN DIEGO, INC.","PRIVATE PORTFOLIO OF SAN DIEGO, INC.",7534 LA JOLLA BLVD,,LA JOLLA,CA,USA,92037,858-551-2071,858-551-2072,,,,,,,Approved,7/2/2008,2/22/2010,Y,WWW.PRIVATEPORTFOLIO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,10-Jun,0,Nov-50,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"61,004,237.00",0,"61,004,237.00",71,0,71,N,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,Y,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,153088,801-71153,COTE FINANCIAL MANAGEMENT,"COTE FINANCIAL MANAGEMENT, LLC",,,,,,,978-767-9501,978-767-9503,,,,,,,Approved,3/17/2010,2/22/2010,Y,COTEFINANCIALSEVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,0,"25,500,000.00","25,500,000.00",0,350,350,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110410,801-55681,NWF ADVISORY SERVICES INC,NWF ADVISORY SERVICES INC,11835 W OLYMPIC BLVD,STE 1150E,LOS ANGELES,CA,USA,90064,310-475-5854,310-882-6800,,,,,,,Approved,6/30/1998,2/22/2010,Y,WWW.NWFADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,More than 500,"1,000",11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"161,680,000.00","59,740,000.00","221,420,000.00",952,184,"1,136",Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,134002,801-64285,"CAMPION WEALTH MANAGEMENT, LLC","CAMPION WEALTH MANAGEMENT, LLC",1934 OLD GALLOWS ROAD,SUITE 402,VIENNA,VA,UNITED STATES,22182,703-848-0344,703-852-7348,,,,,,,Approved,3/23/2006,2/22/2010,Y,WWW.CAMPIONWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"50,496,936.00","13,204,299.00","63,701,235.00",155,12,167,Y,Y,N,Y,N,N,Y,N,N,Y,CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,113348,801-63874,"NATURAL INVESTMENTS, LLC","NATURAL INVESTMENTS, LLC",,,,,,,970-527-6550,,P.O. BOX 747,,PAONIA,CO,USA,81428,Approved,2/10/2005,2/22/2010,Y,WWW.NATURALINVESTING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"83,198,773.00",0,"83,198,773.00",401,0,401,N,Y,N,Y,N,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,116985,801-67523,"DAVID F. BELLO, CFP",DAVID FRANCIS BELLO,,,,,,,808-254-0022,808-254-3817,,,,,,,Approved,1/24/2007,2/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,HI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"45,391,738.00","45,391,738.00",0,169,169,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107459,801-41333,CASEY THOMAS CLARK,CASEY THOMAS CLARK,"620 NEWPORT CENTER DRIVE,",STE 1100,NEWPORT BEACH,CA,USA,92660,949-721-6629,949-721-6693,,,,,,,Approved,4/24/1992,2/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"31,983,000.00",0,"31,983,000.00",36,0,36,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,110248,801-43372,"EDMP, INC.","EDMP, INC.",18534 DALE MABRY HWY N.,,LUTZ,FL,UNITED STATES,33548,813-960-9600,813-960-9609,,,,,,,Approved,2/23/1993,2/23/2010,Y,WWW.EDMPINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,11-25 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,11-25 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"199,468,143.00",0,"199,468,143.00",431,0,431,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,126218,801-62053,PROXYGEN CO. INVESTMENT ADVISER,PROXYGEN CO.,180 CORSO VALSESIA,,"GATTINARA, VC",,ITALY,13045,+39 0163 862233,+39 0163 862234,"VIA DOTT. GIUSEPPE BEFFA, 5/1",,"ALBENGA, SV",,ITALY,17031,Approved,5/23/2003,2/23/2010,Y,PROXYGEN.BIZ,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,N,N,N,Y,INDIVIDUALLY NEGOTIATED COMPENSATION; REFERRAL FEES,N,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,Y,INDIVIDUALLY NEGOTIATED SERVICES; CONSULTING; REFERRALS,0,,N,N,N,N,N,N,N,N,Y,VENTURE CAPITAL AND/OR LOAN BROKERAGE,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,108289,801-62262,"SUNCOAST EQUITY MANAGEMENT, INC.","SUNCOAST EQUITY MANAGEMENT, INC.",5550 W EXECUTIVE DR,SUITE 320,TAMPA,FL,USA,33609,813-963-0502,813-830-6062,,,,,,,Approved,8/8/2003,2/23/2010,Y,WWW.SUNCOASTEQUITY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"76,700,000.00","14,400,000.00","91,100,000.00",130,70,200,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109531,801-58102,"FINANCIAL MANAGEMENT ASSOCIATES, LLC","FINANCIAL MANAGEMENT ASSOCIATES, LLC",33 RAILROAD AVENUE,,DUXBURY,MA,UNITED STATES,2332,781-934-7880,781-934-8220,,,,,,,Approved,11/1/2000,2/23/2010,Y,WWW.FMALLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"154,407,977.00","2,481,881.00","156,889,858.00","1,044",13,"1,057",Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108512,801-42617,"BRAVE ASSET MANAGEMENT, INC.","BRAVE ASSET MANAGEMENT, INC.",47 SUMMIT AVENUE,,SUMMIT,NJ,UNITED STATES,7901,908-522-8822,908-522-1022,,,,,,,Approved,10/29/1992,2/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,SEC RULE 206(4)-3 REFERRAL FEES,Y,"127,024,183.00","5,343,532.00","132,367,715.00",131,8,139,N,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT ADVICE THROUGH CONSULTATIONS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,146015,801-71063,"KLEINHENZ & ASSOCIATES, LTD.","KLEINHENZ & ASSOCIATES, LTD.",7100 EUCLID AVENUE,SUITE 100,CLEVELAND,OH,UNITED STATES,44103,216-706-2920,216-391-4767,,,,,,,Approved,3/2/2010,2/23/2010,Y,WWW.KLEINHENZASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"32,832,768.00","9,210,448.00","42,043,216.00",79,11,90,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107342,801-29362,FISHER INVESTMENTS,"FISHER ASSET MANAGEMENT, LLC",13100 SKYLINE BLVD.,,WOODSIDE,CA,UNITED STATES,94062-4527,800-851-8845,650-529-3815,,,,,,,Approved,3/26/1987,2/23/2010,Y,WWW.FISHERINVESTMENTS.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,501-1000,0,51-250,0,10-Jun,0,5-Jan,0,More than 500,"24,000",11-25 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"36,476,300,000.00",0,"36,476,300,000.00","37,331",0,"37,331",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,145076,801-68408,PALLADIUM REGISTERED INVESTMENT ADVISORS,"PALLADIUM PARTNERS, LLC","999 WATERSIDE DRIVE, SUITE 800",,NORFOLK,VA,UNITED STATES,23510,757-305-1500,757-305-1538,,,,,,,Approved,10/19/2007,2/23/2010,Y,HTTP://WWW.PALLADIUMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,159,378,489.00","44,957,712.00","1,204,336,201.00","1,263",12,"1,275",N,Y,N,Y,N,N,N,N,N,Y,ESTATE VALUATIONS,,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,139620,801-69008,CRESCAT PORTFOLIO MANAGEMENT LLC,CRESCAT PORTFOLIO MANAGEMENT LLC,1225 SEVENTEENTH STREET,SUITE 1775,DENVER,CO,UNITED STATES,80202-5534,303-271-9997,303-271-9998,,,,,,,Approved,4/2/2008,2/23/2010,Y,WWW.CRESCAT.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"48,000,000.00",0,"48,000,000.00",56,0,56,N,Y,N,Y,N,N,N,N,N,Y,ADVISORY SUPPORT TO HEDGE FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105194,801-31346,SILVER BRIDGE,SILVER BRIDGE CAPITAL MANAGEMENT LLC,60 STATE STREET,,BOSTON,MA,UNITED STATES,2109,617-526-5801,617-526-2811,,,,,,,Approved,2/19/1988,2/23/2010,Y,WWW.SILVERBRIDGEADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,573,275,269.00","56,543,185.00","1,629,818,454.00","1,240",53,"1,293",N,Y,N,Y,N,Y,Y,N,N,Y,CUSTODIAL SERVICES; CONSULTATIONS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,114439,801-60454,"AMERICAN TRUST INVESTMENT ADVISORS, LLC","AMERICAN TRUST INVESTMENT ADVISORS, LLC",ONE COURT STREET,,LEBANON,NH,UNITED STATES,03766-1358,603-448-6415,603-448-4569,,,,,,,Approved,8/6/2001,2/23/2010,Y,WWW.ALLEGIANCEFUND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"121,189,656.00","1,130,899.00","122,320,555.00",155,1,156,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,128612,801-70078,"HEWLETT DAVIDSON POWELL, LLC","HEWLETT DAVIDSON POWELL, LLC",4960 VALLEYDALE ROAD,SUITE 200,BIRMINGHAM,AL,USA,35242,205-981-1099,205-981-0299,,,,,,,Approved,4/28/2009,2/23/2010,Y,WWW.HEWLETTDAVIDSON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,ASSET BASED FEE FOR PENSION CONSULTING SERVICES,Y,0,"35,312,984.00","35,312,984.00",0,191,191,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,112442,801-39630,GREEN CENTURY CAPITAL MANAGEMENT INC,GREEN CENTURY CAPITAL MANAGEMENT INC,114 STATE STREET SUITE 200,,BOSTON,MA,UNITED STATES,02109-2424,617-482-0800,617-422-0881,,,,,,,Approved,8/15/1991,8/20/2009,Y,WWW.GREENCENTURY.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"90,782,640.00",0,"90,782,640.00",2,0,2,N,N,Y,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,114114,801-60603,"QUAKER FUNDS, INC.","QUAKER FUNDS, INC.",309 TECHNOLOGY DRIVE,,MALVERN,PA,USA,19355,610-455-2200,610-455-2222,,,,,,,Approved,9/21/2001,2/23/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,0,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"690,000,000.00",0,"690,000,000.00",7,0,7,N,N,Y,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N
NYRO,146106,801-68710,"SOLAR CAPITAL PARTNERS, LLC","SOLAR CAPITAL PARTNERS, LLC","500 PARK AVENUE, 5TH FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-993-1670,212-993-1698,,,,,,,Approved,1/31/2008,2/23/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"885,000,000.00",0,"885,000,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104975,801-14843,NORTHERN CAPITAL MANAGEMENT LLC,NORTHERN CAPITAL MANAGEMENT LLC,8000 EXCELSIOR DRIVE,SUITE 201,MADISON,WI,UNITED STATES,53717-1951,608-831-8018,608-831-0200,,,,,,,Approved,9/20/1979,2/23/2010,Y,WWW.NORCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,26-50 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"262,300,000.00",0,"262,300,000.00",210,0,210,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,105156,801-11769,RAMSAY STATTMAN VELA & PRICE INC,RAMSAY STATTMAN VELA & PRICE INC,"2 N. CASCADE AVE., STE 810",,COLORADO SPRINGS,CO,USA,80903,719-473-6925,719-473-8379,,,,,,,Approved,5/25/1976,2/23/2010,Y,WWW.RSVP-INVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"148,771,027.00","78,517,356.00","227,288,383.00",177,61,238,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108942,801-56371,DIVERSIFIED PORTFOLIOS INC,DIVERSIFIED PORTFOLIOS INC,39520 WOODWARD AVENUE,SUITE 212,BLOOMFIELD HILLS,MI,UNITED STATES,48304,248-644-3030,248-644-4040,,,,,,,Approved,3/23/1999,2/23/2010,Y,WWW.DIVERSIFIEDPORTFOLIOS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"90,000,000.00",0,"90,000,000.00",361,0,361,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126165,801-62279,"NEWSHOLME FINANCIAL GROUP, INC.","NEWSHOLME FINANCIAL GROUP, INC",2326 CROMPOND ROAD,,YORKTOWN HTS,NY,USA,10598,914-243-6700,914-243-6725,,,,,,,Approved,8/13/2003,2/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"38,936,251.00",0,"38,936,251.00",245,0,245,Y,Y,N,Y,N,N,N,N,N,Y,CONSULTING SERVICES,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,124719,801-61688,"PRIMA CAPITAL ADVISORS, LLC","PRIMA CAPITAL ADVISORS, LLC",2 OVERHILL ROAD,SUITE 340,SCARSDALE,NY,UNITED STATES,10583,914-725-9388,914-725-9385,,,,,,,Approved,1/2/2003,2/23/2010,Y,WWW.PRIMAADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,26-50 percent,0 percent,0 percent,51-75 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"1,985,000,000.00",0,"1,985,000,000.00",12,0,12,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,122727,801-61458,"REMCO ASSET MANAGEMENT, INC.","REMCO ASSET MANAGEMENT, INC.",201 OLD COUNTRY ROAD,SUITE 206,MELVILLE,NY,USA,11747,631-944-6351,631-944-6310,,,,,,,Approved,9/13/2002,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"29,837,733.00",0,"29,837,733.00",81,0,81,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108818,801-69759,"TOTAL INVESTMENT MANAGEMENT, INC.","TOTAL INVESTMENT MANAGEMENT, INC.",9383 E. BAHIA DR.,SUITE 120,SCOTTSDALE,AZ,UNITED STATES,85260,480-998-5735,480-443-1588,,,,,,,Approved,12/5/2008,3/18/2010,Y,WWW.TIMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,More than 500,"1,000",51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,Y,Y,N,N,N,,Y,"470,194,240.00",0,"470,194,240.00","1,724",0,"1,724",Y,Y,N,Y,N,N,Y,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,134801,801-68477,"VERMILION ASSET MANAGEMENT, LLC","VERMILION ASSET MANAGEMENT, LLC",345 DOUCET ROAD,SUITE 200A,LAFAYETTE,LA,UNITED STATES,70503,337-984-4018,337-988-0393,P.O. BOX 52302,,LAFAYETTE,LA,UNITED STATES,70505-2302,Approved,11/13/2007,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,NEGOTIABLE FEES,Y,0,"31,200,000.00","31,200,000.00",0,48,48,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,14797,801-61535,SOUTH VALLEY WEALTH MANAGEMENT,ELLIOTT-LEDGERWOOD & COMPANY,810 MAIN STREET,,KLAMATH FALLS,OR,UNITED STATES,97601,541-882-5488,541-882-7608,,,,,,,Approved,10/17/2002,3/18/2010,Y,WWW.SOUTHVALLEYWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,26-100,0,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"44,083,834.00","36,317,920.00","80,401,754.00",1,257,258,N,Y,N,Y,N,Y,N,N,N,N,,0,,Y,N,Y,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,119524,801-66504,HIGHWAY FINANCIAL NETWORKS,HIGHWAY FINANCIAL NETWORKS,2526 GOODWATER  AVENUE,,REDDING,CA,UNITED STATES,96002,(530) 223-1222,(530) 223-1550,,,,,,,Approved,4/5/2006,3/18/2010,Y,WWW.HIGHWAYFINANCIAL.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"9,205,605.00","116,010.00","9,321,615.00",65,23,88,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107305,801-9157,MCCUEN & CO INC,MCCUEN & CO INC,530 B ST STE 1430,,SAN DIEGO,CA,UNITED STATES,92101,619-239-3034,619-239-0953,,,,,,,Approved,3/22/1973,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"93,000,000.00","69,000,000.00","162,000,000.00",53,68,121,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,140702,801-68326,THE MUTUAL FUND STORE,TMFS SACRAMENTO LLC,963 PLEASANT GROVE BLVD. SUITE 130,,ROSEVILLE,CA,USA,95678,916-780-5353,916-960-2590,,,,,,,Approved,9/21/2007,3/18/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"88,071,915.00",0,"88,071,915.00",943,0,943,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104814,801-26716,STEVEN CHARLES CAPITAL LTD,STEVEN CHARLES CAPITAL LTD,200 CANAL VIEW BLVD,SUITE 203,ROCHESTER,NY,UNITED STATES,14623,585-325-1870,585-325-1879,,,,,,,Approved,4/1/1986,3/18/2010,Y,WWW.STEVENCHARLESCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"60,106,286.00","3,436,233.00","63,542,519.00",120,15,135,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,151739,801-70737,"CHARLES SCHWAB INVESTMENT ADVISORY, INC","CHARLES SCHWAB INVESTMENT ADVISORY, INC.",211 MAIN STREET,SF211MN-05-305,SAN FRANCISCO,CA,UNITED STATES,94105,415-667-0879,415-667-0402,,,,,,,Approved,11/5/2009,3/18/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"6,777,161,126.00",0,"6,777,161,126.00","60,000",0,"60,000",N,N,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,114654,801-66529,RANDOLPH MANAGED INVESTMENTS,MICHAEL ALAN RANDOLPH,50 OLD COURT HOUSE SQAURE,SUITE 303,SANTA ROSA,CA,UNITED STATES,95404-4923,707-573-1357,707-573-0309,,,,,,,Approved,3/23/2007,3/18/2010,Y,WWW.INVESTRMI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,0,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"25,004,915.00","12,117,879.00","37,122,794.00",45,4,49,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,135761,801-70441,"CHRISTOPHER M. BARRA, M.S.","BARRA, CHRISTOPHER MARK",,,,,,,617-770-3096,617-770-3096,,,,,,,120-Day Approval,7/28/2009,3/18/2010,Y,WWW.PANHANDLEFINANCIAL.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Sole Proprietorship,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"3,000,000.00","3,000,000.00",0,8,8,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,104805,801-14640,COEN & DENSMORE INC,COEN & DENSMORE INC,109 1/2 CHURCH ST,,CHARLESTON,SC,UNITED STATES,29401,843-577-7783,843-722-7257,P.O. BOX 727,,CHARLESTON,SC,UNITED STATES,29402,Approved,6/1/1979,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"31,561,044.00",0,"31,561,044.00",44,0,44,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,113879,801-63838,SERCO INVESTMENTS INC.,SERCO INVESTMENTS INC.,,,,,,,505-438-6679,505-438-6679,,,,,,,Approved,3/7/2005,3/18/2010,Y,WWW.SERCOINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NM,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"30,000,000.00",0,"30,000,000.00",100,0,100,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,150073,801-70099,"HARVEST OAK CAPITAL, LLC","HARVEST OAK CAPITAL, LLC","1230 PEACHTREE STREET, N.E.",SUITE 2445,ATLANTA,GA,UNITED STATES,30309,404-671-3586,404-671-3591,,,,,,,Approved,4/21/2009,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"35,000,000.00","7,000,000.00","42,000,000.00",45,55,100,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,108973,801-69062,MOORE FINANCIAL GROUP,MOORE FINANCIAL GROUP LLC,8081 SHAFFER PARKWAY,SUITE 4,LITTLETON,CO,UNITED STATES,80127,303.225.8400,303.225.8404,,,,,,,Approved,4/28/2008,3/18/2010,Y,WWW.MOOREFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"32,133,015.00","2,775,157.00","34,908,172.00",280,37,317,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,125646,801-66146,"C.W. O'CONNER & ASSOCIATES, INC.","C.W. O'CONNER & ASSOCIATES, INC.",7074 PEACHTREE INDUSTRIAL BOULEVARD,SUITE 100,NORCROSS,GA,UNITED STATES,30071,770-368-9919,770-368-9906,,,,,,,Approved,8/28/2006,3/18/2010,Y,WWW.CWOCONNER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"37,500,000.00","90,046,849.00","127,546,849.00",318,2,320,Y,Y,N,N,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,115489,801-60905,"BCS FINANCIAL, LLC","BCS FINANCIAL, LLC",801-B SUNSET DRIVE,,JOHNSON CITY,TN,USA,37604,423-283-9821,423-283-4532,P.O. BOX 3743,,JOHNSON CITY,TN,USA,37602,Approved,2/8/2002,3/18/2010,Y,WWW.BCSFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"76,740,000.00",0,"76,740,000.00",401,0,401,Y,Y,N,N,Y,N,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,104872,801-33360,CHARTER INVESTMENT ADVISORS INC,CHARTER INVESTMENT ADVISORS INC,5956 TURKEY LAKE RD.,SUITE 1,ORLANDO,FL,UNITED STATES,32819-4202,407-226-1112,407-226-1160,,,,,,,Approved,12/23/1988,3/18/2010,Y,CHARTERINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,RETAINER FEES AND SPECIAL SERVICE FEES,Y,"52,143,100.00","3,869,312.00","56,012,412.00",223,22,245,Y,Y,N,Y,N,N,N,N,N,Y,AGENT FOR EXECUTOR,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,150066,801-70125,"THE BLAKELEY GROUP, INC.","THE BLAKELEY GROUP, INC.",387 BRYANT AVE,,MOUNTAIN VIEW,CA,UNITED STATES,94040,650-968-4862,650-965-3306,,,,,,,Approved,4/28/2009,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"37,846,455.00",0,"37,846,455.00",182,0,182,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N
SFRO,105046,801-16670,ICM ASSET MANAGEMENT INC,ICM ASSET MANAGEMENT INC,"601 WEST MAIN AVENUE, SUITE 600",,SPOKANE,WA,UNITED STATES,99201-0613,509-455-3588,509-444-4500,,,,,,,Approved,12/31/1981,3/18/2010,Y,WWW.ICMASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,251-500,0,11-25 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,MDA PROGRAMS,Y,N,N,N,N,Y,N,,Y,"170,734,268.00",0,"170,734,268.00",421,0,421,Y,Y,N,Y,N,N,N,N,N,Y,ICM MAY FURNISH INVESTMENT RECOMMENDATIONS TO OTHER FINANCIAL FIRMS THROUGH THE FORMULATION AND MAINTENANCE OF MODEL PORTFOLIOS.,26-50,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,123833,801-69173,"THE MCCUTCHEN COMPANY, INC.","THE MCCUTCHEN COMPANY, INC.",524-A BOULEVARD PARK WEST,,MOBILE,AL,UNITED STATES,36609,251-344-4440,251-344-1505,P. O. BOX 9217,,MOBILE,AL,UNITED STATES,36691,Approved,5/21/2008,3/18/2010,Y,WWW.MCCUTCHENCOMPANY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,Y,MARKETING SUPPORT FROM WHOLESALERS,Y,0,"42,000,000.00","42,000,000.00",0,125,125,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105979,801-45443,BOND TECH INC,BOND TECH INC,,,,,,,937-836-3991,937-836-1497,P.O. BOX 192,,ENGLEWOOD,OH,UNITED STATES,45322-0192,Approved,12/16/1993,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"253,076,947.00",0,"253,076,947.00",11,0,11,N,N,N,Y,N,N,N,N,N,Y,SECURITY ANALYSIS & CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,104723,801-30085,ASSET STRATEGIES & MANAGEMENT INC,ASSET STRATEGIES & MANAGEMENT INC,"55 N THIRD ST, STE 201",,CAMPBELL,CA,UNITED STATES,95008,408-364-9100,408-364-9108,,,,,,,Approved,8/13/1987,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,ND,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"62,795,288.00","62,795,288.00",0,434,434,Y,Y,N,N,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124332,801-67414,"GEM ASSET MANAGEMENT, LLC","GEM ASSET MANAGEMENT, LLC",,,,,,,734-737-9108,734-737-9510,,,,,,,Approved,1/18/2007,3/18/2010,Y,WWW.GEMASSET.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"78,424,180.00",0,"78,424,180.00",349,0,349,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104233,801-67767,SIGNATURE SECURITIES GROUP CORP.,SIGNATURE SECURITIES GROUP CORPORATION,29 WEST 38TH STREET,,NEW YORK,NY,UNITED STATES,10018,646-822-1475,646-822-1470,,,,,,,Approved,5/10/2007,3/18/2010,Y,WWW.SIGNATURENY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"116,343,283.00","5,934,354.00","122,277,637.00",253,79,332,N,Y,N,Y,N,Y,N,N,N,N,,,,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N
PLRO,147792,801-69467,"CARTICA MANAGEMENT, LLC","CARTICA MANAGEMENT, LLC",1775 EYE STREET NW SUITE 800,,WASHINGTON,DC,USA,20006,202-367-3003,202-367-3001,,,,,,,Approved,7/25/2008,3/26/2010,Y,WWW.CARTICACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"203,568,306.00",0,"203,568,306.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,151802,801-70729,"IPOX CAPITAL MANAGEMENT, LLC","IPOX CAPITAL MANAGEMENT, LLC",141 WEST JACKSON BLVD.,SUITE 1340A,CHICAGO,IL,UNITED STATES,60604,312-264-4410,312-264-4401,,,,,,,Approved,10/30/2009,3/26/2010,Y,WWW.IPOXCAPM.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,INVESTMENT ADVISER.  SEE SCHEDULE D - MISCELLANEOUS.,Y,N,N,N,N,N,N,,Y,"1,600,000.00",0,"1,600,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,107588,801-42952,SOUTHEAST ASSET ADVISORS INC,SOUTHEAST ASSET ADVISORS INC,314 GORDON AVENUE,,THOMASVILLE,GA,UNITED STATES,31792,229-226-8839,229-226-1445,,,,,,,Approved,12/22/1992,3/26/2010,Y,WWW.ASSETADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,SEE ITEM 7A,Y,Y,N,Y,N,N,N,,Y,"507,213,017.00","696,976,548.00","1,204,189,565.00",606,132,738,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108727,801-56233,RUTABAGA CAPITAL MANAGEMENT LLC,RUTABAGA CAPITAL MANAGEMENT LLC,64 BROAD STREET,,BOSTON,MA,UNITED STATES,2109,617-204-1160,617-204-1161,,,,,,,Approved,1/28/1999,3/26/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,ENDOWMENT,Y,N,N,N,N,Y,N,,Y,"659,901,496.00",0,"659,901,496.00",25,0,25,N,N,Y,Y,N,N,N,N,N,Y,LIMITED PARTNERSHIP,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,118826,801-60966,"TRUSTMARK INVESTMENT ADVISORS, INC.","TRUSTMARK INVESTMENT ADVISORS, INC.",1701 LAKELAND DRIVE,,JACKSON,MS,USA,39216,601-208-6576,601-208-2317,,,,,,,Approved,3/1/2002,3/26/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MS,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,124,158,000.00",0,"3,124,158,000.00",11,0,11,N,N,Y,Y,N,Y,Y,N,N,N,,0,,N,Y,N,N,N,N,N,Y,N,,N,,N,N,Y,N,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,136300,801-65060,KEY INVESTMENT SERVICES LLC,KEY INVESTMENT SERVICES LLC,4900 TIEDEMAN ROAD,OH-01-49-3TBC,BROOKLYN,OH,UNITED STATES,44144,(888) 547-2968,(216) 357-6332,,,,,,,Approved,1/3/2006,3/26/2010,Y,WWW.KEY.COM/KIS,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"40,106,565.00","1,076,158.00","41,182,723.00",253,1,254,Y,Y,N,N,N,Y,N,N,N,N,,251-500,,Y,N,Y,N,N,N,N,N,N,,N,,Y,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106037,801-33642,ROBERT GORDON & ASSOCIATES INC,GORDON ROBERT & ASSOCIATES INC,1201 VETERANS PARKWAY STE A,,SPRINGFIELD,IL,UNITED STATES,62704,217-698-4844,217-698-4848,,,,,,,Approved,1/26/1989,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"87,473,212.00","87,473,212.00",0,"1,014","1,014",Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,114528,801-60598,FORTUNE ASSET MANAGEMENT,FORTUNE ASSET MANAGEMENT LIMITED,10 EXCHANGE SQUARE,PRIMROSE STREET,LONDON,,UNITED KINGDOM,EC2A 2BY,+44 20 7426 4000,+44 20 7426 4707,,,,,,,Approved,9/21/2001,3/26/2010,Y,WWW.FORTUNE.CO.UK,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,10-Jun,0,5-Jan,0,Nov-50,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"70,940,000.00",0,"70,940,000.00",11,0,11,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123182,801-66502,"A. ROBERT TAYLOR FINANCIAL ADVISORY SERVICES, LTD.","A. ROBERT TAYLOR FINANCIAL ADVISORY SERVICES, LTD.",825 GREEN BAY ROAD,SUITE 120,WILMETTE,IL,UNITED STATES,60091,847-251-2099,847-251-2022,,,,,,,Approved,6/4/2006,3/26/2010,Y,WWW.ARTFIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,COMMISSIONS ON INSURANCE PRODUCTS ONLY,Y,"39,089,173.00","5,701,443.00","44,790,616.00",163,1,164,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105729,801-34606,CARLSON D L INVESTMENT GROUP INC,CARLSON D L INVESTMENT GROUP INC,101 N. STATE STREET,,CONCORD,NH,UNITED STATES,3301,603-224-5977,603-226-2156,,,,,,,Approved,6/12/1989,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"489,002,405.00",0,"489,002,405.00",381,0,381,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109888,801-28990,TANAKA CAPITAL MANAGEMENT INC,TANAKA CAPITAL MANAGEMENT INC,369 LEXINGTON AVENUE,20TH FLOOR,NEW YORK,NY,USA,10017,212-490-3380,212-687-2852,,,,,,,Approved,2/10/1987,3/26/2010,Y,WWW.TANAKA.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,11-25 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"24,141,395.00",0,"24,141,395.00",37,0,37,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107444,801-50190,COURTLAND PARTNERS LTD,COURTLAND PARTNERS LTD,200 PUBLIC SQUARE,SUITE 2530,CLEVELAND,OH,UNITED STATES,44114,216-522-0330,216-522-0331,,,,,,,Approved,9/27/1995,3/26/2010,Y,WWW.COURTLAND.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"348,583,000.00","23,651,474,000.00","24,000,057,000.00",13,29,42,N,N,N,Y,Y,Y,N,N,N,Y,"QUALIFIED PROFESSIONAL ASSET MANAGER (""QPAM"")",,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108359,801-47325,"NORTHWEST INVESTMENT CONSULTING, INC.","NORTHWEST INVESTMENT CONSULTING, INC.",5446 CALIFORNIA AVE SW,STE 200,SEATTLE,WA,UNITED STATES,98136-1531,206-933-1500,206-938-5987,,,,,,,Approved,8/24/1994,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"97,198,175.00","97,198,175.00",0,10,10,N,Y,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,141481,801-67258,ASIA ALTERNATIVES MANAGEMENT LLC,ASIA ALTERNATIVES MANAGEMENT LLC,ONE MARITIME PLAZA,SUITE 1000,SAN FRANCISCO,CA,UNITED STATES,94111,415-723-8102,415-869-3939,,,,,,,Approved,10/26/2006,3/26/2010,Y,WWW.ASIAALT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,468,806,839.00","151,010,101.00","2,619,816,940.00",26,1,27,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105515,801-33048,"HALBERT, HARGROVE/RUSSELL LLC","HALBERT, HARGROVE/RUSSELL LLC",111 W. OCEAN BLVD.,SUITE 2300,LONG BEACH,CA,USA,90802,562-435-5657,562-435-0774,P.O. BOX 1070,,LONG BEACH,CA,USA,90801,Approved,10/13/1988,3/26/2010,Y,WWW.HALBERTHARGROVE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,Nov-50,0,More than 500,750,0 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,POST-RETIREMENT HEALTHCARE TRUSTS,Y,N,N,Y,N,N,N,,Y,"1,268,734,338.00","116,346,544.00","1,385,080,882.00","1,846",12,"1,858",Y,Y,N,Y,Y,Y,N,N,N,Y,INVESTMENT CONSULTING,101-250,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105580,801-31561,"NICHOLSON CAPITAL MANAGEMENT, INC.","NICHOLSON CAPITAL MANAGEMENT, INC.",1656 WASHINGTON,SUITE 100,KANSAS CITY,MO,USA,64108-1130,816-931-5757,816-531-0418,,,,,,,Approved,3/4/1988,3/26/2010,Y,WWW.NICHOLSONCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,FEDERALLY-RECOGNIZED ENTITY PURSUANT TO TITLE 25 OF THE UNITED STATES CODE,Y,Y,N,Y,N,N,N,,Y,"65,518,911.00","3,344,665.00","68,863,576.00",175,1,176,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,144213,801-67975,PRACTICAL PORTFOLIOS LLC,PRACTICAL PORTFOLIOS LLC,901 YORK STREET,,MANITOWOC,WI,USA,54220-4632,920-682-7680,920-482-5650,,,,,,,Approved,6/11/2007,3/26/2010,Y,WWW.PRACTICALPORTFOLIOS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"28,198,616.00",0,"28,198,616.00",112,0,112,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,130282,801-62860,"CENTURY CAPITAL MANAGEMENT, LLC","CENTURY CAPITAL MANAGEMENT, LLC","100 FEDERAL STREET, 29TH FLOOR",,BOSTON,MA,UNITED STATES,02110-1802,617-482-3060,617-542-9398,,,,,,,Approved,1/29/2004,3/26/2010,Y,WWW.CENTURYCAP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,11-25 percent,Up to 10 percent,11-25 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,589,099,054.00","181,847,984.00","1,770,947,038.00",26,3,29,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,113945,801-61050,"SEAL FINANCIAL SERVICES, INC.","SEAL FINANCIAL SERVICES, INC.","7600 E. EASTMAN AVE, SUITE 412",,DENVER,CO,USA,80231,303-671-9777,303-671-9333,,,,,,,Approved,4/19/2002,3/26/2010,Y,WWW.SEALFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SET FEES FOR FINANCIAL PLANNING,Y,0,"74,202,793.00","74,202,793.00",0,178,178,Y,Y,N,Y,N,N,Y,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,Y,INSURANCE,Y,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,146013,801-68769,"PENSION ADVISORS GROUP, LLC","PENSION ADVISORS GROUP, LLC",70 ESSEX ROAD,,WESTBROOK,CT,UNITED STATES,6498,860-399-2884,860-399-2885,,,,,,,Approved,2/12/2008,3/26/2010,Y,WWW.PENSIONADVISORSGROUP.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,Y,PERCENTAGE OF PLAN ASSETS,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,Y,PLAN PARTICIPANT CONSULTING  SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114870,801-64145,"POSEIDON CAPITAL MANAGEMENT, INC.","POSEIDON CAPITAL MANAGEMENT, INC.","520 POST OAK BLVD., SUITE 750",,HOUSTON,TX,USA,77027,713-621-7536,713-621-7552,,,,,,,Approved,4/20/2005,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,FAMILY PARTNERSHIPS,Y,N,N,Y,N,N,N,,Y,"28,016,000.00","1,181,000.00","29,197,000.00",13,15,28,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,127746,801-62255,SPECTRUM FINANCIAL MANAGEMENT,"FRIEDLANDER, BRENDA S",899 NORTHGATE DRIVE,SUITE 305,SAN RAFAEL,CA,USA,94903,415-472-7300,415-472-7357,,,,,,,Approved,7/1/2003,3/26/2010,Y,WWW.SPECTRUMFINANCIALMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"65,563,784.00","2,519,813.00","68,083,597.00",107,3,110,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,112361,801-64089,"JEANCO FINANCIAL,INC.","JEANCO FINANCIAL,INC",4590 MACARTHUR BLVD.,SUITE 500,NEWPORT BEACH,CA,UNITED STATES,92660,949-752-1396,949-475-9430,,,,,,,Approved,3/25/2005,3/26/2010,Y,WWW.JEANCOFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"41,161,424.00",0,"41,161,424.00",156,0,156,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,130132,801-62729,"NORTH SHORE PRIVATE ASSET MANAGEMENT, LLC","NORTH SHORE PRIVATE ASSET MANAGEMENT, LLC",272 E DEERPATH RD.,SUITE 220,LAKE FOREST,IL,UNITED STATES,60045,847-234-4196,847-234-4683,,,,,,,Approved,1/30/2004,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"92,761,828.00",0,"92,761,828.00",53,0,53,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,111441,801-44394,BRIDGEWAY CAPITAL MANAGEMENT INC,BRIDGEWAY CAPITAL MANAGEMENT INC,5615 KIRBY DRIVE,STE 518,HOUSTON,TX,UNITED STATES,77005-2448,713-661-3500,713-807-8071,,,,,,,Approved,8/2/1993,3/26/2010,Y,WWW.BRIDGEWAY.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,26-100,0,0 percent,51-75 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,082,668,081.00",0,"3,082,668,081.00",54,0,54,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,145684,801-68565,"HUNTSMAN GAY GLOBAL CAPITAL, LLC","HUNTSMAN GAY GLOBAL CAPITAL, LLC",1900 UNIVERSITY AVENUE,SUITE 201,PALO ALTO,CA,UNITED STATES,94303,6503214910,6503214911,,,,,,,Approved,11/26/2007,3/26/2010,Y,WWW.HGEQUITY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,Y,N,,Y,"987,775,000.00",0,"987,775,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,117901,801-60904,"TCG INVESTMENT ADVISORY, INC.","TCG INVESTMENT ADVISORY, INC.",1132 HAMILTON STREET,SUITE 212,ALLENTOWN,PA,UNITED STATES,18101,610-821-1331,610-821-8850,,,,,,,Approved,2/1/2002,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"124,191,249.00",0,"124,191,249.00",69,0,69,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,117678,801-61112,ALLIANCE BENEFIT GROUP,"ALLIANCE BENEFIT GROUP OF ILLINOIS, INC.",456 FULTON AVENUE,SUITE 345,PEORIA,IL,USA,61602-1202,309-671-4200,309-671-9933,,,,,,,Approved,4/29/2002,3/26/2010,Y,WWW.ABGIL.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,51-250,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,Y,EDUCATION SERVICES,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,120911,801-62975,THUNDERSTORM CAPITAL LLC,THUNDERSTORM CAPITAL LLC,ONE LIBERTY SQUARE,,BOSTON,MA,UNITED STATES,2109,617-542-8888,617-542-8898,,,,,,,Approved,4/16/2004,3/26/2010,Y,WWW.THUNDERSTORMCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"53,639,922.00",0,"53,639,922.00",75,0,75,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,148948,801-69903,GULF STREAM ASSET MANAGEMENT LLC,GULF STREAM ASSET MANAGEMENT LLC,4201 CONGRESS STREET,SUITE 475,CHARLOTTE,NC,UNITED STATES,28209-4614,704-552-7711,704-552-7744,,,,,,,Approved,2/17/2009,3/26/2010,Y,GULFSTREAMMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,580,761,496.00",0,"3,580,761,496.00",10,0,10,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,109310,801-57598,MERIT ENERGY COMPANY,"MERIT ENERGY COMPANY, LLC",13727 NOEL ROAD,STE 500,DALLAS,TX,UNITED STATES,75240,972-701-8377,972-960-8420,,,,,,,Approved,6/1/2000,3/26/2010,Y,WWW.MERITENERGY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,501-1000,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,660,626,004.00",0,"4,660,626,004.00",25,0,25,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111037,801-52575,"ATLANTIC ASSET MANAGEMENT, L.L.C.","ATLANTIC ASSET MANAGEMENT, L.L.C.","2187 ATLANTIC STREET, 8TH FL.",,STAMFORD,CT,USA,6902,203-351-2800,203-351-2866,,,,,,,Approved,8/12/1996,3/26/2010,Y,WWW.ATLANTICASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,11-25 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,Y,DEBT/EQUITY OF POOLED INVESTMENT VEHICLES MANAGED BY ADVISOR.,Y,"2,229,940,900.00","4,449,139,000.00","6,679,079,900.00",52,1,53,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111685,801-55694,"STEIGERWALD, GORDON & KOCH - WEALTH ADVISORS","STEIGERWALD, GORDON & KOCH INC.","891-A HARRISON STREET, S.E.",,LEESBURG,VA,UNITED STATES,20175,703-777-8826,703-777-5063,,,,,,,Approved,7/7/1998,3/26/2010,Y,WWW.SGKWEALTHADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"178,591,651.00",0,"178,591,651.00",274,0,274,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,144720,801-68218,ALPHA FIDUCIARY,"ALPHA FIDUCIARY, INC.","7010 E. CHAUNCEY LANE, SUITE 130",,PHOENIX,AZ,UNITED STATES,85054,480-505-4033,480-505-4034,,,,,,,Approved,8/2/2007,3/26/2010,Y,WWW.ALPHAFIDUCIARY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"137,000,000.00","11,000,000.00","148,000,000.00",269,6,275,Y,Y,N,Y,Y,N,N,N,N,N,,0,,Y,Y,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,116833,801-68120,"ASSET PLANNING & MANAGEMENT, INC.","ASSET PLANNING & MANAGEMENT, INC.","422 W. RIVERSIDE AVENUE, SUITE 722",,SPOKANE,WA,UNITED STATES,99201-0302,509-838-4175,509-838-4206,,,,,,,Approved,7/12/2007,3/26/2010,Y,WWW.ASSETPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"32,908,493.00","5,141,159.00","38,049,652.00",36,3,39,Y,Y,N,N,N,Y,N,N,N,Y,EXPERT OPINIONS,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,142478,801-67322,"AVENTURA CAPITAL MANAGEMENT, LLC","AVENTURA CAPITAL MANAGEMENT, LLC",,,,,,,305-466-0467,800-417-1437,,,,,,,Approved,11/29/2006,3/26/2010,Y,HTTP://WWW.AVENTURASECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,REFERRAL FEES,Y,"81,761,703.00",0,"81,761,703.00",47,0,47,N,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,140082,801-66522,CLUTTERBUCK CAPITAL MANAGEMENT LLC,CLUTTERBUCK CAPITAL MANAGEMENT LLC,200 PUBLIC SQUARE,SUITE 2910,CLEVELAND,OH,USA,44114,216.539.1181,216.803.1199,,,,,,,Approved,4/17/2006,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"96,935,360.00",0,"96,935,360.00",2,0,2,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,119605,801-61054,"RETIREMENT WEALTH MANAGEMENT, INC.","RETIREMENT WEALTH MANAGEMENT, INC.",,,,,,,434-202-1358,434-202-1357,,,,,,,Approved,4/5/2002,3/26/2010,Y,WWW.WEALTHRETIREMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"48,213,163.00",0,"48,213,163.00",224,0,224,N,Y,N,N,N,N,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108082,801-55405,JAFFE ASSET MANAGEMENT LLC,JAFFE ASSET MANAGEMENT LLC,9454 WILSHIRE BLVD,STE 600,BEVERLY HILLS,CA,UNITED STATES,90212,310-858-0700,310-858-0702,,,,,,,Approved,4/1/1998,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"57,177,421.00","11,834,822.00","69,012,243.00",148,30,178,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110587,801-54834,MASTHOLM ASSET MANAGEMENT LLC,MASTHOLM ASSET MANAGEMENT LLC,601 UNION STREET,SUITE 3720,SEATTLE,WA,USA,98101,206-621-1355,206-621-1226,3350 RIVERWOOD PARKWAY,SUITE 1900,ATLANTA,GA,U.S.A.,30339,Approved,8/22/1997,3/15/2010,Y,WWW.MASTHOLM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,600,000,000.00",0,"1,600,000,000.00",38,0,38,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109939,801-60049,STRATEGY ASSET MANAGERS L.L.C.,STRATEGY ASSET MANAGERS L.L.C.,50 TICE BOULEVARD,SUITE 130,WOODCLIFF LAKE,NJ,UNITED STATES,7677,201-822-3001,201-822-3002,,,,,,,Approved,2/23/2001,3/8/2010,Y,WWW.STRATEGYASSETMANAGERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,More than 500,"1,000",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"480,927,025.00",0,"480,927,025.00",651,0,651,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111457,801-57352,FIRST CAPITAL CONSULTING INC.,FIRST CAPITAL CONSULTING INC.,80 CUTTER MILL ROAD,SUITE 303,GREAT NECK,NY,USA,11021,516-487-8220,516-829-4820,,,,,,,Approved,3/2/2000,3/8/2010,Y,WWW.FCEQUITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"663,000,000.00",0,"663,000,000.00","2,023",0,"2,023",Y,Y,N,N,N,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,101-250,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,116771,801-67175,"ASCENDANT FINANCIAL SOLUTIONS, INC.","ASCENDANT FINANCIAL SOLUTIONS, INC.",809 W. RIORDAN,SUITE 104,FLAGSTAFF,AZ,UNITED STATES,86001,928-774-9598,928-774-1203,,,,,,,Approved,9/19/2006,3/15/2010,Y,WWW.ASCENDANT-FINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"86,743,375.00",0,"86,743,375.00",387,0,387,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,128257,801-62834,"COMPREHENSIVE FINANCIAL CONSULTANTS INSTITUTIONAL, INC.","COMPREHENSIVE FINANCIAL CONSULTANTS INSTITUTIONAL, INC.",674 S. COLLEGE AVENUE,,BLOOMINGTON,IN,USA,47403,812-334-3190,812-336-6187,,,,,,,Approved,3/4/2004,3/8/2010,Y,WWW.CFCI.US,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"54,138,119.00","5,730,637.00","59,868,756.00",227,502,729,N,Y,N,Y,N,Y,N,N,N,Y,CONSULTATION SERVICES,,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,134371,801-64040,"HARCOURT CAPITAL MANAGEMENT, LLC","HARCOURT CAPITAL MANAGEMENT, LLC",8000 MARYLAND AVE,SUITE 1080,ST. LOUIS,MO,UNITED STATES,63105,314-863-2636,314-863-2424,,,,,,,Approved,4/5/2005,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"27,000,000.00",0,"27,000,000.00",3,0,3,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109140,801-57467,MCMAHAN CAPITAL MANAGEMENT LLC,MCMAHAN CAPITAL MANAGEMENT LLC,316 WEST MAIN STREET,,CARMEL,IN,USA,46032,317-573-2202,317-637-0914,,,,,,,Approved,4/28/2000,3/15/2010,Y,WWW.MCMAHANCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"43,117,006.00",0,"43,117,006.00",40,0,40,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,117743,801-61446,"HIGH POINTE CAPITAL MANAGEMENT, LLC","HIGH POINTE CAPITAL MANAGEMENT, LLC",ONE NORTH LASALLE STREET,SUITE 2001,CHICAGO,IL,UNITED STATES,60602,312-726-2500,312-726-6100,,,,,,,Approved,9/13/2002,3/15/2010,Y,WWW.HIGHPOINTECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,26-50 percent,0 percent,0 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"96,547,252.00",0,"96,547,252.00",61,0,61,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,110460,801-25365,"CONSOLIDATED ASSET MANAGEMENT, LTD.",CONSOLIDATED ASSET MANAGEMENT LTD,517 NORTH HOWE STREET,,SOUTHPORT,NC,UNITED STATES,28461,800-922-6583,910-454-9696,,,,,,,Approved,9/27/1985,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"46,834,934.00",0,"46,834,934.00",188,0,188,N,Y,N,N,N,N,N,N,Y,N,,,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,124990,801-62443,"GAINSBOROUGH FINANCIAL CONSULTANTS, INC.","GAINSBOROUGH FINANCIAL CONSULTANTS, INC.",11625 BARRINGTON COURT,SUITE #201B,LOS ANGELES,CA,UNITED STATES,90049-2828,310-440-1400,310-440-1990,,,,,,,Approved,10/4/2004,10/14/2009,Y,WWW.GFCINC.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"76,350,872.00",0,"76,350,872.00",143,0,143,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,150130,801-70244,GOOD HILL PARTNERS LP,GOOD HILL PARTNERS LP,1599 POST ROAD EAST,,WESTPORT,CT,UNITED STATES,6880,203-610-8800,203-610-8801,,,,,,,Approved,6/25/2009,3/15/2010,Y,WWW.GOODHILLPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"270,000,000.00",0,"270,000,000.00",8,0,8,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110194,801-55488,WINCH ADVISORY SERVICES LLC,"WINCH ADVISORY SERVICES, LLC",424 E. WISCONSIN AVENUE,,APPLETON,WI,UNITED STATES,54911,920-739-8577,920-954-5499,,,,,,,Approved,4/30/1998,3/15/2010,Y,WWW.WINCHADVISORYSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"165,162,440.00",0,"165,162,440.00","1,229",0,"1,229",Y,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT TO PRIVATE PLACEMENT VEHICLES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109326,801-57319,NOVAK FINANCIAL PLANNING LLC,NOVAK FINANCIAL PLANNING LLC,2231 OLD EMMORTON ROAD,,BEL AIR,MD,UNITED STATES,21015,410-515-6310,410-515-6684,,,,,,,Approved,3/10/2000,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"31,696,099.00","41,451,238.00","73,147,337.00",336,"1,413","1,749",Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,129380,801-66262,ARAGORN LTD.,ARAGORN LTD.,420 WASHINGTON STREET,SUITE 401,BRAINTREE,MA,USA,2184,781-848-9250,781-843-2344,,,,,,,Approved,3/3/2006,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"45,113,567.00",0,"45,113,567.00",287,0,287,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,141682,801-68115,"EMPIRE INVESTING GROUP, LLC","EMPIRE INVESTING GROUP, LLC",,,,,,,586-709-5266,586-779-5196,,,,,,,Approved,11/30/2007,3/11/2009,Y,WWW.EMPIRE-INVESTING.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,Y,N,N,N,Y,PRIVATE WEB PAGE ACCESS,N,0,0,0,0,0,0,N,N,N,N,N,N,Y,N,Y,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,111462,801-18198,"INVESTORS ASSET MANAGEMENT, INC.","INVESTORS ASSET MANAGEMENT, INC.","LEGACY BANK PLAZA, 5000 LEGACY",SUITE 180,PLANO,TX,UNITED STATES,75024,972-985-7162,972-781-1338,,,,,,,Approved,1/11/1983,3/15/2010,Y,WWW.IAMINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"158,146,096.00",0,"158,146,096.00",492,0,492,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,134039,801-64144,MARWOOD ALTERNATIVE ASSET MANAGEMENT,MARWOOD ALTERNATIVE ASSET MANAGEMENT LLC,733 THIRD AVENUE,11TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-532-3651,212-532-3652,,,,,,,Approved,4/21/2005,3/15/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"61,145,364.00",0,"61,145,364.00",3,0,3,N,N,Y,Y,N,Y,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,151383,801-70545,"TMFS ADVISORY SERVICES, LLC","TMFS ADVISORY SERVICES, LLC",7301 COLLEGE BOULEVARD,SUITE 220,OVERLAND PARK,KS,UNITED STATES,66210,913-319-8100,913-319-8181,,,,,,,Approved,9/3/2009,3/15/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,"SEE SCHEDULE D, MISC.",Y,"23,991,397.00",0,"23,991,397.00",158,0,158,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,136572,801-67069,UNFCU FINANCIAL ADVISORS,"UNFCU FINANCIAL SERVICES, LLC",24-01 44TH ROAD,,LONG ISLAND CITY,NY,UNITED STATES,11101-4605,212-324-3900,212-324-3999,,,,,,,Approved,8/8/2006,3/15/2010,Y,WWW.UNFCUADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,506,218.00","34,189,492.00","35,695,710.00",9,9,18,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,135893,801-70713,"AEQUITAS WEALTH MANAGEMENT, LLC","AEQUITAS WEALTH MANAGEMENT, LLC",1901 AVENUE OF THE STARS,2ND FLOOR,LOS ANGELES,CA,UNITED STATES,90067,310-461-1430,310-341-2325,,,,,,,Approved,10/21/2009,3/15/2010,Y,WWW.AEQUITASWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"35,400,000.00",0,"35,400,000.00",119,0,119,Y,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR CHARITABLE ORGANIZAITONS,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106286,801-45566,ZIMMERMANN ALAN L,ZIMMERMANN ALAN L,C/O RZ CAPITAL LLC,555 MADISON AVENIE 29TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-906-9000,212-906-9096,,,,,,,Approved,1/12/1994,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"85,910,017.00",0,"85,910,017.00",22,0,22,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108356,801-26495,DAHAB ASSOCIATES INC,DAHAB ASSOCIATES INC,423 SOUTH COUNTRY ROAD,,BAY SHORE,NY,USA,11706,631-665-6181,631-665-6813,,,,,,,Approved,3/7/1986,3/15/2010,Y,HTTP://WWW.DAHAB.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,51-75 percent,0 percent,,N,Y,N,Y,N,N,Y,A PERCENTAGE OF ASSETS UNDER ADVISEMENT,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105728,801-17465,NEWGATE CAPITAL MANAGEMENT LLC,NEWGATE CAPITAL MANAGEMENT LLC,ONE SOUND SHORE DRIVE,,GREENWICH,CT,USA,06830-7251,203-661-0700,203-661-4005,,,,,,,Approved,8/9/1982,3/15/2010,Y,WWW.NEWGATECAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,Nov-50,0,More than 500,"1,500",Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,008,000,000.00",0,"3,008,000,000.00","1,500",0,"1,500",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,120909,801-64310,"SUSSEX INVESTMENTS, LTD.","SUSSEX INVESTMENTS, LTD.",ONE CHAGRIN HIGHLANDS,"2000 AUBURN DRIVE, SUITE 200",BEACHWOOD,OH,UNITED STATES,44122,216-292-8221,216-292-8283,,,,,,,Approved,5/19/2005,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"8,060,000.00","33,316,000.00","41,376,000.00",11,18,29,N,Y,N,N,N,N,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,113600,801-60529,"JOLLEY ASSET MANAGEMENT, LLC","JOLLEY ASSET MANAGEMENT, LLC",210 BRYANT STREET,SUITE A,ROCKY MOUNT,NC,UNITED STATES,27804,252-451-1450,252-451-7899,P.O. BOX 7967,,ROCKY MOUNT,NC,UNITED STATES,27804,Approved,9/12/2001,3/4/2010,Y,WWW.JOLLEYASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,PRIVATE TRUST COMPANY,Y,N,N,N,N,Y,N,,Y,"119,019,769.00",0,"119,019,769.00",254,0,254,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,134385,801-64010,"RETIREMENT STRATEGIES, INC.","RETIREMENT STRATEGIES, INC.",9471 BAYMEADOWS ROAD,SUITE 303,JACKSONVILLE,FL,USA,32256,904-730-3863,904-730-5177,,,,,,,Approved,3/15/2005,3/4/2010,Y,WWW.RETIREMENTSTRATEGIES.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"121,514,181.00",0,"121,514,181.00",605,0,605,Y,Y,N,N,N,N,N,N,N,Y,CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,151170,801-70538,"NOCTUA INTERNATIONAL WMG, LLC","NOCTUA INTERNATIONAL WMG, LLC",777 BRICKELL AVENUE,SUITE 1070,MIAMI,FL,UNITED STATES,33131,786-220-0330,786-513-2222,,,,,,,Approved,9/2/2009,3/4/2010,Y,WWW.NOCTUAPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"6,000,000.00","162,000,000.00","168,000,000.00",3,26,29,N,Y,N,Y,N,N,N,N,N,Y,INTEND TO PROVIDE INVESTMENT MANAGEMENT SERVICES TO CERTAIN POOLED PRIVATE INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,133877,801-63837,"FGMK/PRESERVATON CAPITAL PARTNERS, LLC","FGMK/PRESERVATON CAPITAL PARTNERS, LLC",2801 LAKESIDE DRIVE,THIRD FLOOR,BANNOCKBURN,IL,USA,60015,(847) 964-5147,(847) 964-5197,,,,,,,Approved,2/7/2005,3/4/2010,Y,WWW.FGMKPRESERVATIONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"100,000,000.00",0,"100,000,000.00",300,0,300,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105948,801-19257,KENSINGTON FINANCIAL,MICETICH JOHN JOSEPH,,,,,,,619-269-1934,619-269-1934,,,,,,,Approved,7/28/1983,3/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,"80,000,000.00","80,000,000.00",0,52,52,Y,N,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,136342,801-64569,"BAUGH & ASSOCIATES, LLC","BAUGH & ASSOCIATES, LLC","257 MT VERNON HWY, NE",,ATLANTA,GA,UNITED STATES,30328,404-256-0268,404-256-1154,,,,,,,Approved,8/5/2005,3/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"75,000,000.00",0,"75,000,000.00",115,0,115,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106399,801-42253,WYSER PRATTE MANAGEMENT CO INC,WYSER PRATTE MANAGEMENT CO INC,410 PARK AVENUE,SUITE 510,NEW YORK,NY,UNITED STATES,10022,646-735-5000,646-735-0140,,,,,,,Approved,9/9/1992,3/4/2010,Y,WWW.WYSER-PRATTE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"135,853,800.00",0,"135,853,800.00",3,0,3,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,118061,801-60770,"MACGUIRE, CHESWICK & TUTTLE INVESTMENT COUNSEL LLC","MACGUIRE, CHESWICK & TUTTLE INVESTMENT COUNSEL LLC",1020 BOSTON POST ROAD,SUITE 220,DARIEN,CT,UNITED STATES,6820,203-655-3323,203-655-0585,,,,,,,Approved,1/9/2002,3/4/2010,Y,WWW.MCT-ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"308,666,621.00",0,"308,666,621.00",386,0,386,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107003,801-8825,CAMPBELL NEWMAN ASSET MANAGEMENT INC,CAMPBELL NEWMAN ASSET MANAGEMENT INC,12080 N. CORPORATE PARKWAY,SUITE 130,MEQUON,WI,UNITED STATES,53092,262-243-7000,262-241-7200,,,,,,,Approved,8/26/1972,3/4/2010,Y,WWW.CAMPBELLNEWMAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,WRAP ACCOUNTS,Y,N,N,N,N,N,N,,Y,"304,439,963.00","33,749,036.00","338,188,999.00",169,7,176,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,146421,801-70245,"LAMIA FINANCIAL GROUP, LLC","LAMIA FINANCIAL GROUP, LLC",100 E. THOUSAND OAKS BLVD. SUITE 200,,THOUSAND OAKS,CA,UNITED STATES,91360,805-494-3416,805-725-3416,,,,,,,Approved,6/22/2009,3/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"97,498,778.00",0,"97,498,778.00",550,0,550,Y,Y,N,N,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,132420,801-63694,CORIOLIS CAPITAL LIMITED,CORIOLIS CAPITAL LIMITED,23 AUSTIN FRIARS,,LONDON,,UNITED KINGDOM,EC2N 2QP,+44 20 3159 5225,+44 20 3159 5226,,,,,,,Approved,11/29/2004,3/4/2010,Y,WWW.CORIOLISCAPITAL.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),PRIVATE LIMITED COMPANY,,UNITED KINGDOM,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"462,335,161.00",0,"462,335,161.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110448,801-36997,ADVANTAGE ADVISERS INC,ADVANTAGE ADVISERS INC,200 PARK AVENUE,24TH FLOOR,NEW YORK,NY,USA,10166,212-667-4225,212-667-4975,,,,,,,Approved,7/19/1990,7/23/2009,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,0,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,REGISTRANT DOES NOT CURRENTLY HAVE CLIENTS.,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,REGISTRANT DOES NOT CURRENTLY HAVE CLIENTS.,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,Y,Y,N,N,N,Y,N,N,N,N
PLRO,35586,801-56469,BERWYN FINANCIAL SERVICES CORP.,BERWYN FINANCIAL SERVICES CORP.,1189 LANCASTER AVENUE,,BERWYN,PA,UNITED STATES,19312,610-408-9850,484-328-2209,,,,,,,Approved,5/17/1999,3/4/2010,Y,WWW.BERWYNFINANCIAL.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,0,0,5-Jan,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"8,578,332.00",0,"8,578,332.00",40,0,40,N,Y,N,N,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N
CHRO,113110,801-61933,"FINANCIAL PLANNING AND INFORMATION SERVICES, INC.","FINANCIAL PLANNING AND INFORMATION SERVICES, INC.",320 MAIN AVENUE,SUITE 101,DE PERE,WI,USA,54115,920-336-0863,920-336-0852,,,,,,,Approved,3/28/2003,3/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"183,111,680.00",0,"183,111,680.00",544,0,544,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106164,801-43463,BEACON FINANCIAL ADVISORS LTD,BEACON FINANCIAL ADVISORS LTD,"1800 ST. JAMES PLACE, SUITE 101",,HOUSTON,TX,UNITED STATES,77056,713-622-9981,713-622-5814,,,,,,,Approved,3/12/1993,3/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"114,429,892.00","1,468,739.00","115,898,631.00",451,21,472,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,125518,801-66556,"BRIGGS WEALTH MANAGEMENT, LLC","BRIGGS WEALTH MANAGEMENT, LLC",59 SYCAMORE STREET,,GLASTONBURY,CT,UNITED STATES,6033,888-470-7526,860.657.4878,,,,,,,Approved,6/30/2006,3/4/2010,Y,WWW.BRIGGSWEALTHMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"41,589,480.00","25,636,854.00","67,226,334.00",54,25,79,Y,Y,N,N,N,N,N,N,N,Y,CONSULTING; TAX PREPARATION,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,148208,801-69694,"PCG ASSET MANAGEMENT, LLC","PCG ASSET MANAGEMENT, LLC",21 COMMERCE DRIVE,3RD FLOOR,CRANFORD,NJ,UNITED STATES,7016,908-603-1250,908-497-0911,,,,,,,Approved,10/27/2008,2/20/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"54,103,521.00","54,103,521.00",0,28,28,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,108294,801-55411,"HALBERT WEALTH MANAGEMENT, INC","HALBERT WEALTH MANAGEMENT, INC.",11719 BEE CAVE ROAD,SUITE 200,AUSTIN,TX,UNITED STATES,78738,512-263-3800,512-263-3459,,,,,,,Approved,4/14/1998,3/4/2010,Y,WWW.HALBERTWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,More than 500,"1,000",51-75 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,661,044.00","95,969,982.00","97,631,026.00",66,992,"1,058",Y,Y,N,N,N,Y,Y,N,N,Y,ASSIST IN AND MONITORING OF ADVISORS OR INVESTMENTS FOR AFFILIATED L.P.S,51-100,,N,N,N,N,N,N,N,N,N,,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
ARO,110440,801-45421,THE HARBINGER GROUP JV,THE HARBINGER GROUP JV,"2100 THIRD AVENUE NORTH, STE 600",,BIRMINGHAM,AL,UNITED STATES,35203,205/987-5500,205/987-5505,,,,,,,Approved,1/5/1994,3/4/2010,Y,WWW.HARBERT.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),JOINT VENTURE,AL,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,"76,100,000.00","76,100,000.00",0,1,1,N,N,N,N,N,N,N,N,N,Y,MANAGEMENT OF PRIVATE MARKET FUND,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,114966,801-71203,"DEVONSHIRE ASSET MANAGEMENT, INC.","DEVONSHIRE ASSET MANAGEMENT, INC.","540 MAIN STREET, SUITE 6",,WINCHESTER,MA,UNITED STATES,1890,781-729-0440,781-721-5906,PO BOX 661,,WINCHESTER,MA,UNITED STATES,1890,Approved,3/22/2010,3/4/2010,Y,WWW.DEVONSHIREONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"36,041,898.00",0,"36,041,898.00",130,0,130,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106376,801-38709,HOLLAND CAPITAL MANAGEMENT LLC,HOLLAND CAPITAL MANAGEMENT LLC,ONE NORTH WACKER DRIVE,SUITE 700,CHICAGO,IL,UNITED STATES,60606,312-553-4830,312-553-4848,,,,,,,Approved,5/2/1991,3/4/2010,Y,WWW.HOLLANDCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,51-75 percent,Up to 10 percent,UNION,Y,N,N,N,N,Y,N,,Y,"1,764,900,000.00",0,"1,764,900,000.00",39,0,39,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,35371,801-67242,"INFINEX INVESTMENTS, INC.","INFINEX INVESTMENTS, INC.",538 PRESTON AVENUE,,MERIDEN,CT,USA,06450-4858,203-599-6000,203-599-6001,,,,,,,Approved,11/2/2006,3/4/2010,Y,WWW.INFINEXGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,251-500,0,51-250,0,51-250,0,0,0,More than 500,"1,000",More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SPONSOR OF WRAP FEE PROGRAMS,Y,"30,390,652.00","157,196,621.00","187,587,273.00",221,877,"1,098",Y,Y,N,N,N,Y,N,N,N,Y,SOLICITATION SERVICES FOR OTHER ADVISERS,10-Jan,,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N
CHRO,108652,801-56165,CAPITAL NORTH LTD,CAPITAL NORTH LTD,1365 NORTH ROAD,,GREEN BAY,WI,USA,54313,920-490-7999,920-490-7899,P.O. BOX 13337,,GREEN BAY,WI,USA,54307,Approved,1/8/1999,3/4/2010,Y,WWW.CAPITALNORTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"297,555.00","61,931,631.00","62,229,186.00",1,29,30,N,Y,N,N,N,N,N,N,N,Y,ADVISORY CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,131482,801-63165,"PUCKETT FINANCIAL ADVISORS, LLC","PUCKETT FINANCIAL ADVISORS, LLC",13921 QUAIL POINTE DRIVE,,OKLAHOMA CITY,OK,USA,73134,405 607-4820,800 783-0545,,,,,,,Approved,5/18/2004,4/5/2010,Y,WWW.PUCKETTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"106,000,000.00","3,000,000.00","109,000,000.00",213,10,223,Y,Y,N,N,N,N,N,N,N,N,,51-100,,Y,Y,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,130544,801-62824,"SERIOUS STEWARDSHIP, LLC","SERIOUS STEWARDSHIP, LLC",181 EAST WESTMINSTER ROAD,,LAKE FOREST,IL,UNITED STATES,60045,847-234-0808,847-574-0999,,,,,,,Approved,3/1/2004,4/5/2010,Y,WWW.SERIOUSSTEWARDSHIP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"98,837,895.00","1,499,000.00","100,336,895.00",34,8,42,Y,Y,N,Y,Y,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104929,801-14301,"SLOCUM, GORDON & CO. LLP",SLOCUM GORDON & CO LLP,39 MILL STREET,,NEWPORT,RI,UNITED STATES,2840,401-849-4900,401-849-4947,P.O. BOX 669,,NEWPORT,RI,UNITED STATES,2840,Approved,1/11/1979,4/5/2010,Y,WWW.SLOCUMGORDON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,RI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"135,318,000.00",0,"135,318,000.00",314,0,314,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N
DRO,128455,801-68206,"NABITY-JENSEN INVESTMENT MANAGEMENT, INC.","NABITY-JENSEN INVESTMENT MANAGEMENT, INC.",9850 NICHOLAS STREET,SUITE 305,OMAHA,NE,UNITED STATES,68114,402-391-0222,402-391-0608,,,,,,,Approved,8/8/2007,4/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"40,000,000.00",0,"40,000,000.00",115,0,115,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,136030,801-68938,"JEFFS, ROBIN","JEFFS, ROBIN EDMUND",,,,,,,650-712-8591,650-712-8592,,,,,,,Approved,3/12/2008,4/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"37,606,000.00","62,000.00","37,668,000.00",29,1,30,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150012,801-70444,"FOREFRONT ADVISORY, LLC","FOREFRONT ADVISORY, LLC","330 MADISON AVE., 36TH FLOOR",,NEW YORK,NY,UNITED STATES,10017,212-607-8150,212-983-0690,,,,,,,Approved,8/7/2009,4/5/2010,Y,WWW.FOREFRONTADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,THIRD PARTY REFERRAL FEES,Y,"55,091,661.00","5,542,891.00","60,634,552.00",168,17,185,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,134439,801-64079,"PHALANX CAPITAL MANAGEMENT, LLC","PHALANX CAPITAL MANAGEMENT, LLC",300 S RIVERSIDE PLAZA,SUITE 1650-A,CHICAGO,IL,UNITED STATES,60606-6613,1-312-930-2289,-1543,,,,,,,Approved,4/4/2005,4/5/2010,Y,WWW.PHALANXCM.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"88,000,000.00",0,"88,000,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119973,801-69122,"PIERCE FINANCIAL PLANNING, INC.","PIERCE FINANCIAL PLANNING, INC.","33 PARK AVENUE, WEST",,MANSFIELD,OH,UNITED STATES,44902,419-525-2525,419-525-2524,,,,,,,Approved,5/8/2008,12/14/2009,Y,WWW.RAYMONDJAMES.COM/PIERCEFINANCIALPLANNING,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,3RD PARTY ADVISER FEES,Y,"5,539,632.00","25,089,300.00","30,628,932.00",35,160,195,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,129016,801-62506,"ARGOSY ASSET MANAGEMENT, LLC","ARGOSY ASSET MANAGEMENT, LLC",49 JOHN STREET,,SOUTHPORT,CT,UNITED STATES,6890,203-254-7067,,,,,,,,Approved,11/10/2003,4/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"53,900,000.00",0,"53,900,000.00",3,0,3,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,133204,801-64191,"ALTERNATIVE STRATEGIES GROUP, INC.","ALTERNATIVE STRATEGIES GROUP, INC.",401 SOUTH TRYON STREET,,CHARLOTTE,NC,UNITED STATES,28202,704-383-6369,704-383-6020,,,,,,,Approved,5/13/2005,4/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,889,716,507.00",0,"1,889,716,507.00",48,0,48,N,N,N,N,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HEDGE FUNDS,,,N,N,N,N,Y,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
CHRO,120006,801-61019,"BPS CAPITAL MANAGEMENT, INC.","BPS CAPITAL MANAGEMENT, INC.",7900 INTERNATIONAL DRIVE,SUITE 1050,BLOOMINGTON,MN,USA,55425,952-893-0177,952-893-0909,,,,,,,Approved,3/1/2002,12/14/2009,Y,BPSCAPITALONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"2,277,551,236.00","2,277,551,236.00",0,75,75,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,133221,801-64074,LETKO BROSSEAU INVESTMENT MANAGEMENT,LETKO BROSSEAU INVESTMENT MANAGEMENT INC,"1800 MCGILL COLLEGE AVENUE, SUITE 2510",,"MONTREAL, QUEBEC",,CANADA,H3A 3J6,514-499-1200,514-499-0361,,,,,,,Approved,6/10/2005,12/14/2009,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"72,563,529.00",0,"72,563,529.00",43,0,43,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111074,801-67893,LCM CAPITAL MANAGEMENT INC,LCM CAPITAL MANAGEMENT INC,230 WEST MONROE,SUITE 310,CHICAGO,IL,USA,60606,312-705-3013,312-705-5044,,,,,,,Approved,5/23/2007,4/5/2010,Y,WWW.LCMCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,NON-CLIENT PORTFOLIO ANALYSIS EXPENSE.(CONSULTING),Y,"43,099,668.00","18,012,282.00","61,111,950.00",289,1,290,N,Y,N,Y,N,N,N,N,N,Y,CONSULTING,0,,Y,Y,N,Y,N,N,Y,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
BRO,106222,801-40420,PINNACLE INVESTMENT MANAGEMENT INC,PINNACLE INVESTMENT MANAGEMENT INC,573 HOPMEADOW STREET,GREYSTONE COURT WEST,SIMSBURY,CT,UNITED STATES,6070,860-651-1716,860-658-1947,,,,,,,Approved,12/19/1991,4/5/2010,Y,WWW.PINNACLE-INVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"102,031,009.00","3,879,130.00","105,910,139.00",202,11,213,Y,Y,N,Y,N,Y,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,113205,801-62828,FFC CAPITAL MANAGEMENT,"FRANCIS FINANCIAL GROUP, LLC",400 POYDRAS STREET,SUITE 2400,NEW ORLEANS,LA,UNITED STATES,70130,504-299-2990,504-299-2991,,,,,,,Approved,3/15/2004,4/5/2010,Y,WWW.FFC-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,11-25 percent,11-25 percent,0 percent,11-25 percent,0 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"500,000,000.00","1,100,000,000.00","1,600,000,000.00",50,150,200,N,Y,N,Y,Y,Y,N,N,N,N,,,,Y,Y,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108029,801-55787,JACKSON FINANCIAL MANAGEMENT,JACKSON FINANCIAL MANAGEMENT,"151 KALMUS DRIVE, SUITE H7",,COSTA MESA,CA,USA,92626,714-434-6900,714-434-6920,,,,,,,Approved,8/6/1998,4/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,REGISTRANT MAY ACT AS A SUB-ADVISER TO OTHER REGISTERED INVESTMENT ADVISERS.,Y,Y,N,Y,N,N,N,,Y,"193,709,662.00","78,903,271.00","272,612,933.00","1,238",42,"1,280",Y,Y,N,Y,Y,Y,Y,N,N,Y,MATTERS NOT INVOLVING SECURITIES.,251-500,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152555,801-70938,"PRISM ADVISORY GROUP, LLC","PRISM ADVISORY GROUP, LLC",2633 MAIN STREET,SUITE 301,LAWRENCEVILLE,NJ,UNITED STATES,8648,609-620-0966,609-620-1460,,,,,,,Approved,12/24/2009,4/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,0,"115,251,894.00","115,251,894.00",0,425,425,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,150200,801-70286,"TJT CAPITAL GROUP, LLC","TJT CAPITAL GROUP, LLC",9 W. BROAD STREET,,STAMFORD,CT,UNITED STATES,6902,203-504-8850,203-504-8849,,,,,,,Approved,6/17/2009,4/5/2010,Y,WWW.TJTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"147,289,004.00","226,778.00","147,515,782.00",642,3,645,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,116574,801-61553,SAGE FINANCIAL GROUP INC.,SAGE FINANCIAL GROUP INC.,FIVE TOWER BRIDGE,"300 BARR HARBOR DRIVE, SUITE 200",WEST CONSHOHOCKEN,PA,UNITED STATES,19428,484-342-4400,484-537-0550,,,,,,,Approved,10/25/2002,4/5/2010,Y,WWW.SAGEFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"731,534,064.00","113,334,885.00","844,868,949.00","2,065",444,"2,509",Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,127155,801-68858,"EHD ADVISORY SERVICES, INC.","EHD ADVISORY SERVICES, INC.",115 E. KING STREET,,LANCASTER,PA,UNITED STATES,17602,717-390-4336,717-390-4324,,,,,,,Approved,2/14/2008,4/5/2010,Y,WWW.EHDADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"75,000,000.00","75,000,000.00","150,000,000.00",195,400,595,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,127918,801-62292,"THOMAS JACKSON FAMILY OFFICE, INC.","THOMAS JACKSON FAMILY OFFICE, INC.",210 REGENCY PARKWAY,,OMAHA,NE,USA,68114,402-681-3060,402-898-1474,,,,,,,Approved,8/25/2003,4/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,SHARE IN FEE CHARGED BY THIRD PARTY.,Y,"28,000,000.00",0,"28,000,000.00",40,0,40,N,N,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112109,801-60296,"J.P. KING & ASSOCIATES, INC.","J.P. KING & ASSOCIATES, INC.","1600 SOUTH MAIN STREET, SUITE 100",,WALNUT CREEK,CA,UNITED STATES,94596,925-935-1555,925-944-3517,,,,,,,Approved,5/23/2001,4/5/2010,Y,WWW.JPKINGASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"202,085,543.00",0,"202,085,543.00",726,0,726,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,147860,801-69691,"LIBERTY WEALTH MANAGEMENT, LLC","LIBERTY WEALTH MANAGEMENT, LLC",1811 EAST GARRY AVENUE,,SANTA ANA,CA,UNITED STATES,92705,949-724-8848,949-724-8805,,,,,,,Approved,11/12/2008,4/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"28,789,294.00","28,789,294.00",0,70,70,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108408,801-38103,"UNION HERITAGE CAPITAL MANAGEMENT, LLC","UNION HERITAGE CAPITAL MANAGEMENT, LLC",500 GRISWOLD,SUITE 2850,DETROIT,MI,UNITED STATES,48226,313-963-8824,313-963-5244,,,,,,,Approved,1/17/1991,4/5/2010,Y,WWW.UNIONHERITAGE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"107,000,000.00",0,"107,000,000.00",7,0,7,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110673,801-27064,"CLARK ASSOCIATES FINANCIAL PLANNING, INC",CLARK ASSOCIATES FINANCIAL PLANNING INC,145 SOUTH ROUTE 73,,BRADDOCK,NJ,UNITED STATES,8037,609-567-1884,609-567-2028,,,,,,,Approved,5/16/1986,12/14/2009,Y,WWW.CLARKASSOCIATES.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"63,914,772.00","63,914,772.00",0,284,284,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,119347,801-60928,FIRST FINANCIAL CAPITAL ADVISORS LLC,FIRST FINANCIAL CAPITAL ADVISORS LLC,4000 SMITH ROAD,SUITE 400,CINCINNATI,OK,UNITED STATES,45209,513-603-3440,513-603-3483,,,,,,,Approved,2/15/2002,4/5/2010,Y,WWW.BANKATFIRST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,676,005.00","1,699,513,592.00","1,701,189,597.00",31,1,32,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107949,801-57689,GEORGINA ASSET MANAGEMENT LLC,GEORGINA ASSET MANAGEMENT LLC,270 18TH STREET,,SANTA MONICA,CA,UNITED STATES,90402,310-395-2679,310-576-1061,,,,,,,Approved,6/23/2000,4/5/2010,Y,WWW.GEORGINAASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"71,834,254.00","72,930,270.00","144,764,524.00",35,2,37,N,Y,N,Y,N,Y,Y,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108102,801-55385,FAIRVIEW CAPITAL,"FAIRVIEW CAPITAL INVESTMENT MANAGEMENT, LLC",300 DRAKE'S LANDING ROAD,SUITE 250,GREENBRAE,CA,USA,94904-2498,415-464-4640,415-464-0290,,,,,,,Approved,3/24/1998,4/5/2010,Y,WWW.FAIRVIEWCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,ENDOWMENTS AND FOUNDATIONS,Y,N,N,N,N,Y,N,,Y,"459,772,372.00",0,"459,772,372.00",200,0,200,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106940,801-41316,WINSLOW CAPITAL MANAGEMENT INC,WINSLOW CAPITAL MANAGEMENT INC,4720 IDS TOWER,80 S 8TH ST,MINNEAPOLIS,MN,UNITED STATES,55402,612-376-9100,612-376-9111,,,,,,,Approved,4/22/1992,4/5/2010,Y,WWW.WINSLOWCAPITAL.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"7,759,251,378.00","965,077,996.00","8,724,329,374.00",385,8,393,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,118608,801-61046,"ORBIMED ADVISORS, LLC","ORBIMED ADVISORS, LLC",767 3RD AVENUE,30TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-739-6400,212-739-6444,,,,,,,Approved,4/22/2002,4/5/2010,Y,WWW.ORBIMED.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,728,407,977.00",0,"2,728,407,977.00",17,0,17,N,N,Y,N,N,N,N,N,N,Y,"UNREGISTERED INVESTMENT COMPANIES, DOMESTIC AND OFFSHORE FUNDS.",0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,120188,801-61952,ORBIMED CAPITAL LLC,ORBIMED CAPITAL LLC,767 3RD AVE,30TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-739-6400,212-739-6444,,,,,,,Approved,4/9/2003,4/5/2010,Y,WWW.ORBIMED.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,342,496,975.00",0,"1,342,496,975.00",6,0,6,N,N,N,Y,N,N,N,N,N,Y,PROVIDE PORTFOLIO MANAGEMENT TO UNREGISTERED DOMESTIC AND OFFSHORE INVESTMENT COMPANIES,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110483,801-53285,"BOECKERMANN, GRAFSTROM & MAYER WEALTH MANAGEMENT, LLC","BOECKERMANN, GRAFSTROM & MAYER WEALTH MANAGEMENT, LLC",7900 XERXES AVENUE SOUTH,SUITE 1200,BLOOMINGTON,MN,USA,55431,952-844-2500,952-844-2525,,,,,,,Approved,11/18/1996,11/12/2009,Y,WWW.BGMWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"215,148,686.00","92,985.00","215,241,671.00",363,4,367,Y,Y,N,Y,Y,N,N,N,N,Y,INVESTMENT CONSULTATIONS,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,Y,N,N,N,N,N,Y,Y,N,Y,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,134017,801-63899,STONEBRIDGE ADVISORS LLC,STONEBRIDGE ADVISORS LLC,187 DANBURY ROAD,,WILTON,CT,UNITED STATES,6897,203-762-0004,203-761-1236,,,,,,,Approved,2/18/2005,3/30/2010,Y,WWW.STONEBRIDGEFT.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,26-50 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"163,196,791.00","251,877,128.00","415,073,919.00",290,25,315,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,132946,801-63608,BELENOS CAPITAL MANAGEMENT LLC,BELENOS CAPITAL MANAGEMENT LLC,ONE BRYANT PARK,37TH FLOOR,NEW YORK,NY,UNITED STATES,10036,212-952-0500,212-952-0522,,,,,,,Approved,10/27/2004,3/30/2010,Y,WWW.BELENOSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"33,972,000.00",0,"33,972,000.00",13,0,13,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,113020,801-33545,ADVISORS MANAGEMENT GROUP INC,ADVISORS MANAGEMENT GROUP INC,505 KING ST STE 208,,LA CROSSE,WI,UNITED STATES,54601,608-782-0200,608-782-0756,,,,,,,Approved,2/13/1989,3/30/2010,Y,WWW.ADVISORSMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,More than 500,"1,069",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"146,339,852.00","9,042,387.00","155,382,239.00","2,393",88,"2,481",Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,129189,801-71299,"HERO FINANCIAL ADVISORS, INC.","HERO FINANCIAL ADVISORS, INC.",258 MAIN STREET,D-1,BUZZARDS BAY,MA,UNITED STATES,02532-3251,508-759-7533,508-759-7565,,,,,,,Approved,4/9/2010,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"33,387,565.00",0,"33,387,565.00",78,0,78,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,146799,801-70223,"INVEST-N-U, LLC","INVEST-N-U, LLC",4550 NORTH POINT PARKWAY,SUITE 250,ALPHARETTA,GA,UNITED STATES,30022,678-533-6080,678-533-6083,,,,,,,Approved,5/26/2009,3/30/2010,Y,WWW.INVEST-N-U.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"520,000.00","62,900,000.00","63,420,000.00",3,67,70,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,109869,801-60025,GENSPRING INTERNATIONAL LLC,GENSPRING INTERNATIONAL LLC,701 BRICKELL AVENUE,SUITE 2100,MIAMI,FL,UNITED STATES,33131,305-825-2225,305-825-7790,,,,,,,Approved,2/14/2001,3/30/2010,Y,WWW.GENSPRING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,Nov-50,0,Nov-50,0,0,0,Nov-50,0,26-100,0,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,0,"1,701,545,493.00","1,701,545,493.00",0,93,93,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106734,801-40234,ORION CAPITAL MANAGEMENT INC,ORION CAPITAL MANAGEMENT INC,750 GREEN BAY ROAD,,WINNETKA,IL,UNITED STATES,60093,847-441-0410,847-441-0420,,,,,,,Approved,11/20/1991,3/30/2010,Y,HTTP://WWW.ORION-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE OF NET SALES VALUES OR NAV OF MUTUAL FUNDS,Y,"108,628,214.00","4,936,569.00","113,564,783.00",507,4,511,N,Y,N,N,Y,N,N,N,N,Y,ADVISORY CONSULTING SERVICES; SUB-ADVISORY SERVICES TO INVESTMENT COMPANIES AND REGISTERED INVESTMENT ADVISERS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,152030,801-70777,"CEPHAS CAPITAL MANAGEMENT, LLC","CEPHAS CAPITAL MANAGEMENT, LLC",3478 N. HIGH ST.,,COLUMBUS,OH,UNITED STATES,43214,614-268-9153,614-268-9163,,,,,,,Approved,11/13/2009,3/30/2010,Y,WWW.CEPHASCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,ASSOCIATIONS,Y,N,N,N,N,N,N,,Y,"40,065,000.00","19,964,826.00","60,029,826.00",184,62,246,Y,Y,N,N,N,N,N,N,N,N,,101-250,,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106983,801-31359,URDANG CAPITAL MANAGEMENT INC,URDANG CAPITAL MANAGEMENT INC,630 W GERMANTOWN PIKE,STE 300,PLYMOUTH MEETING,PA,UNITED STATES,19462,610-834-9500,610-834-9505,,,,,,,Approved,1/28/1988,3/30/2010,Y,WWW.URDANG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,Y,PERCENT OF COMMITTED OR FUNDED CAPITAL FOR FUNDS,Y,"535,152,615.00","1,127,879,240.00","1,663,031,855.00",5,5,10,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126143,801-61973,"MEDITRON ASSET MANAGEMENT, LLC","MEDITRON ASSET MANAGEMENT, LLC",641 LEXINGTON AVE.,SUITE 1400,NEW YORK,NY,UNITED STATES,10022,212-634-6330,212-634-6427,,,,,,,Approved,4/9/2003,3/30/2010,Y,WWW.MEDITRONGLOBAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"1,000,000,000.00",0,"1,000,000,000.00",83,0,83,Y,Y,N,N,N,N,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110351,801-2731,MAIRS AND POWER INC,MAIRS AND POWER INC,332 MINNESOTA STREET,W1520 FIRST NATIONAL BANK BLDG,ST PAUL,MN,UNITED STATES,55101-1363,651-222-8478,651-222-8470,,,,,,,Approved,11/15/1961,3/30/2010,Y,WWW.MAIRSANDPOWER.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,TRUST COMPANY,Y,N,N,Y,N,Y,N,,Y,"3,720,174,839.00","229,108,021.00","3,949,282,860.00",810,176,986,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105837,801-41552,WELLINGTON CONSULTING SERVICES INC,WELLINGTON CONSULTING SERVICES INC,14325 WILLARD ROAD,SUITE 104,CHANTILLY,VA,UNITED STATES,20151,703-802-2300,703-802-2317,,,,,,,Approved,6/1/1992,3/30/2010,Y,WWW.WELLINGTON401K.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,More than 500,"6,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"256,758,781.00","69,706.00","256,828,487.00","5,874",2,"5,876",N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107644,801-51733,URDANG SECURITIES MANAGEMENT INC,URDANG SECURITIES MANAGEMENT INC,630 WEST GERMANTOWN PIKE,SUITE 300,PLYMOUTH MEETING,PA,UNITED STATES,19462,610-834-9500,610-834-9505,,,,,,,Approved,4/17/1996,3/30/2010,Y,WWW.URDANG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,ENDOWMENTS / FOUNDATION,Y,N,N,N,N,Y,N,,Y,"1,565,887,681.00",0,"1,565,887,681.00",35,0,35,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106647,801-9970,EDGEWOOD MANAGEMENT LLC,EDGEWOOD MANAGEMENT LLC,350 PARK AVENUE,18TH FLOOR,NEW YORK,NY,UNITED STATES,10022-6057,212-652-9100,212-652-9101,,,,,,,Approved,5/8/1974,3/30/2010,Y,WWW.EDGEWOOD.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,SOVEREIGN FUND,Y,N,N,N,N,Y,N,,Y,"6,974,414,034.00",0,"6,974,414,034.00",932,0,932,N,Y,Y,Y,N,Y,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,149606,801-70095,STANDARD LIFE INVESTMENTS (CORPORATE FUNDS) LIMITED,STANDARD LIFE INVESTMENTS (CORPORATE FUNDS) LIMITED,1 GEORGE STREET,,EDINBURGH,,UNITED KINGDOM,EH2 2LL,011-44-131-245-3535,011-44-131-245-5138,,,,,,,Approved,5/4/2009,3/30/2010,Y,WWW.STANDARDLIFEINVESTMENTS.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,501-1000,0,51-250,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,179,618,711.00",0,"4,179,618,711.00",29,0,29,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,Y,N,N,Y,Y,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,124421,801-62713,"MUSTANG CAPITAL MANAGEMENT, LLC","MUSTANG CAPITAL MANAGEMENT, LLC.",,,,,,,713-520-0911,713-630-0315,,,,,,,Approved,4/5/2004,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"45,400,000.00","14,600,000.00","60,000,000.00",35,3,38,N,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE POOLED INVESTMENT VEHICLES AND HIGH NET WORTH INDIVIDUALS,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,110231,801-55855,RESOURCE MANAGEMENT INC,RESOURCE MANAGEMENT INC,3330 WEST ESPLANADE AVE STE 509,,METAIRE,LA,UNITED STATES,70002,504-833-5378,504-833-5951,,,,,,,Approved,9/2/1998,3/30/2010,Y,WWW.RMIADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"620,000,000.00","75,000,000.00","695,000,000.00",320,3,323,Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110067,801-6778,"ECM INVESTMENT MANAGEMENT, INC.","ECM INVESTMENT MANAGEMENT, INC.",610 NEWPORT CENTER DRIVE,SUITE 220,NEWPORT BEACH,CA,UNITED STATES,92660-8036,949-759-9684,949-759-9687,,,,,,,Approved,8/28/1970,3/30/2010,Y,WWW.ECMADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,10-Jun,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"130,638,215.00",0,"130,638,215.00",168,0,168,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137147,801-65045,"LEVIN CAPITAL STRATEGIES, L.P.","LEVIN CAPITAL STRATEGIES, L.P.",595 MADISON AVENUE,17TH FLOOR,NEW YORK,NY,UNITED STATES,10022-1907,212-259-0800,212-259-0859,,,,,,,Approved,1/20/2006,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,10-Jun,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"3,741,713,814.00","98,220,186.00","3,839,934,000.00",338,1,339,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT COMPANIES,0,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,140494,801-66656,COVALENT PARTNERS LLC,COVALENT PARTNERS LLC,255 WASHINGTON STREET,SUITE 300,NEWTON,MA,USA,2458,617-658-5500,617-658-5550,,,,,,,Approved,5/8/2006,3/30/2010,Y,WWW.COVALENTPARTNERSLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"198,764,000.00",0,"198,764,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR OTHER POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,129513,801-68124,"ALCO ADVISORS, INC.","ALCO ADVISORS, INC.",ONE SNOW ROAD,SUITE 4,MARSHFIELD,MA,USA,2050,781-834-8100,781-834-8102,,,,,,,Approved,7/12/2007,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,FIXED RETAINER,Y,"13,230,191.00","32,196,919.00","45,427,110.00",49,18,67,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109462,801-57297,HALBERSTADT FINANCIAL CONSULTANTS INC,"HALBERSTADT FINANCIAL CONSULTANTS, INC.",50 NORTH TULANE ST,,PRINCETON,NJ,UNITED STATES,8542,609-921-0180,609-921-8301,,,,,,,Approved,5/25/2000,3/30/2010,Y,WWW.HALBERSTADTFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"4,784,341.00","74,344,381.00","79,128,722.00",21,299,320,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108502,801-26834,STEVENS FIRST PRINCIPLES INVESTMENT ADVISORS,STEVENS FIRST PRINCIPLES INVESTMENT ADVISORS,4100 NEWPORT PLACE DR.,SUITE 720,NEWPORT BEACH,CA,UNITED STATES,92660,949-251-9333,949-251-9334,PO BOX 7428,,NEWPORT BEACH,CA,UNITED STATES,92658,Approved,5/29/1986,3/30/2010,Y,WWW.SFPRIA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"207,081,735.00","4,283,681.00","211,365,416.00",412,1,413,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,134727,801-64824,"NEXCORE FINANCIAL SERVICES, INCORPORATED","NEXCORE FINANCIAL SERVICES, INCORPORATED",10509 VISTA SORRENTO PARKWAY,SUITE 300,SAN DIEGO,CA,USA,92121,858-658-9800,858-658-9809,,,,,,,Approved,11/21/2005,3/27/2009,Y,WWW.NEXCOREWEALTH.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,Y,SHARE IN THIRD PARTY ADVISORY FEES,Y,"12,602,589.00",0,"12,602,589.00",182,0,182,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,Y
BRO,118708,801-60833,STANDARD LIFE INVESTMENTS (USA) LIMITED,STANDARD LIFE INVESTMENTS (USA) LIMITED,ONE BEACON STREET,34TH FLOOR,BOSTON,MA,UNITED STATES,02108-3106,617-720-7900,617-720-7950,,,,,,,Approved,1/10/2002,3/30/2010,Y,WWW.STANDARDLIFEINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"7,404,599,474.00",0,"7,404,599,474.00",15,0,15,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,Y,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105821,801-36789,LYNCH FINANCIAL GROUP,LYNCH FINANCIAL GROUP LLC,5880 SAWMILL RD,SUITE 204,DUBLIN,OH,USA,43017,614-791-8884,614-791-8885,,,,,,,Approved,7/19/1990,3/30/2010,Y,WWW.LYNCHFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"45,865,327.00",0,"45,865,327.00",144,0,144,Y,Y,N,N,N,N,N,N,N,Y,TAX RETURN PREPARATION & PLANNING,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108395,801-57952,AMBROSE WEALTH MANAGEMENT,AMBROSE WEALTH MANAGEMENT,810 BALTIMORE PIKE,,CHADDS FORD,PA,USA,19317,610-388-4424,610-771-4433,,,,,,,Approved,9/15/2000,3/30/2010,Y,WWW.AMBROSEFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"21,713,751.00","4,532,669.00","26,246,420.00",61,28,89,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
HQ,131799,801-63376,HEXAVEST INC.,HEXAVEST INC.,1100 RENE-LEVESQUE WEST,SUITE 1340,"MONTREAL, PROVINCE QUEBEC",,CANADA,H3B 4N4,514-390-8484,514-390-1184,,,,,,,Approved,8/24/2004,3/30/2010,Y,WWW.HEXAVEST.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"QUEBEC, CANADA",Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,830,075,000.00",0,"1,830,075,000.00",67,0,67,N,N,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,137631,801-64899,AARP FINANCIAL,AARP FINANCIAL INCORPORATED,TWO HIGHWOOD DRIVE,2ND FLOOR,TEWKSBURY,MA,USA,1876,978-614-7600,978-863-9811,,,,,,,Approved,11/15/2005,3/30/2010,Y,WWW.AARPFINANCIAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,25-Nov,0,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"207,000,000.00",0,"207,000,000.00",2,0,2,Y,N,Y,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,139886,801-70905,"BSC PRIVATE WEALTH MANAGEMENT, LLC","BSC PRIVATE WEALTH MANAGEMENT, LLC",1752 CAPITAL STREET,SUITE 400,ELGIN,IL,UNITED STATES,60124,847-695-1775,847-695-1984,,,,,,,Approved,1/4/2010,3/30/2010,Y,WWW.BSC-PWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"40,125,000.00",0,"40,125,000.00",170,0,170,N,Y,N,Y,N,N,N,N,N,Y,QUALIFIED PLAN CONSULTING,0,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109593,801-56665,PLAZA FINANCIAL ADVISORS INC,PLAZA FINANCIAL ADVISORS INC,101 S. HANLEY RD,STE 1350,CLAYTON,MO,USA,63105,314-726-0600,314-726-0165,,,,,,,Approved,7/7/1999,3/30/2010,Y,WWW.PLAZAADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"11,411,259.00","167,062,830.00","178,474,089.00",36,483,519,Y,Y,N,Y,Y,Y,Y,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,136979,801-64755,BLACKSTONE MANAGEMENT PARTNERS L.L.C.,BLACKSTONE MANAGEMENT PARTNERS L.L.C.,345 PARK AVENUE,,NEW YORK,NY,USA,10154,212-583-5000,212-583-5687,345 PARK AVENUE,,NEW YORK,NY,U.S.A.,10154,Approved,10/7/2005,3/30/2010,Y,WWW.BLACKSTONE.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"23,898,983,883.00",0,"23,898,983,883.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,145695,801-68703,"F & S ASSET MANAGEMENT GROUP, INC.","F & S ASSET MANAGEMENT GROUP, INC.",841 PRUDENTIAL DRIVE,SUITE 1500,JACKSONVILLE,FL,UNITED STATES,32207,904-398-1001,904-398-0091,,,,,,,Approved,1/14/2008,5/11/2010,Y,WWW.FSAMG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,More than 500,649,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"38,121,055.00","299,010.00","38,420,065.00",988,10,998,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106268,801-28135,WALKER FINANCIAL ADVISORS INC,WALKER FINANCIAL ADVISORS INC,26691 PLAZA,SUITE 240,MISSION VIEJO,CA,UNITED STATES,92691,949-367-1961,949-367-1887,,,,,,,Approved,10/17/1986,5/11/2010,Y,WWW.WALKERFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"57,188,516.00","13,475,278.00","70,663,794.00",132,1,133,Y,Y,N,Y,Y,Y,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,152253,801-71314,LEAP WEALTH MANAGEMENT,"LWEALTH, LLC",8604 GREENVILLE AVE.,SUITE A-101,DALLAS,TX,UNITED STATES,75243,214-420-7441,214-420-7443,,,,,,,Approved,4/9/2010,5/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,TRUSTS AND ESTATES,Y,Y,N,Y,Y,N,N,,Y,"24,000,000.00","1,000,000.00","25,000,000.00",325,27,352,Y,Y,N,N,N,Y,N,N,Y,N,,0,,Y,Y,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,114293,801-71172,"WEALTH DESIGN, LLC","WEALTH DESIGN, LLC",1999 S. BASCOM AVENUE,SUITE 530,CAMPBELL,CA,UNITED STATES,95008,408-558-1660,408-558-1661,,,,,,,Approved,3/15/2010,5/11/2010,Y,WWW.WEALTHDESIGNLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"147,190,000.00",0,"147,190,000.00",641,0,641,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104870,801-19314,HGK ASSET MANAGEMENT INC,HGK ASSET MANAGEMENT INC,NEWPORT TOWER,525 WASHINGTON BLVD,JERSEY CITY,NJ,USA,7310,201-659-3700,201-659-4566,,,,,,,Approved,7/26/1983,5/11/2010,Y,WWW.HGK.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"3,650,000,000.00","50,000,000.00","3,700,000,000.00",181,1,182,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108981,801-55893,"OSPREY PARTNERS INVESTMENT MANAGEMENT, LLC","OSPREY PARTNERS INVESTMENT MANAGEMENT, LLC",SHREWSBURY EXECUTIVE CENTER II,1040 BROAD ST,SHREWSBURY,NJ,UNITED STATES,7702,732-542-9191,732-542-9399,,,,,,,Approved,9/24/1998,12/8/2008,Y,WWW.OSPREYVALUE.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,SUB-ADVISED WRAP PROGRAMS,Y,N,N,N,N,N,N,,Y,"17,500,000.00",0,"17,500,000.00",5,0,5,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,134392,801-64039,GRESHAM INVESTMENT MANAGEMENT LLC,GRESHAM INVESTMENT MANAGEMENT LLC,"67 IRVING PLACE, 12TH FL.",,NEW YORK,NY,UNITED STATES,10003,212-984-1430,212-984-1412,,,,,,,Approved,4/13/2005,5/11/2010,Y,GRESHAMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,"INVESTMENT MANAGERS,UNIVERSITY ENDOWMENTS",Y,N,N,N,N,Y,N,,Y,"7,502,466,989.00",0,"7,502,466,989.00",39,0,39,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,13452,801-15504,ACCRUED EQUITIES INC.,ACCRUED EQUITIES INC.,"150 BROADHOLLOW RD., PH 02",,MELVILLE,NY,UNITED STATES,11747,631-423-7373,631-423-7393,,,,,,,Approved,10/6/1980,1/5/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"280,632,717.00",0,"280,632,717.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,108530,801-56857,AMERICAN FINANCIAL ADVISORS INC,AMERICAN FINANCIAL ADVISORS INC,"3361 ROUSE ROAD, SUITE 135",,ORLANDO,FL,UNITED STATES,32817,407-207-9006,407-207-0106,,,,,,,Approved,9/27/1999,5/11/2010,Y,AFADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"133,000,000.00","133,000,000.00",0,133,133,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110792,801-22099,LEMLEY YARLING MANAGEMENT CO,LEMLEY YARLING MANAGEMENT CO,42 S. WASHINGTON STREET,#3,HINSDALE,IL,USA,60521,630-323-8422,630-323-8424,,,,,,,Approved,9/4/1984,5/11/2010,Y,WWW.LEMLEYLETTER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"48,000,000.00","3,250,000.00","51,250,000.00",180,47,227,Y,Y,N,Y,N,N,Y,N,N,Y,FURNISHES ADVICE TO CLIENTS ON MATTERS NOT INVOLVING SECURITIES,251-500,,N,N,Y,Y,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N
FWRO,108086,801-57298,PINNACLE INVESTMENT ADVISORS,"PINNACLE HOLDINGS, LLC",15 WEST 6TH ST STE 2401,,TULSA,OK,UNITED STATES,74119,918-582-6864,918-587-6502,,,,,,,Approved,2/29/2000,5/11/2010,Y,WWW.PINNACLEHOLDINGS.NET,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,OTHER INVESTMENT ADVISOR,Y,Y,N,N,N,Y,N,,Y,"436,992,315.00","45,602,612.00","482,594,927.00",653,12,665,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,Y,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105443,801-21675,EIDELMAN VIRANT CAPITAL,EIDELMAN VIRANT CAPITAL,8000 MARYLAND AVENUE SUITE 380,,ST LOUIS,MO,UNITED STATES,63105,314-727-9686,314-727-0623,,,,,,,Approved,7/16/1984,5/11/2010,Y,WWW.EIDELMANVIRANT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,10-Jun,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"195,000,000.00",0,"195,000,000.00",255,0,255,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
DRO,148645,801-69776,THE FOUNDATION FOR THE STUDY OF CYCLES,"THE FOUNDATION FOR THE STUDY OF CYCLES, INC.",2929 COORS BLVD NW STE 307,,ALBUQUERQUE,NM,UNITED STATES,87120-1425,505-891-8016,,,,,,,,120-Day Approval,1/2/2009,12/8/2008,Y,HTTP://WWW.FOUNDATIONFORTHESTUDYOFCYCLES.ORG/,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,NM,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,26-50 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,000,000.00",0,"25,000,000.00",150,0,150,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,144960,801-68294,"STERLING ASSET MANAGEMENT, LLC","STERLING ASSET MANAGEMENT, LLC",120 SOUTH WARNER ROAD,SUITE 280,KING OF PRUSSIA,PA,UNITED STATES,19406,610-254-7630,610-964-7923,,,,,,,Approved,9/7/2007,5/11/2010,Y,WWW.STERLINGAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"743,506,494.00","7,858,648.00","751,365,142.00",20,1,21,N,N,N,Y,N,N,N,N,N,Y,SELECTING OTHER ADVISORS TO SERVE AS SUBADVISORS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114928,801-62979,SAWTELLE FINANCIAL MANAGEMENT,ROGER SCOTT SAWTELLE,1250 NE LOOP 410,SUITE 350,SAN ANTONIO,TX,UNITED STATES,78209,210-822-5252,800-915-9059,,,,,,,Approved,4/8/2004,1/5/2010,Y,WWW.SAWTELLEFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"109,766,741.00",0,"109,766,741.00",865,0,865,Y,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,145341,801-71279,"FRONTIER MARKET ASSET MANAGEMENT, LLC","FRONTIER MARKET ASSET MANAGEMENT, LLC",2218 AVENIDA DE LA PLAYA,,LA JOLLA,CA,USA,92037,858-456-1440,858-456-2040,,,,,,,Approved,4/6/2010,5/11/2010,Y,WWW.FRONTIERMKT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"29,000,000.00",0,"29,000,000.00",2,0,2,N,Y,N,N,N,N,N,N,N,Y,POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,152471,801-70885,"ADARE ASSET MANAGEMENT, LLC","ADARE ASSET MANAGEMENT, LLC",900 WEST VALLEY ROAD,SUITE 501,WAYNE,PA,UNITED STATES,19087,610-687-4900,610-572-3641,,,,,,,Approved,12/9/2009,5/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"146,000,000.00","30,500,000.00","176,500,000.00",87,6,93,N,Y,N,N,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,147275,801-69310,FAMILY OFFICE GROUP LLC,"LPB CAPITAL, LLC",,,,,,,609-489-1328,910-420-2633,,,,,,,Approved,7/7/2008,5/11/2010,Y,WWW.FAMOFFICEGRP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,Y,N,,Y,"128,603,781.00",0,"128,603,781.00","1,564",0,"1,564",Y,Y,N,Y,Y,N,N,N,N,N,,251-500,,Y,N,N,Y,N,N,Y,N,Y,LICENSED MORTGAGE BROKER,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,122092,801-61891,DELTA FINANCIAL ADVISORS,"DELTA FINANCIAL ADVISORS, L.L.C.",228 ST CHARLES AVENUE,SUITE 1100,NEW ORLEANS,LA,UNITED STATES,70130,504 522-9019,504-522-9676,,,,,,,Approved,2/3/2003,5/11/2010,Y,WWW.DELTAFINAD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"183,160,135.00","35,997,810.00","219,157,945.00",505,11,516,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,145797,801-68746,"TPG CAPITAL, L.P.","TPG CAPITAL, L.P.",301 COMMERCE STREET,SUITE 3300,FORT WORTH,TX,UNITED STATES,76102-4133,817-871-4000,817-871-4088,,,,,,,Approved,3/5/2008,5/26/2010,Y,HTTP://WWW.TEXASPACIFICGROUP.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,251-500,0,51-250,0,Nov-50,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"25,507,592,677.00",0,"25,507,592,677.00",54,0,54,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,N,Y,N,Y,N,Y,N,Y,N,Y
ARO,119081,801-60964,"PRONVEST, INC.","PRONVEST, INC.",1203 CARTER STREET,,CHATTANOOGA,TN,UNITED STATES,37402,423-648-1876,888-725-8915,,,,,,,Approved,2/26/2002,5/26/2010,Y,WWW.PRONVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,More than 500,"17,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"165,380,979.00","352,070,026.00","517,451,005.00","5,596","11,913","17,509",Y,Y,N,N,N,Y,N,N,N,N,,More than 500,17500,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,146302,801-68821,REICH INVESTMENT ADVISORS LLC,REICH INVESTMENT ADVISORS LLC,,,,,,,561-847-3596,561-847-3596,,,,,,,Approved,2/27/2008,1/13/2010,Y,WWW.REICHCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,CASH MANAGEMENT FOR CORPORATIONS,Y,N,N,N,N,N,N,,Y,0,"207,000,000.00","207,000,000.00",0,55,55,Y,N,N,N,N,N,N,N,N,Y,CASH MANAGEMENT FOR CORPORATIONS,26-50,,N,N,N,Y,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,16009,801-28947,"JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC","JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC","601 CONGRESS STREET, 11TH FL",,BOSTON,MA,UNITED STATES,02210-2805,617-663-2430,617-663-2175,,,,,,,Approved,3/13/1987,5/26/2010,Y,WWW.JOHNHANCOCK.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,101-250,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"103,173,505,488.00",0,"103,173,505,488.00",194,0,194,N,N,Y,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y
BRO,105790,801-8124,"JOHN HANCOCK ADVISERS, LLC","JOHN HANCOCK ADVISERS, LLC",601 CONGRESS STREET,,BOSTON,MA,UNITED STATES,02210-2805,617-663-2430,617-663-2175,,,,,,,Approved,12/12/1971,5/26/2010,Y,WWW.JOHNHANCOCK.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"21,784,049,473.00",0,"21,784,049,473.00",34,0,34,N,N,Y,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y
LARO,110878,801-30028,MARATHON ASSET MANAGEMENT CO INC,MARATHON ASSET MANAGEMENT CO INC,3567 EAST SUNRISE DRIVE,SUITE 235,TUCSON,AZ,UNITED STATES,85718-3250,520-577-8828,520-577-6781,,,,,,,Approved,7/30/1987,5/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"72,196,121.00",0,"72,196,121.00",40,0,40,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107620,801-44801,FUTURE BENEFITS INC,FUTURE BENEFITS INC,1781 HIGHLAND AVENUE,SUITE 205,CHESHIRE,CT,UNITED STATES,6410,203-272-4745,203-272-2459,,,,,,,Approved,9/24/1993,1/13/2010,Y,FUTUREBENEFITS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,More than 500,"1,600",Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"367,782,673.00",0,"367,782,673.00","1,643",0,"1,643",Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,154108,801-71516,"SEEDLING CAPITAL, LLC","SEEDLING CAPITAL, LLC",1205 WESTLAKES DRIVE,SUITE 370,BERWYN,PA,UNITED STATES,19312,484-323-2330,484-323-2332,,,,,,,120-Day Approval,6/7/2010,5/26/2010,Y,WWW.SEEDLINGCAP.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,PERFORMANCE ALLOCATION,Y,"10,700,927.00",0,"10,700,927.00",1,0,1,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,108061,801-56209,PMK CAPITAL ADVISORS INC,PMK CAPITAL ADVISORS INC,105 E. ATLANTIC AVENUE,SUITE 200,DELRAY BEACH,FL,USA,33444,561-454-1770,561-274-6249,,,,,,,Approved,1/29/1999,5/26/2010,Y,PMKSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,FOREIGN FINANCIAL INSTITUTION,Y,N,N,Y,Y,Y,N,,Y,"107,436,394.00",0,"107,436,394.00",16,0,16,N,Y,N,Y,N,N,N,N,N,Y,EVALUATION OF INVESTMENT PRODUCTS,0,,N,N,Y,Y,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
NYRO,143479,801-67700,"MORGAN STANLEY PRIVATE EQUITY ASIA III, INC.","MORGAN STANLEY PRIVATE EQUITY ASIA III, INC.","1585 BROADWAY, 39TH FLOOR",ATTN: ALAN JONES,NEW YORK,NY,UNITED STATES,10036,1 212 761-7200,1 212 507-2416,,,,,,,Approved,4/13/2007,5/26/2010,Y,WWW.MORGANSTANLEY.COM/INSTITUTIONAL/INVEST_MANAGEMENT/PRIVATE_EQUITY,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ADMINISTRATIVE (ACQUISITION) FEES,Y,"524,547,250.00",0,"524,547,250.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143956,801-68223,"VERTICAL CAPITAL, LLC","VERTICAL CAPITAL, LLC","437 MADISON AVENUE, 39TH FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-786-5300,212-786-5301,,,,,,,Approved,8/10/2007,5/26/2010,Y,WWW.VERTICALCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,51-75 percent,CDO FUNDS WHICH ARE SPECIAL PURPOSE VEHICLES ESTABLISHED TO HOLD COLLATERAL AND ISSUE COLLATERALIZED DEBT OBLIGATIONS,Y,N,N,Y,N,Y,N,,Y,"3,755,000,000.00",0,"3,755,000,000.00",14,0,14,N,N,N,Y,N,N,N,N,N,Y,COLLATERAL MANAGER TO CDOS AND INVESTMENT ADVISOR TO PRIVATELY OFFERED POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,110900,801-14574,INVESTMENT MANAGEMENT ASSOCIATES,INVESTMENT MANAGEMENT ASSOCIATES,7979 EAST TUFTS AVE,SUITE 820,DENVER,CO,USA,80237,303-796-8333,303-796-2277,,,,,,,Approved,5/4/1979,5/26/2010,Y,HTTP://IMAUSA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,10-Jun,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"58,245,259.00",0,"58,245,259.00",193,0,193,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,148832,801-69746,OAK WEALTH ADVISORS LLC,OAK WEALTH ADVISORS LLC,500 LAKE COOK ROAD,SUITE 350,DEERFIELD,IL,UNITED STATES,60015,847-945-8888,847-945-8888,,,,,,,Approved,11/24/2008,1/13/2010,Y,WWW.OAKWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"40,000,000.00",0,"40,000,000.00",16,0,16,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106608,801-50232,ROSE CAPITAL,IGDALOFF BARRY,,,,,,,614-939-0166,614-939-0188,P.O. BOX 317,,BLACKLICK,OH,UNITED STATES,43004,Approved,10/2/1995,1/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"28,526,376.00",0,"28,526,376.00",83,0,83,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,138137,801-65260,"DIAMONDBACK CAPITAL MANAGEMENT, LLC","DIAMONDBACK CAPITAL MANAGEMENT, LLC",1 LANDMARK SQUARE,15TH FLOOR,STAMFORD,CT,UNITED STATES,06901-2601,203-399-1600,203-399-1782,,,,,,,Approved,1/23/2006,5/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,342,428,089.00",0,"5,342,428,089.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT OF PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,153431,801-71437,"GAMA GLOBAL INVESTMENT ADVISORS, LLC","GAMA GLOBAL INVESTMENT ADVISORS, LLC",ONE MARKET STREET,"SPEAR TOWER, 36TH FLOOR",SAN FRANCISCO,CA,UNITED STATES,94105,415 293-8121,415 293-8122,,,,,,,120-Day Approval,5/27/2010,5/26/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,26-50 percent,26-50 percent,26-50 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,FOREIGN INSTITUTIONAL INVESTORS,Y,Y,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,132945,801-68911,"BERGER ASSET MANAGEMENT, INC.","BERGER ASSET MANAGEMENT, INC.",701 EAST CANAL DRIVE,,TURLOCK,CA,UNITED STATES,95380,209-632-9938,209-667-5849,,,,,,,Approved,3/4/2008,1/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"32,500,000.00",0,"32,500,000.00",106,0,106,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,137846,801-65150,"TRAFF ASSET MANAGEMENT, INC.","TRAFF ASSET MANAGEMENT, INC.",,,,,,,903-593-2396,903-593-7509,,,,,,,Approved,2/3/2006,1/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,TRUST/ESTATE,Y,N,N,N,N,N,N,,Y,"90,626,602.00","2,664,804.00","93,291,406.00",193,2,195,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,117287,801-63925,"STERLING INVESTMENT ADVISORS,LLC","STERLING INVESTMENT ADVISORS,LLC",2095 S. BOSTON PLACE,,BOLIVAR,MO,USA,65613,417-777-7677,417-777-8958,,,,,,,Approved,2/10/2005,1/13/2010,Y,WWW.INVESTWITHSTERLING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"63,573,000.00",0,"63,573,000.00",289,0,289,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,153993,801-71519,"OCTOBER WEALTH ADVISORS, INC","OCTOBER WEALTH ADVISORS, INC",322 NORTH 8TH STREET,,FORT SMITH,AR,UNITED STATES,72901,479-452-0996,479-452-0489,,,,,,,120-Day Approval,6/14/2010,5/26/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,AR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150810,801-71019,"ARTEMIS WEALTH ADVISORS, LLC","ARTEMIS WEALTH ADVISORS, LLC",C/O PETER M. RUP,"590 MADISON AVENUE, SUITE 502",NEW YORK,NY,UNITED STATES,10022,212-838-9000,212-758-9347,,,,,,,Approved,1/19/2010,1/13/2010,Y,WWW.ARTEMISWA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"72,000,000.00","72,000,000.00",0,3,3,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,153048,801-71149,"RKG FINANCIAL, INC.","RKG FINANCIAL, INC.",211 MAIN STREET,,MARLBOROUGH,MA,UNITED STATES,1752,508-480-8383,508-485-8161,197 M. BOSTON POST RD,#328,MARLBOROUGH,MA,UNITED STATES,1752,Approved,3/1/2010,5/26/2010,Y,WWW.RKGFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"27,000,000.00","27,000,000.00",0,160,160,Y,Y,N,Y,Y,N,N,N,N,N,,0,,Y,Y,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,144571,801-68167,WESTBOURNE INVESTMENT ADVISORS INC.,WESTBOURNE INVESTMENT ADVISORS INC.,"2101 WILSON BLVD., S. 525",,ARLINGTON,VA,UNITED STATES,22201,703-294-6880,703-294-6850,,,,,,,Approved,7/19/2007,5/26/2010,Y,WWW.WESTBOURNEINVADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"57,184,805.00","5,962,188.00","63,146,993.00",134,15,149,N,Y,N,N,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,105214,801-27938,"RHOADS LUCCA CAPITAL MANAGEMENT, INC.","RHOADS LUCCA CAPITAL MANAGEMENT, INC.",14911 QUORUM DR.,SUITE 380,DALLAS,TX,UNITED STATES,75254-7058,214-373-9771,214-373-9775,,,,,,,Approved,9/4/1986,1/13/2010,Y,WWW.RHOADSLUCCA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"90,364,207.00",0,"90,364,207.00",249,0,249,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,104985,801-14185,PIEDMONT CAPITAL MANAGEMNET ASSOCIATES INC,PIEDMONT CAPITAL MANAGEMENT ASSOCIATES INC,,,,,,,828-693-0499,828-693-3363,P.O. BOX 1328,,FLAT ROCK,NC,UNITED STATES,28731-9561,Approved,11/24/1978,10/29/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,TAFT HARTLEY,Y,N,N,Y,N,N,Y,NEGOTIABLE FEES,Y,"3,000,000.00","73,000,000.00","76,000,000.00",9,26,35,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115108,801-69354,DICKINSON INVESTMENT ADVISORS,"R.E. DICKINSON INVESTMENT ADVISORS, LLC",533 SOUTH MAIN STREET,,COUNCIL BLUFFS,IA,USA,51503,712-328-2600,712-328-3139,,,,,,,Approved,7/2/2008,3/5/2010,Y,WWW.DICKINSONINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"13,222,725.00","33,756,764.00","46,979,489.00",140,399,539,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107078,801-42655,JAMES CAPITAL ALLIANCE INC,JAMES CAPITAL ALLIANCE INC,1349 FAIRGROUND ROAD,,XENIA,OH,UNITED STATES,45385-9514,937-429-7384,937-429-7386,P.O. BOX 12,,ALPHA,OH,UNITED STATES,45301-0012,Approved,11/6/1992,3/5/2010,Y,WWW.JAMESCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,Nov-50,0,More than 500,"3,000",More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,"JAMES CAPITAL ALLIANCE MAY ALSO PROVIDE INVESTMENT ADVICE TO TAFT-HARTLEY (OR UNION) ACCOUNTS, PARTNERSHIPS AND MUNICIPALITIES.",Y,N,N,N,N,N,N,,Y,"588,641,799.00",0,"588,641,799.00","3,094",0,"3,094",N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,113809,801-61656,"ALLIED PORTFOLIO MANAGEMENT, INC.","ALLIED PORTFOLIO MANAGEMENT, INC.",5987 E. GRANT ROAD,,TUCSON,AZ,UNITED STATES,85712,520-296-1035,520-296-0864,,,,,,,Approved,12/6/2002,3/5/2010,Y,WWW.ALLIEDPORTFOLIO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"78,000,000.00","78,000,000.00",0,250,250,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146693,801-70674,"HARBOR CAPITAL ADVISORY SERVICES, INC.","HARBOR CAPITAL ADVISORY SERVICES, INC.",10 EAST CHURCH STREET,,FAIRPORT,NY,UNITED STATES,14450,585-425-4090 EXT.02,585-425-4470,,,,,,,Approved,10/16/2009,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,VARIABLE FEES FOR ADVISING PENSION PLANS AND PARTICIPANTS,Y,"51,535,408.00",0,"51,535,408.00",288,0,288,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107599,801-49261,SIMMONS L E & ASSOCIATES INC,SIMMONS L E & ASSOCIATES INC,"600 TRAVIS, SUITE 6600",,HOUSTON,TX,UNITED STATES,77002-3007,713-227-7888,713-227-7850,,,,,,,Approved,5/25/1995,3/5/2010,Y,WWW.SCFPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,Y,% OF COMMITTED CAPITAL AS ADJUSTED AS DESCRIBED IN PART II,Y,"637,434,337.00",0,"637,434,337.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,SPECIFIC PORTFOLIO INVESTMENTS IN A SINGLE SECTOR - ENERGY SERVICES AND EQUIPMENT,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137909,801-65049,"LONGACRE FUND MANAGEMENT, LLC","LONGACRE FUND MANAGEMENT, LLC",810 SEVENTH AVENUE,33RD FLOOR,NEW YORK,NY,UNITED STATES,10019,212-259-4300,212-259-4347,,,,,,,Approved,1/3/2006,3/5/2010,Y,HTTP://WWW.LONGACRELLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,MANAGED ACCOUNTS,Y,N,N,N,N,Y,Y,ADMINISTRATIVE FEES,Y,"744,812,992.00","75,000,000.00","819,812,992.00",33,1,34,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138954,801-65813,SHELL COVE CAPITAL MANAGEMENT LTD,SHELL COVE CAPITAL MANAGEMENT LTD,KING STREET WHARF,"15 LIME STREET, SUITE 411","SYDNEY, NSW",,AUSTRALIA,2000,+61 2 9299 3366,+61 2 9299 2800,GPO BOX 7038,,"SYDNEY,  NSW",,AUSTRALIA,2001,Approved,2/24/2006,12/10/2008,Y,WWW.SHELLCOVE.NET,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,AUSTRALIA,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"14,000,000.00",0,"14,000,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,106156,801-42913,"SHDR INVESTMENT ADVISERS, INC.","SHDR INVESTMENT ADVISERS, INC.","3 INDEPENDENCE POINTE, SUITE 102",,GREENVILLE,SC,UNITED STATES,29615-4543,864-527-0600,864-527-0619,,,,,,,Approved,12/16/1992,3/5/2010,Y,WWW.SHDR.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,SC,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"240,418,091.00","806,721,385.00","1,047,139,476.00",4,86,90,N,N,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110407,801-18403,WESTONFINANCIAL,WESTON FINANCIAL GROUP INC,40 WILLIAM ST,SUITE 100,WELLESLEY,MA,UNITED STATES,2481,781-235-7055,781-235-1905,,,,,,,Approved,2/11/1983,3/5/2010,Y,WWW.WESTONFINANCIAL.NET,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"1,000",26-50 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,119,860,536.00","439,087,768.00","1,558,948,304.00","5,232","1,364","6,596",Y,Y,Y,Y,N,Y,N,N,N,Y,ASSET ALLOCATION AND MONITORING SERVICES,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,N,N,Y,N,Y,Y,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,150821,801-70406,EASTOVER INVESTMENT ADVISORS,"EASTOVER INVESTMENT ADVISORS, LLC",4725 PIEDMONT ROW DR,SUITE 450,CHARLOTTE,NC,UNITED STATES,28210,704-336-6818,704-336-6824,,,,,,,Approved,8/7/2009,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"140,000,000.00",0,"140,000,000.00",210,0,210,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,5670,801-68618,"PAULSON INVESTMENT COMPANY, INC.","PAULSON INVESTMENT COMPANY, INC.",811 SW NAITO PARKWAY,SUITE 200,PORTLAND,OR,UNITED STATES,97204,503-243-6000,503-243-6018,,,,,,,Approved,1/2/2008,3/5/2010,Y,WWW.PAULSONINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,REFERRAL FEES FROM REGISTERED INVESTMENT ADVISORY FIRMS,Y,0,"87,710,891.00","87,710,891.00",0,278,278,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,Y,N,N
CHRO,106193,801-46599,FRONT BARNETT ASSOCIATES LLC,FRONT BARNETT ASSOCIATES LLC,70 W. MADISON STREET,SUITE 4920,CHICAGO,IL,UNITED STATES,60602,312-641-9000,312-641-9009,,,,,,,Approved,5/13/1994,3/5/2010,Y,HTTP://WWW.FRONT-BARNETT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"412,298,744.00","95,721.00","412,394,465.00",539,3,542,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,130687,801-62841,FRANCIS INVESTMENT COUNSEL LLC,FRANCIS INVESTMENT COUNSEL LLC,21180 W. CAPITOL DRIVE,,PEWAUKEE,WI,UNITED STATES,53072,262-781-8950,262-781-8860,,,,,,,Approved,3/12/2004,3/5/2010,Y,WWW.FRANCISINVCO.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"4,088,653.00",0,"4,088,653.00",4,0,4,N,N,N,Y,Y,Y,N,N,N,Y,"401(K) EDUCATIONAL SERVICES, PERFORMANCE MONITORING",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,148774,801-69744,THOMAS STORY AND SON LLC,THOMAS STORY AND SON LLC,900 JORIE BOULEVARD,SUITE 188,OAK BROOK,IL,UNITED STATES,60523,630-590-5596,630-908-7126,,,,,,,Approved,12/4/2008,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"137,996,012.00",0,"137,996,012.00",67,0,67,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,111913,801-33181,"HUTCHINSON FINANCIAL, INC.","HUTCHINSON FINANCIAL, INC.",12511 CANTRELL ROAD,,LITTLE ROCK,AR,UNITED STATES,72223,501-223-9190,501-223-0343,,,,,,,Approved,10/28/1988,3/5/2010,Y,WWW.HUTCHINSONFINANCIALINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"68,520,667.00","39,826,976.00","108,347,643.00",474,23,497,Y,Y,N,Y,Y,N,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,111423,801-57208,"LEGACY ASSET MANAGEMENT, INC.","LEGACY ASSET MANAGEMENT, INC.",1800 WEST LOOP SOUTH,SUITE 1790,HOUSTON,TX,UNITED STATES,77027,713-355-7171,713-355-7444,,,,,,,Approved,2/25/2000,3/5/2010,Y,WWW.LEGACYASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"82,824,731.00",0,"82,824,731.00",175,0,175,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109827,801-50316,TIMBERVEST LLC,TIMBERVEST LLC,3715 NORTHSIDE PARKWAY,"BUILDING 200, SUITE 500",ATLANTA,GA,UNITED STATES,30327,404-848-7500,404-848-7501,,,,,,,Approved,10/5/1995,3/5/2010,Y,WWW.TIMBERVEST.NET,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,11-25 percent,UNIVERSITY ENDOWMENTS AND FOUNDATIONS,Y,Y,N,Y,N,Y,Y,PER DIEM,Y,"1,585,001,721.00",0,"1,585,001,721.00",9,0,9,N,N,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,131869,801-71180,"NAVAM INVESTMENT ADVISORS, LLC","NAVAM INVESTMENT ADVISORS, LLC",,,,,,,334-826-1335,334-826-1355,P.O. BOX 589,,AUBURN,AL,UNITED STATES,36831-0589,Approved,3/4/2010,3/5/2010,Y,WWW.NAVAMIA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"31,968,384.00",0,"31,968,384.00",283,0,283,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122758,801-63261,"RETIREMENT PLAN ADVISORS, LLC","RETIREMENT PLAN ADVISORS, LLC",105 WEST ADAMS,SUITE 2175,CHICAGO,IL,UNITED STATES,60603,312-701-1100,312-701-1105,,,,,,,Approved,7/14/2004,3/5/2010,Y,WWW.RETIREMENTPLANADVISORS.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,Nov-50,0,More than 500,"6,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"170,000,000.00",0,"170,000,000.00","6,000",0,"6,000",Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,113543,801-50228,HARDESTY CAPITAL MANAGEMENT CORP.,HARDESTY CAPITAL MANAGEMENT CORP.,2 EAST READ STREET,,BALTIMORE,MD,UNITED STATES,21202,410-783-9633,410-783-9637,,,,,,,Approved,10/10/1995,3/5/2010,Y,WWW.HARDESTYCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"677,628,244.00",0,"677,628,244.00",826,0,826,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,118945,801-68026,"CANTY FINANCIAL MANAGEMENT, INC.","CANTY FINANCIAL MANAGEMENT, INC.",20 CHURCH AVE.,,BALLSTON SPA,NY,USA,12020,518-885-3230,518-885-2835,,,,,,,Approved,6/14/2007,3/5/2010,Y,WWW.CANTYFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"40,273,000.00",0,"40,273,000.00",684,0,684,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,121601,801-66990,"CAPITAL ASSET MANAGEMENT, LLC","CAPITAL ASSET MANAGEMENT, LLC",702 NORTH SHORE DRIVE,SUITE 500,JEFFERSONVILLE,IN,USA,47130,812.288.2881,812.288.2885,,,,,,,Approved,7/7/2006,3/5/2010,Y,WWW.CAMADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"188,580.00","55,430,436.00","55,619,016.00",1,385,386,Y,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,109161,801-55311,RETIREMENT ASSET ADVISORY,RETIREMENT ASSET ADVISORY INC,5850 INTERSTATE 20 WEST,SUITE 200,ARLINGTON,TX,USA,76017-1071,817-563-3400,817-548-3445,,,,,,,Approved,3/4/1998,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"10,491,991.00","205,440,263.00","215,932,254.00",19,96,115,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,396,801-66333,SECURITY CAPITAL MANAGEMENT,"HAZLETT, BURT & WATSON, INC.",1300 CHAPLINE STREET,,WHEELING,WV,USA,26003,304-233-3312,304-233-3870,,,,,,,Approved,3/29/2006,3/5/2010,Y,WWW.HAZLETTBURT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WV,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"156,758,000.00","163,622,000.00","320,380,000.00",464,684,"1,148",Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,148679,801-69685,"MARKS GROUP WEALTH MANAGEMENT, INC.","MARKS GROUP WEALTH MANAGEMENT, INC.",4350 BAKER ROAD,SUITE 245,MINNETONKA,MN,UNITED STATES,55343,952-582-6100,952-582-6110,,,,,,,Approved,10/22/2008,3/5/2010,Y,WWW.MARKSGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"188,994,137.00","1,265,518.00","190,259,655.00",630,4,634,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110050,801-55610,ALPHA WINDWARD LLC,ALPHA WINDWARD LLC,200 LOWDER BROOK DRIVE,SUITE 2400,WESTWOOD,MA,UNITED STATES,02090-1178,781-326-8880,,,,,,,,Approved,6/10/1998,3/5/2010,Y,WWW.ALPHAWINDWARD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"110,083,108.00",0,"110,083,108.00",159,0,159,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153809,801-71461,"Y/CAP MANAGEMENT, LLC","Y/CAP MANAGEMENT, LLC",767 THIRD AVENUE,6TH FLOOR,NEW YORK,NY,UNITED STATES,10017,(212) 676-5670,(212) 676-5529,,,,,,,Approved,6/4/2010,5/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"40,096,935.00",0,"40,096,935.00",2,0,2,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109901,801-55783,SENTINEL PENSION ADVISORS INC,SENTINEL PENSION ADVISORS INC,55 WALKERS BROOK DRIVE,,READING,MA,UNITED STATES,1867,781-914-1242,781-213-7342,,,,,,,Approved,8/5/1998,5/13/2010,Y,WWW.SENTINELBENEFITS.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"261,590,278.00","500,973,738.00","762,564,016.00",605,15,620,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,Y,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,153810,801-71462,FINSER INTERNATIONAL CORPORATION,FINSER INTERNATIONAL CORPORATION,,,,,,,305-297-8723,954-905-4361,,,,,,,120-Day Approval,6/1/2010,5/13/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105698,801-36720,GENOVESE BURFORD & BROTHERS ASSET MANAGEMENT,"GENOVESE BURFORD & BROTHERS WEALTH & RETIREMENT PLAN MGMT, INC.",1515 RESPONSE ROAD,,SACRAMENTO,CA,USA,95815,916-924-7527,916-646-3287,,,,,,,Approved,4/1/1990,5/13/2010,Y,WWW.GBBWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,More than 500,500,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"454,688,492.00","122,356,274.00","577,044,766.00","1,295",6,"1,301",Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,123439,801-61594,"LONG ISLAND FINANCIAL ADVISORS, INC.","LONG ISLAND FINANCIAL ADVISORS, INC.",1731 NORTH OCEAN AVENUE,,MEDFORD,NY,USA,11763,631-289-4224,631-289-8130,,,,,,,Approved,12/17/2002,5/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"51,439,781.00",0,"51,439,781.00",384,0,384,Y,Y,N,N,N,N,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106962,801-41668,PACIFIC GLOBAL INVESTMENT MANAGEMENT CO,PACIFIC GLOBAL INVESTMENT MANAGEMENT CO,101 N. BRAND BLVD,STE 1950,GLENDALE,CA,USA,91203,818-242-6693,818-242-5952,,,,,,,Approved,6/17/1992,5/13/2010,Y,WWW.PACIFICGLOBAL.US,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"430,446,923.00",0,"430,446,923.00",471,0,471,Y,Y,Y,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,130093,801-63268,"MICHAEL BRADY & CO., LLC","MICHAEL BRADY & CO., LLC",25586 BAGLEY ROAD,SUITE 2,OLMSTED FALLS,OH,UNITED STATES,44138,440-235-2100,866-217-9609,POST OFFICE BOX 38308,,OLMSTED FALLS,OH,UNITED STATES,44138-0308,Approved,6/29/2004,1/14/2010,Y,WWW.MICHAELBRADYCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"42,122,075.00",0,"42,122,075.00",400,0,400,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N
FWRO,111595,801-58252,"GRUNDEN FINANCIAL ADVISORY, INC.","GRUNDEN FINANCIAL ADVISORY, INC.",2516 LILLIAN MILLER PARKWAY,SUITE 110,DENTON,TX,UNITED STATES,76210,940-591-9007,940-323-1166,2516 LILLIAN MILLER PKWY.,SUITE 110,DENTON,TX,UNITED STATES,76210,Approved,12/29/2000,5/14/2010,Y,WWW.GRUNDEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"75,770,017.00",0,"75,770,017.00",373,0,373,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,134509,801-68629,"COLE WEALTH MANAGEMENT, LLC","COLE WEALTH MANAGEMENT, LLC",14301 N 87TH ST,SUITE 307,SCOTTSDALE,AZ,USA,85260,480-275-6354,480-275-6372,,,,,,,Approved,1/2/2008,1/14/2010,Y,WWW.COLEWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"35,000,000.00",0,"35,000,000.00",485,0,485,Y,Y,N,Y,N,N,N,N,N,Y,"LIFE & HEALTH INSURANCE, ANNUITIES",101-250,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,150423,801-70379,THE NORTHERN TRUST COMPANY OF CONNECTICUT,THE NORTHERN TRUST COMPANY OF CONNECTICUT,300 ATLANTIC STREET,SUITE 400,STAMFORD,CT,UNITED STATES,06901-3522,203-977-7000,203-356-9341,,,,,,,Approved,7/30/2009,5/14/2010,Y,HTTP://WWW.NORTHERNTRUST.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),STATE-CHARTERED TRUST BANK,CT,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,Nov-50,0,101-250,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,11-25 percent,11-25 percent,26-50 percent,Up to 10 percent,Up to 10 percent,BANK COLLECTIVE AND COMMON FUNDS,Y,N,N,Y,N,Y,N,,Y,"24,823,821,110.00","12,343,448,163.00","37,167,269,273.00",105,58,163,N,Y,Y,Y,N,Y,N,N,N,Y,TRUSTEE OF BANK MAINTAINED COMMON & COLLECTIVE FUNDS,,,N,N,N,N,N,N,N,Y,N,,N,,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109301,801-57322,JOSEPH JOHN HASSON JR,"JOSEPH JOHN HASSON, JR.",,,,,,,718-921-3600,718-921-9172,,,,,,,Approved,3/15/2000,1/14/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"96,000,000.00",0,"96,000,000.00",87,0,87,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,126721,801-62482,"EFFICIENT PORTFOLIO CONSULTANTS, LLC","EFFICIENT PORTFOLIO CONSULTANTS, LLC",661 6TH STREET,SUITE 7,LINCOLN,CA,UNITED STATES,95648,916-780-1040,916-409 9580,,,,,,,Approved,11/7/2003,1/14/2010,Y,WWW.EFFICIENTPORTFOLIOCONSULTANTS.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"15,000.00","15,000.00",0,1,1,Y,Y,N,Y,Y,N,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109811,801-33001,FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD,FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD,111 CASS STREET,,TRAVERSE CITY,MI,UNITED STATES,49684,(231) 929-4500,(231) 995-7999,111 CASS STREET,,TRAVERSE CITY,MI,UNITED STATES,49684,Approved,10/6/1988,5/14/2010,Y,WWW.FIMG.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,More than 500,"1,000",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,PENSION ADMINISTRATION ACCOUNTS,Y,Y,N,Y,N,N,Y,SPEAKING ENGAGEMENTS AND PUBLISHING,Y,"461,598,379.00","20,009,616.00","481,607,995.00","2,583",248,"2,831",Y,Y,N,Y,Y,N,N,N,N,Y,CONSULTATION SERVICES,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112798,801-56045,"PARKER INVESTMENT MANAGEMENT, LLC","PARKER INVESTMENT MANAGEMENT, LLC",,,,,,,650-326-0387,650-321-1027,P.O. BOX 1088,,MENLO PARK,CA,UNITED STATES,94026-1088,Approved,3/23/1999,5/14/2010,Y,WWW.PARKERINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"236,146,000.00",0,"236,146,000.00",851,0,851,N,Y,N,Y,N,N,N,N,Y,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,112440,801-64595,"FINANCIAL PLANNING & CONSULTING SERVICES, INC","FINANCIAL PLANNING & CONSULTING SERVICES, INC",,,,,,,714-970-2511,714-970-7492,,,,,,,Approved,8/17/2005,1/14/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"32,159,710.00","60,155,095.00","92,314,805.00",195,1,196,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,150641,801-70279,"WOODWARD FINANCIAL ADVISORS, INC.","WOODWARD FINANCIAL ADVISORS, INC.",1504 E. FRANKLIN ST.,SUITE 105,CHAPEL HILL,NC,UNITED STATES,27514,919-929-2495,919-929-2496,,,,,,,Approved,6/8/2009,1/14/2010,Y,WWW.WOODWARDADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),S-CORPORATION,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"52,172,166.00",0,"52,172,166.00",150,0,150,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139777,801-66392,NAFTILIA ASSET MANAGEMENT LIMITED,NAFTILIA ASSET MANAGEMENT LIMITED,AIGIALIAS 54,MAROUSI,ATHENS,,GREECE,15125,003-0210-684-6943,003-0210-684-6083,,,,,,,Approved,3/6/2006,5/14/2010,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),CAYMAN ISLANDS EXEMPTED COMPANY,,CAYMAN ISLANDS,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"20,000,000.00",0,"20,000,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR A HEDGE FUND,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,130668,801-63660,UBS SWISS FINANCIAL ADVISERS,UBS SWISS FINANCIAL ADVISERS AG,LOEWENSTRASSE 49,,ZURICH,,SWITZERLAND,8001,+41-44-237 8800,+41-44-237 8798,P.O. BOX,,ZURICH,,SWITZERLAND,8098,Approved,12/3/2004,5/14/2010,Y,WWW.UBS.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SWITZERLAND,51-250,0,Nov-50,0,0,0,10-Jun,0,More than 500,"1,500",26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,576,648,666.00","1,734,968,041.00","3,311,616,707.00",924,584,"1,508",N,Y,N,Y,N,N,Y,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,Y,Y,N,N,Y
PLRO,145987,801-68718,"LONGSTREET ADVISORS, LLC","LONGSTREET ADVISORS, LLC",7272 WISCONSIN AVENUE,SUITE 300,BETHESDA,MD,USA,20814,301-941-1945,301-941-1962,,,,,,,Approved,1/22/2008,3/30/2010,Y,WWW.LONGSTREETADVISORS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,104580,801-55068,BEL AIR INVESTMENT ADVISORS LLC,BEL AIR  INVESTMENT ADVISORS LLC,1999 AVENUE OF THE STARS,SUITE 2800,LOS ANGELES,CA,USA,90067,310-229-1500,310-229-1516,,,,,,,Approved,11/21/1997,3/30/2010,Y,WWW.BELAIR-LLC.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"4,041,683,000.00",0,"4,041,683,000.00","3,148",0,"3,148",N,Y,N,Y,N,Y,N,N,N,Y,HEDGE FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,113059,801-60284,SINTRA CAPITAL CORP,SINTRA CAPITAL CORP,151 RAILROAD AVENUE,,GREENWICH,CT,UNITED STATES,6830,212-644-0309,212-644-0320,517 GOODWIN DRIVE,,RICHARDSON,TX,UNITED STATES,75081,Approved,5/18/2001,3/30/2010,Y,SINTRACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,DETERMINED BY AGREEMENT,Y,"8,000,000.00","321,000,000.00","329,000,000.00",1,7,8,N,Y,N,N,N,N,N,N,N,Y,ASSET ALLOCATION ADVISORY SERVICES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147650,801-69417,"ICON WEALTH MANAGEMENT, INC.","ICON WEALTH MANAGEMENT, INC.",11206-B FALL CREEK ROAD,,INDIANAPOLIS,IN,USA,46256,317-284-6010,317-284-6019,,,,,,,Approved,8/5/2008,12/15/2008,Y,ICONGROUP.US.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"27,210,000.00",0,"27,210,000.00",182,0,182,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,132848,801-63571,"OLD NORTH ADVISORS, LLC","OLD NORTH ADVISORS, LLC",50 FEDERAL STREET,,BOSTON,MA,UNITED STATES,02110-2500,617-259-1700,617-259-1701,,,,,,,Approved,10/14/2004,3/30/2010,Y,WWW.OLDNORTHADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"186,491,832.00",0,"186,491,832.00",495,0,495,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106804,801-52260,"NOTTINGHILL INVESTMENT ADVISERS, LTD",NOTTINGHILL INVESTMENT ADVISERS LTD,SOUTHAMPTON SQUARE,7414 JAGER COURT,CINCINNATI,OH,USA,45230-4344,513-624-3000,513-624-3003,,,,,,,Approved,6/25/1996,3/30/2010,Y,WWW.NOTTINGHILLADVISERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"107,572,407.00",0,"107,572,407.00",126,0,126,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGER FOR AN OHIO LIMITED PARTNERSHIP.,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,135832,801-68978,STRATEGIC ASSET MANAGEMENT GROUP ADVISORS,"STRATEGIC ASSET MANAGEMENT  GROUP ADVISORS, INC.",800 S. ANDREWS AVENUE,SUITE 204,FT. LAUDERDALE,FL,UNITED STATES,33316,954-473-1110,954-761-3820,,,,,,,Approved,3/31/2008,3/30/2010,Y,WWW.STRATEGICASSETMANAGEMENTGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,POLICE RETIREMENT FUND,Y,Y,N,N,Y,N,Y,THIRD PARTY ADVISORY FEES,Y,0,"53,491,887.00","53,491,887.00",0,92,92,N,Y,N,Y,Y,Y,N,N,N,Y,HOURLY CONSULTATION,,,Y,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,133766,801-67876,"MATTERHORN CAPITAL MANAGEMENT, LLC","MATTERHORN CAPITAL MANAGEMENT, LLC",16410 BLANCO ROAD,SUITE 2,SAN ANTONIO,TX,USA,78232,210.694.4329,210.694.4379,,,,,,,Approved,5/8/2007,3/30/2010,Y,WWW.MATTERHORNCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"120,139,980.00",0,"120,139,980.00",188,0,188,N,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,112747,801-60494,NORTHWATER CAPITAL MANAGEMENT INC.,NORTHWATER CAPITAL MANAGEMENT INC.,"181 BAY STREET, BCE PLACE, BAY WELLINGTON TOWER",SUITE 4700,"TORONTO, ONTARIO",,CANADA,M5J 2T3,416-360-5435,416-360-0671,,,,,,,Approved,8/20/2001,3/30/2010,Y,WWW.NORTHWATERCAPITAL.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,51-75 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"650,000,000.00",0,"650,000,000.00",14,0,14,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,123525,801-62519,"RMR ADVISORS, INC.","RMR ADVISORS, INC.",400 CENTRE STREET,,NEWTON,MA,UNITED STATES,2458,617-332-9530,617-796-8376,,,,,,,Approved,11/19/2003,12/10/2009,Y,WWW.RMRFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"146,544,000.00",0,"146,544,000.00",3,0,3,N,N,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,Y,N,N,N,N,N,Y,N,Y,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,149389,801-69963,HELIOS INVESTMENTS INC,HELIOS INVESTMENTS INC,4450 BELDEN VILLAGE,STE 302,CANTON,OH,UNITED STATES,44718,(330) 649-9511,330-649-9512,,,,,,,Approved,3/3/2009,12/10/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"63,000,000.00",0,"63,000,000.00","1,500",0,"1,500",N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,106243,801-48866,HIRSCH INVESTMENT MANAGEMENT LLC,HIRSCH INVESTMENT MANAGEMENT LLC,1100 POYDRAS STREET,SUITE 1470,NEW ORLEANS,LA,USA,70163,504-585-3888,504-585-3889,,,,,,,Approved,3/30/1995,3/30/2010,Y,WWW.HIRSCHNOLA@AOL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,0,"40,855,095.00","40,855,095.00",0,75,75,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,118785,801-69876,PREMIER CAPITAL MANAGEMENT INC,PREMIER CAPITAL MANAGEMENT INC,251 W RIVER PARK DR,SUITE 100,PROVO,UT,UNITED STATES,84604,801-225-5050,801-225-3355,,,,,,,Approved,1/30/2009,3/30/2010,Y,WWW.PREMIERCAPITALMANAGEMENT.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"18,000,000.00",0,"18,000,000.00",215,0,215,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106404,801-53568,BARATTA INVESTMENT GROUP TBIG FINANCIAL SERVICES,TBIG FINANCIAL SERVICES INC,,,,,,,775-247-3106,775-247-3106,,,,,,,Approved,1/3/1997,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"20,284,041.00","17,000,000.00","37,284,041.00",30,3,33,N,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,139223,801-66034,NORTHLIGHT FINANCIAL LLC,NORTHLIGHT FINANCIAL LLC,24 WEST 40TH STREET,12TH FLOOR,NEW YORK,NY,UNITED STATES,10018,212-247-0800,646-495-1601,,,,,,,Approved,3/2/2006,3/30/2010,Y,NORTHLIGHTFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"270,000,000.00",0,"270,000,000.00",9,0,9,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVICE TO POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,139954,801-66576,"BELL STRATEGIC INVESTMENTS, INC.","BELL STRATEGIC INVESTMENTS, INC.",,,,,,,760-489-8509,760-489-8518,,,,,,,Approved,4/11/2006,12/10/2009,Y,WWW.BELLSI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"35,000,000.00","15,000,000.00","50,000,000.00",100,100,200,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107098,801-37788,SIPHRON CAPITAL MANAGEMENT,SIPHRON CAPITAL MANAGEMENT,280 S. BEVERLY DR.,#412,BEVERLY HILLS,CA,UNITED STATES,90212-3904,(310) 858-7281,(310) 858-0312,,,,,,,Approved,11/23/1990,3/30/2010,Y,WWW.SIPHRONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"178,796,514.00",0,"178,796,514.00",15,0,15,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,114970,801-67664,THE FINANCIAL JUNCTION,"CADE GROUP, INC.",7320 US 31 SOUTH,,INDIANAPOLIS,IN,USA,46227,317-215-2473,317-215-2480,,,,,,,Approved,3/15/2007,3/30/2010,Y,WWW.THE FINANCIALJUNCTION.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISER/MANAGER FEES,Y,"43,000,000.00","6,600,000.00","49,600,000.00",257,43,300,Y,Y,N,N,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,111610,801-55234,"KMH WEALTH MANAGEMENT, LLC","KMH WEALTH MANAGEMENT, LLC",101 SOUTH MAIN ST. SUITE 300,,VICTORIA,TX,UNITED STATES,77901-8142,361-573-4383,361-573-1168,P.O. BOX 2549,,VICTORIA,TX,UNITED STATES,77902-2549,Approved,2/6/1998,3/30/2010,Y,WWW.KMHWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"134,394,091.00",0,"134,394,091.00",166,0,166,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,114716,801-60568,BLACKSTONE MANAGEMENT PARTNERS IV L.L.C.,BLACKSTONE MANAGEMENT PARTNERS IV L.L.C.,345 PARK AVENUE,,NEW YORK,NY,USA,10154,212-583-5000,212-583-5258,,,,,,,Approved,9/13/2001,3/30/2010,Y,WWW.BLACKSTONE.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,708,907,663.00",0,"5,708,907,663.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110762,801-21073,FLEXIBLE PLAN INVESTMENTS LTD,FLEXIBLE PLAN INVESTMENTS LTD,3883 TELEGRAPH RD,STE 100,BLOOMFIELD HILLS,MI,UNITED STATES,48302-1432,248-642-6640,248-203-2599,,,,,,,Approved,4/12/1984,3/30/2010,Y,WWW.FLEXIBLEPLAN.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,251-500,0,More than 500,"14,000",More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,NOT FOR PROFIT,Y,N,N,N,N,N,Y,SUBSCRIPTION FEES ANNUITY PRICE CENTER,Y,"475,430,734.00",0,"475,430,734.00","13,049",0,"13,049",N,Y,Y,Y,N,N,Y,Y,N,N,,,,Y,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,130105,801-62775,BIONDO INVESTMENT ADVISORS LLC,BIONDO INVESTMENT ADVISORS LLC,540 ROUTE 6 & 209,,MILFORD,PA,UNITED STATES,18337,570-296-5525,570-296-5527,PO BOX 909,,MILFORD,PA,UNITED STATES,18337,Approved,2/9/2004,3/30/2010,Y,WWW.THEBIONDOGROUP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"330,126,983.00","48,603,374.00","378,730,357.00",319,"1,421","1,740",N,Y,Y,Y,N,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108250,801-60005,HUNGERPILLER CAPITAL MANAGEMENT,"HUNGERPILLER CAPITAL MANAGEMENT, LLC",110 EAST PRESIDENT STREET,2ND FLOOR,SAVANNAH,GA,UNITED STATES,31401,912-790-7660,912-790-7528,NA,NA,SAVANNAH,GA,UNITED STATES,31401,Approved,1/26/2001,3/30/2010,Y,WWW.HUNGERPILLER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"45,952,593.00","18,802,935.00","64,755,528.00",43,5,48,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,13704,801-63122,"PEOPLE'S SECURITIES, INC.","PEOPLE'S SECURITIES, INC.",1000 LAFAYETTE BLVD 9TH FLOOR,,BRIDGEPORT,CT,UNITED STATES,06604-4725,203-338-4083,203-338-3087,1000 LAFAYETTE BLVD 9TH FLOOR,,BRIDGEPORT,CT,UNITED STATES,06604-4725,Approved,5/14/2004,3/30/2010,Y,"HTTP://WWW.PEOPLES.COM/PERSONAL/INVESTING/OLSON/0,8385,14248,00.HTML",N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,251-500,0,51-250,0,251-500,0,5-Jan,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"617,608,615.00","63,262,106.00","680,870,721.00",915,70,985,Y,Y,N,Y,N,N,N,N,N,N,,More than 500,1000,N,N,Y,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
DRO,129015,801-64153,CBF WEALTH MANAGEMENT,"CHRISTENSEN ASSOCIATES, P.C.",125 SOUTH 4TH STREET,,NORFOLK,NE,UNITED STATES,68701,402-371-1160,402-379-3818,P.O. BOX 1264,,NORFOLK,NE,UNITED STATES,68702-0762,Approved,4/21/2005,3/30/2010,Y,WWW.CBFWEALTHFIRM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,More than 500,"1,500",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"75,065,626.00",0,"75,065,626.00","1,668",0,"1,668",Y,Y,N,Y,N,N,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,Y,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108313,801-39460,"THOMPSON WEALTH MANAGEMENT, LTD.","THOMPSON WEALTH MANAGEMENT, LTD.",9 DAMONMILL SQUARE,1F,CONCORD,MA,UNITED STATES,1742,978-287-5151,978-287-5125,,,,,,,Approved,7/22/1991,3/30/2010,Y,WWW.TWMLTD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,A PERCENTAGE OF CLIENT'S NET WORTH.,Y,"95,332,397.00","8,886,892.00","104,219,289.00",70,3,73,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,116085,801-63010,JACOBSEN CAPITAL MANAGEMENT,"JACOBSEN CAPITAL MANAGEMENT, LLC",136 EAST SOUTH TEMPLE,SUITE 825,SALT LAKE CITY,UT,USA,84111,801.746.7171,801.363.5886,,,,,,,Approved,4/7/2004,12/10/2009,Y,WWW.JACOBSENCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"80,395,597.00",0,"80,395,597.00",180,0,180,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107695,801-41108,"CARL MARKS MANAGEMENT COMPANY, LLC","CARL MARKS MANAGEMENT COMPANY, LLC",900 THIRD AVENUE - 33RD FLOOR,,NEW YORK,NY,UNITED STATES,10022,212-909-8400,212-980-2631,,,,,,,Approved,3/25/1992,3/30/2010,Y,WWW.CARLMARKS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"539,285,633.00",0,"539,285,633.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106281,801-47940,NFJ INVESTMENT GROUP LLC,NFJ INVESTMENT GROUP LLC,2100 ROSS AVENUE,SUITE 700,DALLAS,TX,UNITED STATES,75201,(214) 754-1780,(214) 754-1798,680 NEWPORT CENTER DRIVE,SUITE 250,NEWPORT BEACH,CA,UNITED STATES,92660,Approved,11/14/1994,3/30/2010,Y,AFFILIATE WWW.ALLIANZINVESTORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,0 percent,11-25 percent,11-25 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,26-50 percent,WRAP/MANAGED ACCOUNTS,Y,N,N,N,N,N,N,,Y,"20,617,663,653.00","9,385,540,563.00","30,003,204,216.00",62,49,111,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N
NYRO,10641,801-42709,CADARET GRANT & CO INC,"CADARET, GRANT & CO., INC.",110 WEST FAYETTE ST,,SYRACUSE,NY,USA,13202,315-471-2191,315-234-0404,,,,,,,Approved,11/23/1992,3/30/2010,Y,WWW.CADARETGRANT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,251-500,0,251-500,0,251-500,0,5-Jan,0,More than 500,"8,000",More than 75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,318,568,971.00",0,"1,318,568,971.00","7,889",0,"7,889",Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,Y,N,Y,N,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
SFRO,109209,801-55526,"HOOVER INVESTMENT MANAGEMENT CO., LLC","HOOVER INVESTMENT MANAGEMENT CO., LLC",600 CALIFORNIA STREET,SUITE 550,SAN FRANCISCO,CA,UNITED STATES,94108-2729,415-489-4000,415-489-4008,,,,,,,Approved,5/8/1998,3/30/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,ENDOWMENTS,Y,N,N,N,N,N,N,,Y,"1,208,900,969.00",0,"1,208,900,969.00",43,0,43,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,42159,801-58085,"E*TRADE CAPITAL MANAGEMENT, LLC","E*TRADE CAPITAL MANAGEMENT, LLC",135 E 57TH ST,17TH FL,NEW YORK,NY,UNITED STATES,10022,646-521-4465,646-840-7401,,,,,,,Approved,11/20/2000,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,251-500,0,Nov-50,0,251-500,0,0,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"112,498,000.00","17,501,000.00","129,999,000.00",630,99,729,N,Y,N,Y,N,Y,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,104797,801-35900,LENIHAN GINGER VALLERY CFP,LENIHAN VIRGINIA VALLERY,,,,,,,979-846-3065,979-260-6368,,,,,,,Approved,1/25/1990,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"101,744,128.00","40,005.00","101,784,133.00",194,3,197,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107500,801-52182,INDEPENDENT FINANCIAL ADVISORS INC,INDEPENDENT FINANCIAL ADVISORS INC,3109 HENNEPIN AVE S,,MINNEAPOLIS,MN,USA,55408,612-822-2794,,,,,,,,Approved,6/11/1996,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"266,113,298.00","266,113,298.00",0,5,5,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115364,801-62815,DAVID R. KERN ASSET MANAGEMENT,"ADVANTAGE FINANCIAL PLANNING, INC.",16616 LIMA ROAD,,HUNTERTOWN,IN,USA,46748,260-637-1019,260-637-1373,,,,,,,Approved,2/20/2004,3/30/2010,Y,WWW.ADVANTAGEPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,SOLICITOR/REFERRAL FEES,Y,"40,196,145.00","3,078,808.00","43,274,953.00",176,148,324,N,Y,N,Y,N,Y,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109103,801-54696,BLACKSTONE MANAGEMENT PARTNERS III LLC,BLACKSTONE MANAGEMENT PARTNERS III LLC,345 PARK AVENUE,,NEW YORK,NY,USA,10154,212-583-5000,212-583-5258,,,,,,,Approved,8/11/1997,3/30/2010,Y,WWW.BLACKSTONE.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"988,492,401.00",0,"988,492,401.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107145,801-44730,DUPONT CAPITAL MANAGEMENT,DUPONT CAPITAL MANAGEMENT CORP,DELAWARE CORPORATE CENTER,"ONE RIGHTER PARKWAY, SUITE 3200",WILMINGTON,DE,UNITED STATES,19803,302-477-6000,302-477-6010,,,,,,,Approved,10/14/1993,3/30/2010,Y,WWW.DUPONTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,10-Jun,0,5-Jan,0,25-Nov,0,0 percent,0 percent,Up to 10 percent,0 percent,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,Y,REIMBURSEMENT OF EXPENSES UNDER INHAM ERISA ARRANGEMENTS,Y,"24,425,930,000.00","317,100,000.00","24,743,030,000.00",18,2,20,N,N,N,Y,N,Y,N,N,N,Y,"DCM REVIEWS, EVALUATES AND PROVIDES RECOMMENDATIONS ON SELECTING INVESTMENTS IN PRIVATE EQUITY VEHICLES FOR CLIENT IMPLEMETATION",0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,114022,801-41038,BACON & COMPANY,BACON & COMPANY,,,,,,,831-626-0505,831-626-0605,,,,,,,Approved,3/16/1992,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"27,763,584.00",0,"27,763,584.00",63,0,63,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,1252,801-688,WILLIAM BLAIR & COMPANY L.L.C.,WILLIAM BLAIR & COMPANY L.L.C.,222 W ADAMS ST,,CHICAGO,IL,UNITED STATES,60606,312-236-1600,312-551-4646,,,,,,,Approved,12/24/1947,3/30/2010,Y,HTTP://WWW.WILLIAMBLAIR.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,501-1000,0,51-250,0,51-250,0,5-Jan,0,More than 500,"2,500",Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,Y,Y,N,,Y,"39,739,745,732.00","4,604,013,696.00","44,343,759,428.00","9,300","11,234","20,534",Y,Y,Y,Y,Y,Y,N,N,N,N,,101-250,,Y,Y,Y,N,N,N,N,N,N,,N,,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N
BRO,109096,801-57485,L.F. HOWARD ASSOCIATES INC,L.F. HOWARD ASSOCIATES INC,31 SAINT JAMES AVE. SUITE 760,,BOSTON,MA,UNITED STATES,2116,617-292-2700,617-292-2720,,,,,,,Approved,4/24/2000,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"26,899,634.00","4,694,193.00","31,593,827.00",34,13,47,N,Y,N,N,N,N,N,N,N,Y,CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,151711,801-70664,P.F. ROBERTS & ASSOCIATES,"SPARTAN CAPITAL MANAGEMENT, INC.",2324 HOLLYWOOD BLVD.,,HOLLYWOOD,FL,UNITED STATES,33020,(800) 418-7208,954-922-3301,,,,,,,Approved,10/12/2009,2/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"25,200,000.00",0,"25,200,000.00",132,0,132,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,143562,801-67703,"SAGE FINANCIAL MANAGEMENT GROUP, INC.","SAGE FINANCIAL MANAGEMENT GROUP, INC.",7101 WISCONSIN AVENUE,SUITE 1114,BETHESDA,MD,UNITED STATES,20814,(301) 961-0222,(301) 576-7722,,,,,,,Approved,3/30/2007,2/17/2010,Y,WWW.SAGEFMG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"52,556,743.00","11,657,505.00","64,214,248.00",54,2,56,Y,Y,N,Y,N,Y,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111463,801-45256,STERNECK CAPITAL MANAGEMENT LLC,STERNECK CAPITAL MANAGEMENT LLC,4510 BELLEVIEW AVENUE,SUITE 204,KANSAS CITY,MO,UNITED STATES,64111,816-531-2254,816-268-2239,,,,,,,Approved,12/20/1993,8/24/2010,Y,WWW.STERNECKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"214,443,058.00","6,262,193.00","220,705,251.00",328,3,331,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,145694,801-69224,COVESTOR LTD,COVESTOR LTD,1 DUCHESS STREET,,LONDON,,UNITED KINGDOM,W1W 6AN,44 20 7580 5523,44 20 7637 1006,48 WEST 37TH STREET,8TH FLOOR,NEW YORK,NY,UNITED STATES,10018,Approved,5/30/2008,8/24/2010,Y,WWW.COVESTOR.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,More than 75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,Y,N,N,Y,N,,Y,"5,699,452.00",0,"5,699,452.00",142,0,142,N,Y,N,N,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,19258,801-29185,"HARBOUR INVESTMENTS, INC.","HARBOUR INVESTMENTS, INC.",575 D'ONOFRIO DRIVE,SUITE 300,MADISON,WI,UNITED STATES,53719,608-662-6100,608-662-6101,,,,,,,Approved,4/10/1987,8/25/2010,Y,WWW.FRANKEMARTENSGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"1,500",More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"169,137,398.00","169,137,398.00",0,779,779,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,Y,N,N,N,N,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,151187,801-71221,"MCBROOM & ASSOCIATES, LLC","MCBROOM & ASSOCIATES, LLC",601 S. FIGUEROA ST.,SUITE 1750,LOS ANGELES,CA,UNITED STATES,90017,213-612-4626,213-612-4636,,,,,,,120-Day Approval,3/26/2010,8/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"39,000,000.00",0,"39,000,000.00",60,0,60,N,Y,N,N,N,Y,N,N,N,N,,,,Y,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,133279,801-63626,"WESTEND ADVISORS, LLC","WESTEND ADVISORS, LLC",4064 COLONY ROAD,SUITE 130,CHARLOTTE,NC,UNITED STATES,28211,704-556-9300,704-554-7759,,,,,,,Approved,3/18/2005,2/18/2010,Y,WWW.WESTENDADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,500,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,BROKER DEALER OVERLAY PROGRAMS,Y,N,N,N,N,N,N,,Y,"607,316,158.00","16,320,853.00","623,637,011.00",807,60,867,N,Y,N,Y,N,N,N,N,N,Y,MODEL PORTFOLIOS,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,151288,801-71381,"ROUSH INVESTMENTS, LLC","ROUSH INVESTMENTS, LLC",2014 TULARE AVE.,SUITE 608,FRESNO,CA,UNITED STATES,93721,559-579-1490,559-490-2015,,,,,,,Approved,4/23/2010,8/24/2010,Y,WWW.ROUSHINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"25,327,152.00","25,327,152.00",0,31,31,Y,Y,N,Y,Y,Y,Y,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,2682,801-8059,MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY,MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY,1295 STATE STREET,LAW DIVISION B375,SPRINGFIELD,MA,UNITED STATES,01111-0001,413-788-8411,413-744-6338,,,,,,,Approved,12/4/1971,8/24/2010,Y,WWW.MASSMUTUAL.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,More than 1000,"5,000",Nov-50,0,501-1000,0,0,0,More than 500,500,51-75 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"26,727,117,563.00",0,"26,727,117,563.00",635,0,635,N,Y,Y,Y,N,Y,N,N,N,Y,RETIREMENT INCOME PLANNING,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,Y,N
CHRO,144349,801-68080,"TRACY ROSS FINANCIAL ADVISOR, PLLC","TRACY ROSS FINANCIAL ADVISOR, PLLC",,,,,,,231-938-4405,231-938-9770,,,,,,,Approved,7/2/2007,2/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,N,N,N,N,,Y,0,"70,084,283.00","70,084,283.00",0,28,28,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112571,801-55516,ALPHA ASSET MANAGEMENT,"JCT INVESTMENT COUNSEL, INC.",50 SOUTH MAIN STREET,SUITE 1210,AKRON,OH,USA,44308,330.374.7500,330.374.6811,,,,,,,Approved,5/8/1998,8/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,360,464.00",0,"25,360,464.00",219,0,219,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,111983,801-60142,HORIZON ADVISERS,HANCOCK BANK,"2510 14TH STREET, 3RD FLOOR",,GULFPORT,MS,UNITED STATES,39501,228-563-5733,228-822-4583,,,,,,,Approved,4/3/2001,8/24/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),"SID OF HANCOCK BANK, MISSISSIPPI CHARTER, FDIC",MS,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"931,913,912.00",0,"931,913,912.00",7,0,7,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,Y,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,131704,801-64653,LEGATO CAPITAL MANAGEMENT LLC,LEGATO CAPITAL MANAGEMENT LLC,111 PINE STREET,SUITE #1700,SAN FRANCISCO,CA,UNITED STATES,94111,415-821-8585,877-838-8304,,,,,,,Approved,8/31/2005,8/24/2010,Y,WWW.LEGATOCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,11-25 percent,26-50 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"998,247,640.00",0,"998,247,640.00",6,0,6,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105949,801-24133,"FORWARD UNIPLAN ADVISORS, INC.","FORWARD UNIPLAN ADVISORS, INC.",22939 WEST OVERSON ROAD,,UNION GROVE,WI,UNITED STATES,53182,262-534-3000,262-534-3425,,,,,,,Approved,5/14/1985,8/24/2010,Y,WWW.FORWARDUA.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,500,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"336,000,000.00",0,"336,000,000.00","2,061",0,"2,061",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,104605,801-18423,RONALD BLUE & CO. LLC,RONALD BLUE & CO LLC,300 COLONIAL CENTER PARKWAY,SUITE 300,ROSWELL,GA,UNITED STATES,30076,770-280-6000,404-806-4441,,,,,,,Approved,3/4/1983,8/24/2010,Y,WWW.RONBLUE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,251-500,0,51-250,0,0,0,5-Jan,0,More than 500,"5,000",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"4,817,634,300.00","60,133,300.00","4,877,767,600.00","12,448",134,"12,582",Y,Y,N,Y,Y,Y,N,N,N,Y,"APPLICANT OFFERS CPA RELATED SERVICES - TAX RETURN PREPARATION, BUSINESS TAX CONSULTING, CHARITABLE TRUST ADMINISTRATION.",More than 500,1500,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,107560,801-43315,"MASTRAPASQUA ASSET MANAGEMENT, INC.","MASTRAPASQUA ASSET MANAGEMENT, INC.",814 CHURCH STREET STE 600,,NASHVILLE,TN,UNITED STATES,37203,615-244-8400,615-244-1148,,,,,,,Approved,2/25/1993,8/24/2010,Y,WWW.VIRTUALMONEYMANAGER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"756,863,520.00",0,"756,863,520.00",441,0,441,N,Y,N,Y,N,N,Y,N,N,Y,MANAGEMENT OF POOLED INVESTMENT VEHICLES,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109948,801-56860,"CROSSLINK CAPITAL, INC.","CROSSLINK CAPITAL, INC.","TWO EMBARCADERO CENTER, SUITE 2200",,SAN FRANCISCO,CA,UNITED STATES,94111,415-617-1800,415-617-1801,,,,,,,Approved,2/25/2000,8/24/2010,Y,WWW.CROSSLINKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,450,543,671.00",0,"1,450,543,671.00",19,0,19,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,133096,801-67679,"NEW ENGLAND INVESTMENT & RETIREMENT GROUP, INC.","NEW ENGLAND INVESTMENT & RETIREMENT GROUP, INC.",231 SUTTON STREET,SUITES 2A/2B,NORTH ANDOVER,MA,UNITED STATES,1845,978-975-2559,978-975-2789,,,,,,,Approved,4/19/2007,8/24/2010,Y,WWW.NEINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,INVESTMENT MANAGER FEES,Y,"146,000,000.00",0,"146,000,000.00",530,0,530,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109191,801-55531,"HUFFORD FINANCIAL ADVISORS, LLC","HUFFORD FINANCIAL ADVISORS, LLC",8888 KEYSTONE CROSSING,SUITE 1111,INDIANAPOLIS,IN,USA,46240,317-848-4987,317-573-4984,,,,,,,Approved,6/16/1998,2/18/2010,Y,WWW.HUFFORDFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,More than 500,"1,000",11-25 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SEMINAR TUITION/HONORARIUMS,Y,"361,945,030.00",0,"361,945,030.00","1,603",0,"1,603",Y,Y,N,Y,Y,Y,N,N,N,N,,More than 500,1000,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,107302,801-12880,ABERDEEN ASSET MANAGEMENT INVESTMENT SERVICES LIMITED,ABERDEEN ASSET MANAGEMENT INVESTMENT SERVICES LIMITED,BOW BELLS HOUSE,ONE BREAD STREET,LONDON,,UNITED KINGDOM,EC4M9HH,44-207-463-6000,44-207-463-6001,,,,,,,Approved,4/14/1977,8/25/2010,Y,WWW.ABERDEEN-ASSET.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,51-250,0,51-250,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"13,894,363,829.00",0,"13,894,363,829.00",55,0,55,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,20472,801-63550,TIAA-CREF ADVICE AND PLANNING SERVICES,"TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC",730 THIRD AVENUE,,NEW YORK,NY,UNITED STATES,10017-3206,212-490-9000,212-916-6383,,,,,,,Approved,9/24/2004,8/25/2010,Y,WWW.TIAA-CREF.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,501-1000,0,501-1000,0,501-1000,0,0,0,More than 500,"28,000",51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,COMPENSATION FROM AFFILIATES,Y,"678,837,959.00","28,125,116.00","706,963,075.00","2,745",137,"2,882",Y,Y,N,N,N,N,N,N,N,N,,51-100,,Y,N,Y,N,N,N,N,N,N,,N,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
LARO,108033,801-56675,CLIFFORD SWAN INVESTMENT COUNSEL LLC,CLIFFORD SWAN INVESTMENT COUNSEL LLC,200 SOUTH LOS ROBLES AVE,STE 320,PASADENA,CA,UNITED STATES,91101-2479,626-792-2228,626-792-2670,,,,,,,Approved,7/27/1999,2/18/2010,Y,WWW.CLIFFORDSWAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",26-50 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,201,992,827.00","592,835,044.00","1,794,827,871.00","1,612",742,"2,354",N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107931,801-57192,"BRIGHT FINANCIAL ADVISORS, INC.","BRIGHT FINANCIAL ADVISORS, INC.",450 W. CENTRE,SUITE C,PORTAGE,MI,USA,49024,269-373-2700,269-345-5712,,,,,,,Approved,1/20/2000,8/25/2010,Y,WWW.BRIGHTMONEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"90,082,073.00",0,"90,082,073.00",822,0,822,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,142373,801-52664,"NATIONWIDE INVESTMENT ADVISORS, LLC","NATIONWIDE INVESTMENT ADVISORS, LLC",ONE NATIONWIDE PLAZA,MAIL CODE 1-12-101,COLUMBUS,OH,UNITED STATES,43215,614-249-5948,614-249-7166,,,,,,,Approved,8/30/1996,8/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,251-500,0,Nov-50,0,251-500,0,51-250,0,More than 500,"93,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"5,337,292,810.00","199,391,328.00","5,536,684,138.00","93,478",18,"93,496",N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,113630,801-60368,BALASA DINVERNO FOLTZ LLC,BALASA DINVERNO FOLTZ LLC,500 PARK BOULEVARD,SUITE 1400,ITASCA,IL,UNITED STATES,60143,630-875-4900,630-875-1150,,,,,,,Approved,6/20/2001,8/25/2010,Y,WWW.BDFLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,368,348,382.00","109,595,817.00","1,477,944,199.00","2,863",49,"2,912",Y,Y,N,Y,N,Y,N,N,N,Y,PORTFOLIO TRADING & ADMINISTRATION,More than 500,1000,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,131314,801-65059,"THE CITRIN GROUP, LLC","THE CITRIN GROUP, LLC",280 N OLD WOODWARD,SUITE 206,BIRMINGHAM,MI,UNITED STATES,48009,248-569-1100,248-569-9100,,,,,,,Approved,1/30/2006,8/25/2010,Y,WWW.CITRINGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"36,310,009.00","5,799,491.00","42,109,500.00",165,73,238,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,150197,801-70180,"REGENT WEALTH MANAGEMENT, INC.","REGENT WEALTH MANAGEMENT, INC.",5387 S. SHERIDAN ROAD,,TULSA,OK,UNITED STATES,74145,918-622-1466,918-622-1488,,,,,,,Approved,5/20/2009,8/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"72,294,279.00","72,294,279.00",0,292,292,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112802,801-67743,"PATRICK M. SWEENEY & ASSOCIATES, INC","PATRICK M. SWEENEY & ASSOCIATES, INC",18-3 E DUNDEE ROAD,SUITE 101,BARRINGTON,IL,USA,60010,847 277-7771,847 277-7707,,,,,,,Approved,4/19/2007,2/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"38,790,171.00","38,790,171.00",0,156,156,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110480,801-11929,"ROBERT A. ZOCK & CO.,INC.",ZOCK ROBERT A & CO INC,50 CONGRESS ST,,BOSTON,MA,USA,2109,617-227-6990,603-456-2863,98 BIRCH HILL ROAD,,SUTTON,NH,USA,3278,Approved,9/10/1976,2/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"70,095,460.00","17,837,053.00","87,932,513.00",65,17,82,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,132095,801-67851,FLEETWOOD ASSET MANAGEMENT LTD.,FLEETWOOD ASSET MANAGEMENT LTD.,,,,,,,203-878-7929,203-283-0097,,,,,,,Approved,5/15/2007,2/18/2010,Y,WWW.FLEETWOODASSET.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"32,341,758.00",0,"32,341,758.00",106,0,106,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107831,801-45776,IVY ASSET MANAGEMENT LLC,IVY ASSET MANAGEMENT LLC,ONE JERICHO PLAZA,,JERICHO,NY,UNITED STATES,11753,516-228-6500,516-228-6515,,,,,,,Approved,2/2/1994,8/25/2010,Y,WWW.IVYASSET.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,Nov-50,0,26-100,0,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,454,758,949.00","995,407,350.00","4,450,166,299.00",76,3,79,N,N,Y,Y,N,Y,N,N,N,Y,PROVIDES INVESTMENT SUPERVISORY SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
BRO,125495,801-62018,TIBER ASSET MANAGEMENT LLC,TIBER ASSET MANAGEMENT LLC,281 TRESSER BOULEVARD,,STAMFORD,CT,UNITED STATES,6901,203-202-3275,888-376-4007,,,,,,,Approved,4/25/2003,8/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"354,824,254.00",0,"354,824,254.00",2,0,2,N,Y,N,Y,N,N,N,N,Y,Y,ASSET ALLOCATION MANAGEMENT,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,126468,801-68105,"LORETTA NOLAN ASSOCIATES, LLC","LORETTA NOLAN ASSOCIATES, LLC","13 ARCADIA ROAD,SUITE 10",,OLD GREENWICH,CT,USA,6870,203.637.1402,203.637.1472,,,,,,,Approved,6/28/2007,2/18/2010,Y,WWW.LORETTANOLAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"50,374,218.00","50,374,218.00",0,78,78,Y,Y,N,N,N,N,N,N,N,Y,CONSULTING/TAX PREPARATION,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,148873,801-69850,ABLE ALPHA,"ABLE ALPHA TRADING, LTD.","21 SCOLLARD ST. , UNIT 415",,TORONTO,,"ONTARIO, CANADA",M5R1G1,646-233-3513,646-233-3513,80 BROAD STREET,7TH FLOOR,NEW YORK,NY,UNITED STATES,10004,Approved,1/5/2009,8/25/2010,Y,HTTP://WWW.ABLEALPHA.COM,N,N,N,Y,N,N,N,N,N,N,Y,N,N,Corporation,,,CANADA,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,11-25 percent,11-25 percent,11-25 percent,11-25 percent,11-25 percent,11-25 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,,Y,Y,Y,Y,Y,Y,N,,N,0,0,0,0,0,0,Y,Y,Y,Y,Y,N,Y,Y,Y,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106507,801-51834,MBM ADVISORS INC,MBM ADVISORS INC,440 LOUISIANA STREET,SUITE 2600,HOUSTON,TX,UNITED STATES,77002,713-228-6444,713-228-3448,,,,,,,Approved,5/7/1996,2/18/2010,Y,WWW.MBM-INC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,0 percent,26-50 percent,0 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"1,567,871.00","811,425,818.00","812,993,689.00",6,378,384,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,N,N,N,Y,Y,N,Y,Y,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,106782,801-48119,SECTOR CAPITAL MANAGEMENT LLC,SECTOR CAPITAL MANAGEMENT LLC,1900 EXETER ROAD,SUITE 100,GERMANTOWN,TN,UNITED STATES,38138,901-761-4999,901-761-1004,,,,,,,Approved,12/28/1994,8/25/2010,Y,WWW.SECTORPLUS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,11-25 percent,0 percent,26-50 percent,Up to 10 percent,"MMA, UMA AND ONLINE PLATFORMS",Y,N,N,N,N,Y,N,,Y,"100,000,000.00",0,"100,000,000.00",44,0,44,N,Y,N,Y,N,N,N,N,N,Y,"PORTFOLIO MANAGEMENT TO MMA, SMA, AND UMA FOR ONLINE PLATFORMS",0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,114968,801-61758,"WOODRIDGE CAPITAL PORTFOLIO MANAGEMENT, LLC","WOODRIDGE CAPITAL PORTFOLIO MANAGEMENT, LLC",800 WOODLANDS PKY,SUITE 201,RIDGELAND,MS,UNITED STATES,39157,601-957-6006,601-957-6986,,,,,,,Approved,1/24/2003,2/18/2010,Y,WOODRIDGE-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"127,439,992.00","157,271.00","127,597,263.00",509,62,571,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,120736,801-61427,"BROWN ADVISORY SECURITIES, LLC","BROWN ADVISORY SECURITIES, LLC",901 SOUTH BOND STREET,SUITE 400,BALTIMORE,MD,UNITED STATES,21231-3340,410-537-5400,(410) 537-6371,,,,,,,Approved,9/6/2002,8/25/2010,Y,WWW.BROWNADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"1,000",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"153,145,958.00","330,305,537.00","483,451,495.00",167,802,969,N,Y,N,N,N,Y,N,N,N,N,,,,Y,Y,Y,N,N,N,N,N,N,,N,,Y,N,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110181,801-38826,BROWN ADVISORY LLC,BROWN ADVISORY LLC,901 SOUTH BOND STREET,SUITE 400,BALTIMORE,MD,UNITED STATES,21231-3340,410.537.5400,410.537.6371,,,,,,,Approved,6/7/1991,8/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"908,174,235.00","221,768,182.00","1,129,942,417.00",650,125,775,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,114374,801-65007,KINGFISHER INVESTORS LLC,KINGFISHER INVESTORS LLC,256 POST ROAD EAST,SUITE 207,WESTPORT,CT,UNITED STATES,6880,203-227-6000,203-226-7386,,,,,,,Approved,12/12/2005,8/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"15,068,000.00","13,619,000.00","28,687,000.00",6,3,9,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,140827,801-66984,CENTENNIAL PLANNING,"THE ADVISORY GROUP OF MICHIGAN, INC.",2500 MIDLAND ROAD,,BAY CITY,MI,USA,48706,989-686-4240,866-262-7752,,,,,,,Approved,7/10/2006,2/18/2010,Y,WWW.CENTENNIALPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"32,813,722.00","2,988,499.00","35,802,221.00",431,130,561,Y,Y,N,N,N,N,N,N,N,Y,INVESTMENT CONSULTING,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106754,801-21616,ALEX. BROWN INVESTMENT MANAGEMENT,"ALEX. BROWN INVESTMENT MANAGEMENT, L L C",901 SOUTH BOND STREET,SUITE 400,BALTIMORE,MD,UNITED STATES,21231-3340,410-537-5400,410.537.6371,,,,,,,Approved,6/27/1984,8/25/2010,Y,WWW.ABIMLTD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"2,536,208,536.00",0,"2,536,208,536.00",181,0,181,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,139011,801-65612,"KINETICS ADVISERS, LLC","KINETICS ADVISERS, LLC",555 TAXTER ROAD,SUITE 175,ELMSFORD,NY,UNITED STATES,10523,914-703-6900,914-703-6899,,,,,,,Approved,1/23/2006,2/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"273,000,000.00",0,"273,000,000.00",5,0,5,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135664,801-64531,"WINSLOW MANAGEMENT COMPANY, LLC","WINSLOW MANAGEMENT COMPANY, LLC",99 HIGH STREET,12TH FLOOR,BOSTON,MA,UNITED STATES,2110,617-788-1600,617-788-1605,,,,,,,Approved,7/15/2005,8/25/2010,Y,WWW.WINSLOWGREEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"115,817,026.00",0,"115,817,026.00",28,0,28,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR OTHER POOLED INVESTMENT VEHICLES.,0,,N,Y,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,133979,801-63867,"HOOVER FINANCIAL ADVISORS, P.C.","HOOVER FINANCIAL ADVISORS, P.C.","112 MOORES ROAD, SUITE 100",,MALVERN,PA,UNITED STATES,19355,610-651-2777,610-651-2797,,,,,,,Approved,1/28/2005,8/25/2010,Y,WWW.PETEHOOVER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,FINANCIAL PLANNING ADMINISTRATIVE FEES,Y,0,"195,868,615.00","195,868,615.00",0,372,372,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,126291,801-62193,CAPTRUST FINANCIAL ADVISORS,"CAPFINANCIAL PARTNERS, LLC",4208 SIX FORKS ROAD,SUITE 1700,RALEIGH,NC,UNITED STATES,27609,919-870-6822,919-870-8891,,,,,,,Approved,7/11/2003,8/25/2010,Y,WWW.CAPTRUSTRALEIGH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,51-250,0,51-250,0,51-250,0,10-Jun,0,More than 500,"1,500",0 percent,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"1,739,627,153.00","30,271,906,051.00","32,011,533,204.00","1,738",519,"2,257",Y,Y,N,Y,Y,Y,Y,N,N,N,,10-Jan,,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,107981,801-57639,NORTHSTAR CAPITAL MANAGEMENT INC,NORTHSTAR CAPITAL MANAGEMENT INC,301 YAMATO ROAD,SUITE 4110,BOCA RATON,FL,UNITED STATES,33431,561-775-5880,561-775-5909,,,,,,,Approved,6/28/2000,8/25/2010,Y,WWW.NORTHSTARCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"213,000,000.00","21,000,000.00","234,000,000.00",148,21,169,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106204,801-52581,KINETICS ASSET MANAGEMENT INC.,KINETICS ASSET MANAGEMENT INC.,555 TAXTER ROAD,SUITE 175,ELMSFORD,NY,UNITED STATES,10523,914-703-6900,914-703-6899,,,,,,,Approved,8/23/1996,2/18/2010,Y,KINETICSFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,More than 500,"1,405",Up to 10 percent,Up to 10 percent,0 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,182,000,000.00",0,"5,182,000,000.00","1,405",0,"1,405",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,154802,801-71753,"F-SQUARED INSTITUTIONAL ADVISORS, LLC","F-SQUARED INSTITUTIONAL ADVISORS, LLC",16 LAUREL AVENUE,SUITE 200,WELLESLEY,MA,UNITED STATES,2481,781-235-9055,781-235-9155,,,,,,,Approved,8/23/2010,8/25/2010,Y,WWW.F-SQUAREDINVESTMENTS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"70,423,160.00",0,"70,423,160.00",1,0,1,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,6413,801-10970,LPL FINANCIAL CORPORATION,LPL FINANCIAL CORPORATION,ONE BEACON STREET,22ND FLOOR,BOSTON,MA,UNITED STATES,02108-3106,617-423-3644,617-556-2811,,,,,,,Approved,8/25/1975,8/25/2010,Y,WWW.LPL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,More than 1000,"14,000",More than 1000,"11,000",More than 1000,"14,000",51-250,0,More than 500,"356,500",51-75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"62,954,678,233.00","1,809,916,980.00","64,764,595,213.00","304,247","7,953","312,200",Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES,More than 500,6000,Y,Y,Y,N,Y,N,Y,N,N,,N,N,Y,Y,N,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,N,,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,Y
CHRO,109802,801-9118,M&I INVESTMENT MANAGEMENT CORP.,M&I INVESTMENT MANAGEMENT CORP.,111 EAST KILBOURN AVENUE,,MILWAUKEE,WI,UNITED STATES,53202,414-287-7300,414-287-7025,,,,,,,Approved,8/29/1977,8/25/2010,Y,WWW.MIBANK.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,51-250,0,51-250,0,Nov-50,0,5-Jan,0,More than 500,"1,500",51-75 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"32,932,971,120.00",0,"32,932,971,120.00","19,175",0,"19,175",Y,Y,Y,Y,Y,Y,N,N,N,N,,51-100,,N,Y,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
CHRO,106338,801-29318,MITCHELL CAPITAL MANAGEMENT CO,MITCHELL CAPITAL MANAGEMENT CO,2600 GRAND BOULEVARD,SUITE 750,KANSAS CITY,MO,UNITED STATES,64108,816-561-6512,816-561-6596,,,,,,,Approved,4/7/1987,8/25/2010,Y,WWW.MITCHCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,Nov-50,0,10-Jun,0,0,0,10-Jun,0,251-500,0,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,TAFT HARTLEY & ASSOCIATIONS,Y,N,N,N,N,N,N,,Y,"577,000,000.00",0,"577,000,000.00",290,0,290,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109784,801-54428,AZA CAPITAL MANAGEMENT,INSIGHT 2811 INC,755 W. BIG BEAVER ROAD,SUITE 1700,TROY,MI,UNITED STATES,48084,248 687-7200,248 687-7206,,,,,,,Approved,5/12/1997,8/25/2010,Y,WWW.AZACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,0 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"198,271,379.00","668,559,854.00","866,831,233.00",598,155,753,N,Y,N,Y,N,N,Y,N,N,Y,CONSULTING SERVICES TO  HIGH NET WORTH CLIENTS.,0,,N,Y,N,Y,N,N,Y,N,N,,N,,N,N,N,Y,N,N,Y,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119467,801-62376,CLANCO MANAGEMENT CORP.,CLANCO MANAGEMENT CORP.,"30195 CHAGRIN BLVD., SUITE 250",,CLEVELAND,OH,USA,44124,216-831-9667,216-831-3779,,,,,,,Approved,10/15/2003,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,% OF ASSETS MONITORED,Y,"587,380,513.00","196,725,082.00","784,105,595.00",276,2,278,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,119598,801-61056,"SAPERE WEALTH MANAGEMENT, LLC","SAPERE WEALTH MANAGEMENT, LLC",130 MATTHEWS STATION ST.,SUITE 2A,MATTHEWS,NC,USA,28105,704-321-5244,704-321-0016,,,,,,,Approved,4/5/2002,3/30/2010,Y,WWW.SAPERE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"676,223,833.00",0,"676,223,833.00","1,053",0,"1,053",Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,136583,801-69219,"MERIDIAN CAPITAL MANAGEMENT GROUP, INC.","MERIDIAN CAPITAL MANAGEMENT GROUP, INC.",3500 MASSILLON ROAD,SUITE 250,UNIONTOWN,OH,UNITED STATES,44685,330-899-0135,330-899-0210,,,,,,,Approved,5/28/2008,3/30/2010,Y,WWW.MERCAPGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"42,757,697.00","517,137.00","43,274,834.00",241,3,244,Y,Y,N,Y,N,N,N,N,N,Y,CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,125346,801-62059,"CROWE WEALTH MANAGEMENT, LLC","CROWE WEALTH MANAGEMENT, LLC",3815 RIVER CROSSING PRKWY,SUITE 300,INDIANAPOLIS,IN,UNITED STATES,46240,317-706-2770,317-706-2660,11711 NORTH MERIDIAN STREET,SUITE 600,CARMEL,IN,UNITED STATES,46032,Approved,5/27/2003,3/30/2010,Y,WWW.CROWEWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"1,012,185,500.00","1,012,185,500.00",0,392,392,Y,Y,N,Y,Y,Y,N,N,N,Y,TAX COMPLIANCE (MINIMAL),51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,Y,Y,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,111364,801-58185,FRANKLIN TEMPLETON INVESTMENTS CORP.,FRANKLIN TEMPLETON INVESTMENTS CORP.,200 KING STREET WEST,SUITE 1500,TORONTO (ONTARIO),,CANADA,M5H 3T4,416-957-6000,416-364-1163,,,,,,,Approved,12/6/2000,12/18/2009,Y,WWW.FRANKLINTEMPLETON.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",251-500,0,Nov-50,0,10-Jun,0,0,0,101-250,0,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"29,390,000,000.00",0,"29,390,000,000.00",218,0,218,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,Y,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
PLRO,121240,801-64113,"WOOD & WHITE INVESTMENT ADVISORS, L.L.C.","WOOD & WHITE INVESTMENT ADVISORS, L.L.C.",210 8TH STREET,,LYNCHBURG,VA,UNITED STATES,24504,434-528-4510,434-528-4528,P.O. BOX 717,,LYNCHBURG,VA,UNITED STATES,24505,Approved,4/8/2005,3/30/2010,Y,WWW.WOODANDWHITE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,CHARITABLE FOUNDATION; ESTATE,Y,N,N,Y,N,N,N,,Y,"56,786,854.00",0,"56,786,854.00",225,0,225,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,142982,801-67595,"BC ADVISORS, LLC","BC ADVISORS, LLC",102 GAITHER DRIVE,SUITE 5,MT. LAUREL,NJ,UNITED STATES,8054,856-793-5000,856-793-5001,,,,,,,Approved,3/6/2007,3/30/2010,Y,WWW.THEBERINGERGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"3,153,192,351.00","3,153,192,351.00",0,117,117,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107128,801-37636,"HAMEL ASSOCIATES,INC.",HAMEL ASSOCIATES INC,615 WEST MT. PLEASANT AVE,,LIVINGSTON,NJ,UNITED STATES,7039,973-758-1400,973-758-1405,,,,,,,Approved,10/29/1990,3/30/2010,Y,WWW.HAMELASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"196,277,841.00",0,"196,277,841.00",229,0,229,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110741,801-10905,"FINANCIAL HORIZONS, INC.","FINANCIAL HORIZONS, INC.",136 EL CAMINO DR,SUITE 101,BEVERLY HILLS,CA,UNITED STATES,90212,818 505-9313,818  505-0399,,,,,,,Approved,7/30/1975,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"105,504,714.00",0,"105,504,714.00",75,0,75,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,136372,801-64528,KELLY FINANCIAL GROUP,"KELLY FINANCIAL GROUP, LLC",100 GREAT MEADOW ROAD,SUITE 103,WETHERSFIELD,CT,UNITED STATES,6109,860-258-2600,860-258-2607,,,,,,,Approved,7/20/2005,3/30/2010,Y,WWW.PLANNING4TOMORROW.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,More than 500,500,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"85,235,427.00",0,"85,235,427.00","1,152",0,"1,152",Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,148023,801-69472,CUNNINGHAM WEALTH MANAGEMENT,CUNNINGHAM WEALTH MANAGEMENT LLC,60 EAGLE VALLEY COURT,,BROADVIEW HEIGHTS,OH,UNITED STATES,44147,440-717-1350,440-717-1345,,,,,,,Approved,7/31/2008,3/30/2010,Y,WWW.C-P-A.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISORY FEES,Y,"6,125,134.00","30,677,303.00","36,802,437.00",20,137,157,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,141084,801-66964,"BARTON INVESTMENT MANAGEMENT, LLC","BARTON INVESTMENT MANAGEMENT, LLC",100 FOUR FALLS CORPORATE CTR,SUITE 202,W. CONSHOHOCKEN,PA,UNITED STATES,19428,610-260-0688,610-260-1551,,,,,,,Approved,6/29/2006,3/30/2010,Y,WWW.BARTONIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"143,592,000.00","4,916,000.00","148,508,000.00",187,6,193,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,148667,801-69736,GE CAPITAL DEBT ADVISORS LLC,GE CAPITAL DEBT ADVISORS LLC,201 MERRITT 7,,NORWALK,CT,UNITED STATES,6851,203-956-4000,203-956-4240,,,,,,,Approved,11/28/2008,3/30/2010,N,,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,FEES ALSO NEGOTIATED ON A CASE-BY-CASE BASIS,Y,"310,546,000.00","1,069,792,552.00","1,380,338,552.00",2,8,10,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVICE TO POOLED INVESTMENT VEHICLES AND OTHER INSTITUTIONS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
CHRO,142108,801-67327,"WORLD ASSET MANAGEMENT, INC.","WORLD ASSET MANAGEMENT, INC.","255 E. BROWN STREET, STE 250",,BIRMINGHAM,MI,UNITED STATES,48009-6220,248-901-0860,248-901-0872,,,,,,,Approved,12/19/2006,3/30/2010,Y,WWW.WORLDASSET.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"14,233,237,388.00",0,"14,233,237,388.00",94,0,94,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105151,801-8915,HARBOR ADVISORY CORPORATION,HARBOR ADVISORY CORPORATION,"500 MARKET ST., STE 11",,PORTSMOUTH,NH,UNITED STATES,3801,603-431-5740,603-431-2927,PO BOX 4520,,PORTSMOUTH,NH,UNITED STATES,03802-4520,Approved,10/22/1972,3/30/2010,Y,WWW.HARBORADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"109,221,172.00","186,022.00","109,407,194.00",255,1,256,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109178,801-57970,ADVANCED ASSET MANAGEMENT L.L.C.,ADVANCED ASSET MANAGEMENT L.L.C.,4555 WILSON AVE SW,STE 2,GRANDVILLE,MI,UNITED STATES,49418,616-531-5220,616-531-7773,,,,,,,Approved,9/15/2000,3/30/2010,Y,WWW.AAMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"29,452,078.00","6,793,119.00","36,245,197.00","1,056",314,"1,370",Y,Y,N,Y,N,Y,N,N,N,Y,SEMINARS AND EDUCATIONAL WORKSHOPS,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106692,801-54046,NATIONAL RETIREMENT CONSULTANTS INC,NATIONAL RETIREMENT CONSULTANTS INC,223 ROSS AVENUE,,HAMILTON,OH,USA,45013,513-863-4015,513-785-2221,,,,,,,Approved,3/14/1997,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"110,512,407.00","110,512,407.00",0,278,278,Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,109337,801-57168,"TIMPSON INVESTMENTS, INC.",TIMPSON JR CARL WILLIAM,1177 GEORGE BUSH BLVD,READING ROOM 5TH FLOOR,DELRAY BEACH,FL,UNITED STATES,33483-7288,561-243-2828,561-243-9525,,,,,,,Approved,1/18/2000,3/30/2010,Y,DUKETIMPSON@YAHOO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"35,000,000.00","35,000,000.00",0,24,24,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110039,801-54375,"PARAGON ADVISORS, INC.","PARAGON ADVISORS, INC.","20820 CHAGRIN BLVD, CHAGRIN CORPORATE CENTER",SUITE 300,SHAKER HEIGHTS,OH,UNITED STATES,44122,216-491-3990,216-491-3995,,,,,,,Approved,5/27/1997,3/30/2010,Y,WWW.PARAGONADVISORS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,ANNUAL RETAINER BASED ON COMPLEXITY OF EACH CLIENT'S SITUATION.,Y,"70,303,440.00","419,598,898.00","489,902,338.00",12,42,54,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,132481,801-64660,"O'ROURKE & COMPANY, INCORPORATED",BRIAN CHRISTOPHER O'ROURKE,ONE LIBERTY SQUARE,5TH FLOOR,BOSTON,MA,UNITED STATES,2109,617-482-4200,617-482-4202,,,,,,,Approved,8/26/2005,12/21/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"163,000,000.00","163,000,000.00",0,112,112,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,108525,801-57736,ABERDEEN WEALTH MANAGEMENT LLC,ABERDEEN WEALTH MANAGEMENT LLC,"100 SOUTH WACKER DR, SUITE 2100",,CHICAGO,IL,USA,60606,312-456-3315,312-782-1555,,,,,,,Approved,7/17/2000,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"203,886,892.00","33,619,820.00","237,506,712.00",334,52,386,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,138055,801-65065,"RIDGEFIELD CAPITAL ASSET MANAGEMENT, LP","RIDGEFIELD CAPITAL ASSET MANAGEMENT, LP",63 COPPS HILL ROAD,,RIDGEFIELD,CT,UNITED STATES,6877,203-431-7160,203-431-5763,,,,,,,Approved,1/5/2006,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"237,853,375.00",0,"237,853,375.00",8,0,8,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122268,801-61436,"FALMOUTH INVESTMENT COMPANY, INC.","FALMOUTH INVESTMENT COMPANY, INC.",20820 CHARGIN BOULEVARD,SUITE 300,SHAKER HEIGHTS,OH,UNITED STATES,44122,216-491-3990,216-491-3995,,,,,,,Approved,9/13/2002,3/30/2010,Y,WWW.PARAGONADVISORS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,FIXED ORGANIZATION FEES,Y,"363,110,000.00",0,"363,110,000.00",25,0,25,N,N,N,N,N,Y,N,N,N,Y,SELECTION OF INVESTMENT MANAGERS,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,Y,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,109976,801-57756,CUTWATER ASSET MANAGEMENT,CUTWATER COLORADO INVESTOR SERVICES CORP.,1700 BROADWAY,STE 2020,DENVER,CO,UNITED STATES,80290,877-226-7636,303-860-0016,,,,,,,Approved,7/21/2000,3/30/2010,Y,WWW.CUTWATER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"4,589,074,898.00",0,"4,589,074,898.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105470,801-32097,PARLAN FINANCIAL CORP,PARLAN FINANCIAL CORP,5942 RENAISSANCE PLACE STE. C,,TOLEDO,OH,UNITED STATES,43623,419-885-1130,419-885-1131,,,,,,,Approved,5/20/1988,3/30/2010,Y,WWW.PARLAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"45,899,900.00","5,000,000.00","50,899,900.00",255,10,265,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,106402,801-45453,"THE JUMPER GROUP, INC.",JUMPER GROUP INC,1203 CARTER STREET,,CHATTANOOGA,TN,UNITED STATES,37402,423-267-7005,423-267-4222,,,,,,,Approved,12/29/1993,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"28,252,509.00",0,"28,252,509.00",10,0,10,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,130833,801-63124,"CURTIS WEALTH MANAGEMENT GROUP, LLC","CURTIS WEALTH MANAGEMENT GROUP, LLC",1819 MAIN STREET,SUITE 603,SARASOTA,FL,UNITED STATES,34236,941-953-6602,941-953-6306,,,,,,,Approved,5/14/2004,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"27,422,992.00",0,"27,422,992.00",250,0,250,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151431,801-70953,"BLACK ASSET MANAGEMENT, LLC","BLACK CAPITAL, LLC",630 FIFTH AVENUE,,NEW YORK,NY,UNITED STATES,10111,212-332-7150,212-332-3363,,,,,,,120-Day Approval,1/7/2010,12/21/2009,Y,WWW.BLACKCAPITAL.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,000,000.00",0,"5,000,000.00",1,0,1,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,138718,801-65200,"RIVANNA CAPITAL, LLC","RIVANNA CAPITAL, LLC",600 PETER JEFFERSON PARKWAY,SUITE 370,CHARLOTTESVILLE,VA,USA,22911,434-220-0430,434-220-0432,,,,,,,Approved,1/18/2006,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"280,305,047.00",0,"280,305,047.00",12,0,12,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108527,801-43408,PROVIDENT INVESTMENT MANAGEMENT LLC,PROVIDENT INVESTMENT MANAGEMENT LLC,1 FOUNTAIN SQUARE,,CHATTANOOGA,TN,UNITED STATES,37402,423-294-1011,423-294-2590,,,,,,,Approved,4/7/1993,3/30/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"41,137,897,962.00",0,"41,137,897,962.00",16,0,16,N,N,Y,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,120675,801-61225,CARMEL CAPITAL MANAGEMENT L.L.C.,CARMEL CAPITAL MANAGEMENT L.L.C.,26350 CARMEL RANCHO LANE,SUITE 225,CARMEL,CA,USA,93923-8734,831-625-1375,831-625-6493,,,,,,,Approved,6/3/2002,3/30/2010,Y,WWW.CARMELCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,SAME FAMILY TRUSTS' ACCOUNT,Y,Y,N,N,N,N,N,,Y,"91,100,000.00",0,"91,100,000.00",47,0,47,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,42060,801-61392,"OBERWEIS SECURITIES, INC.","OBERWEIS SECURITIES, INC.",3333 WARRENVILLE ROAD,SUITE 500,LISLE,IL,USA,60532,630-577-2300,630-245-0410,,,,,,,Approved,8/16/2002,3/30/2010,Y,WWW.OBERWEIS.NET,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,REFERRAL FEES,Y,0,0,0,0,0,0,N,Y,N,N,N,Y,N,N,N,Y,SELECTION OF INVESTMENT ADVISORY PROGRAMS,0,,N,N,Y,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,106656,801-46765,"PINE GROVE ASSOCIATES,INC","PINE GROVE ASSOCIATES,INC",25 DEFOREST AVENUE,,SUMMIT,NJ,USA,07901-2154,908-273-6321,908-273-6323,,,,,,,Approved,7/1/1994,3/30/2010,Y,WWW.PGAFOF.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"993,769,233.00",0,"993,769,233.00",3,0,3,N,N,N,N,N,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,647,801-8156,THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY,THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY,18 CHESTNUT STREET,,WORCESTER,MA,UNITED STATES,1608,508-799-4441,508-943-9432,,,,,,,Approved,11/14/1971,3/30/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,147,752.00",0,"2,147,752.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,129738,801-67967,"FAMILY ASSET MANAGEMENT, LLC","FAMILY ASSET MANAGEMENT, LLC",25 SOCIETY STREET,,CHARLESTON,SC,UNITED STATES,29401,843-723-2994,843-720-5335,,,,,,,Approved,6/12/2007,3/30/2010,Y,WWW.FAMILYASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"41,000,000.00",0,"41,000,000.00",135,0,135,Y,Y,N,N,Y,Y,N,N,N,Y,CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109383,801-57064,NORTHPOINTE CAPITAL LLC,NORTHPOINTE CAPITAL LLC,101 WEST BIG BEAVER ROAD,SUITE 745,TROY,MI,UNITED STATES,48084,248-457-1200,248-457-1201,,,,,,,Approved,12/2/1999,3/30/2010,Y,WWW.NORTHPOINTECAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,26-50 percent,WRAP ACCOUNTS -23; COMMINGLED - 2; PRIVATE EQUITY - 1,Y,N,N,N,N,Y,N,,Y,"1,269,693,826.00",0,"1,269,693,826.00",84,0,84,N,Y,Y,Y,N,N,N,N,N,Y,PROVIDES MODEL PORTFOLIOS ALLOCATIONS TO OTHER REGISTERED INVESTMENT ADVISERS.,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,154307,801-71655,SOUTHGATE ADVISORS LLC,"SOUTHGATE ADVISORS, LLC",,,,,,,205-202-9125,205-202-9125,,,,,,,120-Day Approval,7/7/2010,6/30/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152755,801-71006,"DOUBLE DIAMOND INVESTMENT GROUP, LLC","DOUBLE DIAMOND INVESTMENT GROUP, LLC",2001 ROUTE 46,SUITE 506,PARSIPPANY,NJ,UNITED STATES,7054,973-352-6680,973-658-8137,,,,,,,Approved,1/12/2010,6/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"30,000,000.00","30,000,000.00",0,65,65,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,110408,801-32478,STERNE AGEE ASSET MANAGEMENT,STERNE AGEE ASSET MANAGEMENT INC,800 SHADES CREEK PARKWAY,SUITE 730,BIRMINGHAM,AL,UNITED STATES,35209,205-414-3330,205-414-3342,,,,,,,Approved,7/29/1988,6/30/2010,Y,HTTP://WWW.STERNEAGEE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"654,480,698.00",0,"654,480,698.00",50,0,50,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,Y,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,139592,801-66254,"CAROLOPOLIS FIDUCIARY COUNSEL, INC.","CAROLOPOLIS FAMILY WEALTH MANAGEMENT, INC.","49 ARCHDALE STREET, SUITE 2G",,CHARLESTON,SC,UNITED STATES,29401,843-278-0061,888-819-3724,,,,,,,Approved,2/24/2006,4/1/2009,Y,WWW.CAROLOPOLIS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"35,400,000.00","412,000.00","35,812,000.00",63,1,64,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,113564,801-64548,"EIDE BAILLY ADVISORS, LLC","EIDE BAILLY ADVISORS, LLC",4310 17TH AVE. S,,FARGO,ND,USA,58108,701-476-8759,701-476-8782,,,,,,,Approved,9/1/2005,6/30/2010,Y,WWW.EIDEBAILLY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SD,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"11,239,766.00","15,409,021.00","26,648,787.00",21,74,95,Y,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING,26-50,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110080,801-35811,HODGES CAPITAL MANAGEMENT INC,HODGES CAPITAL MANAGEMENT INC,2905 MAPLE AVE,,DALLAS,TX,UNITED STATES,75201,888-878-4426,214-954-1523,,,,,,,Approved,1/5/1990,6/30/2010,Y,WWW.HODGESCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,500,26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"521,812,826.00",0,"521,812,826.00",537,0,537,N,Y,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGMENT FOR INVESTMENT CLUBS/LIMITED PARTNERSHIPS,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
SFRO,148858,801-69924,"STRATEGIC FINANCIAL PARTNERS, LTD","STRATEGIC FINANCIAL PARTNERS, LTD",121 SW MORRISON STREET,SUITE 1550,PORTLAND,OR,UNITED STATES,97204,503-467-7832,503-242-9164,,,,,,,Approved,2/19/2009,6/30/2010,Y,WWW.ADVISORYFIRM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"41,388,831.00",0,"41,388,831.00",240,0,240,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139003,801-66130,RP CAPITAL PARTNERS CAYMAN ISLANDS LIMITED,RP CAPITAL PARTNERS CAYMAN ISLANDS LIMITED,"UGLAND HOUSE, SOUTH GEORGE ST",GRAND CAYMAN,GEORGETOWN,,CAYMAN ISLANDS,POBOX309GT,+44 207 245 4483,+44 207 245 4481,33 CHESTER STREET,,LONDON,,UNITED KINGDOM,SW1X 7XD,Approved,2/8/2006,6/30/2010,Y,WWW.RPCAPITALGROUP.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),CAYMAN ISLANDS LLC,,CAYMAN ISLANDS,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"705,250,717.00",0,"705,250,717.00",7,0,7,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT MANAGER FOR PRIVATE POOLED INVESTMENT VEHICLES,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123031,801-70834,"COLLINS FINANCIAL PLANNING SERVICES, INC.","COLLINS FINANCIAL PLANNING SERVICES, INC.",1590 S. MILWAUKEE AVE.,SUITE 228,LIBERTYVILLE,IL,UNITED STATES,60048,847-680-3082,847-680-3607,,,,,,,Approved,1/6/2010,6/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,FEES BASED ON PERCENTAGE OF ASSETS MANAGED BY 3RD PARTY ADVISORS,Y,0,"76,280,208.00","76,280,208.00",0,142,142,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,145370,801-68702,VANDERBILT AVENUE ASSET MANAGEMENT LLC,VANDERBILT AVENUE ASSET MANAGEMENT LLC,2 WORLD FINANCIAL CENTER,36TH FLOOR,NEW YORK,NY,UNITED STATES,10281,(212) 973-2218,(212) 973-2201,,,,,,,Approved,2/1/2008,6/30/2010,Y,WWW.VAAMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"460,798,841.00",0,"460,798,841.00",22,0,22,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,Y,VANDERBILT MARKETS A CASH SHELTER PRODUCT.,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,145190,801-70722,"VIGILANT INVESTMENT ADVISORS, LLC","VIGILANT INVESTMENT ADVISORS, LLC","500 N. MARKETPLACE DR., SUITE 101",,CENTERVILLE,UT,UNITED STATES,84104,801-951-7700,,,,,,,,Approved,1/4/2010,6/30/2010,Y,WWW.VIGILANTINVESTMENTS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"17,000,000.00",0,"17,000,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N
SFRO,143150,801-67571,QUANTUM CAPITAL MANAGEMENT,"QCM, LLC",770 TAMALPAIS DRIVE,SUITE 204,CORTE MADERA,CA,UNITED STATES,94925,415-927-8430,415-927-8433,,,,,,,Approved,1/16/2007,6/30/2010,Y,WWW.QUANTUMCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"194,207,467.00",0,"194,207,467.00",463,0,463,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,154113,801-71612,"QUAD-CITIES INVESTMENT GROUP, LLC","QUAD-CITIES INVESTMENT GROUP, LLC",5177 UTICA RIDGE ROAD,,DAVENPORT,IA,UNITED STATES,52807,563-484-5000,,,,,,,,120-Day Approval,6/28/2010,6/30/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,IA,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,0,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,Y,Y,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,110961,801-28498,WESTCHESTER CAPITAL MANAGEMENT INC,WESTCHESTER CAPITAL MANAGEMENT INC,801 NORTH 96TH ST,,OMAHA,NE,UNITED STATES,68114-2538,402-392-2418,402-392-2166,,,,,,,Approved,12/19/1986,6/30/2010,Y,WWW.WESTCHESTERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,FAMILY LIMITED PARTNERSHIPS,Y,N,N,N,N,N,N,,Y,"193,712,703.00",0,"193,712,703.00",490,0,490,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,28116,801-70987,CHAPIN DAVIS ASSET MANAGEMENT,"CHAPIN DAVIS, INC",2 VILLAGE SQUARE,SUITE 200,BALTIMORE,MD,UNITED STATES,21210,410-435-3200,410-433-2099,,,,,,,Approved,1/13/2010,1/5/2010,Y,WWW.CHAPINDAVIS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"35,000,000.00",0,"35,000,000.00",44,0,44,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,Y,Y,Y,N,N,N,Y,N,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,105395,801-831,BARRETT ASSOCIATES INC,BARRETT ASSOCIATES INC,90 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10016,212-983-5080,212-953-3240,,,,,,,Approved,11/1/1940,6/30/2010,Y,WWW.BARRETTASSOCIATES.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,More than 500,"1,000",26-50 percent,26-50 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,010,053,619.00","93,625,410.00","1,103,679,029.00",621,68,689,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110485,801-51520,DECISION ANALYTICS,"LEE EPSTEIN, INC.",3182 CAMPUS DR,STE 383,SAN MATEO,CA,UNITED STATES,94403,415-249-2600,415-249-2617,,,,,,,Approved,3/14/1996,6/30/2010,Y,DECISIONANALYTICS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,INSURANCE COMPANIES,Y,Y,N,Y,Y,N,N,,Y,0,"5,000,000,000.00","5,000,000,000.00",0,11,11,N,N,N,N,Y,Y,N,N,N,Y,INVESTMENT STRATEGIES AND INVESTMENT BENCHMARKING SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,131689,801-63382,WASI,"WESTERN ANNUITY SERVICES, INC.",432 CLEMENT STREET,,SAN FRANCISCO,CA,UNITED STATES,94118,415-933-8222,415-933-8249,,,,,,,Approved,7/22/2004,6/30/2010,Y,WWW.EWASI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"28,223,522.00","28,223,522.00",0,793,793,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106158,801-48519,HUTCHINSON CAPITAL MANAGEMENT,HUTCHINSON CAPITAL MANAGEMENT,700 LARKSPUR LANDING CIRCLE,SUITE 126,LARKSPUR,CA,UNITED STATES,94939,415-464-5650,415-464-5660,,,,,,,Approved,2/17/1995,6/30/2010,Y,WWW.HUTCHINSONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"385,200,793.00","10,536,484.00","395,737,277.00",528,6,534,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,117681,801-62013,NORTH STAR INVESTMENT MANAGEMENT CORPORATION,NORTH STAR INVESTMENT MANAGEMENT CORPORATION,20 N. WACKER DRIVE,SUITE 1416,CHICAGO,IL,UNITED STATES,60606-2902,312-580-0900,312-580-0901,,,,,,,Approved,4/28/2003,6/30/2010,Y,WWW.NSINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"280,674,000.00","29,980,000.00","310,654,000.00",601,1,602,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,Y,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110784,801-13595,GARY GOLDBERG PLANNING SERVICES INC,GARY GOLDBERG PLANNING SERVICES INC,75 MONTEBELLO RD,,SUFFERN,NY,UNITED STATES,10901,845-368-2900,845-357-4741,,,,,,,Approved,12/30/1977,6/30/2010,Y,WWW.GGFS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"2,200",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"287,692,874.00","1,397,907.00","289,090,781.00","2,465",9,"2,474",Y,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
SFRO,144481,801-68097,ARGOS WEALTH ADVISORS LLC,ARGOS WEALTH ADVISORS LLC,4900 REDWOOD ROAD,,NAPA,CA,UNITED STATES,94558-9555,707-927-4808,339-230-3133,,,,,,,Approved,7/12/2007,6/30/2010,Y,WWW.ARGOSWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,PORTION OF FEES CHARGED BY INVESTMENT ADVISOR FIRM CLIENT,Y,"479,897,904.00",0,"479,897,904.00","1,197",0,"1,197",N,Y,N,N,N,Y,N,N,N,Y,MONEY MANAGER PLATFORM SERVICES PROVIDED TO IA FIRM.  PORTFOLIO MANAGEMENT FOR A PRIVATE FUND.,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,144789,801-68311,"PACIFIC WEALTH STRATEGIES GROUP, INC.","PACIFIC WEALTH STRATEGIES GROUP, INC.",3 WEST CARRILLO STREET,SUITE 207,SANTA BARBARA,CA,UNITED STATES,93101,805-965-5449,805-965-7801,,,,,,,Approved,9/14/2007,6/30/2010,Y,PACIFICWEALTHSTRATEGIESGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"25,246,044.00",0,"25,246,044.00",154,0,154,Y,Y,N,N,Y,N,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,140262,801-66670,"BLUEPOINTE CAPITAL MANAGEMENT, LLC","BLUEPOINTE CAPITAL MANAGEMENT, LLC",400 S. EL CAMINO REAL,SUITE 760,SAN MATEO,CA,UNITED STATES,94402,650-293-4545,650-293-4541,,,,,,,Approved,5/1/2006,6/30/2010,Y,WWW.BLUEPOINTECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"60,135,986.00","138,504,380.00","198,640,366.00",68,104,172,N,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106060,801-37972,"WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC","WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC",150 WEST MAIN STREET,STE 1700,NORFOLK,VA,UNITED STATES,23510,757-623-3676,757-627-2943,,,,,,,Approved,11/30/1990,6/30/2010,Y,WWW.WSTAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,Nov-50,0,More than 500,"1,000",26-50 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"1,420,135,282.00","85,362,606.00","1,505,497,888.00","2,211",111,"2,322",N,Y,N,Y,Y,N,N,N,Y,N,,0,,N,Y,N,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122692,801-68385,"SAXONY CAPITAL MANAGEMENT, LLC",SAXONY CAPITAL MANAGEMENT LLC.,86 KENRICK PLAZA,,SAINT LOUIS,MO,USA,63119,314-963-9336,314-754-0027,,,,,,,Approved,10/15/2007,6/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,0,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SHARE IN FEES FROM THIRD PARTY ADVISORS APPROVED BY SAXONY,Y,"28,842,686.00","4,674,841.00","33,517,527.00",157,38,195,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,139388,801-66241,THISTLE ASSET CONSULTING,"THISTLE ASSET CONSULTING, INC.",1321 PIAZZA DELLE PALLOTTOLE,,BOYNTON BEACH,FL,UNITED STATES,33426-8275,561-737-3996,561-737-6119,,,,,,,Approved,2/2/2006,1/5/2010,Y,WWW.THISTLEASSET.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,Y,CONSULTANT,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,125680,801-61876,"CANTERBURY FINANCIAL GROUP, LLC","CANTERBURY INVESTMENT MANAGEMENT, LLC",23 E CEDAR ST,,ZIONSVILLE,IN,UNITED STATES,46077,317-732-2075,317-873-8123,,,,,,,Approved,3/14/2003,3/15/2010,Y,WWW.CANTERBURYGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"46,542,368.00","4,967,779.00","51,510,147.00",88,74,162,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,153371,801-71241,INTERAMERICAN ADVISORS,INTERAMERICAN ADVISORS INCORPORATED,2665 SOUTH BAYSHORE DRIVE,SUITE 715,COCONUT GROVE,FL,UNITED STATES,33133,305-285-4841,305-285-0718,,,,,,,Approved,3/31/2010,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"50,225,759.00",0,"50,225,759.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,130289,801-64767,"PENWOOD REAL ESTATE INVESTMENT MANAGEMENT, LLC","PENWOOD REAL ESTATE INVESTMENT MANAGEMENT, LLC",ONE FINANCIAL PLAZA,12TH FLOOR,HARTFORD,CT,UNITED STATES,6103,860-218-6531,860-218-6540,,,,,,,Approved,11/3/2005,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"299,700,000.00",0,"299,700,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109203,801-57122,NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC,NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC,79 MAIN STREET,,SOUTH MERIDEN,CT,UNITED STATES,6451,203-935-0265,203-935-0266,,,,,,,Approved,12/30/1999,3/15/2010,Y,WWW.NEWENGLANDCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"74,800,000.00",0,"74,800,000.00",912,0,912,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,144534,801-68186,"HAMILTON POINT INVESTMENT ADVISORS, LLC","HAMILTON POINT INVESTMENT ADVISORS, LLC",120 TIMBERHILL PLACE,,CHAPEL HILL,NC,USA,27514,(919) 636-3765,(919) 636-3766,,,,,,,Approved,8/20/2007,3/15/2010,Y,WWW.HAMILTON-POINT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"81,424,620.00",0,"81,424,620.00",159,0,159,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,138280,801-68059,THE MUTUAL FUND STORE,"TMFS-TAMPA, INC",2090 BADLANDS DRIVE,,BRANDON,FL,UNITED STATES,33511,813-661-1717,813-661-1769,,,,,,,Approved,6/25/2007,3/15/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"60,126,531.00",0,"60,126,531.00",734,0,734,Y,Y,N,N,Y,N,N,N,N,Y,GENERAL CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,104887,801-21203,SELECT GROUP INC,SELECT GROUP INC,,,,,,,713-984-8341,704-663-8236,1415 SOUTH VOSS RD,SUITE 110-137,HOUSTON,TX,UNITED STATES,77057-2611,Approved,5/2/1984,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,DEFERRED COMPENSATION PLAN,Y,Y,N,N,N,N,N,,Y,"34,999,843.00","29,107,852.00","64,107,695.00",95,3,98,N,Y,N,N,N,Y,N,N,N,Y,CONSULTING,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,142508,801-67392,"LEGACY FINANCIAL SERVICES, LLC","LEGACY FINANCIAL SERVICES, LLC","1301 SHILOH ROAD NW, SUITE 330",,KENNESAW,GA,USA,30144-7186,678-819-4862,678-819-4816,,,,,,,Approved,1/8/2007,3/15/2010,Y,WWW.LEGACYSERVICESLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,N,Y,N,N,N,N,N,,Y,"110,000,000.00",0,"110,000,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,126767,801-69482,"BARON SILVER STEVENS FINANCIAL ADVISORS, LLC","BARON SILVER STEVENS FINANCIAL ADVISORS, LLC",4800 N. FEDERAL HIGHWAY,SUITE 210-A,BOCA RATON,FL,USA,33431,561-447-1997,561-447-6670,,,,,,,Approved,8/5/2008,3/15/2010,Y,WWW.BSSFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SHARES IN FEES CHARGED BY THIRD PARTY MONEY MANAGERS,Y,"50,000,000.00","200,000,000.00","250,000,000.00",70,380,450,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTING SERVICES,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,118108,801-61188,"ASSET ADVISORS, LLC","ASSET ADVISORS, LLC",3310 W. BIG BEAVER,SUITE 127,TROY,MI,USA,48084,248-649-4759,248-649-5717,,,,,,,Approved,5/31/2002,10/16/2009,Y,WWW.ASSETADVISORSLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,10-Jun,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,Y,REFERRAL-BASED COMPENSATION; VARYING FEES FOR SEMINARS/WORKSHOPS,Y,"43,724,000.00",0,"43,724,000.00",312,0,312,Y,Y,N,N,N,Y,Y,N,Y,Y,SEMINARS AND EDUCATIONAL WORKSHOPS,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
SFRO,118397,801-65340,ASCEND CAPITAL LLC,ASCEND CAPITAL LLC,50 CALIFORNIA STREET,SUITE 2940,SAN FRANCISCO,CA,USA,94111,(415)217-8300,(415)217-7699,,,,,,,Approved,1/23/2006,3/15/2010,Y,WWW.ASCENDCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,553,218,104.00",0,"2,553,218,104.00",15,0,15,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,151406,801-70554,"ADAM SMITH FAMILY ADVISORS, LLC","ADAM SMITH FAMILY ADVISORS, LLC",301 CARLSON PARKWAY,SUITE 103,MINNETONKA,MN,UNITED STATES,55305,952-893-9012,952-893-9036,,,,,,,Approved,9/3/2009,3/15/2010,Y,WWW.CHERRYTREE.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"1,014,944.00",0,"1,014,944.00",3,0,3,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107630,801-39679,SCHAPER BENZ & WISE INVESTMENT COUNSEL INC,SCHAPER BENZ & WISE INVESTMENT COUNSEL INC,18 JEWELERS PARK DR,STE 200,NEENAH,WI,USA,54956,920-727-1137,920-727-1139,P.O. BOX 628,,NEENAH,WI,USA,54957-0628,Approved,4/16/1992,3/15/2010,Y,WWW.SBW-INVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"373,696,568.00",0,"373,696,568.00",448,0,448,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107358,801-44739,"ARGENT WEALTH MANAGEMENT, INC.","ARGENT WEALTH MANAGEMENT, INC.",13 RIVERSIDE ROAD,,WESTON,MA,UNITED STATES,2493,781-894-1117,781-894-1564,,,,,,,Approved,10/19/1993,3/15/2010,Y,WWW.ARGENTWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"450,097,157.00",0,"450,097,157.00","1,320",0,"1,320",Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139504,801-66267,PACIFIC SUN INVESTMENT MANAGEMENT (HK) LTD,PACIFIC SUN INVESTMENT MANAGEMENT (HK) LTD.,UNIT 605 BANK OF AMERICA TOWER,12 HARCOURT ROAD,CENTRAL,,HONG KONG,,852-2525-2010,852-2525-2090,,,,,,,Approved,4/3/2006,3/15/2010,Y,WWW.PACIFICSUN.COM.HK,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,11-25 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,000,000.00",0,"4,000,000.00",1,0,1,N,Y,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N
HQ,146624,801-68908,JYSKE GLOBAL ASSET MANAGEMENT,JYSKE GLOBAL ASSET MANAGEMENT FONDSMAEGLERSELSKAB A/S,VESTERBROGADE 9,,COPENHAGEN,,DENMARK,DK-1780,+45 89 89 59 00,+45 89 89 59 01,,,,,,,Approved,3/24/2008,3/15/2010,Y,WWW.JGAM.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,,DENMARK,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,500,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"189,580,027.00","46,968,500.00","236,548,527.00",350,177,527,N,Y,N,N,N,N,N,N,Y,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N
DRO,105571,801-36483,MALM KENDRICK ELMER,MALM KENDRICK ELMER,117 WEST 4TH STREET,,PINE BLUFFS,WY,UNITED STATES,82082,307-245-3222,307-245-3223,P.O. BOX 730,,PINE BLUFFS,WY,UNITED STATES,82082-0730,Approved,4/30/1990,3/15/2010,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,WY,UNITED STATES,5-Jan,0,0,0,0,0,0,0,10-Jan,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,N,Y,N,N,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,120845,801-70343,"VENNWELL, LLC","VENNWELL, LLC",550 OAKWOOD AVENUE,,LAKE FOREST,IL,UNITED STATES,60045,847.295.9222,847.295.0400,,,,,,,Approved,7/9/2009,3/15/2010,Y,WWW.VENNWELL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"57,098,270.00",0,"57,098,270.00",205,0,205,Y,Y,N,N,N,N,N,N,N,Y,CONSULTING,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137942,801-64901,BOUSSARD & GAVAUDAN ASSET MANAGEMENT LP,BOUSSARD & GAVAUDAN ASSET MANAGEMENT LP,1 DOVER STREET,,LONDON,,UNITED KINGDOM,W1S 4LA,44 207 514 0700,44 207 524 0749,,,,,,,Approved,11/22/2005,3/15/2010,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,0 percent,11-25 percent,26-50 percent,11-25 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,682,489,483.00",0,"1,682,489,483.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,108426,801-24583,"TRUSTWELL FINANCIAL ADVISORS, LLC","TRUSTWELL FINANCIAL ADVISORS, LLC",8825 PERIMETER PARK BLVD.,SUITE 304,JACKSONVILLE,FL,USA,32216,904-996-7800,904-996-7803,,,,,,,Approved,7/19/1985,3/15/2010,Y,WWW.TRUSTWELLFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"56,000,000.00",0,"56,000,000.00",435,0,435,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,135118,801-64213,"COLUMN CAPITAL ADVISORS, LLC","COLUMN CAPITAL ADVISORS, LLC",8888 KEYSTONE CROSSING,SUITE 1675,INDIANAPOLIS,IN,USA,46240,317-663-6500,317-663-6501,,,,,,,Approved,5/12/2005,3/15/2010,Y,WWW.COLUMNCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"309,246,232.00",0,"309,246,232.00",465,0,465,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,117343,801-61366,"ALSIN CAPITAL MANAGEMENT, INC.","ALSIN CAPITAL MANAGEMENT, INC.",80463 SPANISH BAY,,LA QUINTA,CA,UNITED STATES,92253,800-525-7222,610-436-1134,PO BOX 1746,,LA QUINTA,CA,UNITED STATES,92247,Approved,8/5/2002,3/15/2010,Y,WWW.ALSINCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"30,831,005.00",0,"30,831,005.00",166,0,166,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,146042,801-68795,"BLOCK WEALTH MANAGEMENT, INC","BLOCK WEALTH MANAGEMENT, INC",4909 MURPHY CANYON ROAD,SUITE 130,SAN DIEGO,CA,UNITED STATES,92123,760-796-5550,760-796-5559,,,,,,,Approved,1/28/2008,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"43,632,500.00","11,419,000.00","55,051,500.00",236,9,245,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109678,801-63055,"ALTRINSIC GLOBAL ADVISORS, LLC","ALTRINSIC GLOBAL ADVISORS, LLC",8 SOUND SHORE DRIVE,,GREENWICH,CT,UNITED STATES,6830,203-661-0030,203-661-7161,,,,,,,Approved,4/20/2004,3/15/2010,Y,WWW.ALTRINSIC.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,11-25 percent,0 percent,11-25 percent,11-25 percent,SUB-ADVISORY,Y,N,N,Y,N,Y,N,,Y,"9,211,786,457.00","65,723,307.00","9,277,509,764.00",55,1,56,N,N,Y,Y,N,N,N,N,N,Y,FOR PRIVATE INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,142049,801-67257,TEAMCO ADVISERS LLC,TEAMCO ADVISERS LLC,ONE BUSH STREET,SUITE 550,SAN FRANCISCO,CA,USA,94104-4419,415-445-9800,415-398-0890,,,,,,,Approved,11/2/2006,3/15/2010,Y,WWW.TEAMCOADVISERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"450,206,799.00",0,"450,206,799.00",1,0,1,N,N,N,Y,Y,Y,N,N,N,Y,FUND OF HEDGE FUND MANAGER,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106669,801-42165,"DEL MONTE GROUP, LLC",DEL MONTE GROUP LLC,,,,,,,925-736-6410,925-263-1930,PMB #540,3000-F DANVILLE BLVD.,ALAMO,CA,UNITED STATES,94507,Approved,8/25/1992,3/15/2010,Y,WWW.APLACEOFPOSSIBILITY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"78,036,954.00",0,"78,036,954.00",437,0,437,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,Y,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,126496,801-63139,LAZARUS MANAGEMENT COMPANY LLC,LAZARUS MANAGEMENT COMPANY LLC,"2401 EAST SECOND AVENUE,",SUITE 600,DENVER,CO,UNITED STATES,80206,303-302-9035,303-302-9056,,,,,,,Approved,5/14/2004,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"34,281,507.00",0,"34,281,507.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,113761,801-66167,"WINDWARD FINANCIAL PLANNING, INC.",WINDWARD PRIVATE WEALTH MANAGEMENT INC.,4200 SOMERSET,SUITE 201,PRAIRIE VILLAGE,KS,UNITED STATES,66208,913-381-7411,913-381-7609,,,,,,,Approved,1/31/2006,3/15/2010,Y,WWW.WINDWARDFP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"60,845,950.00","1,225,909.00","62,071,859.00",314,20,334,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,137604,801-64868,"ROSELINE CAPITOL ADVISORS, LLC","ROSELINE CAPITOL ADVISORS, LLC",140 VIRGINIA ST.,SUITE 300,RICHMOND,VA,UNITED STATES,23219,804-545-7440,804-545-7450,,,,,,,Approved,11/14/2005,3/15/2010,Y,WWW.THEROSELINEGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"75,200,000.00",0,"75,200,000.00",47,0,47,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104740,801-19482,SAFFORD NICHOLAS H & CO INC,SAFFORD NICHOLAS H & CO INC,9 CLEAVES STREET,,ROCKPORT,MA,UNITED STATES,01966-1520,978-546-2462,978-546-2307,,,,,,,Approved,8/2/1983,3/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"10,668,102.00","364,038,071.00","374,706,173.00",10,71,81,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,319,801-67696,FOLGER NOLAN FLEMING DOUGLAS INCORPORATED,FOLGER NOLAN FLEMING DOUGLAS INCORPORATED,725 15TH STREET NW,,WASHINGTON,DC,UNITED STATES,20005-2109,202-626-5300,202-783-3461,,,,,,,Approved,4/24/2007,3/15/2010,Y,WWW.FNFD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"53,674,578.00","53,674,578.00",0,162,162,N,Y,N,N,N,N,N,N,N,Y,RECOMMEND WRAP FEE MANAGEMENT PROGRAMS OF OTHER REGISTERED INVESTMENT ADVISERS,,,N,Y,Y,N,N,N,N,N,N,,N,Y,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,,Y,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138656,801-65543,"JET CAPITAL INVESTORS, LP","JET CAPITAL INVESTORS, LP",667 MADISON AVE 9TH FL,,NEW YORK,NY,USA,10021,212-372-2500,212-372-2525,,,,,,,Approved,1/26/2006,1/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"305,000,000.00",0,"305,000,000.00",8,0,8,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS & SEPARATELY MANAGED ACCOUNTS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,132824,801-69108,"DEVENIR INVESTMENT ADVISORS, LLC","DEVENIR INVESTMENT ADVISORS, LLC",7701 FRANCE AVENUE SOUTH,SUITE 670,MINNEAPOLIS,MN,USA,55435,952-345-0300,952-345-0310,,,,,,,Approved,4/22/2008,1/27/2010,Y,WWW.DEVENIR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"90,000,000.00","90,000,000.00",0,14,14,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,149918,801-70062,"WORKFORCE HOUSING ADVISORS, LLC","WORKFORCE HOUSING ADVISORS, LLC","122 EAST 42ND, SUITE 606",,NEW YORK,NY,UNITED STATES,10168,212-682-2025,,,,,,,,120-Day Approval,4/16/2009,6/30/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,11-25 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,Y,N,N,Y,N,Y,TITLE INSURANCE SALES,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,135351,801-65773,"CASTLE CREEK ARBITRAGE, LLC","CASTLE CREEK ARBITRAGE, LLC",227 WEST MONROE STREET,SUITE 3550,CHICAGO,IL,UNITED STATES,60606,312.692.5074,312.692.7551,,,,,,,Approved,1/27/2006,6/30/2010,Y,WWW.CASTLE-CREEK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"649,745,359.00",0,"649,745,359.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138713,801-65852,NOONDAY ASSET MANAGEMENT LLP,NOONDAY ASSET MANAGEMENT LLP,BURDETT HOUSE 15-16 BUCKINGHAM STREET,,LONDON,,UK,WC2N6DU,011-44-207-747-8800,011-44-207-930-3100,,,,,,,Approved,2/1/2006,6/30/2010,Y,WWW.NOONDAY.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,Y,N,,Y,"1,641,014,513.00",0,"1,641,014,513.00",14,0,14,N,N,N,Y,N,N,N,N,N,Y,ADVICE TO PRIVATE INVESTMENT FUNDS.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,120451,801-61144,ROCATON INVESTMENT ADVISORS,"ROCATON INVESTMENT ADVISORS, LLC",601 MERRITT 7,,NORWALK,CT,UNITED STATES,6851,203-621-1700,203-621-1799,,,,,,,Approved,5/7/2002,6/30/2010,Y,WWW.ROCATON.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"834,083.00",0,"834,083.00",1,0,1,Y,N,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,118273,801-71629,"TRUENORTH FINANCIAL SERVICES, LLC","TRUENORTH FINANCIAL SERVICES, LLC","1411 FOURTH AVE., SUITE 1500",,SEATTLE,WA,UNITED STATES,98101,206-652-4314,206-652-4316,,,,,,,Approved,7/9/2010,6/30/2010,Y,WWW.TRUENORTH-FN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"30,170,264.00","4,515,288.00","34,685,552.00",151,51,202,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106439,801-38122,BANNER INVESTMENT CONSULTANTS,FORETICH ROBERT MCCLELAND,,,,,,,206-621-8638,,P O BOX 998,,ANACORTES,WA,UNITED STATES,98221,Approved,1/19/1991,6/30/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Sole Proprietorship,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,396,686.00","17,965,199.00","20,361,885.00",10,4,14,N,N,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,149030,801-69828,"POSSNACK, DANIEL J.",DANIEL JOHN POSSNACK,,,,,,,909-460-1313,206-350-1110,,,,,,,Approved,1/2/2009,12/23/2008,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,"125,000,000.00","125,000,000.00",0,1,1,Y,N,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112780,801-42540,ASTORIA CAPITAL MANAGEMENT INC.,ASTORIA CAPITAL MANAGEMENT INC.,1675 SW MARLOW AVENUE,SUITE 315,PORTLAND,OR,USA,97225,503-244-1956,503-244-3801,,,,,,,Approved,10/20/1992,6/30/2010,Y,WWW.ASTORIACAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"55,592,187.00",0,"55,592,187.00",2,0,2,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126155,801-64779,ADIRONDACK FINANCIAL SERVICES CORP,ADIRONDACK FINANCIAL SERVICES CORP,185 GENESEE STREET,SUITE 210,UTICA,NY,UNITED STATES,13501,315-724-4186,(315) 792-9661,,,,,,,Approved,10/3/2005,6/30/2010,Y,WWW.ADKFINANCIALSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,251-500,0,Up to 10 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"135,000,000.00","25,000,000.00","160,000,000.00",350,50,400,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144234,801-67989,BARON FINANCIAL GROUP LLC,BARON FINANCIAL GROUP LLC,16-00 ROUTE 208 SOUTH,,FAIR LAWN,NJ,UNITED STATES,7410,201-791-6408,201-791-3907,,,,,,,Approved,6/14/2007,6/30/2010,Y,WWW.BARON-FINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"83,450,000.00","21,400,000.00","104,850,000.00",460,10,470,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110441,801-8162,WESTERN ASSET MANAGEMENT COMPANY,WESTERN ASSET MANAGEMENT COMPANY,385 E. COLORADO BLVD.,,PASADENA,CA,UNITED STATES,91101,626-844-9400,626-844-9450,,,,,,,Approved,12/17/1971,6/30/2010,Y,WWW.WESTERNASSET.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,501-1000,0,51-250,0,51-250,0,5-Jan,0,More than 500,"20,000",0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,51-75 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,More than 75 percent,SEPARATELY MANAGED WRAP FEE ACCOUNTS,Y,N,N,N,N,Y,N,,Y,"357,447,764,557.00",0,"357,447,764,557.00",762,0,762,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110427,801-21068,WESTERN ASSET MANAGEMENT CO LTD,WESTERN ASSET MANAGEMENT COMPANY LIMITED,10 EXCHANGE SQUARE,PRIMROSE STREET,LONDON,,UNITED KINGDOM,EC2A 2EN,011-44-207-422-3000,011-44-207 422-3100,,,,,,,Approved,4/13/1984,6/30/2010,Y,WWW.WESTERNASSET.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,51-250,0,Nov-50,0,0,0,5-Jan,0,101-250,0,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,U.N. AGENCY,Y,N,N,N,N,Y,N,,Y,"51,831,199,259.00",0,"51,831,199,259.00",206,0,206,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106121,801-37476,HAMMER ASSET MANAGEMENT LLC,HAMMER ASSET MANAGEMENT LLC,"36 COUNTRY CLUB RD, SUITE 812",,GILFORD,NH,UNITED STATES,3249,603-527-0033,603-527-0035,,,,,,,Approved,10/1/1990,1/27/2010,Y,WWW.HAMMERASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"113,001,775.00","375,110,252.00","488,112,027.00",147,1,148,N,Y,N,Y,N,Y,N,N,N,Y,ASSET ALLOCATION ADVICE TO INSTITUTIONS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,151969,801-70749,"MCGERVEY WEALTH MANAGEMENT, LLC","MCGERVEY WEALTH MANAGEMENT, LLC","6263 FRANK AVENUE, NW",,NORTH CANTON,OH,UNITED STATES,44720,330-966-2100,(330) 966-3908,,,,,,,Approved,10/26/2009,1/27/2010,Y,WWW.MCGERVEYWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"27,000,000.00","350,000.00","27,350,000.00",190,3,193,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,132058,801-66180,"CRANBROOK WEALTH MANAGEMENT, LLC","CRANBROOK WEALTH MANAGEMENT, LLC",901 WILSHIRE DRIVE,SUITE 320,TROY,MI,UNITED STATES,48084,248-362-0900,248-362-3230,,,,,,,Approved,2/15/2006,1/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"261,353,136.00","21,721,745.00","283,074,881.00",589,15,604,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,Y,Y,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,142188,801-67298,WESTERN ASSET MANAGEMENT COMPANY PTE LTD,WESTERN ASSET MANAGEMENT COMPANY PTE LTD,1 GEORGE STREET #23-01,,SINGAPORE,,SINGAPORE,49145,65-6428-3600,65-6428-3700,,,,,,,Approved,11/17/2006,6/30/2010,Y,WWW.WESTERNASSET.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,SINGAPORE,Nov-50,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,419,710,492.00",0,"2,419,710,492.00",29,0,29,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,143388,801-68224,WESTERN ASSET MANAGEMENT COMPANY LTD.,WESTERN ASSET MANAGEMENT COMPANY LTD,5-1 MARUNOUCHI 1-CHOME,,"CHIYODA-KU, TOKYO",,JAPAN,100-6536,011-81-3-4520-4300,011-81-3-4520-4349,,,,,,,Approved,8/16/2007,6/30/2010,Y,WWW.WESTERNASSET.CO.JP,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,JAPAN,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"763,665,212.00","45,556,443,170.00","46,320,108,382.00",13,2,15,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,121468,801-61864,PERMAL ASSET MANAGEMENT INC.,PERMAL ASSET MANAGEMENT INC.,900 THIRD AVENUE,,NEW YORK,NY,UNITED STATES,10022,212-418-6500,212-418-6510,,,,,,,Approved,3/7/2003,6/30/2010,Y,WWW.PERMAL.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,10-Jun,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,Y,PERCENTAGE OF MANAGEMENT FEES EARNED BY RELATED PARTIES,Y,"15,113,238,320.00","1,419,371,740.00","16,532,610,060.00",22,10,32,N,N,Y,Y,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,122915,801-61493,CLOVIS CAPITAL MANAGEMENT,"CLOVIS CAPITAL MANAGEMENT, LP",640 FIFTH AVENUE,14TH FLOOR,NEW YORK,NY,USA,10019,212-332-1900,212-332-1901,,,,,,,Approved,10/11/2002,1/27/2010,Y,WWW.CLOVISCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,REDEMPTION FEES,Y,"1,710,679,000.00",0,"1,710,679,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,134242,801-71495,EFFICIENT WEALTH MANAGEMENT LLC,EFFICIENT WEALTH MANAGEMENT LLC,,,,,,,281-528-1200,206-202-3606,,,,,,,Approved,6/3/2010,6/30/2010,Y,WWW.EFFICIENTWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"35,227,429.00",0,"35,227,429.00",292,0,292,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138297,801-65843,PERMAL INVESTMENT MANAGEMENT SERVICES LIMITED,PERMAL INVESTMENT MANAGEMENT SERVICES LIMITED,12 ST. JAMES'S SQUARE,,LONDON,,UNITED KINGDOM,SW1Y 4LB,44 (0) 20 7389 1300,44 (0) 20 7389 1344,,,,,,,Approved,1/30/2006,6/30/2010,Y,WWW.PERMAL.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"15,004,834,559.00","2,639,907,260.00","17,644,741,819.00",26,18,44,N,N,N,Y,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110816,801-4740,"JESS S. MORGAN & CO., INC.",MORGAN JESS S & CO INC,5900 WILSHIRE BLVD,SUITE 2300,LOS ANGELES,CA,UNITED STATES,90036,323-634-2400,323-938-9928,,,,,,,Approved,3/10/1968,6/30/2010,Y,WWW.JSMCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"168,180,750.00",0,"168,180,750.00",245,0,245,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,136981,801-64773,"WEALTH MANAGEMENT RESOURCES, LLC","WEALTH MANAGEMENT RESOURCES, LLC",226 N. BROAD STREET,,MANKATO,MN,UNITED STATES,56001,507-625-3507,507-385-7871,,,,,,,Approved,10/7/2005,1/27/2010,Y,WWW.WMR-NET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"60,791,092.00",0,"60,791,092.00",444,0,444,N,Y,N,N,N,N,N,N,N,Y,CONSULTING,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,135378,801-65136,AURIEL CAPITAL MANAGEMENT LLP,AURIEL CAPITAL MANAGEMENT LLP,22 CROSS KEYS CLOSE,,LONDON,,UNITED KINGDOM,W1U 2DW,-9271,-2917,,,,,,,Approved,1/26/2006,6/30/2010,Y,WWW.AURIELCAPITAL.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"542,000,000.00",0,"542,000,000.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,152520,801-70983,POINTE CAPITAL MANAGEMENT LLC,POINTE CAPITAL MANAGEMENT LLC,63 KERCHEVAL AVENUE,SUITE 222,GROSSE POINTE FARMS,MI,UNITED STATES,48236,(313) 882-7100,(313) 882-8124,,,,,,,Approved,1/19/2010,6/30/2010,Y,WWW.POINTECAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"116,349,000.00",0,"116,349,000.00",169,0,169,N,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT CONSULTING,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,152237,801-70846,"DELAWARE CAPITAL MANAGEMENT ADVISERS, INC","DELAWARE CAPITAL MANAGEMENT ADVISERS, INC",2005 MARKET STREET,29TH FLOOR,PHILADELPHIA,PA,UNITED STATES,19103,215-255-2300,215-255-2194,,,,,,,Approved,12/15/2009,6/30/2010,Y,HTTP://WWW.DELAWAREINVESTMENTS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,0,0,Nov-50,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,REFERRAL FEE.,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,REFERRAL SERVICE.,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,133792,801-63861,"PERMAL CAPITAL MANAGEMENT, LLC","PERMAL CAPITAL MANAGEMENT, LLC","800 BOYLSTON STREET, SUITE 1325",,BOSTON,MA,UNITED STATES,2199,617-587-5300,617-587-5301,,,,,,,Approved,2/4/2005,6/30/2010,Y,WWW.PERMALCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"457,100,872.00",0,"457,100,872.00",11,0,11,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,129898,801-62893,"GR CAPITAL ASSET MANAGEMENT, LLC","GR CAPITAL ASSET MANAGEMENT, LLC",660 NEWPORT CENTER DRIVE STE 770,,NEWPORT BEACH,CA,UNITED STATES,92660,800-805-7526,800-782-3069,,,,,,,Approved,3/24/2004,6/30/2010,Y,WWW.GR-CAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,51-250,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,12B-1 FEES,Y,0,"50,267,305.00","50,267,305.00",0,402,402,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,Y,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,107946,801-56006,BILLEAUD CAPITAL MANAGEMENT INC,BILLEAUD CAPITAL MANAGEMENT INC,"1018 HARDING ST., SUITE 104",,LAFAYETTE,LA,UNITED STATES,70503,337-233-7758,337-233-9193,P.O. BOX 51162,,LAFAYETTE,LA,UNITED STATES,70505,Approved,11/6/1998,6/30/2010,Y,WWW.BILLEAUDCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,More than 500,500,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,INVESTMENT ADVISORY REPRESENTATIVE,Y,N,N,N,N,Y,Y,RESEARCH FEES,Y,"119,200,000.00","75,800,000.00","195,000,000.00",680,24,704,N,Y,N,N,N,N,N,N,N,Y,SALE OF RESEARCH TO IAR,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,132122,801-63310,"ELITE WEALTH MANAGEMENT, INC.","ELITE WEALTH MANAGEMENT, INC.",1014 MARKET STREET,SUITE 100,KIRKLAND,WA,UNITED STATES,98033,425-828-4300,425 828-9700,,,,,,,Approved,7/2/2004,6/30/2010,Y,WWW.ELITEWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,More than 500,510,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,PLEASE SEE ADV PART II AND SCH F,Y,"83,526,779.00",0,"83,526,779.00",510,0,510,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108347,801-4658,NICHOLAS CO INC,NICHOLAS CO INC,700 N WATER ST,STE 1010,MILWAUKEE,WI,UNITED STATES,53202,414-272-4650,414-272-7867,,,,,,,Approved,1/8/1968,1/27/2010,Y,WWW.NICHOLASFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,26-50 percent,11-25 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,178,104,861.00",0,"2,178,104,861.00",23,0,23,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110924,801-27567,"LASSUS WHERLEY & ASSOCIATES, P.C.","LASSUS WHERLEY & ASSOCIATES, P.C.",1 ACADEMY STREET,,NEW PROVIDENCE,NJ,USA,7974,908-464-0102,908-464-9852,,,,,,,Approved,7/31/1986,6/30/2010,Y,WWW.LASSUSWHERLEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"300,534,000.00",0,"300,534,000.00",251,0,251,Y,Y,N,Y,Y,N,Y,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105636,801-22646,"NUVEEN INVESTMENT SOLUTIONS, INC.","NUVEEN INVESTMENT SOLUTIONS, INC.",333 WEST WACKER DRIVE,,CHICAGO,IL,UNITED STATES,60606,312-461-1100,312-461-0001,,,,,,,Approved,11/2/1984,6/30/2010,Y,WWW.RANDT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,26-50 percent,INVESTMENT ADVISERS,Y,N,N,Y,N,N,Y,FEES BASED ON TOTAL CLIENT ASSETS,Y,"163,263,941.00",0,"163,263,941.00",5,0,5,N,N,Y,Y,Y,Y,N,N,N,Y,"QUANTITATIVE INVESTMENT ANALYSIS,  CONSULTING SERVICES REGARDING A VARIETY OF MATTERS",,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,113078,801-60551,"NUVEEN HYDEPARK GROUP, LLC","NUVEEN HYDEPARK GROUP, LLC",333 WEST WACKER DRIVE,,CHICAGO,IL,UNITED STATES,60606,312-803-5520,312-803-5521,,,,,,,Approved,9/11/2001,6/30/2010,Y,WWW.NUVEENHYDEPARK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,Up to 10 percent,11-25 percent,26-50 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,Y,PERCENTAGE OF CLIENT'S TOTAL ASSETS,Y,"1,377,142,684.00",0,"1,377,142,684.00",28,0,28,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,148282,801-69681,PENNIALL & ASSOCIATES,"PENNIALL & ASSOCIATES, INC.",257 S. FAIR OAKS AVENUE #200,,PASADENA,CA,UNITED STATES,91105,626-795-3062,626-795-3063,,,,,,,Approved,9/23/2008,6/30/2010,Y,WWW.PENNIALL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"274,000,000.00",0,"274,000,000.00","1,036",0,"1,036",Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,Y,Y,N,N,,N,,Y,N,N,Y,N,N,Y,N,Y,Y,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109415,801-57690,STELLAR CAPITAL MANAGEMENT LLC,STELLAR CAPITAL MANAGEMENT LLC,2200 EAST CAMELBACK ROAD,SUITE 130,PHOENIX,AZ,UNITED STATES,85016,602-778-0307,602-277-4572,,,,,,,Approved,6/28/2000,6/30/2010,Y,HTTP://WWW.STELLARMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,TRUST COMPANIES,Y,Y,N,N,N,N,Y,NEGOTIATED PROJECT FEES,Y,"111,577,030.00","43,105,326.00","154,682,356.00",130,36,166,N,Y,N,Y,Y,Y,N,N,N,Y,PRIVATE INVESTMENT FUND,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,1697,801-13157,"DUPREE & COMPANY, INC.","DUPREE & COMPANY, INC.",125 SOUTH MILL ST STE 100,,LEXINGTON,KY,USA,40507,859-254-7741,859-254-1399,,,,,,,Approved,8/4/1977,1/27/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,KY,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,10-Jun,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,130,002,940.00",0,"1,130,002,940.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,117109,801-66239,"PLANNING FOR WEALTH, LLC","PLANNING FOR WEALTH, LLC",1900 ROSELAWN AVENUE,,MONROE,LA,UNITED STATES,71201,318-340-0324,318-340-0242,,,,,,,Approved,2/2/2006,1/27/2010,Y,WWW.PFWIIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"25,971,156.00",0,"25,971,156.00",98,0,98,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,112130,801-42329,SFX FINANCIAL ADVISORY MANAGEMENT ENTERPRISES INC,SFX FINANCIAL ADVISORY MANAGEMENT ENTERPRISES INC,"5335 WISCONSIN AVE., NW",SUITE 720,WASHINGTON,DC,UNITED STATES,20015,202-721-7225,202 -686-5050,,,,,,,Approved,9/21/1992,7/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"75,000,000.00","2,750,000.00","77,750,000.00",152,12,164,Y,Y,N,N,N,Y,N,N,N,Y,PERSONAL BUSINESS MANAGEMENT,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,117715,801-64156,"FOCUS CAPITAL WEALTH MANAGEMENT, INC.",FOCUS CAPITAL INC.,2 HARVEY ROAD,SUITE 4,BEDFORD,NH,UNITED STATES,03110-6805,603-647-5400,603-647-5430,,,,,,,Approved,7/13/2005,7/1/2010,Y,WWW.FOCUS-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,Y,"MAY BE PAID IN GOODS, SERVICES",Y,"59,071,246.00","1,773,641.00","60,844,887.00",769,24,793,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,Y,Y,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107083,801-41865,REINHARDT FINANCIAL SERVICES INC,REINHARDT FINANCIAL SERVICES INC,"211 E 8TH STREET, STE E",,LAWRENCE,KS,UNITED STATES,66044-2771,785-843-4939,785-843-5971,,,,,,,Approved,7/7/1992,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,Y,N,N,,Y,"10,446,007.00","124,586,044.00","135,032,051.00",120,315,435,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104803,801-30743,"STRATEGIC INVESTMENT PARTNERS, INC","STRATEGIC INVESTMENT PARTNERS, INC","1001 19TH ST. N., 16TH FL",,ARLINGTON,VA,USA,22209-1722,703-243-4433,703-243-2266,,,,,,,Approved,9/30/1987,4/1/2010,Y,WWW.STRATEGICGROUP.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,Y,N,Y,Y,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,142878,801-67841,"CIRCLE WEALTH MANAGEMENT, LLC","CIRCLE WEALTH MANAGEMENT, LLC",47 MAPLE STREET,SUITE 201,SUMMIT,NJ,USA,7901,908-206-1306,908-277-3577,,,,,,,Approved,4/24/2007,4/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,PRIVATE FOUNDATIONS,Y,N,N,Y,N,N,N,,Y,"150,888,917.00","550,546,911.00","701,435,828.00",65,271,336,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,125247,801-61826,"ACCESS FUND MANAGEMENT, LLC","ACCESS FUND MANAGEMENT, LLC",,,,,,,813-425-4712,813-283-2824,,,,,,,Approved,2/14/2003,6/9/2010,Y,WWW.ACCESSFUNDMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"103,677,000.00",0,"103,677,000.00",32,0,32,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,108588,801-56830,PLAN PROFESSIONALS INCORPORATED,PLAN PROFESSIONALS INCORPORATED,"112 SW 6TH AVE., STE 400",,TOPEKA,KS,UNITED STATES,66603-3810,785-357-7777,785-354-1442,"112 SW 6TH AVE., STE 400",,TOPEKA,KS,UNITED STATES,66603-3810,Approved,9/17/1999,4/1/2010,Y,WWW.PLANINC.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,Y,Y,N,N,N,,Y,"12,769,697.00","14,932,450.00","27,702,147.00",131,67,198,Y,Y,N,Y,N,Y,Y,N,Y,Y,"TAX RETURN PREPARATION, ACCOUNTING WRITE-UP, BILL PAYING AND ANALYSIS, PAYROLL AND TAX PLANNING.",101-250,,N,N,Y,Y,N,N,Y,N,N,,Y,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,132581,801-71503,SIMON CAPITAL MANAGEMENT,"THE SIMON GROUP, INC.",ONE BALA PLAZA,STE. 630,BALA CYNWYD,PA,UNITED STATES,19004,610-667-2450,610-667-2460,,,,,,,Approved,6/18/2010,6/9/2010,Y,WWW.SIMONCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"30,000,000.00","10,000,000.00","40,000,000.00",550,100,650,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108686,801-56015,PEQUOT CAPITAL MANAGEMENT INC,PEQUOT CAPITAL MANAGEMENT INC,187 DANBURY ROAD,,WILTON,CT,UNITED STATES,6897,203-429-2200,203-429-2430,,,,,,,Approved,11/23/1998,6/9/2010,Y,WWW.PEQUOTCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"443,553,000.00",0,"443,553,000.00",14,0,14,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
LARO,106076,801-13612,TOWNSEND GROUP INVESTMENTS,TOWNSEND GROUP INVESTMENTS,22601 PACIFIC COAST HWY,STE 200,MALIBU,CA,UNITED STATES,90265,310-456-1645,310-456-7840,,,,,,,Approved,12/29/1977,6/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"54,688,974.00",0,"54,688,974.00",82,0,82,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107296,801-14813,DUFF & PHELPS INVESTMENT MANAGEMENT CO.,DUFF & PHELPS INVESTMENT MANAGEMENT CO.,200 SOUTH WACKER DRIVE,SUITE 500,CHICAGO,IL,UNITED STATES,60606,312-263-2610,312- 876-1028,,,,,,,Approved,7/2/1979,6/9/2010,Y,WWW.DPIMC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,TAFT HARTLEY,Y,N,N,Y,N,N,N,,Y,"6,460,285,843.00",0,"6,460,285,843.00",58,0,58,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,105323,801-32554,WASMER SCHROEDER & CO INC,WASMER SCHROEDER & CO INC,600 FIFTH AVENUE SOUTH,SUITE 210,NAPLES,FL,USA,34102,239-263-6877,239-263-8146,,,,,,,Approved,7/29/1988,6/9/2010,Y,WWW.WASMERSCHROEDER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,More than 500,"1,500",11-25 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"3,332,063,268.00","24,707,320.00","3,356,770,588.00","1,173",92,"1,265",Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,150402,801-70224,"BLOSSOM WEALTH MANAGEMENT, LLC","BLOSSOM WEALTH MANAGEMENT, LLC",,,,,,,925-833-9999,877-665-8765,PO BOX 7,,ALAMO,CA,UNITED STATES,94507,Approved,6/16/2009,6/9/2010,Y,WWW.BLOSSOMWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"27,000,000.00","3,000,000.00","30,000,000.00",330,36,366,Y,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N
NYRO,118975,801-63184,"JG ADVISORS, LLC","JG ADVISORS, LLC",,,,,,,973.605.1045,973.605.5853,,,,,,,Approved,6/4/2004,6/9/2010,Y,WWW.JGADVISORSLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"94,696,072.00",0,"94,696,072.00",169,0,169,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,125052,801-67770,"CAMPBELL ASSET MANAGEMENT, L.L.C.","CAMPBELL ASSET MANAGEMENT, L.L.C.",551 OAK STREET,,CHATTANOOGA,TN,UNITED STATES,37403,423-265-7931,423-265-7932,,,,,,,Approved,4/17/2007,6/9/2010,Y,HTTP://WWW.CAMPBELLPORTFOLIOS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"54,000,000.00","2,000,000.00","56,000,000.00",150,4,154,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,104565,801-4855,"EDGE ASSET MANAGEMENT, INC.","EDGE ASSET MANAGEMENT, INC.",601 UNION STREET,SUITE #2200,SEATTLE,WA,UNITED STATES,98101,206-913-5800,206-913-5954,,,,,,,Approved,5/22/1968,6/9/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"17,210,500,000.00",0,"17,210,500,000.00",23,0,23,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,122394,801-63463,HERITAGE WEALTH MANAGEMENT,"HERITAGE WEALTH MANAGEMENT, INC.",4400 POST OAK PARKWAY,SUITE 2510,HOUSTON,TX,UNITED STATES,77027,713-871-9800,713-871-0713,,,,,,,Approved,8/31/2004,6/9/2010,Y,WWW.HERITAGEPLANNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"105,458,650.00","3,041,350.00","108,500,000.00",415,4,419,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,Y,CONSULTANT/SPEAKER,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,122205,801-70453,AMERICAN WEALTH MANAGEMENT,"AMERICAN RETIREMENT PLANNERS, INC.",570 HAMMILL LANE,,RENO,NV,UNITED STATES,89511,(775) 332-7000,(775) 332-7010,,,,,,,Approved,7/29/2009,6/9/2010,Y,WWW.FINANCIALHEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"128,688,923.00",0,"128,688,923.00",747,0,747,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,153952,801-71569,"ISRAEL INVESTMENT ADVISORS, LLC","ISRAEL INVESTMENT ADVISORS, LLC",1670 BROADWAY,SUITE 3000,DENVER,CO,UNITED STATES,80202,303-831-5000,303-831-5082,,,,,,,Approved,6/23/2010,6/9/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137519,801-65207,GSO CAPITAL PARTNERS LP,GSO CAPITAL PARTNERS LP,280 PARK AVENUE,11TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-503-2100,212-503-6924,,,,,,,Approved,1/18/2006,6/9/2010,Y,WWW.GSOCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"7,719,000,000.00",0,"7,719,000,000.00",36,0,36,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152294,801-70830,GSO CAPITAL ADVISORS LLC,GSO CAPITAL ADVISORS LLC,280 PARK AVENUE,11TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212 503-2100,212 503-6924,,,,,,,Approved,12/7/2009,6/9/2010,Y,WWW.GSOCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"359,000,000.00",0,"359,000,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,120934,801-61467,BLACKSTONE DEBT ADVISORS L.P.,BLACKSTONE DEBT ADVISORS L.P.,280 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10017,212-503-2100,212-503-6924,,,,,,,Approved,9/23/2002,6/9/2010,Y,WWW.BLACKSTONE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"8,419,000,000.00",0,"8,419,000,000.00",13,0,13,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106319,801-36301,PENGRA CAPITAL MANAGEMENT INC,PENGRA CAPITAL MANAGEMENT INC,601 UNION ST,STE 4515,SEATTLE,WA,UNITED STATES,98101,206-628-0891,206-447-0689,,,,,,,Approved,4/2/1990,1/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),S_CORPORATION,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"59,180,056.00",0,"59,180,056.00",27,0,27,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144537,801-68243,GSO / BLACKSTONE DEBT FUNDS MANAGEMENT LLC,GSO / BLACKSTONE DEBT FUNDS MANAGEMENT LLC,280 PARK AVENUE,11TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-503-2100,212-503-6924,,,,,,,Approved,8/21/2007,6/9/2010,Y,WWW.GSOCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"6,152,000,000.00","305,000,000.00","6,457,000,000.00",15,2,17,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109099,801-56807,BLACKSTONE MEZZANINE ADVISORS LP,BLACKSTONE MEZZANINE ADVISORS LP,280 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10017,212-503-2100,212-503-6924,,,,,,,Approved,8/30/1999,6/9/2010,Y,WWW.BLACKSTONE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"125,676,124.00",0,"125,676,124.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,130824,801-65723,ECOFIN LIMITED,ECOFIN LIMITED,15 BUCKINGHAM STREET,,LONDON,,UNITED KINGDOM,WC2N 6DU,44-207-451-2929,44-207-451-2928,,,,,,,Approved,1/27/2005,3/31/2009,Y,WWW.ECOFIN.CO.UK,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,521,420,939.00",0,"3,521,420,939.00",12,0,12,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,134009,801-63980,BLACKSTONE MEZZANINE ADVISORS II L.P.,BLACKSTONE MEZZANINE ADVISORS II L.P.,280 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10017,212-503-2100,212-503-6924,,,,,,,Approved,2/23/2005,6/9/2010,Y,WWW.BLACKSTONE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"795,553,201.00",0,"795,553,201.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,134855,801-64227,"TERRAPIN ASSET MANAGEMENT, LLC","TERRAPIN ASSET MANAGEMENT, LLC",540 MADISON AVENUE,17TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-710-4100,212-710-4105,,,,,,,Approved,5/6/2005,6/10/2010,Y,WWW.TERRAPINPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"346,392,000.00",0,"346,392,000.00",8,0,8,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES AND MANAGED ACCOUNTS,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,108872,801-57450,"STRATEGIC CAPITAL ADVISERS, INC.","STRATEGIC CAPITAL ADVISERS, INC.",600 GRANT STREET,SUITE 850,DENVER,CO,UNITED STATES,80203,303-333-0060,303-333-0059,,,,,,,Approved,4/28/2000,6/10/2010,Y,WWW.SCADV.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,EMPLOYEE BENEFIT PLANS,Y,N,N,Y,N,Y,N,,Y,"438,222,710.00","1,949,724,111.00","2,387,946,821.00",129,10,139,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,130475,801-62789,BURNS ADVISORY GROUP,"BURNS WEALTH MANAGEMENT, INC.",9401 CEDAR LAKE AVE.,,OKLAHOMA CITY,OK,USA,73114,405-478-1971,405-478-1317,,,,,,,Approved,2/9/2004,6/10/2010,Y,WWW.BURNSAG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"282,532,115.00",0,"282,532,115.00",440,0,440,Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,46217,801-55904,"HOLLENCREST SECURITIES, LLC","HOLLENCREST SECURITIES, LLC",100 BAYVIEW CIRCLE,SUITE 500,NEWPORT BEACH,CA,UNITED STATES,92660-8903,949-737-7700,949-737-7703,,,,,,,Approved,10/2/1998,6/10/2010,Y,WWW.HOLLENCREST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,Y,CONSULTING FEES; 12(B)1 FEES FROM MUTUAL FUNDS,Y,"903,538,348.00","248,404,219.00","1,151,942,567.00",831,266,"1,097",N,Y,N,Y,N,Y,N,N,N,Y,CONSULTING SERVICES,,,N,N,Y,Y,Y,N,Y,N,Y,FINANCIAL CONSULTING SERVICES,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,128060,801-71571,"FORTIUS FINANCIAL ADVISORS, LLC","FORTIUS FINANCIAL ADVISORS, LLC",136 EAST SOUTH TEMPLE,SUITE 1025,SALT LAKE CITY,UT,UNITED STATES,84111,888-365-7009,801-505-4180,,,,,,,Approved,6/24/2010,6/10/2010,Y,WWW.FORTIUSADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"26,022,582.00","1,839,633.00","27,862,215.00",240,199,439,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122412,801-65970,"MAJESTIC CAPITAL MANAGEMENT, LLC","MAJESTIC CAPITAL MANAGEMENT, LLC",21 KERCHEVAL,SUITE 265,GROSSE POINTE FARMS,MI,UNITED STATES,48236,313-640-7900,313-640-7925,,,,,,,Approved,1/27/2006,6/10/2010,Y,WWW.MAJESTYFUND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"551,000,000.00",0,"551,000,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,Y,N,N,Y,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,140675,801-66762,"FIDUCIARY INVESTMENT ADVISORS, LLC","FIDUCIARY INVESTMENT ADVISORS, LLC",100 NORTHFIELD DRIVE,,WINDSOR,CT,USA,6095,866-466-9412,860-683-4227,,,,,,,Approved,6/7/2006,6/10/2010,Y,WWW.FIALLC.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,11-25 percent,26-50 percent,26-50 percent,Up to 10 percent,CAPTIVE INSURANCE COMPANIES,Y,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,Y,N,Y,Y,Y,N,N,N,Y,INVESTMENT CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,40258,801-68610,NORTHLAND ASSET MANAGEMENT,"NORTHLAND SECURITIES, INC.",45 SOUTH 7TH STREET,SUITE 2000,MINNEAPOLIS,MN,UNITED STATES,55402,612-851-5900,612-851-5951,,,,,,,Approved,1/2/2008,6/10/2010,Y,WWW.NORTHLANDSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"13,037,473.00","21,636,994.00","34,674,467.00",42,3,45,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
PLRO,148836,801-69774,"GIBSON CAPITAL, LLC","GIBSON CAPITAL, LLC",6600 BROOKTREE COURT,SUITE 2200,WEXFORD,PA,UNITED STATES,15090,724-934-3200,724-934-3201,,,,,,,Approved,1/22/2009,6/10/2010,Y,WWW.GIBSONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"752,267,787.00","92,073,354.00","844,341,141.00",467,35,502,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,105922,801-26847,MORGAN STANLEY INVESTMENT MANAGEMENT LIMITED,MORGAN STANLEY INVESTMENT MANAGEMENT LIMITED,25 CABOT SQUARE,CANARY WHARF,LONDON,,UNITED KINGDOM,E14 4QA,011-44-207-425-8700,011-44-207-425-4848,,,,,,,Approved,4/15/1986,6/10/2010,Y,WWW.MORGANSTANLEY.COM/IM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,51-250,0,51-250,0,Nov-50,0,10-Jun,0,101-250,0,0 percent,0 percent,Up to 10 percent,11-25 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,26-50 percent,OTHER CLIENTS ARE NON-US GOVERNMENTS AND FOREIGN INVESTMENT COMPANIES,Y,N,N,Y,N,Y,N,,Y,"44,742,261,587.00",0,"44,742,261,587.00",194,0,194,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,41562,801-53842,"WESTPORT CAPITAL MARKETS, LLC","WESTPORT CAPITAL MARKETS, LLC",257 RIVERSIDE AVENUE,,WESTPORT,CT,UNITED STATES,6880,203-222-8933,203-222-8898,,,,,,,Approved,2/26/1997,8/6/2010,Y,WWW.WESTPORTCAPITALMARKETS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,Y,N,,Y,"30,460,509.00","163,593,323.00","194,053,832.00",207,895,"1,102",Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,Y,Y,N,N,Y,N,Y,ANNUITYS,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,107364,801-51739,LEXINGTON ADVISORS INC,LEXINGTON ADVISORS INC,"660 MADISON AVENUE, 23RD FLOOR",,NEW YORK,NY,USA,10065,212-754-0411,212-754-1494,,,,,,,Approved,5/13/1996,8/6/2010,Y,WWW.LEXINGTONPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"6,081,662,826.00",0,"6,081,662,826.00",12,0,12,N,N,N,Y,N,Y,N,N,N,Y,INVESTMENT MANAGEMENT SERVICES FOR PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,132391,801-63397,MARATHON-LONDON,MARATHON ASSET MANAGEMENT LLP,"ORION HOUSE,",5 UPPER ST. MARTINS LANE,LONDON,,UNITED KINGDOM,WC2H 9EA,44 20 7497 2211,44 20 7497 2399,,,,,,,Approved,9/9/2004,8/6/2010,Y,WWW.MARATHON.CO.UK,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,51-250,0,10-Jun,0,0,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,EDUCATIONAL INSTITUTIONS,Y,N,N,N,N,Y,N,,Y,"43,036,645,985.00",0,"43,036,645,985.00",98,0,98,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
PLRO,108348,801-35969,"CREATIVE INVESTMENT RESEARCH, INC.",CUNNINGHAM WILLIAM MICHAEL,"1050 17TH STREET, NW",1000,WASHINGTON,DC,UNITED STATES,20036,202-496-1284,866-867-3795,,,,,,,Approved,2/2/1990,1/22/2010,Y,WWW.MINORITYFINANCE.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Sole Proprietorship,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,Y,Y,Y,N,N,Y,PERCENTAGE OF ASSETS CREATED,Y,0,"4,400,000,000.00","4,400,000,000.00",0,1,1,N,Y,Y,Y,Y,Y,Y,Y,N,Y,SOCIAL INVESTING SERVICES,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108204,801-38089,"DB INVESTMENT MANAGERS, INC","DB INVESTMENT MANAGERS, INC",345 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10154,212-454-8871,646-257-2390,280 PARK AVENUE,ATTN:  ANTHONY CONTE MAILSTOP NYC03-0630,NEW YORK,NY,UNITED STATES,10017,Approved,1/11/1991,8/6/2010,Y,WWW.DBARS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,228,054,170.00","11,989,339.00","1,240,043,509.00",27,1,28,N,N,N,Y,N,N,N,N,N,Y,POOLED IN0VESTMENT VEHICLES,0,,N,N,N,N,Y,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,Y,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
BRO,119475,801-61029,GUGGENHEIM REAL ESTATE LLC,GUGGENHEIM REAL ESTATE LLC,FOUR COPLEY PLACE,SUITE 403,BOSTON,MA,USA,2116,617-859-4600,617-536-5455,,,,,,,Approved,3/29/2002,8/6/2010,Y,WWW.GUGGENHEIMPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,11-25 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,508,069,689.00",0,"1,508,069,689.00",10,0,10,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,N,Y,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109916,801-47312,PETTINGA FINANCIAL ADVISORS INC,PETTINGA FINANCIAL ADVISORS INC,501 MAIN STREET,SUITE 100,EVANSVILLE,IN,USA,47708,812-436-4000,812-436-4004,,,,,,,Approved,8/23/1994,1/22/2010,Y,WWW.PETTINGA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"475,723,576.00","475,723,576.00",0,481,481,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,31194,801-13059,RBC CAPITAL MARKETS CORPORATION,RBC CAPITAL MARKETS CORPORATION,ONE LIBERTY PLAZA,165 BROADWAY,NEW YORK,NY,UNITED STATES,10006-1404,212-858-7000,866-756-5765,,,,,,,Approved,6/2/1977,8/6/2010,Y,WWW.RBCWM-USA.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,More than 1000,"5,000",More than 1000,"2,000",More than 1000,"2,000",51-250,0,More than 500,"59,000",51-75 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"10,817,983,691.00","23,525,137,496.00","34,343,121,187.00","26,794","87,014","113,808",Y,Y,Y,Y,Y,Y,N,N,N,Y,"SERVICE PUBLIC & PRIVATE EMPLOYEE BENEFIT PLANS, ENDOWMENT FUNDS, FOUNDATIONS, FAMILY TRUSTS & VARIOUS CAPITAL/OPERATING FUNDS",26-50,,Y,Y,Y,N,Y,Y,Y,N,N,,N,,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,Y,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,N,N
CHRO,132137,801-63306,"GRAND WEALTH MANAGEMENT, LLC","GRAND WEALTH MANAGEMENT, LLC",200 OTTAWA AVENUE NW,SUITE 401,GRAND RAPIDS,MI,UNITED STATES,49503-2411,616-451-4228,616-451-4229,,,,,,,Approved,7/15/2004,1/22/2010,Y,WWW.GRANDWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"120,001,637.00","1,986,782.00","121,988,419.00",301,1,302,Y,Y,N,Y,Y,Y,N,N,N,Y,"CONSULTATION SERVICES, EDUCATIONAL WORKSHOPS AND SEMINARS",25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,151464,801-70572,"DARCHUCK STEWART CAPITAL ADVISORS, LLC","DARCHUCK STEWART CAPITAL ADVISORS, LLC",30 RAGSDALE DRIVE,SUITE 100,MONTEREY,CA,UNITED STATES,93940,(831) 324-0481,(831) 324-0505,,,,,,,Approved,9/15/2009,8/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"52,450,510.00",0,"52,450,510.00",98,0,98,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,119655,801-63150,"HANOVER ADVISORS, INC","HANOVER ADVISORS, INC",115 PERIMETER CENTER PLACE NE,SUITE 825,ATLANTA,GA,UNITED STATES,30346,770-392-3998,770-392-3996,115 PERIMETER CENTER PLACE,SUITE 825,ATLANTA,GA,UNITED STATES,30346,Approved,6/7/2004,8/6/2010,Y,HANOVERADVISORSINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"150,000,000.00",0,"150,000,000.00",140,0,140,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,7654,801-67178,UBS SECURITIES LLC,UBS SECURITIES LLC,677 WASHINGTON BOULEVARD,,STAMFORD,CT,UNITED STATES,06901-3793,203-719-7448,203-719-6266,201 TRESSER BLVD,ONE STAMFORD FORUM-2ND FLOOR,STAMFORD,CT,UNITED STATES,6901,Approved,12/7/2006,8/6/2010,Y,WWW.UBS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,More than 1000,"3,000",51-250,0,More than 1000,"2,000",0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,INVESTMENT ADVISERS TO POOLED INVESTMENT VEHICLES,N,N,N,N,N,N,Y,FEE FOR SECURITIES TRADING IDEAS,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,PROVISION OF SECURITIES TRADING IDEAS,0,,N,N,Y,N,Y,N,N,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,Y,N,N,N,Y,Y,Y,Y,Y
ARO,132924,801-68900,AGILE INVESTMENTS,"STEINHILBER ENTERPRISES, INC.",,,,,,,615-385-4909,615-386-9783,,,,,,,Approved,3/7/2008,1/22/2010,Y,WWW.AGILEINVESTING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"66,000,000.00",0,"66,000,000.00",89,0,89,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106939,801-42732,"PROMARK INVESTMENT ADVISORS, INC.","PROMARK INVESTMENT ADVISORS, INC.",767 FIFTH AVENUE,,NEW YORK,NY,UNITED STATES,10153,(212) 418-6318,(212) 418-6123,,,,,,,Approved,12/1/1992,8/6/2010,Y,HTTP://WWW.PROMARKGLOBAL.COM,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,Up to 10 percent,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,ENDOWMENTS,Y,N,N,N,N,N,Y,"SEE SCHEDULE D, MISCELLANEOUS",Y,"124,584,528,097.00","8,114,681,577.00","132,699,209,674.00",352,7,359,N,N,Y,Y,Y,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS AND COLLECTIVE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,Y,N,N,N,Y,N,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153646,801-71352,"PROVIDENCE WEALTH ADVISORS, LLC","PROVIDENCE WEALTH ADVISORS, LLC",630 EAST 162ND STREET,,SOUTH HOLLAND,IL,UNITED STATES,60586,708-210-0410,708-210-0921,,,,,,,Approved,4/19/2010,8/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,11-25 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"61,500,000.00",0,"61,500,000.00",75,0,75,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106861,801-31832,"WILLIAMS, JONES & ASSOCIATES, LLC","WILLIAMS, JONES & ASSOCIATES, LLC",717 FIFTH AVE,17TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-935-8750,212-753-3072,,,,,,,Approved,4/14/1988,8/6/2010,Y,WWW.WILLIAMSJONES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,10-Jun,0,More than 500,"2,000",Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,166,475,294.00","179,423,373.00","3,345,898,667.00","2,192",187,"2,379",N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,137605,801-65894,"MASTERS CAPITAL MANAGEMENT, L.L.C.","MASTERS CAPITAL MANAGEMENT, L.L.C.","3060 PEACHTREE ROAD, NW",SUITE 1815,ATLANTA,GA,UNITED STATES,30305-2242,404-364-2019,404-364-2013,,,,,,,Approved,1/26/2006,8/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"193,476,662.00",0,"193,476,662.00",4,0,4,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,135248,801-69461,"CONTINUUM GLOBAL ASSET MANAGEMENT, LLC","CONTINUUM GLOBAL ASSET MANAGEMENT, LLC",,,,,,,661-312-2070,661-299-1920,,,,,,,Approved,8/13/2008,1/22/2010,Y,WWW.CGAMADVISOR.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,Y,N,N,Y,N,,Y,"8,067,000.00","17,000,000.00","25,067,000.00",25,27,52,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,134934,801-64140,JSD FINANCIAL DESIGN,JSD FINANCIAL DESIGN,6263 N. SCOTTSDALE RD.   #290,,SCOTTSDALE,AZ,UNITED STATES,85250,480-473-3344,480-473-4626,6362 N. SCOTTSDALE RD.  #290,,SCOTTSDALE,AZ,UNITED STATES,85250,Approved,4/7/2005,1/22/2010,Y,OTTOCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,INSURANCE COMPANY,Y,N,N,N,N,N,N,,Y,"25,000,000.00","5,000,000.00","30,000,000.00",40,120,160,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,Y,N,N,Y,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,875,801-64233,WAYNE HUMMER INVESTMENTS L.L.C.,WAYNE HUMMER INVESTMENTS L.L.C.,222 S. RIVERSIDE PLAZA,SUITE 2800,CHICAGO,IL,UNITED STATES,60606,312-431-1700,312-846-9460,PO BOX 750,,CHICAGO,IL,UNITED STATES,60606-0750,Approved,5/20/2005,8/6/2010,Y,WWW.WHUMMER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,251-500,0,51-75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"87,378,137.00","1,422,764,616.00","1,510,142,753.00",512,576,"1,088",Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,Y,Y,N,N,N,Y,N,N,,N,Y,Y,Y,N,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
PLRO,119836,801-67950,"CAPLAN FINANCIAL GROUP, LLC","CAPLAN FINANCIAL GROUP, LLC",,,,,,,410-735-1905,443-817-0620,841 E. FORT AVE.,STE. 315,BALTIMORE,MD,UNITED STATES,21230,Approved,5/21/2007,8/6/2010,Y,WWW.CAPLANFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"72,000,000.00","1,000,000.00","73,000,000.00","1,093",3,"1,096",Y,Y,N,N,Y,Y,N,N,N,Y,GENERAL CONSULTATION SERVICES,51-100,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,154424,801-71730,"XTENT CAPITAL ADVISERS, INC","XTENT CAPITAL ADVISERS, INC",608 SOUTH KING STREET,SUITE 102,LEESBURG,VA,UNITED STATES,20175,1-800-999-9655,,,,,,,,120-Day Approval,8/18/2010,8/6/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110757,801-16937,WAYNE HUMMER ASSET MANAGEMENT COMPANY,"WAYNE HUMMER ASSET MANAGEMENT COMPANY, L.L.C.",222 SOUTH RIVERSIDE PLAZA,SUITE 2800,CHICAGO,IL,UNITED STATES,60606,312-431-1700,312-431-0704,PO BOX 750,,CHICAGO,IL,UNITED STATES,60606-0750,Approved,3/24/1982,8/6/2010,Y,WWW.WHUMMER.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,251-500,0,26-50 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,WAYNE HUMMER TRUST COMPANY,Y,N,N,N,N,N,N,,Y,"443,807,904.00","434,913,091.00","878,720,995.00",521,924,"1,445",N,Y,Y,Y,N,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,123972,801-68427,"SYSTEMATIC FINANCIAL ASSOCIATES, INC.","SYSTEMATIC FINANCIAL ASSOCIATES, INC.","3322 ROUTE 22 WEST, BLDG 14 SUITE 1403",,BRANCHBURG,NJ,UNITED STATES,8876,908-725-7300,908-725-7311,,,,,,,Approved,10/18/2007,8/6/2010,Y,WWW.SYSTEMATICFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,More than 500,800,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"51,741,084.00","2,719,680.00","54,460,764.00",774,85,859,Y,Y,N,N,N,N,N,N,N,Y,CONSULTING,51-100,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111472,801-56922,UBP ASSET MANAGEMENT LLC,UNION BANCAIRE PRIVEE ASSET MANAGEMENT LLC,30 ROCKEFELLER PLAZA,27TH FLOOR,NEW YORK,NY,UNITED STATES,10112,212-218-6750,212-218-6755,,,,,,,Approved,10/26/1999,8/6/2010,Y,WWW.UBPAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,Nov-50,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"4,255,013,000.00","761,574,000.00","5,016,587,000.00",34,7,41,N,N,N,Y,N,Y,N,N,N,Y,ADVICE PROVIDED TO FUNDS OF HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,136214,801-64708,LONGVIEW WEALTH MANAGEMENT,"LONGVIEW WEALTH MANAGEMENT, INC.",1100 JOHNSON FERRY RD NE,STE 320,ATLANTA,GA,UNITED STATES,30342,404-843-3100,404-475-0263,,,,,,,Approved,9/19/2005,8/6/2010,Y,WWW.LONGVIEWWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"125,909,594.00","76,282,890.00","202,192,484.00",446,339,785,Y,Y,N,Y,N,N,Y,N,N,N,,25-Nov,,N,Y,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106146,801-48908,SYSTEMATIC FINANCIAL MANAGEMENT LP,SYSTEMATIC FINANCIAL MANAGEMENT LP,300 FRANK W BURR BLVD,7TH FL GLENPOINTE EAST,TEANECK,NJ,USA,7666,201-928-1982,201-928-1401,,,,,,,Approved,4/10/1995,8/6/2010,Y,WWW.SFMLP.COM,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,More than 500,"2,000",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,TAFT HARTLEY,Y,N,N,Y,N,Y,N,,Y,"7,699,634,855.00","185,956,631.00","7,885,591,486.00","1,770",4,"1,774",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111872,801-56878,"IPI WEALTH MANAGEMENT, INC.","KOSHINSKI ASSET MANAGEMENT, INC.-DBA IPI ASSET MANAGEMENT, INC.",226 W. ELDORADO,,DECATUR,IL,UNITED STATES,62522,217-425-6340,217-425-9581,P.O. BOX 170,,DECATUR,IL,UNITED STATES,62525-0170,Approved,11/1/1999,8/6/2010,Y,HTTP://WWW.IPIASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,Nov-50,0,More than 500,500,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"345,748,472.00","178,112,848.00","523,861,320.00","1,548","1,076","2,624",Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,Y,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,115101,801-64784,ROGGE CAPITAL LLC,ROGGE CAPITAL LLC,401 CONGRESS AVENUE,SUITE 2750,AUSTIN,TX,UNITED STATES,78701,512.322.0909,512.322.0960,,,,,,,Approved,10/24/2005,8/6/2010,Y,WWW.ROGGECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"216,326,740.00",0,"216,326,740.00",6,0,6,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR OTHER POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,141109,801-67004,DELTA GLOBAL ADVISORS,"DELTA GLOBAL ADVISORS, INC.",17011 BEACH BLVD.,#510,HUNTINGTON BEACH,CA,UNITED STATES,92647,714-960-0302,714-841-8775,,,,,,,Approved,7/10/2006,6/30/2009,Y,WWW.DELTAGA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"26,200,000.00",0,"26,200,000.00",170,0,170,N,Y,Y,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,145934,801-68789,"TRADEWINDS CAPITAL MANAGEMENT, LLC","TRADEWINDS CAPITAL MANAGEMENT, LLC","12 BELLWETHER WAY, SUITE 201",,BELLINGHAM,WA,UNITED STATES,98225,360-715-9000,360-715-9001,,,,,,,Approved,2/6/2008,1/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"100,000,000.00",0,"100,000,000.00",650,0,650,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,149709,801-69987,"FINGERLAKES WEALTH MANAGEMENT, INC.","FINGERLAKES WEALTH MANAGEMENT, INC.",410 EAST UPLAND ROAD,STE. 206A,ITHACA,NY,UNITED STATES,14850,607-257-1008,914-819-0210,,,,,,,Approved,3/31/2009,1/22/2010,Y,WWW.FINGERLAKESWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"25,000,000.00","3,000,000.00","28,000,000.00",272,50,322,Y,Y,N,N,N,Y,N,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,136494,801-64969,RESTORATION CAPITAL MANAGEMENT LLC,RESTORATION CAPITAL MANAGEMENT LLC,325 GREENWICH AVENUE,3RD FLOOR,GREENWICH,CT,UNITED STATES,6830,203-769-5800,203-769-5807,,,,,,,Approved,12/9/2005,1/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"352,532,059.00",0,"352,532,059.00",7,0,7,N,N,N,N,N,N,N,N,N,Y,MANAGEMENT OF HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,144094,801-67955,EAGLE INVESTMENT ADVISORS,"EAGLE INVESTMENT ADVISORS, LLC",110 HOPEWELL ROAD,SUITE #210,DOWNINGTOWN,PA,UNITED STATES,19335-1047,610-269-0269,610-269-9169,,,,,,,Approved,6/5/2007,1/22/2010,Y,WWW.EAGLEIA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"37,385,513.00",0,"37,385,513.00",138,0,138,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108964,801-54788,"401(K)AYDAN GROUP, INC.",KAYDAN GROUP INC,329 W. SILVER LAKE RD.,,FENTON,MI,USA,48430,(810) 593-1624,(810) 593-1643,,,,,,,Approved,9/9/1997,8/6/2010,Y,KAYDANGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"33,402,257.00",0,"33,402,257.00",160,0,160,Y,Y,N,N,N,N,N,N,N,Y,"RETIREMENT PLANNING, BENEFIT EQUALIZATION CONSULTING,EDUCATIONAL SEMINARS",51-100,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111291,801-57871,"AZZAD ASSET MANAGEMENT, INC.","AZZAD ASSET MANAGEMENT, INC.",3141 FAIRVIEW PARK DRIVE,SUITE 460,FALLS CHURCH,VA,USA,22042,703-207-7005,703-852-7478,,,,,,,Approved,8/21/2000,1/22/2010,Y,WWW.AZZAD.NET,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,11-25 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"100,000,000.00",0,"100,000,000.00",927,0,927,Y,Y,Y,Y,N,Y,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146050,801-68690,"LEE, VICTOR","LEE, VICTOR","630 FIRST AVENUE, 6H",,NEW YORK,NY,UNITED STATES,10016,212-447-1676,212-447-1676,,,,,,,Approved,1/8/2008,6/30/2009,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,Limited Liability Partnership,,,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"45,000.00",0,"45,000.00",2,0,2,Y,Y,N,Y,N,Y,N,N,N,Y,SELECTIVE RESEARCH (ON REQUEST),10-Jan,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104816,801-31815,MINTON INVESTMENT MANAGEMENT,APPLIED PORTFOLIO MANAGEMENT,ONE A MAIN STREET SUITE ONE,,SPARTA,NJ,UNITED STATES,7871,[973]729-4041,[973]729-4412,,,,,,,Approved,2/13/1988,1/13/2010,Y,WWW.MINTONINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"239,390,216.00",0,"239,390,216.00",14,0,14,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,150168,801-71587,RAILROAD CANYON INSURANCE AND FINANCIAL SERVICES,"KORTE,DENNIS, ALFRED",31532 RAILROAD CANYON ROAD,SUITE. 106,CANYON LAKE,CA,UNITED STATES,92587,951-244-8068,951-244-8067,,,,,,,120-Day Approval,6/23/2010,6/15/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,INSURANCE LIENTS,N,N,N,N,Y,N,N,,N,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,150852,801-70474,"RIVER SOURCE WEALTH MANAGEMENT, LLC","RIVER SOURCE WEALTH MANAGEMENT, LLC",168 TATE STREET,,WAYNESVILLE,NC,UNITED STATES,28786,828/452-1288,828/246-0392,PO BOX 988,,WAYNESVILLE,NC,UNITED STATES,28786,Approved,8/18/2009,1/19/2010,Y,WWW.BALSAMCAPITALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,530,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"31,000,000.00",0,"31,000,000.00",530,0,530,Y,Y,N,Y,N,N,N,N,N,N,,More than 500,530,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,113357,801-60359,"COVINGTON & ASSOCIATES, INC.","COVINGTON & ASSOCIATES, INC.",,,,,,,908-232-4717,908-232-4708,,,,,,,Approved,6/20/2001,1/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"110,000,000.00",0,"110,000,000.00",22,0,22,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107562,801-50955,FAGAN ASSOCIATES INC,FAGAN ASSOCIATES INC,767 HOOSICK ROAD,,TROY,NY,UNITED STATES,12180,518-279-1044,518-279-1047,,,,,,,Approved,3/6/1996,1/19/2010,Y,WWW.FAGANASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,"1,000",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"110,973,965.00","1,694,647.00","112,668,612.00","1,236",49,"1,285",Y,Y,N,Y,N,N,Y,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138704,801-65116,GALTERE LTD.,GALTERE LTD.,597 5TH AVE.,12TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-598-1837,212-598-0778,,,,,,,Approved,1/12/2006,6/15/2010,Y,WWW.GALTERE.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),BVI ENTITY: INTERNATIONAL BUSINESS COMPANY,,BRITISH VIRGIN ISLANDS,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,079,000,000.00",0,"1,079,000,000.00",11,0,11,N,N,N,Y,N,N,N,N,N,Y,UNREGISTERED POOLED INVESTMENT VEHICLES,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,129523,801-62704,"BEACON WEALTH MANAGEMENT, LLC",BEACON WEALTH MANAGEMENT LLC,65 HARRISTOWN ROAD,SUITE 101,GLEN ROCK,NJ,UNITED STATES,7452,201-447-9500,201-447-6226,,,,,,,Approved,1/29/2004,6/15/2010,Y,WWW.BEACONWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"255,000,000.00","56,000,000.00","311,000,000.00",111,25,136,Y,Y,N,Y,N,Y,N,N,N,Y,FINANCIAL AND BUSINESS CONSULTING,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N
ARO,137536,801-65932,"CHARLESTON FINANCIAL ADVISORS, LLC","CHARLESTON FINANCIAL ADVISORS, LLC","4 NORTH ATLANTIC WHARF, SUITE 200",,CHARLESTON,SC,UNITED STATES,29401-2168,843-722-3331,843-722-8098,,,,,,,Approved,7/13/2006,1/19/2010,Y,WWW.CHARLESTONFINANCIAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"61,889,391.00","243,195.00","62,132,586.00",339,3,342,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,127270,801-62139,"COVINGTON INVESTMENT ADVISORS, INC.","COVINGTON INVESTMENT ADVISORS, INC.",301 EAST MAIN STREET,,LIGONIER,PA,UNITED STATES,15658,724-238-0151,724-238-0148,,,,,,,Approved,6/19/2003,1/19/2010,Y,WWW.COVINGTONINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,PROVIDE BILL PAYING SERVICES AT THE REQUEST OF THE CLIENT.,Y,"76,725,532.00","112,815,027.00","189,540,559.00",235,22,257,Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104714,801-20177,QUAN VEST CONSULTANTS INC,QUAN VEST CONSULTANTS INC,390 PLANDOME ROAD,,MANHASSET,NY,UNITED STATES,11030-1950,516-365-4619,516-365-4931,,,,,,,Approved,1/25/1984,1/19/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,Y,INVESTMENT CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109006,801-56436,ACCESS INVESTMENT ADVISORS INC,ACCESS INVESTMENT ADVISORS INC,21 MARITIME DRIVE,,MANITOWOC,WI,UNITED STATES,54220-4624,920-683-9901,920-683-9902,,,,,,,Approved,4/15/1999,1/19/2010,Y,WWW.ACCESSINVESTMENTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"70,097,575.00",0,"70,097,575.00",316,0,316,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,121573,801-63893,"KELLNER CAPITAL MANAGEMENT, INC.","KELLNER CAPITAL MANAGEMENT, INC.",1518 WALNUT STREET,SUITE 202,PHILADELPHIA,PA,UNITED STATES,19102-3402,215-546-3505,215-546-3790,,,,,,,Approved,9/6/2006,1/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"33,913,917.00",0,"33,913,917.00",116,0,116,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,140134,801-66545,STRUCTURAL,STRUCTURAL INVESTMENT MANAGEMENT LLC,201 CALIFORNIA STREET,SUITE 600,SAN FRANCISCO,CA,UNITED STATES,94111,415-963-4900,415-963-4901,,,,,,,Approved,5/3/2006,6/15/2010,Y,HTTP://WWW.STRUCTURALWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,10-Jun,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,446,552,408.00",0,"1,446,552,408.00",66,0,66,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111585,801-56384,G3W VENTURES LLC,G3W VENTURES LLC,11611 SAN VICENTE BLVD,SUITE 710,LOS ANGELES,CA,UNITED STATES,90049-6507,310-442-0542,310-442-0540,,,,,,,Approved,3/31/1999,6/15/2010,Y,WWW.GFIENERGY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"640,259,604.00",0,"640,259,604.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,138221,801-71036,"TELEOS MANAGEMENT, L.L.C.","TELEOS MANAGEMENT, L.L.C.",263 TRESSER BOULEVARD,,STAMFORD,CT,UNITED STATES,6901,203-975-9750,203-975-7415,,,,,,,Approved,2/4/2010,1/19/2010,Y,WWW.TELEOS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"204,700,000.00",0,"204,700,000.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,121033,801-71590,"ZURICH AWES FINANCIAL MANAGEMENT, INC.","ZURICH AWES FINANCIAL MANAGEMENT, INC.","3033 CAMPUS DRIVE, SUITE 100W",,PLYMOUTH,MN,UNITED STATES,55441,763-577-1900,763-577-1999,,,,,,,Approved,6/30/2010,6/15/2010,Y,WWW.ZURICHAWES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"25,500,000.00",0,"25,500,000.00",341,0,341,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,Y,MORTGAGE BROKER,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,141137,801-67012,"OAKMONT PARTNERS, LLC","OAKMONT PARTNERS, LLC",3 SCHOOL STREET,,BOSTON,MA,UNITED STATES,2108,617-227-3170,617-227-3177,,,,,,,Approved,7/17/2006,1/19/2010,Y,WWW.OAKMONTPWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"79,786,980.00","105,169,186.00","184,956,166.00",422,3,425,Y,Y,Y,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108107,801-56210,PERSIMMON CAPITAL MANAGEMENT LP,PERSIMMON CAPITAL MANAGEMENT LP,1777 SENTRY PARKWAY WEST,"GWYNEDD HALL, SUITE 102",BLUE BELL,PA,UNITED STATES,19422,484-572-0500,484-572-0503,,,,,,,Approved,1/22/1999,6/15/2010,Y,WWW.PERSIMMONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"125,400,000.00","129,500,000.00","254,900,000.00",4,51,55,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110861,801-15254,AMERICAN CAPITAL MANAGEMENT INC,AMERICAN CAPITAL MANAGEMENT INC,50 BROAD STREET,SUITE 1609,NEW YORK,NY,UNITED STATES,10004,212-344-3300,212-344-2045,,,,,,,Approved,5/27/1980,6/16/2010,Y,WWW.AMERICANCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"396,228,271.00",0,"396,228,271.00",131,0,131,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,145196,801-70336,EPS ADVISORS,"LIBERTY ADVISORS, LLC",716 E GREENVILLE ST,,ANDERSON,SC,UNITED STATES,29621,864-226-1942,864-226-6197,,,,,,,Approved,8/20/2009,6/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,500,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"72,327,793.00",0,"72,327,793.00",513,0,513,N,Y,N,Y,Y,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106432,801-40278,"REINHART PARTNERS, INC.","REINHART PARTNERS, INC.",1500  W.MARKET ST SUITE 100,,MEQUON,WI,UNITED STATES,53092,262-241-2020,262-241-8834,,,,,,,Approved,12/5/1991,6/16/2010,Y,WWW.REINHART-PARTNERSINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,Nov-50,0,Nov-50,0,0,0,Nov-50,0,More than 500,"2,500",0 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"2,770,335,000.00",0,"2,770,335,000.00","2,337",0,"2,337",Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138743,801-71560,TREMBLANT CAPITAL GROUP,TREMBLANT CAPITAL LP,767 FIFTH AVENUE,FLOOR 12A,NEW YORK,NY,UNITED STATES,10153,212-303-7373,212-303-7378,,,,,,,Approved,6/29/2010,6/16/2010,Y,WWW.TREMBLANTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,931,322,663.00",0,"1,931,322,663.00",5,0,5,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,115751,801-63872,"HBC FINANCIAL SERVICES, PLLC","HBC FINANCIAL SERVICES, PLLC",743 NORTH 35TH STREET,,SEATTLE,WA,UNITED STATES,98103-8802,206-548-5000,206-545-6915,,,,,,,Approved,2/3/2005,1/19/2010,Y,WWW.ADVISORCPA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"103,168,056.00",0,"103,168,056.00",288,0,288,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,118333,801-61004,SILVERCREST ASSET MANAGEMENT GROUP LLC,SILVERCREST ASSET MANAGEMENT GROUP LLC,1330 AVENUE OF THE AMERICAS,,NEW YORK,NY,UNITED STATES,10019-5400,212-649-0600,212-649-0606,,,,,,,Approved,3/19/2002,6/16/2010,Y,WWW.SILVERCRESTGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,10-Jun,0,More than 500,"2,000",0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"5,384,111,143.00","3,204,300,366.00","8,588,411,509.00","2,730",726,"3,456",Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,109985,801-50197,INVESCO ASSET MANAGEMENT LTD.,INVESCO ASSET MANAGEMENT LTD.,30 FINSBURY SQUARE,,LONDON,,UNITED KINGDOM,EC2A 1AG,4.42071E+11,4.42071E+11,,,,,,,Approved,10/5/1995,6/16/2010,Y,WWW.INVESCOREALESTATE.CO.UK,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,501-1000,0,51-250,0,0,0,0,0,101-250,0,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"78,217,281,394.00",0,"78,217,281,394.00",250,0,250,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105812,801-16664,"GLOBAL PORTFOLIO STRATEGIES, INC.","GLOBAL PORTFOLIO STRATEGIES, INC.",280 TRUMBULL STREET,,HARTFORD,CT,USA,6103,860-534-8767,860-534-8756,C/O PRUDENTIAL FINANCIAL,"280 TRUMBULL STREET, HO6-F",HARTFORD,CT,,6103,Approved,12/22/1981,6/16/2010,Y,WWW.PRUDENTIAL.COM/PRS,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"13,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"1,805,710,450.00","1,805,710,450.00",0,1,1,N,N,N,Y,Y,Y,N,N,N,Y,FINANCIAL INFORMATION AND GUIDANCE TO AFFILIATE'S IRA CUSTOMERS.,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
NYRO,106267,801-42886,"WEBER ASSET MANAGEMENT, INC.","WEBER ASSET MANAGEMENT, INC.","1983 MARCUS AVE, SUITE 221",,LAKE SUCCESS,NY,UNITED STATES,11042,516-326-3299,516-326-3623,,,,,,,Approved,1/12/1993,1/19/2010,Y,HTTP://WWW.WEBERASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"230,567,772.00",0,"230,567,772.00",653,0,653,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138190,801-66878,STOCK MARKETS INSTITUTE,STOCK MARKETS INSTITUTE,NAHIMOVSKY PROSPEKT 47,SUITE 914,MOSCOW,,RUSSIA,117418,+7 495 129 1522,+7 095 7791362,,,,,,,Approved,6/16/2006,1/19/2010,Y,HTTP://WWW.OPTIONSMART.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,Y,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,125218,801-62068,FINANCIAL SOLUTIONS ADVISORY GROUP,"FINANCIAL SOLUTIONS ADVISORY GROUP, INC.","8700 W. BRYN MAWR AVENUE, SUITE 410-N",,CHICAGO,IL,UNITED STATES,60631,773-714-1540,773-714-1550,,,,,,,Approved,6/6/2003,1/19/2010,Y,WWW.FSADVISORYGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"164,200,000.00","5,800,000.00","170,000,000.00",520,8,528,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,628,801-63623,"FIFTH THIRD SECURITIES, INC.","FIFTH THIRD SECURITIES, INC.",34 FOUNTAIN SQUARE PLAZA,MD 10AT5G,CINCINNATI,OH,USA,45263,513-534-6430,513-534-7159,38 FOUNTAIN SQUARE,MD 10AT5G,CINCINNATI,OH,USA,45263,Approved,11/17/2004,6/16/2010,Y,WWW.53.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,More than 1000,"2,000",251-500,0,More than 1000,"2,000",0,0,More than 500,"6,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"246,320,603.00","246,320,603.00",0,"1,435","1,435",N,Y,N,Y,N,Y,N,N,N,Y,SPONSOR WRAP FEE PROGRAM,0,,Y,N,Y,N,N,N,Y,N,N,,N,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
DRO,133823,801-71593,EVEREST WEALTH MANAGEMENT,"EVEREST WEALTH MANAGEMENT, LLC","4901 W. 136 STREET, SUITE 1",,LEAWOOD,KS,UNITED STATES,66224,(913) 387-2017,(913) 387-2020,,,,,,,Approved,7/2/2010,6/16/2010,Y,EVERESTWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"43,166,773.00",0,"43,166,773.00",44,0,44,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,121483,801-68854,"HOUSEN FINANCIAL GROUP, INC.","HOUSEN FINANCIAL GROUP, INC.",229 EAST MAIN STREET,,MANASQUAN,NJ,USA,8736,732-223-5505,732-223-3640,,,,,,,Approved,2/15/2008,6/16/2010,Y,WWW.HOUSENFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,0,"326,384,316.00","326,384,316.00",0,"1,233","1,233",Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,53,801-55083,"HEFREN-TILLOTSON, INC.","HEFREN-TILLOTSON, INC.",308 SEVENTH AVE,,PITTSBURGH,PA,USA,15222,412-434-0990,412-261-4348,,,,,,,Approved,12/11/1997,7/9/2010,Y,WWW.HEFREN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,"1,500",11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"1,351,740,535.00","185,695,853.00","1,537,436,388.00","4,008",712,"4,720",Y,Y,N,Y,N,N,N,N,N,N,,More than 500,1000,Y,N,Y,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,N,N,N,Y,N,N
NYRO,153884,801-71686,"MERCER PARK, LP","MERCER PARK, LP",1350 AVENUE OF AMERICAS,2ND FLOOR,NEW YORK,NY,UNITED STATES,10019,212-299-7600,212-299-7666,,,,,,,Approved,7/29/2010,7/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ANCILLARY FEES,Y,"2,035,424,137.00",0,"2,035,424,137.00",8,0,8,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS AND COLLATERAL MANAGEMENT FOR STRUCTURED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,110533,801-60234,"CAPITAL ONE ASSET MANAGEMENT, LLC","CAPITAL ONE ASSET MANAGEMENT, LLC","201 ST. CHARLES AVENUE, SUITE 2300",,NEW ORLEANS,LA,UNITED STATES,70170,225-242-0937,225-381-2004,,,,,,,Approved,6/1/2001,7/9/2010,Y,WWW.CAPITALONE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,248,898,136.00",0,"3,248,898,136.00","2,743",0,"2,743",N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
SFRO,117201,801-64132,"SYNERGY FINANCIAL MANAGEMENT, LLC","SYNERGY FINANCIAL MANAGEMENT, LLC",701 FIFTH AVE SUITE 3520,,SEATTLE,WA,USA,98104-7055,206-386-5455,206-386-5452,,,,,,,Approved,4/8/2005,1/22/2010,Y,WWW.SFMADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,0,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"54,209,940.00","6,040,926.00","60,250,866.00",390,91,481,Y,Y,N,N,Y,Y,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,154493,801-71687,HALYARD ASSET MANAGEMENT LLC,HALYARD ASSET MANAGEMENT LLC,50 MAIN STREET 9TH FLOOR,,WHITE PLAINS,NY,UNITED STATES,10606,TBD,TBD,,,,,,,120-Day Approval,7/21/2010,7/9/2010,Y,WWW.HALYARDMGMT.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,113481,801-68628,PROPHET ASSET MANAGEMENT,"PROPHET ASSET MANAGEMENT , INC.",708 57TH STREET,,KENOSHA,WI,UNITED STATES,53140,262-657-5555,262-657-8325,,,,,,,Approved,1/2/2008,1/22/2010,Y,WWW.PROPHETASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"47,561,251.00",0,"47,561,251.00",203,0,203,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,13941,801-60099,"CUNA BROKERAGE SERVICES, INC.","CUNA BROKERAGE SERVICES, INC.",2000 HERITAGE WAY,,WAVERLY,IA,UNITED STATES,50677,319-352-4090,319-483-2267,,,,,,,Approved,4/23/2001,7/9/2010,Y,MEMBERS.CUNAMUTUAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,501-1000,0,501-1000,0,501-1000,0,5-Jan,0,More than 500,"9,000",More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,FEES FOR FINANCIAL PLANS AND EXPENSE REIMBURSEMENT,Y,"1,430,806,296.00","208,236,872.00","1,639,043,168.00","7,940","1,088","9,028",Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,Y,N,Y,N,N,N,N,N,N,,N,Y,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
SFRO,120634,801-61180,"PRIVATE CAPITAL MANAGEMENT, INC.","PRIVATE CAPITAL MANAGEMENT, INC.",900 LARKSPUR LANDING CIRCLE,SUITE 240,LARKSPUR,CA,UNITED STATES,94939,415-464-9700,415-464-9755,,,,,,,Approved,5/17/2002,1/22/2010,Y,WWW.PCMWEALTHADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,"55,000,000.00","21,000,000.00","76,000,000.00",169,45,214,Y,Y,N,Y,Y,Y,Y,N,N,Y,FAMILY OFFICE,26-50,,N,N,N,N,N,N,Y,N,Y,1031 EXCHANGES,N,,Y,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138189,801-65797,MORANT WRIGHT MANAGEMENT LIMITED,MORANT WRIGHT MANAGEMENT LIMITED,43 ST. JAMES'S PLACE,,LONDON,,UNITED KINGDOM,SW1A 1NS,011-44-20-7499-9980,011-44-20-7499-9981,,,,,,,Approved,1/24/2006,7/9/2010,Y,WWW.MORANTWRIGHT.CO.UK,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,51-75 percent,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,781,990,283.00",0,"2,781,990,283.00",12,0,12,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106617,801-39985,"WEBB FINANCIAL GROUP, LLC","WEBB FINANCIAL GROUP, LLC",7900 XERXES AVENUE SOUTH,SUITE 1920,BLOOMINGTON,MN,USA,55431,952-837-3200,952-837-0011,,,,,,,Approved,9/17/1991,1/22/2010,Y,WWW.WEBBFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"99,056,227.00",0,"99,056,227.00","1,257",0,"1,257",Y,Y,N,Y,N,N,N,N,N,N,,More than 500,500,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112499,801-26861,SANDER CAPITAL ADVISORS,SANDER CAPITAL ADVISORS,4105 E. MADISON ST.,SUITE 300,SEATTLE,WA,UNITED STATES,98112,206-323-8822,206-328-7197,,,,,,,Approved,6/12/1986,1/22/2010,Y,SANDERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"55,000,000.00",0,"55,000,000.00",30,0,30,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108078,801-56520,EIM MANAGEMENT USA INC,EIM MANAGEMENT (USA) INC.,"750 LEXINGTON AVENUE,",27TH FLOOR,NEW YORK,NY,UNITED STATES,10022-9807,212-371-9000,212-371-9111,,,,,,,Approved,5/24/1999,7/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,11-25 percent,0 percent,26-50 percent,11-25 percent,26-50 percent,0 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"576,633,643.00","82,095,297.00","658,728,940.00",12,3,15,N,Y,N,Y,N,Y,N,N,N,Y,"PORTFOLIO MGMT SVCS FOR  SINGLE OWNER LLCS; INVESTMENT MGR TO OFFSHORE INVESTMENT FUNDS, SUB ADVISOR RELATIONSHIPS,",,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,124867,801-61932,"ARIA, LLC","ASSET & RETIREMENT INVESTMENT ASSOCIATES, LLC",2614 BOSTON POST ROAD,SUITE 16A,GUILFORD,CT,UNITED STATES,6437,203-453-9075,203-453-1097,,,,,,,Approved,3/27/2003,7/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"59,736,160.00","4,257,427.00","63,993,587.00",145,20,165,Y,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,143923,801-67906,MAC WEALTH MANAGEMENT INC.,MAC WEALTH MANAGEMENT INC.,,,,,,,310-546-2765,866-246-2765,,,,,,,Approved,5/18/2007,1/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"60,000,000.00","4,000,000.00","64,000,000.00",212,2,214,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107484,801-43638,"ROGER H. JENSWOLD & CO., INC.","ROGER H. JENSWOLD & CO., INC.",5847 SAN FELIPE,SUITE 4100,HOUSTON,TX,UNITED STATES,77057-3009,713-260-9000,713-260-9050,,,,,,,Approved,3/30/1993,7/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"142,600,000.00",0,"142,600,000.00",165,0,165,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137783,801-65679,"PROTEGE PARTNERS, LLC","PROTEGE PARTNERS, LLC",25 WEST 53RD STREET,15TH FLOOR,NEW YORK,NY,USA,10019,212.784.6300,212.784.6349,,,,,,,Approved,1/27/2006,7/9/2010,Y,WWW.PROTEGEPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,INVESTMENT MANAGER SEED CASH FLOWS,Y,"3,014,265,000.00",0,"3,014,265,000.00",7,0,7,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,116817,801-62463,"BARKER FINANCIAL GROUP, INC.","BARKER FINANCIAL GROUP, INC.",1 VAN DE GRAAFF DRIVE,SUITE 501,BURLINGTON,MA,UNITED STATES,01803-5174,781-743-2600,781-221-0069,,,,,,,Approved,10/24/2003,1/22/2010,Y,WWW.BARKERFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"70,953,909.00",0,"70,953,909.00",450,0,450,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107747,801-29130,"PORTFOLIO MANAGEMENT CONSULTANTS, INC.","PORTFOLIO MANAGEMENT CONSULTANTS, INC.","1999 BROADWAY, 42ND  FLOOR",,DENVER,CO,UNITED STATES,80202,303-824-8100,303-824-8290,,,,,,,Approved,4/17/1987,7/9/2010,Y,WWW.ENVESTNET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"83,364,447.00",0,"83,364,447.00",212,0,212,N,Y,N,Y,N,Y,N,N,N,N,,,,Y,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114287,801-69007,"BONNER & SMITH, LLC","BONNER & SMITH, LLC","5807 63RD STREET, SUITE 300",,LUBBOCK,TX,UNITED STATES,79424,806-798-1880,806-798-0083,,,,,,,Approved,4/2/2008,1/22/2010,Y,WWW.BONNER-SMITH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"41,226,874.00",0,"41,226,874.00",529,0,529,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109120,801-55328,"IFR MARKETS, THOMSON MUNICIPAL MARKET DATA",THOMSON GLOBAL MARKETS INC,22 THOMSON PLACE,,BOSTON,MA,UNITED STATES,2210,617-856-2000,617-856-5686,,,,,,,Approved,3/10/1998,7/9/2010,Y,IFRMARKETS.COM,N,N,N,N,N,N,N,N,N,N,N,Y,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",Up to 10 percent,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,,N,N,Y,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,Y,N,Y,Y,CREATES YIELD CURVES FOR THE TAX-EXEMPT BOND MARKET,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,154290,801-71595,"SCENIC WEALTH MANAGEMENT, LLC","SCENIC WEALTH MANAGEMENT, LLC",,,,,,,303-507-3961,NONE,,,,,,,120-Day Approval,7/9/2010,7/9/2010,Y,WWW.SCENICWEALTH.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,26-50 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,142640,801-69738,SIKICH FINANCIAL,SIKICH CAPITAL MANAGEMENT LLC,998 CORPORATE BOULEVARD,,AURORA,IL,UNITED STATES,60502-9102,630-566-8598,630-236-4594,,,,,,,Approved,11/24/2008,7/9/2010,Y,WWW.SIKICH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"53,000,000.00","58,000,000.00","111,000,000.00",418,23,441,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,Y,N,N,Y,N,N,Y,N,N,,Y,N,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,109518,801-57951,"ASCENSION CAPITAL ADVISORS, INC.","ASCENSION CAPITAL ADVISORS, INC.",1800 BERING,SUITE 850,HOUSTON,TX,UNITED STATES,77057,713-952-6900,713-334-8023,,,,,,,Approved,9/15/2000,1/22/2010,Y,WWW.ASCENSIONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"98,558,100.00",0,"98,558,100.00",218,0,218,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,125601,801-61851,POWERSHARES,INVESCO POWERSHARES CAPITAL MANAGEMENT LLC,301 WEST ROOSEVELT ROAD,,WHEATON,IL,UNITED STATES,60187,630-933-9600,630-933-9699,,,,,,,Approved,3/7/2003,7/9/2010,Y,WWW.INVESCOPOWERSHARES.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,10-Jun,0,Nov-50,0,0,0,101-250,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"13,979,569,045.00",0,"13,979,569,045.00",101,0,101,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,Y,N,N,Y,Y
BRO,139000,801-65832,"TRADEX GLOBAL ADVISORS, LLC","TRADEX GLOBAL ADVISORS, LLC",35 MASON STREET,4TH FLOOR,GREENWICH,CT,USA,6830,203-863-1500,203-863-2007,,,,,,,Approved,2/24/2006,1/22/2010,Y,WWW.THETRADEXGROUP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"156,000,000.00",0,"156,000,000.00",4,0,4,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,29449,801-55072,"FELDMAN, INGARDONA & CO","FELDMAN, INGARDONA & CO.",2001 BUTTERFIELD RD,STE 170,DOWNERS GROVE,IL,USA,60515,630-663-1800,630-663-9572,,,,,,,Approved,12/1/1997,8/10/2009,Y,WWW.FELDMANINGARDONA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"179,940,000.00","195,136,000.00","375,076,000.00",78,42,120,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107143,801-43833,BRECKINRIDGE CAPITAL ADVISORS INC,BRECKINRIDGE CAPITAL ADVISORS INC,200 HIGH STREET,,BOSTON,MA,USA,2110,617-443-0779,617-443-0778,,,,,,,Approved,4/29/1993,1/25/2010,Y,WWW.BONDINVESTOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,More than 500,"5,000",26-50 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,PRIVATE INVESTMENT FUNDS,Y,N,N,Y,N,N,N,,Y,"11,556,790,593.00","14,683,889.00","11,571,474,482.00","5,119",2,"5,121",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,140354,801-67041,BEDLAM ASSET MANAGEMENT PLC,BEDLAM ASSET MANAGEMENT PLC,20 ABCHURCH LANE,,LONDON,,UNITED KINGDOM,EC4N 7BB,011-44-207-648-4300,011-44-207-648-4301,,,,,,,Approved,8/4/2006,1/25/2010,Y,WWW.BEDLAMPLC.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Other (specify),PUBLIC LIMITED COMPANY,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"637,000,000.00",0,"637,000,000.00",15,0,15,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,147809,801-71662,"BOULDER WEALTH MANAGEMENT, LLC","BOULDER WEALTH MANAGEMENT, LLC",7400 WEST 135TH STREET,SUITE 200,OVERLAND PARK,KS,UNITED STATES,66223,913-944-4600,913-944-4601,,,,,,,Approved,7/9/2010,7/9/2010,Y,WWW.BOULDERKC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"42,918,106.00",0,"42,918,106.00",286,0,286,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,154105,801-71688,"ECHO POINT INVESTMENT MANAGEMENT, LLC","ECHO POINT INVESTMENT MANAGEMENT, LLC",200 CLARENDON STREET,53RD FLOOR,BOSTON,MA,UNITED STATES,2116,6173697300,6104710901,,,,,,,120-Day Approval,7/29/2010,7/9/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,0,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106237,801-50939,HONKAMP KRUEGER FINANCIAL SERVICES INC,HONKAMP KRUEGER FINANCIAL SERVICES INC,2355 J F KENNEDY ROAD,,DUBUQUE,IA,UNITED STATES,52002,563-582-2855,563-582-1040,,,,,,,Approved,1/17/1996,7/9/2010,Y,WWW.HKFS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,51-250,0,More than 500,"2,500",51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"925,111,521.00","4,906,248.00","930,017,769.00","4,631",90,"4,721",Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,115578,801-63657,"MJR FINANCIAL ADVISORY, INC.","MJR FINANCIAL ADVISORY, INC.",,,,,,,804-741-7558,804-741-6544,,,,,,,Approved,1/3/2005,1/25/2010,Y,HTTP://WWW.MJRFINANCIAL.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"39,269,917.00",0,"39,269,917.00",55,0,55,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,127914,801-62256,"WIDAT GROUP, L.L.C.","WIDAT GROUP, L.L.C.",,,,,,,914-428-1222,914-428-1250,,,,,,,Approved,8/1/2003,1/13/2010,Y,WWW.WIDAT.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,11-25 percent,0 percent,11-25 percent,0 percent,0 percent,,N,N,Y,Y,N,Y,N,,Y,"250,000.00",0,"250,000.00",1,0,1,N,Y,N,N,N,N,Y,N,N,Y,RESEARCH AND MARKET STUDIES,0,,N,N,N,N,N,N,N,N,Y,RESEARCH,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,25586,801-35428,SATURNA CAPITAL CORPORATION,SATURNA CAPITAL CORPORATION,1300 N. STATE ST,,BELLINGHAM,WA,UNITED STATES,98225-4730,360-594-9900,360-734-0755,,,,,,,Approved,10/30/1989,5/11/2010,Y,WWW.SATURNA.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,26-100,0,26-50 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"2,019,043,423.00",0,"2,019,043,423.00",67,0,67,N,Y,Y,Y,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,125319,801-68686,"FINANCIAL PLANNING PROFESSIONALS, INC.","FINANCIAL PLANNING PROFESSIONALS, INC.",,,,,,,856-875-0700,856-629-7859,,,,,,,Approved,1/24/2008,1/7/2009,Y,WWW.FPANET.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,0,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"26,000,000.00","10,000,000.00","36,000,000.00",340,280,620,Y,Y,N,Y,Y,N,N,N,Y,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146012,801-68679,"HERON FINANCIAL GROUP, LLC","HERON FINANCIAL GROUP, LLC",,,,,,,800-994-3766,212-595-9882,,,,,,,Approved,1/14/2008,5/11/2010,Y,WWW.HERONFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"50,500,000.00",0,"50,500,000.00",96,0,96,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,152511,801-70910,BALENTINE LLC,BALENTINE LLC,3344 PEACHTREE ROAD,SUITE 1075,ATLANTA,GA,UNITED STATES,30326,(404) 537-4800,404-537-4848,,,,,,,Approved,12/14/2009,5/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,0,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"86,200,000.00",0,"86,200,000.00",44,0,44,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,134628,801-67563,AURUM WEALTH MANAGEMENT GROUP LLC,AURUM WEALTH MANAGEMENT GROUP LLC,6685 BETA DRIVE,,MAYFIELD VILLAGE,OH,UNITED STATES,44143,440-605-1900,440-605-0200,,,,,,,Approved,3/2/2007,5/12/2010,Y,WWW.AURUMWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"135,129,248.00","8,947,904.00","144,077,152.00",86,2,88,N,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111712,801-21673,WILEN MANAGEMENT CO INC,WILEN MANAGEMENT CO INC,GREENSPRING STATION - SUITE #226,2360 WEST JOPPA ROAD,LUTHERVILLE,MD,UNITED STATES,21093,410-339-7800,410-321-7834,,,,,,,Approved,6/25/1984,1/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,0 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"150,000,000.00",0,"150,000,000.00",200,0,200,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,132940,801-66953,"QUEST FINANCIAL SERVICES, INC.","QUEST FINANCIAL SERVICES, INC.",40 SALEM STREET - BLDG. 2,,LYNNFIELD,MA,USA,1940,781-224-3456,781-246-2787,,,,,,,Approved,6/30/2006,5/12/2010,Y,WWW.QUESTFSI.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"22,200,000.00",0,"22,200,000.00",65,0,65,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110765,801-27419,JAE CONSULTING INC,JAE CONSULTING INC,,,,,,,908-879-4560,908-879-5088,,,,,,,Approved,7/14/1986,5/12/2010,Y,WWW.JAECONSULTING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"54,651,959.00","54,651,959.00",0,189,189,N,Y,N,N,N,N,N,N,N,Y,CONSULTING,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104964,801-25156,"DEERFIELD FINANCIAL ADVISORS, INC.","DEERFIELD FINANCIAL ADVISORS, INC.",8440 WOODFIELD CROSSING,SUITE 360,INDIANAPOLIS,IN,UNITED STATES,46240,317-469-2455,317-469-2460,,,,,,,Approved,9/5/1985,5/12/2010,Y,WWW.DEERFIELDFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"289,190,212.00","57,139,104.00","346,329,316.00",632,152,784,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,121350,801-62997,"GARRISON CAPITAL MANAGEMENT, LLC","GARRISON CAPITAL MANAGEMENT, LLC",5847 SAN FELIPE,SUITE 2125,HOUSTON,TX,UNITED STATES,77057-3294,713-789-2600,713-789-2621,,,,,,,Approved,4/14/2004,5/12/2010,Y,WWW.GARRISONCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"89,281,351.00","4,068,633.00","93,349,984.00",46,8,54,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,131934,801-63245,CONSILIUM INVESTMENT MANAGEMENT,"INTL CONSILIUM, LLC",3101 N. FEDERAL HWY.,SUITE 502,FORT LAUDERDALE,FL,UNITED STATES,33306,954-315-9380,954-779-1803,,,,,,,Approved,6/18/2004,5/12/2010,Y,WWW.CONSIMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,10-Jun,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"100,000,000.00",0,"100,000,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,153475,801-71267,"DUBLIN WEALTH MANAGEMENT, INC.","DUBLIN WEALTH MANAGEMENT, INC.",,,,,,,205-447-4628,205-795-2548,,,,,,,120-Day Approval,3/29/2010,6/2/2010,Y,WWW.DUBLINWEALTH.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,AL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,116578,801-63221,"MOUNT YALE ASSET MANAGEMENT, LLC","MOUNT YALE ASSET MANAGEMENT, LLC",1125 17TH STREET,SUITE 1400,DENVER,CO,UNITED STATES,80202,303-382-2880,303-382-2888,,,,,,,Approved,6/18/2004,6/2/2010,Y,WWW.MTYALE.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,Nov-50,0,101-250,0,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"299,922,306.00",0,"299,922,306.00",199,0,199,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,42727,801-56636,"DISCIPLINED FINANCIAL SERVICES, INC","DISCIPLINED FINANCIAL SERVICES, INC.",19575 JANACEK COURT,SUITE 105,BROOKFIELD,WI,USA,53045,262-784-6650,262-784-6987,,,,,,,Approved,6/23/1999,6/2/2010,Y,WWW.DISCIPLINEDFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"60,688,874.00","16,116,843.00","76,805,717.00",637,163,800,Y,Y,N,Y,Y,N,N,N,N,Y,CONSULTATIONS,251-500,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,152379,801-70889,ALPHACLONE LLC,ALPHACLONE LLC,ONE MARKET STREET,"SPEAR TOWER, 36TH FLOOR",SAN FRANCISCO,CA,UNITED STATES,94105,415-398-2868,415-963-4332,,,,,,,Approved,1/4/2010,6/2/2010,Y,WWW.ALPHACLONE.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,Y,RESEARCH SERVICE,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110545,801-32509,AVENIR CORPORATION,AVENIR CORPORATION,1919 PENNSYLVANIA AVE NW,4TH FLOOR,WASHINGTON,DC,USA,20006,202-659-4427,202-659-4414,,,,,,,Approved,7/22/1988,6/2/2010,Y,WWW.AVENIRCORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"735,587,921.00",0,"735,587,921.00",481,0,481,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,129024,801-62592,"NANTUCKET MULTI MANAGERS, LLC","NANTUCKET MULTI MANAGERS, LLC",40950 WOODWARD- STE 307,,BLOOMFIELD HILLS,MI,UNITED STATES,48304,248-723-9286,248-723-9289,,,,,,,Approved,1/2/2004,6/2/2010,Y,WWW.NANTUCKETFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,10-Jun,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,MANAGEMENT FEES BASED ON AUM,Y,"163,956,492.00",0,"163,956,492.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,"MANAGEMENT OF HEDGE FUND BASED FUND-OF-FUNDS AND OFFER THESE FUND-OF-FUNDS THROUGH NANTUCKET MULTI MANAGERS, LLC (THE ISSUER)",0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N
CHRO,104727,801-34723,"MONETA GROUP INVESTMENT ADVISORS, LLC","MONETA GROUP INVESTMENT ADVISORS, LLC","100 SOUTH BRENTWOOD, SUITE 500",,CLAYTON,MO,UNITED STATES,63105,314-726-2300,314-862-6139,,,,,,,Approved,6/30/1989,6/2/2010,Y,WWW.MONETAGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,51-250,0,Nov-50,0,10-Jun,0,10-Jun,0,More than 500,"3,000",11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"1,006,872,794.00","7,092,671,403.00","8,099,544,197.00","1,428","17,342","18,770",Y,Y,N,Y,N,Y,N,N,N,N,,More than 500,3000,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,Y,N,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
DRO,147828,801-69429,JUNCTION CITY FINANCIAL,"HATTINGH, DIEDERIK JOHANNES",,,,,,,801-393-2774,801-393-2789,,,,,,,120-Day Approval,8/4/2008,1/7/2009,Y,WWW.JUNCTIONCITYFINANCIAL.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Sole Proprietorship,,UT,UNITED STATES,5-Jan,0,0,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,Y,EDUCATIONAL WORKSHOPS,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,126514,801-62226,THE STRATEGIC FINANCIAL ALLIANCE,"THE STRATEGIC FINANCIAL ALLIANCE, INC.",2200 CENTURY PARKWAY,SUITE 500,ATLANTA,GA,USA,30345,678-954-4000,678-954-4001,,,,,,,Approved,7/18/2003,6/2/2010,Y,WWW.THE-SFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"1,000",26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"12,191,855.00","193,434,020.00","205,625,875.00",128,"1,493","1,621",Y,Y,N,Y,N,Y,N,N,Y,N,,101-250,,Y,Y,Y,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,N,Y,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109058,801-14602,DUNNAVAN & CO.,"C. C. DUNNAVAN & CO., INC.",123 NORTH THIRD STREET,SUITE 603,MINNEAPOLIS,MN,UNITED STATES,55401,612-630-1101,612-630-1151,,,,,,,Approved,6/1/1979,2/1/2010,Y,WWW.DUNNAVAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,"MINIMUM FEE OF $10,000",Y,"183,502,519.00",0,"183,502,519.00",209,0,209,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105867,801-20295,BARNETT & CO INC,BARNETT & CO INC,1300 BROAD STREET,SUITE 303,CHATTANOOGA,TN,UNITED STATES,37402-4476,423-756-0125,423-756-0127,,,,,,,Approved,2/6/1984,2/1/2010,Y,BARNETTANDCOMPANY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"217,023,946.00",0,"217,023,946.00",585,0,585,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
LARO,153852,801-71544,"FOOTHILL FINANCIAL ADVISORS, INC.","FOOTHILL FINANCIAL ADVISORS, INC.",250 WEST FIRST STREET,SUITE 248,CLAREMONT,CA,UNITED STATES,91711,909-267-3770,909-267-3790,,,,,,,120-Day Approval,6/22/2010,6/2/2010,Y,WWW.FOOTHILLFA.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150817,801-70781,"WANGER OMNIWEALTH, LLC","WANGER OMNIWEALTH, LLC",401 N. MICHIGAN AVENUE,SUITE 1301,CHICAGO,IL,UNITED STATES,60611,312-245-8000,303-317-8140,,,,,,,Approved,10/28/2009,6/2/2010,Y,WWW.WANGEROMNIWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"120,000,000.00",0,"120,000,000.00",81,0,81,Y,Y,N,N,N,Y,N,N,N,Y,INVESTMENT ADVICE TO POOLED INVESTMENT VEHICLES,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,128580,801-62399,POWER ASSET MANAGEMENT LLC,POWER ASSET MANAGEMENT LLC,1901 AVENUE OF THE STARS,SUITE 200,LOS ANGELES,CA,UNITED STATES,90067,310-643-1154,213-674-4414,,,,,,,Approved,9/26/2003,6/2/2010,Y,WWW.POWERASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"200,000,000.00",0,"200,000,000.00",60,0,60,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,122747,801-61546,"ACT II CAPITAL, L.L.C.","ACT II CAPITAL, L.L.C.",444 MADISON AVENUE,24TH FLOOR,NEW YORK,NY,UNITED STATES,10022,646-737-1005,212-957-0073,,,,,,,Approved,10/24/2002,6/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"336,714,696.00",0,"336,714,696.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,146325,801-68844,"AURORA INVESTMENT MANAGERS, LLC","AURORA INVESTMENT MANAGERS, LLC",1416 PROVIDENCE HIGHWAY,SUITE 219,NORWOOD,MA,USA,2062,617-390-8001,,,,,,,,Approved,2/11/2008,2/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"81,290,743.00","14,907,376.00","96,198,119.00",183,21,204,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,108425,801-31075,"EMPIRIC ADVISORS, INC.","EMPIRIC ADVISORS, INC.",6300 BRIDGEPOINT PARKWAY,"BUILDING 2, SUITE 105",AUSTIN,TX,UNITED STATES,78730,512-328-9321,512-328-9809,,,,,,,Approved,12/10/1987,2/1/2010,Y,WWW.EMPIRICFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"67,171,808.00",0,"67,171,808.00",37,0,37,N,Y,Y,N,N,N,N,N,N,N,,0,,N,Y,Y,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,117284,801-61889,"MERCANTIL COMMERCEBANK INVESTEMENT SERVICES, INC.","MERCANTIL COMMERCEBANK INVESTEMENT SERVICES, INC.",220 ALHAMBRA CIRCLE,PENTHOUSE FLOOR,CORAL GABLES,FL,UNITED STATES,33134,305-460-8599,305-460-8598,,,,,,,Approved,8/9/2002,2/1/2010,Y,WWW.MERCANTILCIS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"39,822,601.00","113,762,472.00","153,585,073.00",35,438,473,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,115810,801-61451,"WAYPOINT ADVISORS, LLC","WAYPOINT ADVISORS, LLC",999 WATERSIDE DRIVE,SUITE 2430,NORFOLK,VA,USA,23510,(757)623-1600,(757)623-6144,,,,,,,Approved,2/15/2002,6/3/2010,Y,WWW.WAYPOINTADVISORS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,"PRIVATE FOUNDATIONS, FAMILY LP'S, AND LLC'S",Y,Y,N,Y,N,N,N,,Y,"438,414,192.00",0,"438,414,192.00",622,0,622,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,231,801-54739,MBSC SECURITIES CORPORATION,MBSC SECURITIES CORPORATION,200 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10166,212-922-6000,212-922-4235,,,,,,,Approved,7/24/1997,6/3/2010,Y,WWW.DREYFUS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,501-1000,0,51-250,0,501-1000,0,0,0,More than 500,"6,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"385,970,073.00","385,970,073.00",0,"2,044","2,044",N,Y,N,Y,N,N,N,N,N,Y,MBSC SPONSORS A WRAP FEE PROGRAM AND PARTICIPATES IN PROGRAMS WITH AFFILIATED AND UNAFFILIATED BROKER-DEALERS.,0,,Y,Y,Y,N,N,N,Y,N,N,,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y
PLRO,116978,801-61471,"AMBASSADOR ADVISORS, LLC","AMBASSADOR ADVISORS, LLC",1755 OREGON PIKE,,LANCASTER,PA,USA,17601,717-560-8300,717-560-8387,,,,,,,Approved,9/19/2002,6/3/2010,Y,WWW.AMBASSADORADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"1,000",51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"183,000,000.00",0,"183,000,000.00","1,800",0,"1,800",Y,Y,N,Y,N,Y,N,N,N,Y,PLANNED GIVING PROGRAM,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105518,801-31672,MARSHWINDS ADVISORY CO,MARSHWINDS ADVISORY COMPANY,"300 MAIN STREET, STE 401",,ST SIMONS ISLAND,GA,UNITED STATES,31522,912-638-5426,912-638-3447,P. O. BOX 21099,,ST. SIMONS ISLAND,GA,UNITED STATES,31522,Approved,3/18/1988,6/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"224,175,000.00",0,"224,175,000.00",470,0,470,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,141001,801-66948,BRIDGE CREEK CAPITAL MANAGEMENT LLC,BRIDGE CREEK CAPITAL MANAGEMENT LLC,2439 MEETINGHOUSE WAY,,WEST BARNSTABLE,MA,UNITED STATES,2668,508-362-9566,508-362-7064,,,,,,,Approved,6/27/2006,2/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"126,960,891.00",0,"126,960,891.00",190,0,190,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,41353,801-67447,"THOMPSON DAVIS & CO., INC.","THOMPSON DAVIS & CO., INC.",15 S. 5TH STREET,,RICHMOND,VA,UNITED STATES,23219,804-644-6380,804-644-6396,P.O. BOX 1854,,RICHMOND,VA,UNITED STATES,23218,Approved,2/9/2007,6/3/2010,Y,WWW.THOMPSONDAVIS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,251-500,0,26-50 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,Y,N,,Y,"50,489,866.00",0,"50,489,866.00",429,0,429,N,Y,N,N,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,Y,"SELLS RESEARCH TO BD, RIA FIRMS, INV COMPANY",N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,140551,801-69464,"MACHTIG ADVISORY SERVICES, LLC","MACHTIG ADVISORY SERVICES, LLC",5270 WEST 84TH STREET,SUITE 310,BLOOMINGTON,MN,UNITED STATES,55437,952-831-8243,952-831-5563,,,,,,,Approved,8/25/2008,2/1/2010,Y,WWW.BRETTMACHTIG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY REFERRAL FEES,Y,"25,662,579.00",0,"25,662,579.00",311,0,311,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153785,801-71412,"CBIZ WEALTH MANAGEMENT, LLC","CBIZ WEALTH MANAGEMENT, LLC","6050 OAK TREE BLVD., SUITE 500",,CLEVELAND,OH,UNITED STATES,44131,216-447-9000,216-447-9007,,,,,,,120-Day Approval,5/11/2010,6/3/2010,Y,WWW.CBIZ.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,38095,801-65881,"WOODSTOCK FINANCIAL GROUP, INC.","WOODSTOCK FINANCIAL GROUP, INC.",117 TOWNE LAKE PARKWAY,SUITE 200,WOODSTOCK,GA,UNITED STATES,30188,770-516-6996,877-431-5729,,,,,,,Approved,2/1/2006,6/3/2010,Y,WWW.WOODSTOCKFG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"96,524,067.00",0,"96,524,067.00",706,0,706,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,124969,801-61812,"LEHMAN BROTHERS PRIVATE FUND MANAGEMENT, LP","LEHMAN BROTHERS PRIVATE FUND MANAGEMENT, LP",1271 AVENUE OF THE AMERICAS,,NEW YORK,NY,UNITED STATES,10020,646-285-9800,,,,,,,,Approved,2/25/2003,6/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"194,389,163.00",0,"194,389,163.00",19,0,19,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,134261,801-63947,"RSW INVESTMENTS, LLC","RSW INVESTMENTS, LLC",47 MAPLE STREET,SUITE 304,SUMMIT,NJ,USA,7901,908-273-4311,908-934-9211,,,,,,,Approved,2/18/2005,2/1/2010,Y,WWW.RSWINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,More than 500,500,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,072,959,027.00",0,"1,072,959,027.00",521,0,521,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,118158,801-66087,BENEFIT SOURCES & SOLUTIONS,"SCOTT RAPPOPORT CLU,CHFC,INC.",1952 ROUTE 22 EAST,,BOUND BROOK,NJ,UNITED STATES,8805,732-560-1010,732-560-1049,,,,,,,Approved,5/30/2006,2/1/2010,Y,HTTP://WWW.BENEFITSOURCE.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"7,493,541.00","67,424,892.00","74,918,433.00",61,17,78,N,Y,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,Y,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,124970,801-61813,"LEHMAN BROTHERS PRIVATE FUND ADVISERS, LP","LEHMAN BROTHERS PRIVATE FUND ADVISERS, LP",1271 AVENUE OF THE AMERICAS,,NEW YORK,NY,UNITED STATES,10020,646-285-9000,,,,,,,,Approved,2/25/2003,6/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"195,855,024.00",0,"195,855,024.00",22,0,22,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105058,801-31805,SEAWARD MANAGEMENT,SEAWARD MANAGEMENT LIMITED PARTNERSHIP,265 FRANKLIN ST,20TH FLOOR,BOSTON,MA,UNITED STATES,02110-3199,617-224-1900,617-224-1910,,,,,,,Approved,3/18/1988,2/1/2010,Y,WWW.SEAWARDMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,MA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,11-25 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,409,387,005.00","189,473,320.00","1,598,860,325.00",952,13,965,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,127565,801-62199,"THE CORPORATE LIBRARY, LLC",THE CORPORATE LIBRARY LLC,56 NORTHPORT DRIVE,,PORTLAND,ME,UNITED STATES,4103,207-874-6921,207-874-6925,,,,,,,Approved,7/16/2003,2/1/2010,Y,WWW.THECORPORATELIBRARY.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,ME,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,0 percent,0 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,11-25 percent,11-25 percent,0 percent,,N,Y,Y,Y,N,N,N,,N,0,0,0,0,0,0,N,N,Y,N,N,N,Y,Y,N,Y,SUBSCRIPTION TO ON-LINE DATABASE,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,N,Y,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,151190,801-70739,VULCAN VALUE PARTNERS LLC,VULCAN VALUE PARTNERS LLC,3500 BLUE LAKE DRIVE,SUITE 400,BIRMINGHAM,AL,UNITED STATES,35243-1981,205-803-1582,205-803-1584,,,,,,,Approved,11/5/2009,2/1/2010,Y,WWW.VULCANVALUEPARTNERS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,000,000.00",0,"25,000,000.00",25,0,25,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,33065,801-48092,"ACCESS FINANCIAL GROUP, INC.","ACCESS FINANCIAL GROUP, INC.",118 N. CLINTON STREET,SUITE 450,CHICAGO,IL,UNITED STATES,60661,312-655-8200,312-655-8268,,,,,,,Approved,12/30/1994,6/3/2010,Y,WWW.AFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,TRUSTS,Y,N,N,N,Y,N,N,,Y,"257,579,596.00",0,"257,579,596.00",454,0,454,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,Y,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
PLRO,111190,801-43935,"ASHBRIDGE INVESTMENT MANAGEMENT, LLC","ASHBRIDGE INVESTMENT MANAGEMENT, LLC",ONE SOUTH BROAD STREET,23RD FLOOR,PHILADELPHIA,PA,UNITED STATES,19107,215-496-4330,215-568-0558,,,,,,,Approved,5/14/1993,6/3/2010,Y,WWW.ASHBRIDGE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"679,000,000.00","679,000,000.00",0,97,97,N,N,N,N,N,Y,N,N,N,Y,INVESTMENT CONSULTING,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,131971,801-64187,AIRLIE OPPORTUNITY CAPITAL MANAGEMENT LP,AIRLIE OPPORTUNITY CAPITAL MANAGEMENT LP,115 EAST PUTNAM AVENUE,3RD FLOOR,GREENWICH,CT,USA,6830,203-661-6200,203-661-0479,,,,,,,Approved,4/15/2005,6/3/2010,Y,WWW.AIRLIEGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"109,422,807.00",0,"109,422,807.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,"PORTFOLIO MANAGEMENT FOR UNREGISTERED INVESTMENT COMPANIES (I.E., HEDGE FUNDS)",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,Y,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y
ARO,118442,801-63487,"CAPITAL ADVISERS, INC.","CAPITAL ADVISERS, INC.","21 GLENWOOD AVENUE, SUITE 107",,RALEIGH,NC,UNITED STATES,27603,919-865-1930,919-863-2391,,,,,,,Approved,9/3/2004,2/1/2010,Y,WWW.CAPITALADVISERSINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,Nov-50,0,More than 500,500,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"117,023,328.00",0,"117,023,328.00",642,0,642,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104683,801-3475,NORRIS PERNE & FRENCH LLP,NORRIS PERNE & FRENCH LLP,"40 PEARL ST., NW, SUITE 300",,GRAND RAPIDS,MI,USA,49503-3026,616-459-3421,616-459-5369,,,,,,,Approved,1/30/1984,6/3/2010,Y,WWW.NORRISPERNE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,MI,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,More than 500,"1,000",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"705,000,000.00",0,"705,000,000.00","1,130",0,"1,130",Y,Y,N,Y,N,N,Y,N,N,Y,CONSULTATION SERVICES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,139300,801-66476,PLANPREP,PLANPREP LLC,,,,,,,858-259-5436,877-847-8752,,,,,,,Approved,3/27/2006,6/3/2010,Y,WWW.PLANPREP.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES,Y,Y,N,Y,Y,N,N,,Y,"1,084,000.00",0,"1,084,000.00",4,0,4,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,132093,801-63302,"WATERLINE PARTNERS, LLC","WATERLINE PARTNERS, LLC",6701 CENTER DRIVE WEST,SUITE 955,LOS ANGELES,CA,USA,90045,310-256-2570,310-496-2916,,,,,,,Approved,7/9/2004,6/3/2010,Y,WWW.WATERLINEPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"522,290,888.00",0,"522,290,888.00",247,0,247,Y,Y,N,Y,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,153607,801-71330,CAMPBELL KELLER ASSET MANAGEMENT CORPORATION,CAMPBELL KELLER ASSET MANAGEMENT CORPORATION,2200 ROSS AVE,SUITE 4300W,DALLAS,TX,UNITED STATES,75201-2708,214-818-0920,214-818-0924,,,,,,,Approved,4/15/2010,6/3/2010,Y,WWW.CAMPBELLKELLER.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"50,000,000.00","100,000,000.00","150,000,000.00",2,2,4,N,Y,N,Y,Y,N,N,N,Y,Y,ADVISING INVESTORS ON SOCIALLY RESPONSIBLE INVESTING.,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,128649,801-62473,SLOAN ASSET MANAGEMENT AG,SLOAN ASSET MANAGEMENT AG,AUGUSTINERGASSE 52,,ZURICH,,SZ,CH-8001,41-43-244-7550,41-43-244-7551,,,,,,,Approved,11/6/2003,2/1/2010,Y,WWW.SLOANAG.CH,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SWITZERLAND,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"195,000,000.00","12,000,000.00","207,000,000.00",140,2,142,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,120844,801-64143,"CENTRUST WEALTH MANAGEMENT, INC.","CENTRUST WEALTH MANAGEMENT, INC.",3200 W. MARKET STREET,SUITE 105,AKRON,OH,UNITED STATES,44333,(330) 873-1100,(330) 873-1135,,,,,,,Approved,4/8/2005,2/1/2010,Y,WWW.CENTRUSTWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,Y,12B-1 MUTUAL FUND TRAILERS,Y,"37,393,519.00","17,487,378.00","54,880,897.00",190,453,643,Y,Y,N,Y,Y,Y,Y,N,N,N,,26-50,,N,N,N,Y,N,N,N,N,Y,ANNUITIES SALES,Y,Y,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110949,801-60054,"MILLER-GREEN FINANCIAL SERVICES, INC","MILLER-GREEN FINANCIAL SERVICES, INC",1330 LAKE ROBBINS DRIVE,SUITE 360,THE WOODLANDS,TX,UNITED STATES,77380,281-364-9100,281-364-9101,,,,,,,Approved,3/13/2001,2/1/2010,Y,WWW.MILLER-GREEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,APPLICANT MAY BE COMPENSATED FOR SEMINARS,Y,"292,330,550.00","56,597,513.00","348,928,063.00",377,68,445,Y,Y,N,N,N,Y,Y,N,N,Y,"CONSULTATION SERVICES,SEMINARS AND EDUCATIONAL PROGRAMS",0,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,152681,801-71047,HAUSMAN ADVISORS,"HAUSMAN ADVISORS, LLC","10260 SW GREENBURG ROAD, SUITE 400",,PORTLAND,OR,UNITED STATES,97223,503-922-3010,503-922-4118,,,,,,,Approved,2/24/2010,6/23/2010,Y,WWW.HAUSMANADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"6,300,000.00","29,440,000.00","35,740,000.00",4,215,219,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,153534,801-71458,"MAINE ASSET MANAGEMENT, LLC","MAINE ASSET MANAGEMENT, LLC",31 MAIN STREET,,BANGOR,ME,UNITED STATES,4401,207-992-2226,207-992-2610,P.O. BOX 2010,,BANGOR,ME,UNITED STATES,4402,120-Day Approval,6/1/2010,6/23/2010,Y,WWW.MAINEASSETMANAGEMENTLLC.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,ME,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,15356,801-21317,MUTUAL OF AMERICA LIFE INSURANCE COMPANY,MUTUAL OF AMERICA LIFE INSURANCE COMPANY,320 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10022-6839,(212) 224-1600,(212) 224-2824,,,,,,,Approved,6/1/1984,6/23/2010,Y,HTTP://WWW.MUTUALOFAMERICA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,501-1000,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,"REFER TO SCHEDULE D, MISCELLANEOUS",Y,"941,000,000.00",0,"941,000,000.00",93,0,93,N,N,N,Y,Y,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,128080,801-71623,"KLANE WEALTH MANAGEMENT, LLC","KLANE WEALTH MANAGEMENT,LLC",6 WEST FIFTH STREET,SUITE 600,ST. PAUL,MN,UNITED STATES,55102,651-225-4884,651-225-8603,,,,,,,Approved,7/2/2010,6/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"40,475,636.00",0,"40,475,636.00",65,0,65,N,Y,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,154317,801-71624,"GRANT PARK CAPITAL PARTNERS, LLC","GRANT PARK CAPITAL PARTNERS, LLC",311 SOUTH WACKER DRIVE,SUITE 3000,CHICAGO,IL,UNITED STATES,60606,312-360-6604,312-360-6994,,,,,,,120-Day Approval,7/2/2010,6/23/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,107994,801-55414,ABACUS PLANNING GROUP INC,ABACUS PLANNING GROUP INC,2500 DEVINE STREET,,COLUMBIA,SC,UNITED STATES,29205-2400,803-933-0054,803-753-9476,P.O. BOX 5478,,COLUMBIA,SC,UNITED STATES,29250-5478,Approved,4/3/1998,6/23/2010,Y,WWW.ABACUSPLANNINGGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,SC,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"524,913,631.00",0,"524,913,631.00",163,0,163,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109447,801-71038,MITCHELL ADVISORY INC,MITCHELL ADVISORY INC,11710 PLAZA AMERICA DRIVE,SUITE 2000,RESTON,VA,UNITED STATES,20190,703-481-9868,703871-5048,,,,,,,Approved,1/25/2010,1/20/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"29,030,000.00","3,670,000.00","32,700,000.00",21,2,23,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122082,801-61898,USA WEALTH MANAGEMENT LLC,USA WEALTH MANAGEMENT LLC,50 LOUIS STREET NW,SUITE 400,GRAND RAPIDS,MI,UNITED STATES,49503-2642,800-553-7526,800-501-0543,,,,,,,Approved,4/3/2003,6/23/2010,Y,WWW.USAWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,Nov-50,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"50,633,263.00","31,327,070.00","81,960,333.00",763,438,"1,201",Y,Y,N,N,N,N,Y,N,Y,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110406,801-52746,BURR OAK GROUP INC.,BURR OAK GROUP INC,"PARKDALE PLAZA, SUITE 426",1660 SOUTH HIGHWAY 100,ST LOUIS PARK,MN,UNITED STATES,55416-1506,952-512-1165,952-512-1684,,,,,,,Approved,9/17/1996,6/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"200,000,000.00",0,"200,000,000.00",148,0,148,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104624,801-16175,SHEA JOHN A INVESTMENT ADVISOR,SHEA JOHN A INVESTMENT ADVISOR,53 W JACKSON BLVD,SUITE 1202,CHICAGO,IL,UNITED STATES,60604,312-663-9320,312-663-0221,,,,,,,Approved,7/6/1981,1/8/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"76,040,233.00",0,"76,040,233.00",88,0,88,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,144955,801-68447,"JOSEPH BARRY CO., LLC","JOSEPH BARRY CO., LLC",128 UNION STREET,SUITE 507,NEW BEDFORD,MA,UNITED STATES,2740,888-992-8601,508-992-4700,,,,,,,Approved,10/24/2007,6/23/2010,Y,WWW.JOSEPHBARRY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,096,457.00","462,507,728.00","463,604,185.00",1,"1,239","1,240",Y,Y,N,Y,N,N,N,N,N,N,,251-500,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126339,801-64419,"WATTERS FINANCIAL SERVICES, LLC","WATTERS FINANCIAL SERVICES, LLC",16 ARCADIAN AVENUE,SUITE C4,PARAMUS,NJ,UNITED STATES,7652,201.843-0044,201-843-1171,,,,,,,Approved,6/17/2005,6/23/2010,Y,WWW.WATTERSFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"48,094,000.00","48,094,000.00",0,261,261,Y,Y,N,N,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,1459,801-67527,CITY SECURITIES CORPORATION,CITY SECURITIES CORPORATION,30 SOUTH MERIDIAN STREET,SUITE 600,INDIANAPOLIS,IN,USA,46204-3573,317-634-4400,317-955-2512,,,,,,,Approved,2/5/2007,6/23/2010,Y,WWW.CITYSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE OF NET WORTH RESET ANNUALLY,Y,"73,003,958.00","287,114,773.00","360,118,731.00",196,"1,484","1,680",Y,Y,N,Y,Y,Y,N,N,N,Y,INVESTMENT SUPERVISORY SERVICES IN COORDINATION WITH INDEPENDENT PORTFOLIO MANAGERS,26-50,,N,N,Y,N,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N
MIRO,146428,801-69481,RODA ASSET MANAGEMENT,"RODA ASSET MANAGEMENT, LLC",9100 S. DADELAND BLVD,SUITE 510,MIAMI,FL,UNITED STATES,33156,305 670-4321,305 670-4323,,,,,,,Approved,8/18/2008,6/23/2010,Y,WWW.RODAINVESTMENTS.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"15,500,000.00",0,"15,500,000.00",8,0,8,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143519,801-68060,SATOVSKY ASSET MANAGEMENT LLC,SATOVSKY ASSET MANAGEMENT LLC,232 MADISON AVENUE,SUITE 500,NEW YORK,NY,UNITED STATES,10016,212-584-1900,212-584-1901,,,,,,,Approved,6/25/2007,6/23/2010,Y,WWW.SATOVSKY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"224,335,460.00","102,723,712.00","327,059,172.00",668,441,"1,109",Y,Y,N,Y,N,Y,N,N,N,Y,HEDGE FUND,101-250,,N,N,Y,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126593,801-68766,GILFORD FINANCIAL CORP.,GILFORD FINANCIAL CORP.,777 THIRD AVE,17TH FLOOR,NEW YORK,NY,USA,10017,212-888-6400,212-223-1683,,,,,,,Approved,2/11/2008,6/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"40,324,389.00","20,074,505.00","60,398,894.00",138,159,297,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
BRO,108141,801-54286,HALL CAPITAL MANAGEMENT CO INC,HALL CAPITAL MANAGEMENT CO INC,26 BOSWORTH STREET,SUITE 4,BARRINGTON,RI,UNITED STATES,2806,401-245-0049,401-245-3761,,,,,,,Approved,4/17/1997,6/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"146,199,364.00",0,"146,199,364.00",448,0,448,N,Y,N,N,N,N,N,N,N,Y,CONSULTATIONS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,104948,801-30248,HIGHLAND ASSOCIATES INC,HIGHLAND ASSOCIATES INC,2545 HIGHLAND AVENUE,SUITE 200,BIRMINGHAM,AL,UNITED STATES,35205,205-933-8664,205-933-7688,,,,,,,Approved,8/21/1987,6/23/2010,Y,WWW.HIGHLANDASSOC.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"15,290,305,964.00","15,290,305,964.00",0,50,50,Y,N,N,N,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,152734,801-71045,MILLER/RUSSELL & ASSOCIATES LLC,MILLER/RUSSELL & ASSOCIATES LLC,2701 E. CAMELBACK ROAD,#120,PHOENIX,AZ,UNITED STATES,85016,602-468-1232,602-468-1054,,,,,,,Approved,12/31/2009,1/20/2010,Y,WWW.MILLER-RUSSELL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"889,430,183.00","210,522,816.00","1,099,952,999.00",359,73,432,Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,127066,801-62222,"PERSONAL BENEFIT SERVICES OF COLORADO, INC.","PERSONAL BENEFIT SERVICES OF COLORADO, INC.",5620 WARD ROAD,STE 100-A,ARVADA,CO,UNITED STATES,80002,303-991-6400,303-420-8082,,,,,,,Approved,7/29/2003,6/23/2010,Y,WWW.PBSADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,Y,Y,Y,N,N,,Y,"40,730,171.00",0,"40,730,171.00",408,0,408,Y,Y,N,N,N,N,Y,N,N,N,,26-50,,N,Y,N,Y,N,N,Y,N,Y,TSP MODEL NEWSLETTER,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,136984,801-64818,"YIM INVESTMENT MANAGEMENT, LLC","YIM INVESTMENT MANAGEMENT, LLC",1025 PUNAHOU STREET,,HONOLULU,HI,UNITED STATES,96826,808-955-8800,808-955-8832,,,,,,,Approved,12/1/2005,6/23/2010,Y,WWW.YIMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,HI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"119,730,181.00",0,"119,730,181.00",600,0,600,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,Y,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
DRO,113618,801-68797,"BRETT R. SMITH CPA WEALTH MANAGEMENT, LLC","BRETT R. SMITH CPA WEALTH MANAGEMENT, LLC",1285 CIMARRON DRIVE,SUITE 202,LAFAYETTE,CO,UNITED STATES,80026,303-604-0505,303-604-0488,,,,,,,Approved,2/7/2008,1/20/2010,Y,WWW.BRETTRSMITHASSOC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"40,000,000.00",0,"40,000,000.00",300,0,300,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108445,801-56690,BENEFIT DESIGN CORP,BENEFIT DESIGN CORP,4101 COX ROAD,SUITE 315,GLEN ALLEN,VA,UNITED STATES,23060,804-965-0707,804-965-0120,,,,,,,Approved,7/20/1999,1/20/2010,Y,WWW.BDCSTEWARDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,Y,Y,N,N,N,,Y,"42,055,102.00","7,141,681.00","49,196,783.00",194,127,321,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,133725,801-71626,"BOSTON INVESTMENT ADVISERS, INC.","BOSTON INVESTMENT ADVISERS, INC.","6 BEACON STREET, SUITE 925",,BOSTON,MA,UNITED STATES,2108,617-227-7807,617-227-7809,,,,,,,Approved,6/29/2010,6/23/2010,Y,WWW.BOSTON-INVESTMENT-ADVISERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,More than 75 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"37,565,062.00",0,"37,565,062.00",166,0,166,N,Y,N,N,N,Y,Y,N,N,Y,ADVISORY SERVICES TO DEFINED CONTRIBUTION PENSION PLANS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,154303,801-71607,"ROXBURY INVESTMENT ADVISORS, LLC","ROXBURY INVESTMENT ADVISORS, LLC","18375 VENTURA BOULEVARD, SUITE 538",,TARZANA,CA,UNITED STATES,91356,310-571-8746,310-571-8746,,,,,,,120-Day Approval,6/24/2010,6/23/2010,Y,WWW.ROXBURYADVISORS.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,149564,801-69981,"HOUSEHOLDER GROUP FINANCIAL ADVISORS, LLC","HOUSEHOLDER GROUP FINANCIAL ADVISORS, LLC",8985 E. BELL ROAD,,SCOTTSDALE,AZ,UNITED STATES,85260,602-604-0600,602-604-0800,,,,,,,Approved,3/10/2009,6/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,More than 500,"1,936",51-75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISORY FEES,Y,"25,881,403.00","182,484,134.00","208,365,537.00",134,"1,802","1,936",Y,Y,N,N,Y,Y,N,N,N,Y,SEMINARS,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,150055,801-70213,"FORTIPHI, LLC","FORTIPHI, LLC",425 PONTIUS AVE. N.,SUITE 200,SEATTLE,WA,UNITED STATES,98109,206-588-7500,206-588-7501,,,,,,,Approved,5/26/2009,6/23/2010,Y,WWW.CLARAPHI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"58,300,000.00",0,"58,300,000.00",125,0,125,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,Y,N,N,,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,134172,801-64043,"SANDLER O'NEILL ADVISORS, L.P.","SANDLER O'NEILL ADVISORS, L.P.","919 THIRD AVENUE, 6TH FLOOR",,NEW YORK,NY,UNITED STATES,10022-3902,212-466-7920,212-466-7933,,,,,,,Approved,4/20/2005,1/20/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,10-Jan,0,0 percent,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,Y,Y,N,Y,N,,Y,"1,024,700,000.00",0,"1,024,700,000.00",3,0,3,N,N,N,Y,N,N,Y,N,N,Y,"EQUITY RESEARCH AND ANALYSIS, PORTFOLIO ADVICE FOR BUSINESSES OR INSTITUTIONAL CLIENTS",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
BRO,119048,801-63859,"WEAVER FINANCIAL, P.C.","WEAVER FINANCIAL, P.C.","100 CORPORATE PLACE, SUITE 301",,PEABODY,MA,UNITED STATES,1960,978-536-5119,978-536-2092,,,,,,,Approved,2/3/2005,7/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"41,182,038.00","41,182,038.00",0,176,176,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,126805,801-66738,COLCHESTER INVESTMENT COUNSEL LLC,COLCHESTER INVESTMENT COUNSEL LLC,456 MAIN STREET,,RIDGEFIELD,CT,UNITED STATES,6877,203.438.0046,,,,,,,,Approved,5/22/2006,1/28/2010,Y,WWW.COLCHESTERIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"41,551,283.00","3,948,214.00","45,499,497.00",70,8,78,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
SFRO,151298,801-71546,FINANCIAL ADVOCATES INVESTMENT MANAGEMENT,FINANCIAL ADVOCATES INVESTMENT MANAGEMENT,1601 COOPER POINT ROAD NW,,OLYMPIA,WA,UNITED STATES,98502,360-866-2345 EXT 405,360-866-6920,,,,,,,120-Day Approval,6/15/2010,7/27/2010,Y,WWW.FINANCIALADVOCATES.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,Y,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,149003,801-69803,ALLIANZ GLOBAL INVESTORS CAPITAL LLC,ALLIANZ GLOBAL INVESTORS CAPITAL LLC,600 WEST BROADWAY,SUITE 2900,SAN DIEGO,CA,UNITED STATES,92101,619-687-8000,619-687-8138,,,,,,,Approved,1/30/2009,7/27/2010,Y,WWW.ALLIANZGIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,101-250,0,0 percent,Up to 10 percent,0 percent,11-25 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,"SEED ACCOUNTS, FOREIGN ENTITIES, MODEL DELIVERY",Y,N,N,Y,N,Y,N,,Y,"7,714,569,292.00","89,169,159.00","7,803,738,451.00",121,1,122,N,Y,Y,Y,N,N,N,N,N,Y,RESEARCH AND CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,N,N,N,Y,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N
LARO,104606,801-21442,NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC,NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC,600 WEST BROADWAY,SUITE 2900,SAN DIEGO,CA,UNITED STATES,92101,(619)687-8000,(619)687-8138,,,,,,,Approved,5/31/1984,7/27/2010,Y,WWW.NACM.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,FOREIGN ENTITIES,Y,N,N,Y,N,Y,N,,Y,"4,805,324,492.00",0,"4,805,324,492.00",24,0,24,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N
HQ,153986,801-71657,WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO,WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO,AV. PRES JUSCELINO KUBITSCHEK,1455-15 ANDAR,SAO PAULO,,BRAZIL,04543-011,-8434,-8653,,,,,,,Approved,7/27/2010,7/27/2010,Y,WWW.WESTERNASSET.COM.BR,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,BRAZIL,51-250,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"13,394,162,017.00",0,"13,394,162,017.00",116,0,116,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,Y,OFFERS FUNDS TO BRAZILIAN INSTITUTIONAL INVESTORS,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105251,801-10708,OPPENHEIMER CAPITAL LLC,OPPENHEIMER CAPITAL LLC,1345 AVE OF THE AMERICAS,,NEW YORK,NY,UNITED STATES,10105,(212) 739-3000,(212) 739-3966,680 NEWPORT CENTER DRIVE,SUITE 250,NEWPORT BEACH,CA,UNITED STATES,92660,Approved,3/20/1975,7/27/2010,Y,WWW.OPCAP.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,101-250,0,0 percent,Up to 10 percent,0 percent,11-25 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,MODEL DELIVERY AND SEED ACCOUNTS,Y,N,N,Y,N,Y,N,,Y,"2,369,997,314.00",0,"2,369,997,314.00",5,0,5,N,Y,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,Y,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N
NYRO,139415,801-66372,"FULTON STREET MANAGEMENT, LLC","FULTON STREET MANAGEMENT, LLC","88 PINE STREET, 5TH FLOOR",WALL STREET PLAZA,NEW YORK,NY,UNITED STATES,10005,212-584-8999,212-584-8998,,,,,,,Approved,4/6/2006,7/27/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"578,510.00",0,"578,510.00",1,0,1,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115644,801-60621,"CHARTWELL BENEFITS CONSULTING, LLC","CHARTWELL BENEFITS CONSULTING, LLC",,,,,,,952-474-6708,952-474-2598,,,,,,,Approved,10/4/2001,1/28/2010,Y,WWW.CHARTWELLBENEFITS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105005,801-15837,BARRINGTON CAPITAL MANAGEMENT INC,BARRINGTON CAPITAL MANAGEMENT INC,,,,,,,847-304-9160,847-304-9166,,,,,,,Approved,2/12/1981,7/27/2010,Y,WWW.BARRCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,10-Jun,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"63,700,500.00","332,700.00","64,033,200.00",292,1,293,Y,Y,N,N,N,N,N,N,Y,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
ARO,110375,801-55086,"JE WILSON ADVISORS, LLC","JE WILSON ADVISORS, LLC",2431 DEVINE STREET,,COLUMBIA,SC,UNITED STATES,29205,803-799-9203,803-254-4474,,,,,,,Approved,12/5/1997,1/28/2010,Y,WWW.JEWILSON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"95,201,825.00","929,787.00","96,131,612.00",272,10,282,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,153840,801-71568,SAIL ADVISORS LIMITED,SAIL ADVISORS LIMITED,"57TH FLOOR, CHEUNG KONG CENTER, 2 QUEEN'S ROAD CTR",,HONG KONG,,CHINA,,-2884,-3530,,,,,,,Approved,6/21/2010,7/27/2010,Y,WWW.SAILFUNDS.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,029,037,850.00",0,"2,029,037,850.00",11,0,11,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER TO PRIVATE POOLED INVESTMENT VEHICLES.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,117178,801-66270,"LAWING FINANCIAL ASSOCIATES, INC.","LAWING FINANCIAL ASSOCIATES, INC.",11020 KING STREET,4TH FLOOR,OVERLAND PARK,KS,UNITED STATES,66210,913-491-6226,913-491-3214,,,,,,,Approved,3/9/2006,7/27/2010,Y,WWW.LAWINGFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,"1,000",51-75 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"531,058,573.00",0,"531,058,573.00",655,0,655,Y,Y,N,Y,Y,N,N,N,N,Y,"QUALIFIED RETIREMENT PLAN SERVICES, ESTATE PLANNING, BUSINESS PLANNING,CONSULTING SERVICES",10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112487,801-38997,ORRELL CAPITAL MANAGEMENT,"ORRELL CAPITAL MANAGMENT, INC.",1536 HOLMES STREET,,LIVERMORE,CA,UNITED STATES,94550,925-455-0802,925-455-4340,,,,,,,Approved,6/27/1991,7/27/2010,Y,WWW.OCMGOLDFUND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"181,540,394.00",0,"181,540,394.00",4,0,4,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108047,801-57627,WEYBOSSET RESEARCH & MANAGEMENT LLC,WEYBOSSET RESEARCH & MANAGEMENT LLC,72 SOUTH MAIN STREET,,PROVIDENCE,RI,UNITED STATES,2903,401-421-7171,401-421-7117,,,,,,,Approved,5/26/2000,1/28/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,RI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"130,216,458.00","9,843,803.00","140,060,261.00",393,1,394,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153155,801-71281,"BRICK HOUSE ASSET MANAGEMENT, LLC","BRICK HOUSE ASSET MANAGEMENT, LLC",,,,,,,585-271-2426,585-271-5434,,,,,,,Approved,4/1/2010,7/27/2010,Y,WWW.BH-AM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SOLICITOR/REFERRAL FEES; SEMINAR FEES,Y,"31,000,000.00",0,"31,000,000.00",3,0,3,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,141943,801-67467,"ADVOCACY WEALTH MANAGEMENT SERVICES, LLC","ADVOCACY WEALTH MANAGEMENT SERVICES, LLC",3155 ROSWELL ROAD,SUITE 320,ATLANTA,GA,USA,30305,404-961-1051,404-961-1054,,,,,,,Approved,1/17/2007,1/28/2010,Y,WWW.ADVOCACYWEALTHMANAGEMENT.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"8,143,232.00",0,"8,143,232.00",17,0,17,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,123322,801-68130,MIGHTY OAK STRONG AMERICA INVESTMENT COMPANY,MIGHTY OAK STRONG AMERICA INVESTMENT COMPANY,940 CENTURY DRIVE,SUITE B,MECHANICSBURG,PA,UNITED STATES,17055-4376,717-790-9001,717-790-9031,,,,,,,Approved,7/5/2007,1/28/2010,Y,INVESTWITHMOSAIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,177,348.00","1,751,686.00","35,929,034.00",175,5,180,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,152923,801-71067,"WIND RIVER ADVISERS, LLC","WIND RIVER ADVISERS, LLC",1603 CAPITAL AVENUE,SUITE 411,CHEYENNE,WY,UNITED STATES,82001,561 305 3477,,1603 CAPITAL AVENUE,SUITE 411,CHEYENNE,WY,UNITED STATES,82001,Approved,2/12/2010,1/28/2010,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,133488,801-63696,BOWLING PORTFOLIO MANAGEMENT LLC,BOWLING PORTFOLIO MANAGEMENT LLC,4030 SMITH ROAD,SUITE 140,CINCINNATI,OH,UNITED STATES,45209,513-871-7776,513-871-7791,,,,,,,Approved,11/23/2004,1/28/2010,Y,WWW.BOWLPORT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,10-Jun,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"402,671,965.00",0,"402,671,965.00","1,005",0,"1,005",N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,146587,801-68903,"CARLSBAD WEALTH ADVISORY GROUP, INC.","CARLSBAD WEALTH ADVISORY GROUP, INC.","5927 BALFOUR CT, SUITE 207",,CARLSBAD,CA,UNITED STATES,92008,760-607-0812,760-607-0645,,,,,,,Approved,3/4/2008,1/28/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"72,905,185.00",0,"72,905,185.00",688,0,688,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104674,801-21902,RESOURCES MANAGEMENT CORP,RESOURCES MANAGEMENT CORP,CORPORATE CENTER WEST,433 SOUTH MAIN STREET,WEST HARTFORD,CT,UNITED STATES,6110,860-561-1245,860-561-1310,,,,,,,Approved,8/24/1984,7/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"242,000,000.00","186,000,000.00","428,000,000.00",436,136,572,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111085,801-38408,INTERNATIONAL STRATEGY & INVESTMENT INC,INTERNATIONAL STRATEGY & INVESTMENT INC,40 WEST 57TH STREET,18TH FLOOR,NEW YORK,NY,UNITED STATES,10019-4001,212-446-5600,212-486-6475,,,,,,,Approved,3/8/1991,7/27/2010,Y,WWW.ISIGRP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,Y,N,,Y,"909,917,118.00","7,016,950.00","916,934,068.00",262,20,282,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,Y,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115321,801-62766,"LUNDQUIST, SCHILTZ AND ASSOCIATES, INC.","LUNDQUIST, SCHILTZ AND ASSOCIATES, INC.",2600 GRAND AVENUE,SUITE 216,DES MOINES,IA,UNITED STATES,50312,515-284-1011,888-300-5169,,,,,,,Approved,2/6/2004,1/28/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,"51,472,942.00","51,472,942.00",0,15,15,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,133149,801-65681,RFFM,"RESOURCE FINANCIAL FUND MANAGEMENT, INC.","ONE CRESCENT DRIVE, SUITE 203",NAVY YARD CORPORATE CENTER,PHILADELPHIA,PA,U.S.A.,19112,215-546-5005,215-561-6246,,,,,,,Approved,1/27/2006,1/28/2010,Y,WWW.TRAPEZAFUNDING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,457,872,498.00",0,"4,457,872,498.00",20,0,20,N,N,N,N,N,N,N,N,N,Y,CO-PORTFOLIO MANAGEMENT FOR 13 COLLATERALIZED DEBT OBLIGATIONS AND ADMINISTRATION OF SEVEN LIMITED PARTNERSHIPS.,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,140820,801-67024,KENNEDY WEALTH MANAGEMENT GROUP LTD.,KENNEDY WEALTH MANAGEMENT GROUP LTD.,,,,,,,614-501-6318,614-501-6319,,,,,,,Approved,7/21/2006,8/13/2009,Y,ALICE_W_MOORE@KWMG.ORG,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,Y,Y,Y,N,N,,Y,0,"3,000,000.00","3,000,000.00",0,3,3,Y,Y,N,N,N,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,123608,801-71206,"SCF INVESTMENT ADVISORS, INC.","SCF INVESTMENT ADVISORS, INC.",155 E. SHAW AVENUE,#102,FRESNO,CA,UNITED STATES,93710,559-456-6108,559-456-6109,,,,,,,Approved,3/15/2010,7/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"52,881,527.00",0,"52,881,527.00",475,0,475,Y,N,N,N,Y,Y,Y,N,N,N,,251-500,,N,N,Y,Y,N,Y,Y,N,N,,N,Y,Y,Y,N,Y,N,N,N,N,Y,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,117567,801-71727,"NORTHEAST ASSET MANAGEMENT, INC.","NORTHEAST ASSET MANAGEMENT, INC.","OMNI BUILDING, 333 EARLE OVINGTON BOULEVARD",SUITE 706,MITCHEL FIELD,NY,USA,11553-3645,516-222-5300,516-222-5301,,,,,,,Approved,8/27/2010,7/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,Y,REFERRAL FEE,Y,"41,118,436.00","27,809,820.00","68,928,256.00",165,167,332,Y,Y,N,N,Y,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,146448,801-68856,"BISHOP & COMPANY INVESTMENT MANAGEMENT, LLC","BISHOP & COMPANY INVESTMENT MANAGEMENT, LLC","SUITE A-201, 3939 WEST RIDGE ROAD",,ERIE,PA,UNITED STATES,16506,814-314-0344,814-314-0340,,,,,,,Approved,2/12/2008,1/28/2010,Y,WWW.BISHOPINVESTMENTMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"86,945,056.00","2,502,287.00","89,447,343.00",274,2,276,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135782,801-71068,"OSPRAIE MANAGEMENT, LLC","OSPRAIE MANAGEMENT, LLC","320 PARK AVENUE, 27TH FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-602-5000,212-980-3796,,,,,,,Approved,2/2/2010,1/28/2010,Y,WWW.OSPRAIE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,819,000,000.00",0,"1,819,000,000.00",12,0,12,N,N,N,Y,N,N,N,N,N,Y,POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,5308,801-7655,"EQUITRUST INVESTMENT MANAGEMENT SERVICES, INC.","EQUITRUST INVESTMENT MANAGEMENT SERVICES, INC.",5400 UNIVERSITY AVE,,WEST DES MOINES,IA,UNITED STATES,50266-5997,515-225-5400,515-453-3379,,,,,,,Approved,8/11/1971,7/27/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,0,0,26-100,0,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"15,868,623,416.00",0,"15,868,623,416.00",23,0,23,Y,N,Y,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,144796,801-70199,"TRIAD WEALTH STEWARDSHIP, LLC","TRIAD WEALTH STEWARDSHIP, LLC",777 - 108TH AVE NE SUITE 1800,,BELLEVUE,WA,UNITED STATES,98004,425-455-6623,425-455-4075,,,,,,,Approved,5/18/2009,1/28/2010,Y,HTTP://WWW.TRIADWEALTHSTEWARDSHIP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"281,974,444.00",0,"281,974,444.00",541,0,541,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,146384,801-71349,"CAPE INVESTMENT ADVISORY, INC.","CAPE INVESTMENT ADVISORY, INC.",2005 PENNSYLVANIA AVE.,,MCDONOUGH,GA,UNITED STATES,30253,678-583-1120,678-583-1258,,,,,,,Approved,4/29/2010,7/27/2010,Y,WWW.CAPESECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,25-Nov,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"25,000,000.00","10,000,000.00","35,000,000.00",250,100,350,Y,Y,N,N,Y,Y,N,N,N,N,,0,,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,139119,801-66419,"VISION CAPITAL ADVISORS, LLC","VISION CAPITAL ADVISORS, LLC",20 W 55TH ST.,5TH FLOOR,NEW YORK,NY,USA,10019,212-849-8225,212-867-1416,,,,,,,Approved,3/20/2006,1/28/2010,Y,WWW.VISICAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"683,726,900.00",0,"683,726,900.00",9,0,9,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,142533,801-67344,"GREENWICH ADVISORS, LLC","GREENWICH ADVISORS, LLC",330 RAILROAD AVENUE,,GREENWICH,CT,USA,6830,203-531-7064,203-531-7065,,,,,,,Approved,12/14/2006,1/28/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"696,261.00",0,"696,261.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,118391,801-62233,"FRIED ASSET MANAGEMENT, INC.","FRIED ASSET MANAGEMENT, INC.",15415 SUNSET BLVD.,STE. 200 D,PACIFIC PALISADES,CA,UNITED STATES,90272,(310) 459-9196,310-459-9610,,,,,,,Approved,7/30/2003,7/27/2010,Y,WWW.FRIEDASSETMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"49,328,406.00",0,"49,328,406.00",272,0,272,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,128793,801-62460,"ASSET MANAGEMENT CONSULTING SERVICES, INC.","ASSET MANAGEMENT CONSULTING SERVICES, INC.",,,,,,,212-628-7800,646-829-0976,,,,,,,Approved,10/24/2003,1/28/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,REFERRAL ARRANGEMENTS,Y,"65,133,995.00",0,"65,133,995.00",5,0,5,N,N,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,116218,801-62425,"WITT MARES FINANCIAL VISION, LLC",WITT MARES FINANCIAL VISION LLC,4801 COURTHOUSE ST.,SUITE 200,WILLIAMSBURG,VA,USA,23188,757.229.7180,757.229.5452,,,,,,,Approved,10/21/2003,7/27/2010,Y,WWW.WITTMARES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"122,558,329.00","668,010.00","123,226,339.00",239,3,242,Y,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,126052,801-68642,EQIS CAPITAL MANAGEMENT,EQIS CAPITAL MANAGEMENT INC.,"1299 4TH ST., STE 506",,SAN RAFAEL,CA,UNITED STATES,94901,630-929-3012,630-206-0757,228 PARK AVE S #15750,,NEW YORK,NY,UNITED STATES,10003,Approved,1/8/2008,7/27/2010,Y,WWW.EQISCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,Nov-50,0,0,0,51-250,0,More than 500,"1,500",26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"91,857,043.00",0,"91,857,043.00","1,469",0,"1,469",N,Y,N,Y,N,Y,Y,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,111753,801-61425,"CORNERSTONE INVESTMENT PARTNERS, LLC","CORNERSTONE INVESTMENT PARTNERS, LLC","PHIPPS TOWER, 3438 PEACHTREE RD. N.E.",SUITE 900,ATLANTA,GA,UNITED STATES,30326,404-751-3900,404-751-3889,,,,,,,Approved,9/13/2002,7/27/2010,Y,WWW.CORNERSTONE-IP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,795,870,365.00","23,820,094.00","1,819,690,459.00",759,7,766,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,143593,801-67829,ATRIA INVESTMENTS LLC,ATRIA INVESTMENTS LLC,5935 CARNEGIE BLVD,SUITE 301,CHARLOTTE,NC,UNITED STATES,28209,704-716-3702,704-716-3710,,,,,,,Approved,4/24/2007,1/28/2010,Y,WWW.ATRIAINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"425,000,000.00",0,"425,000,000.00","1,500",0,"1,500",N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,125444,801-69176,"BARR FINANCIAL SERVICES, LLC","BARR FINANCIAL SERVICES, LLC",400 W. MORSE BOULEVARD,SUITE 220,WINTER PARK,FL,USA,32789,407-622-0018,407-478-5098,,,,,,,Approved,5/13/2008,1/21/2010,Y,WWW.BARRLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"41,451,320.00","41,451,320.00",0,333,333,Y,Y,N,Y,N,Y,N,N,N,Y,"INVESTMENT CONSULTATIONS/SEMINARS, DIVORCE PLANNING",251-500,,Y,Y,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,123286,801-61829,"ROBLE, BELKO AND COMPANY, INC.","ROBLE, BELKO AND COMPANY, INC.",2200 GEORGETOWNE DRIVE,SUITE 200,SEWICKLEY,PA,UNITED STATES,15143,(724) 935-4990,(724) 935-4999,,,,,,,Approved,3/31/2003,7/19/2010,Y,WWW.ROBLEBELKO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"248,597,721.00",0,"248,597,721.00",221,0,221,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,153635,801-71491,INSIGHT WEALTH PARTNERS,"INSIGHT WEALTH PARTNERS, LLC",3333 PREMIER DRIVE,SUITE 800,PLANO,TX,UNITED STATES,75023,972-543-4800,972-543-4801,,,,,,,120-Day Approval,6/4/2010,7/19/2010,Y,WWW.INSIGHTWP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"80,000,000.00",0,"80,000,000.00",550,0,550,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,125696,801-71454,"RELYEA ZUCKERBERG HANSON, LLC","RELYEA ZUCKERBERG HANSON, LLC",ONE LANDMARK SQUARE,11TH FLOOR,STAMFORD,CT,UNITED STATES,6901,203-355-0880,203-355-0881,,,,,,,Approved,5/17/2010,7/19/2010,Y,WWW.RZHONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"422,000,000.00",0,"422,000,000.00",595,0,595,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,122235,801-61393,"SENTINEL WEALTH MANAGEMENT, INC.","SENTINEL WEALTH MANAGEMENT, INC.",11710 PLAZA AMERICA DR.,SUITE 130,RESTON,VA,UNITED STATES,20190,703-787-5770,703-787-9702,,,,,,,Approved,8/16/2002,1/21/2010,Y,WWW.SENTINELWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"99,314,298.00",0,"99,314,298.00",72,0,72,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,37499,801-36800,"WESTBOURNE INVESTMENTS, INC.","WESTBOURNE INVESTMENTS, INC.","2101 WILSON BOULEVARD, S. 525",,ARLINGTON,VA,UNITED STATES,22201,703-294-6880,703-294-6850,,,,,,,Approved,6/6/1990,7/19/2010,Y,WESTBOURNEINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,ADMINISTRATIVE FEES,Y,"35,100,000.00","2,500,000.00","37,600,000.00",388,2,390,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,112467,801-68813,JORDAN FINANCIAL STRATEGIES,"JORDAN FINANCIAL STRATEGIES, LLC",,,,,,,303-444-1110,303-238-4655,,,,,,,Approved,2/19/2008,1/21/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"38,500,000.00","11,800,000.00","50,300,000.00",113,22,135,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,129234,801-68592,"AMHERST FINANCIAL SERVICES, INC.","AMHERST FINANCIAL SERVICES, INC.",81 E. WATER STREET,SUITE 2A,TOMS RIVER,NJ,UNITED STATES,8753,732-349-3377,732-349-3107,,,,,,,Approved,11/27/2007,1/21/2010,Y,AMHERSTFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,GUARDIAN ACCOUNT,Y,Y,N,Y,N,N,N,,Y,0,"35,720,897.00","35,720,897.00",0,261,261,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105283,801-48432,ALAN BILLER AND ASSOCIATES,"ALAN D BILLER & ASSOCIATES, INC.",535 MIDDLEFIELD RD.,SUITE 230,MENLO PARK,CA,UNITED STATES,94025,650-328-7283,650-323-4417,,,,,,,Approved,2/8/1995,7/19/2010,Y,WWW.ADBILLER.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"3,400,000.00",0,"3,400,000.00",3,0,3,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,106390,801-44165,PFM CAPITAL MANAGEMENT LLC,PFM CAPITAL MANAGEMENT LLC,PERIMETER RIDGE 750 HAMMOND DR,BUILDING ONE,SANDY SPRINGS,GA,UNITED STATES,30328,404-705-4593,404-705-4596,,,,,,,Approved,7/2/1993,7/19/2010,Y,WWW.PFMCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISORY FEES,Y,"113,989,426.00","11,101,214.00","125,090,640.00",442,9,451,Y,Y,N,Y,N,Y,N,N,N,Y,GENERAL CONSULTING SERVICES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,142567,801-67446,RCM ASIA PACIFIC LIMITED,RCM ASIA PACIFIC LIMITED,"21ST FLR., CHEUNG KONG CTR, 2 QUEEN'S ROAD CENTRAL",,HONG KONG,,CHINA,0,852-2238-8888,852-2877-2533,,,,,,,Approved,1/16/2007,7/19/2010,Y,HTTP://WWW.RCM.COM/,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,51-250,0,Nov-50,0,0,0,10-Jun,0,26-100,0,0 percent,0 percent,Up to 10 percent,26-50 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,FOREIGN GOVERNMENT ENTITIES,Y,N,N,N,N,Y,N,,Y,"10,724,135,000.00","511,783,000.00","11,235,918,000.00",87,9,96,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,116442,801-60657,"CCR WEALTH MANAGEMENT, LLC","CCR WEALTH MANAGEMENT, LLC",1400 COMPUTER DR,,WESTBOROUGH,MA,UNITED STATES,10581,508-475-3880,508-616-4431,,,,,,,Approved,10/31/2001,1/16/2009,Y,WWW.CCRWEB.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,51-250,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,0,"25,000,000.00","25,000,000.00",0,50,50,Y,Y,N,Y,N,N,N,N,N,Y,ESTATE PLANNING,51-100,,N,N,N,Y,N,N,Y,N,Y,"WEALTH MANAGEMENT CONSULTATION, ESTATE PLANNING",N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,127704,801-67234,PERSPECTIVE FINANCIAL SERVICES LLC,PERSPECTIVE FINANCIAL SERVICES LLC,1440 E. MISSOURI AVENUE,SUITE C250,PHOENIX,AZ,USA,85014,602-281-4357,602-626-8495,,,,,,,Approved,11/2/2006,7/20/2010,Y,WWW.MONEYAZ.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"82,576,978.00","1,364,074.00","83,941,052.00",659,13,672,Y,Y,N,N,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
FWRO,110430,801-36925,FRONTIER INVESTMENT MANAGEMENT CO,FRONTIER INVESTMENT MANAGEMENT CO.,8401 N. CENTRAL EXPWY,"STE 645, LB 31",DALLAS,TX,UNITED STATES,75225,972-934-2590,972-934-0002,,,,,,,Approved,7/6/1990,7/20/2010,Y,WWW.FRONTIERINVEST.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"515,000,000.00",0,"515,000,000.00","1,288",0,"1,288",Y,Y,Y,Y,N,Y,N,N,N,N,,10-Jan,,N,Y,N,Y,N,N,N,N,N,,N,,Y,Y,Y,N,N,N,Y,Y,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137454,801-65849,"PLATINUM GROVE ASSET MANAGEMENT, L.P.","PLATINUM GROVE ASSET MANAGEMENT, L.P.","RECKSON EXECUTIVE PARK, BUILDING FOUR",1100 KING STREET,RYE BROOK,NY,USA,10573,914-690-2100,914-690-2118,,,,,,,Approved,2/1/2006,1/21/2010,Y,WWW.PGAMLP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,REIMBURSEMENT FOR CERTAIN OPERATING AND ADMINISTRATIVE EXPENSES,Y,"412,000,000.00",0,"412,000,000.00",9,0,9,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
SFRO,115157,801-60894,"PACIFIC ASSET MANAGEMENT, LLC","PACIFIC ASSET MANAGEMENT, LLC",,,,,,,360-876-1938,360-876-0823,,,,,,,Approved,2/4/2002,1/21/2010,Y,WWW.PACIFICASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"111,835,498.00","604,537.00","112,440,035.00",726,16,742,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107057,801-23147,SUNFLOWER ASSET MANAGEMENT INC.,SUNFLOWER ASSET MANAGEMENT INC.,12351 W. 96TH TERRACE,SUITE 103,LENEXA,KS,UNITED STATES,66215,913-642-1017,913-642-2340,,,,,,,Approved,1/17/1985,7/20/2010,Y,WWW.SUNFLOWER-ASSET.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,KS,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"11,287,906.00","187,564.00","11,475,470.00",136,1,137,N,Y,N,N,N,N,Y,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N
SFRO,105939,801-33939,IMS CAPITAL MANAGEMENT,IMS CAPITAL MANAGEMENT,8995 S.E. OTTY ROAD,,PORTLAND,OR,UNITED STATES,97086,503-788-4200,503-788-4100,,,,,,,Approved,3/23/1989,7/20/2010,Y,WWW.IMSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"348,303,993.00","39,536,931.00","387,840,924.00","1,047",123,"1,170",N,Y,Y,Y,Y,N,Y,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
MIRO,145930,801-68668,AMERICAVEST FINANCIAL LLC,AMERICAVEST FINANCIAL LLC,350 E. LAS OLAS BOULEVARD,SUITE 960,FORT LAUDERDALE,FL,UNITED STATES,33301,954-226-5900,954-226-5948,,,,,,,Approved,1/3/2008,7/20/2010,Y,WWW.AMERICAVEST.NET,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"10,000,000.00",0,"10,000,000.00",2,0,2,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,135414,801-64294,MCDONALD PARTNERS LLC,MCDONALD PARTNERS LLC,959 W. ST. CLAIR AVENUE,SUITE 300,CLEVELAND,OH,UNITED STATES,44113,216-912-0567,216-912-1461,,,,,,,Approved,5/6/2005,7/20/2010,Y,WWW.TMPFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,500,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"223,405,915.00","606,773,330.00","830,179,245.00",600,"2,606","3,206",Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,Y,N,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,131535,801-67033,"CREDO CAPITAL MANAGEMENT, LLC","CREDO CAPITAL MANAGEMENT, LLC",225 E. REDWOOD STREET,2ND FLOOR,BALTIMORE,MD,UNITED STATES,21202,410-244-6200,410-244-6444,,,,,,,Approved,7/21/2006,7/20/2010,Y,WWW.CREDOCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,51-75 percent,MANAGER OF MANAGERS,Y,N,N,N,N,N,N,,Y,"475,037,000.00",0,"475,037,000.00",39,0,39,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108110,801-56848,ADVISORY GROUP OF SAN FRANCISCO LLC,ADVISORY GROUP OF SAN FRANCISCO LLC,44 MONTGOMERY ST. SUITE 2410,,SAN FRANCISCO,CA,UNITED STATES,94104,415-977-1200,415-977-1204,,,,,,,Approved,9/27/1999,7/20/2010,Y,WWW.ADVISORYGROUPSF.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,NEGOTIATED PROJECT  BASED FEE,Y,"195,365,583.00","301,175,374.00","496,540,957.00",244,87,331,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153815,801-71439,"BATTENKILL CAPITAL MANAGEMENT, INC.","BATTENKILL CAPITAL MANAGEMENT, INC.",5 INDEPENDENCE WAY,SUITE 300,PRINCETON,NJ,UNITED STATES,08540-6627,609-514-5128,609-514-5168,,,,,,,Approved,5/14/2010,7/20/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"17,000,000.00",0,"17,000,000.00",5,0,5,N,Y,Y,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,104980,801-9166,"JAMES F. MAINO, REGISTERED INVESTMENT COUNSELLOR, INC.",MAINO JAMES FREDERICK,6621 BAY LAUREL DRIVE,,AVILA BEACH,CA,UNITED STATES,93424,805-627-1600,805-627-1608,P.O. BOX 489,,AVILA BEACH,CA,UNITED STATES,93424,Approved,3/25/1973,1/21/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"84,190,490.00",0,"84,190,490.00",177,0,177,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111163,801-43547,DOCK STREET ASSET MANAGEMENT INC,DOCK STREET ASSET MANAGEMENT INC,263 GLENVILLE RD,,GREENWICH,CT,USA,6831,203-532-9470,203-531-0666,,,,,,,Approved,3/19/1993,1/21/2010,Y,WWW.DOCKSTREET.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"217,244,505.00","124,943,282.00","342,187,787.00",179,27,206,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,112493,801-56399,"ELLINGTON MANAGEMENT GROUP, L.L.C.","ELLINGTON MANAGEMENT GROUP, L.L.C.",53 FOREST AVENUE,SUITE 301,OLD GREENWICH,CT,USA,6870,203-698-1200,203-698-0869,,,,,,,Approved,4/1/1999,6/18/2010,Y,WWW.ELLINGTON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,414,249,867.00","218,879,732.00","2,633,129,599.00",29,1,30,N,N,N,N,N,N,N,N,N,Y,MANAGEMENT OF HEDGE FUNDS AND MANAGED ACCOUNTS,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
SFRO,114437,801-68960,SOUNDVIEW ADVISORS,"SOUNDVIEW ADVISORS, P.S.",1441 WEST BAY DRIVE STE.201,,OLYMPIA,WA,UNITED STATES,98502,360-867-9890,360-867-9848,,,,,,,Approved,3/24/2008,6/18/2010,Y,WWW.SOUNDVIEWADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"142,184,713.00","222,293.00","142,407,006.00",786,1,787,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110724,801-14929,KRANENBURG CAPITAL MANAGEMENT LLC,"KRANENBURG CAPITAL MANAGEMENT, LLC","100 SMITH RANCH ROAD, SUITE 108",,SAN RAFAEL,CA,UNITED STATES,94903,415-479-3863,415-479-3832,,,,,,,Approved,11/26/1979,6/18/2010,Y,WWW.KRANENBURGFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"26,000,000.00",0,"26,000,000.00",71,0,71,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,111688,801-58260,"BIVIN & ASSOCIATES, INC.","BIVIN & ASSOCIATES, INC.",412 S. 14TH,,PONCA CITY,OK,USA,74601,580-762-1121,580-718-0626,P.O. BOX 510,,PONCA CITY,OK,USA,74602-0510,Approved,1/8/2001,6/18/2010,Y,WWW.BIVINANDASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"43,020,307.00","7,087,847.00","50,108,154.00",261,9,270,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,136825,801-64647,KLINE CAPITAL MANAGEMENT LLC,KLINE CAPITAL MANAGEMENT LLC,"5501 W. 79TH STREET, SUITE 305",,BURBANK,IL,UNITED STATES,60459,312-263-6100,312-284-8884,,,,,,,Approved,9/1/2005,6/18/2010,Y,WWW.KLINECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"45,250,000.00",0,"45,250,000.00",38,0,38,Y,Y,N,Y,Y,Y,Y,N,N,N,,10-Jan,,N,N,N,Y,N,Y,Y,N,N,,Y,Y,Y,N,N,Y,N,N,N,N,N,N,Y,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,122836,801-61701,LAZARD ASSET MANAGEMENT LLC,LAZARD ASSET MANAGEMENT LLC,30 ROCKEFELLER PLAZA,59TH FLOOR,NEW YORK,NY,UNITED STATES,10112,212-632-6000,212-332-1703,,,,,,,Approved,12/31/2002,6/18/2010,Y,WWW.LAZARDNET.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,251-500,0,51-250,0,51-250,0,5-Jan,0,More than 500,"24,000",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"88,480,539,347.00","2,190,332,646.00","90,670,871,993.00","24,212",30,"24,242",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
LARO,147297,801-69332,"GRADNEY & VISTICA FINANCIAL MANAGEMENT, LLC","GRADNEY & VISTICA FINANCIAL MANAGEMENT, LLC",2710 LOKER AVENUE WEST,SUITE 370,CARLSBAD,CA,UNITED STATES,92010,866-981-1500,866-810-4866,,,,,,,Approved,7/9/2008,1/16/2009,Y,WWW.GRADNEYVISTICA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"9,783,031.00","15,398,839.00","25,181,870.00",87,120,207,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,125763,801-67939,"THE MUSTICO FINANCIAL GROUP, INC.","THE MUSTICO FINANCIAL GROUP, INC.",304 WILLIAM STREET,,ELMIRA,NY,USA,14901,607-733-7935,607-271-9736,,,,,,,Approved,5/29/2007,1/21/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"83,009,000.00",0,"83,009,000.00",700,0,700,Y,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MONITORING AND CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,152395,801-70937,"PRIVATE WEALTH NORTHWEST, LLC","PRIVATE WEALTH NORTHWEST, LLC","REGUS WORLD TRADE CENTER, 121 SW SALMON STREET",SUITE 1100,PORTLAND,OR,UNITED STATES,97204,(503) 621-9207,(888) 839-8031,818 SW 3RD AVE.,#228,PORTLAND,OR,UNITED STATES,97204,Approved,1/4/2010,6/18/2010,Y,WWW.PRIVATEWEALTHNW.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"54,577,210.00","18,246,419.00","72,823,629.00",150,88,238,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,151206,801-70499,"MARSH ASSET MANAGEMENT, LLC","MARSH ASSET MANAGEMENT, LLC",,,,,,,727-540-0600,727-540-0611,,,,,,,120-Day Approval,8/20/2009,6/18/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,THIRD PARTY ADVISORY FEES,Y,"6,250,000.00",0,"6,250,000.00",30,0,30,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146557,801-69147,IIFL INC.,IIFL INC.,1114 AVENUE OF THE AMERICAS,34TH FLOOR,NEW YORK,NY,UNITED STATES,10036,212 221 6800,212 221 6818,,,,,,,Approved,5/5/2008,6/18/2010,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"180,708,096.00","180,708,096.00",0,6,6,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,148887,801-69768,MATHEYS LANE CAPITAL MANAGEMENT L.P.,MATHEYS LANE CAPITAL MANAGEMENT L.P.,ONE WEST EXCHANGE STREET,FOURTH FLOOR,PROVIDENCE,RI,UNITED STATES,2903,401-262-4600,401-421-1177,,,,,,,Approved,12/1/2008,6/18/2010,Y,WWW.MATHEYSLANE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"366,714,900.00","208,585,700.00","575,300,600.00",196,24,220,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,144963,801-71432,THE MUTUAL FUND STORE,"TMFS-HARRISBURG, LLC",2308 PATTON ROAD,SUITE G,HARRISBURG,PA,UNITED STATES,17112,717-540-7992,717-540-7994,,,,,,,Approved,6/17/2010,6/18/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"28,741,578.00",0,"28,741,578.00",373,0,373,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,30184,801-67704,"INVESTMENT PROFESSIONALS, INC.","INVESTMENT PROFESSIONALS, INC.",16414 SAN PEDRO AVENUE,SUITE 150,SAN ANTONIO,TX,UNITED STATES,78232,210-308-8800,866-410-4361,,,,,,,Approved,4/3/2007,6/18/2010,Y,WWW.INVPRO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,51-250,0,51-250,0,51-250,0,51-250,0,More than 500,"1,500",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"180,000,000.00","180,000,000.00",0,"1,647","1,647",Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,Y,N,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
LARO,143344,801-67634,HUBER CAPITAL MANAGEMENT LLC,HUBER CAPITAL MANAGEMENT LLC,"10940 WILSHIRE BLVD., SUITE 925",,LOS ANGELES,CA,UNITED STATES,90024-3915,310-207-8400,310-208-0809,,,,,,,Approved,3/7/2007,1/21/2010,Y,WWW.HUBERCAP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"49,526,954.00",0,"49,526,954.00",3,0,3,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,131183,801-71522,"SKYLANDS CAPITAL, LLC","SKYLANDS CAPITAL, LLC",1200 NORTH MAYFAIR ROAD,SUITE 250,MILWAUKEE,WI,USA,53226,414-256-3380,414-256-3396,,,,,,,Approved,6/4/2010,6/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"616,651,697.00",0,"616,651,697.00",14,0,14,N,Y,N,Y,N,N,N,N,N,Y,ADVISER TO HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108014,801-57752,"NAKOMA CAPITAL MANAGEMENT, LLC","NAKOMA CAPITAL MANAGEMENT, LLC",8040 EXCELSIOR DRIVE,SUITE 401,MADISON,WI,USA,53717,608-831-8814,414-755-1800,,,,,,,Approved,7/13/2000,6/18/2010,Y,WWW.NAKOMACAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"220,555,705.00",0,"220,555,705.00",5,0,5,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,115350,801-63944,GARNER ASSET MANAGEMENT CORPORATION,GARNER ASSET MANAGEMENT CORPORATION,5700 GRANITE PARKWAY,SUITE 200,PLANO,TX,UNITED STATES,75024,214-387-6095,214-387-6096,,,,,,,Approved,2/14/2005,1/21/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"52,500,000.00",0,"52,500,000.00",240,0,240,N,Y,N,N,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107339,801-41524,"FOURTH STREET PERFORMANCE PARTNERS, INC.","FOURTH STREET PERFORMANCE PARTNERS, INC.",211 GARRARD STREET,,COVINGTON,KY,UNITED STATES,41011,859-491-5556,859-491-5586,,,,,,,Approved,6/17/1992,1/21/2010,Y,WWW.FOURTHST.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,101-250,0,11-25 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"2,330,771.00","6,997,669,229.00","7,000,000,000.00",1,147,148,N,N,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,140103,801-66642,"EMPIRICAL WEALTH MANAGEMENT, LLC","EMPIRICAL WEALTH MANAGEMENT, LLC",9755 SW BARNES ROAD,SUITE 210,PORTLAND,OR,USA,97225,503-808-9005,503-808-9006,,,,,,,Approved,5/30/2006,6/18/2010,Y,WWW.EMPIRICALWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"291,401,395.00","1,357,600.00","292,758,995.00",505,10,515,Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111765,801-39138,"PUGH CAPITAL MANAGEMENT, INC.","PUGH CAPITAL MANAGEMENT, INC.",1414 31ST AVE. SOUTH,SUITE 302,SEATTLE,WA,USA,98144,206-322-4985,206-322-3025,,,,,,,Approved,6/27/1991,1/21/2010,Y,HTTP://WWW.PUGHCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,11-25 percent,11-25 percent,0 percent,Up to 10 percent,PUBLIC TRUST FUND,Y,N,N,Y,N,N,N,,Y,"1,416,299,957.00","5,271,272.00","1,421,571,229.00",27,4,31,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,109656,801-60066,"FINANCIAL SERVICES NETWORK, INC","FINANCIAL SERVICES NETWORK, INC",766 HUDSON AVENUE,SUITE D,SARASOTA,FL,UNITED STATES,34236,941-366-0110,941-366-4733,,,,,,,Approved,3/2/2001,1/21/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"130,556,891.00","20,096,977.00","150,653,868.00",71,33,104,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,38747,801-36988,GREENBERG FINANCIAL GROUP,GREENBERG FINANCIAL GROUP,4511 N CAMPBELL AVE #255,,TUCSON,AZ,UNITED STATES,85718,520-544-4909,520-544-0640,,,,,,,Approved,8/27/1990,6/18/2010,Y,WWW.GREENBERGFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"155,593,713.00","1,863,285.00","157,456,998.00",938,11,949,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO REVIEWS,,,N,N,Y,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
SFRO,154223,801-71610,"LFS ASSET MANAGEMENT, LLC","LFS ASSET MANAGEMENT, LLC","181 SECOND AVENUE, SUITE 600",,SAN MATEO,CA,UNITED STATES,94401,650-344-1700,650-558-9656,,,,,,,120-Day Approval,6/24/2010,6/18/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,877,801-6358,WEDBUSH SECURITIES INC.,WEDBUSH SECURITIES INC.,ATTN: BUSINESS CONDUCT,1000 WILSHIRE BLVD. SUITE 900,LOS ANGELES,CA,UNITED STATES,90017,213-688-8000,213-688-6653,,,,,,,Approved,2/27/1970,6/18/2010,Y,WWW.WEDBUSH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,501-1000,0,51-250,0,501-1000,0,0,0,More than 500,"2,500",11-25 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,"381,077,047.00","202,282,985.00","583,360,032.00","1,733",739,"2,472",Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,Y,N,Y,N,N,N,N,N,N,,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,N,N,Y,Y,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N
LARO,140451,801-66674,"RVW INVESTING, LLC","RVW INVESTING, LLC",1880 CENTURY PARK EAST,STE. 200,LOS ANGELES,CA,UNITED STATES,90067,310-945-4000,310-289-8186,,,,,,,Approved,7/21/2006,1/21/2010,Y,WWW.RVWINVESTING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"56,440,000.00",0,"56,440,000.00",211,0,211,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
SFRO,148465,801-69652,MARTIN THOMAS WEALTH MANAGEMENT,"MARTIN THOMAS WEALTH MANAGEMENT, LLC",2221 EL CAMINO REAL,,PALO ALTO,CA,UNITED STATES,94306,650-617-8808,650-617-8804,,,,,,,Approved,10/21/2008,1/21/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"106,086,007.00","2,853,725.00","108,939,732.00",435,17,452,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,151588,801-70613,"BPV WEALTH MANAGEMENT, LLC","BPV WEALTH MANAGEMENT, LLC",9202 SOUTH NORTHSHORE DRIVE,SUITE 300,KNOXVILLE,TN,UNITED STATES,37922,865-243-8000,865-243-8019,,,,,,,Approved,9/17/2009,6/21/2010,Y,WWW.BPVWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"26,017,802.00",0,"26,017,802.00",39,0,39,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,145508,801-68506,HANCOCK CAPITAL INVESTMENT MANAGEMENT LLC,HANCOCK CAPITAL INVESTMENT MANAGEMENT LLC,197 CLARENDON STREET,BCF-C02-03,BOSTON,MA,UNITED STATES,2116,617-572-4612,617-572-5493,,,,,,,Approved,12/4/2007,6/21/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,NON-POOLED INVESTMENT VEHICLES,Y,N,N,N,N,Y,N,,Y,"1,892,312,798.00",0,"1,892,312,798.00",12,0,12,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y
FWRO,107559,801-41058,YACKTMAN ASSET MANAGEMENT CO,YACKTMAN ASSET MANAGEMENT CO,6300 BRIDGEPOINT PARKWAY,"BUILDING ONE, SUITE 320",AUSTIN,TX,UNITED STATES,78730-5073,512-767-6700,512-767-6729,,,,,,,Approved,4/8/1992,6/21/2010,Y,WWW.YACKTMAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,664,680,163.00","7,526,420.00","2,672,206,583.00",133,10,143,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,130958,801-62972,LANSDOWNE PARTNERS LIMITED PARTNERSHIP,LANSDOWNE PARTNERS LIMITED PARTNERSHIP,15 DAVIES STREET,,LONDON,,UNITED KINGDOM,W1K 3AG,44-20-7290-5500,44-20-7409-1122,,,,,,,Approved,4/24/2004,6/21/2010,Y,WWW.LANSDOWNEPARTNERS.COM,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),A LIMITED PARTNERSHIP,,UNITED KINGDOM,51-250,0,Nov-50,0,0,0,10-Jun,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"14,692,987,000.00",0,"14,692,987,000.00",14,0,14,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR OTHER POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153939,801-71480,ATRATO ADVISORS LLC,ATRATO ADVISORS LLC,20 WEST 55TH STREET,6TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-582-2200,212-584-8942,,,,,,,Approved,5/27/2010,6/21/2010,Y,WWW.ATRATOADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,26-50 percent,REGISTERED INVESTMENT ADVISORS,Y,N,N,Y,N,N,N,,Y,0,"200,000,000.00","200,000,000.00",0,7,7,N,Y,N,Y,N,Y,N,N,N,Y,PORFOLIO MANAGEMENT FOR PRIVATE INVESTMENT PARTNERSHIPS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153099,801-71611,"KABOUTER MANAGEMENT, LLC","KABOUTER MANAGEMENT, LLC",1 E. WACKER DRIVE,SUITE 2505,CHICAGO,IL,UNITED STATES,60601,312-546-4260,312-580-0003,,,,,,,Approved,7/2/2010,6/21/2010,Y,WWW.KABOUTERMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"175,972,906.00",0,"175,972,906.00",3,0,3,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119812,801-63582,"BUCKEYE ADVISORS, LLC.","BUCKEYE ADVISORS,LLC",105 SHEFFIELD CENTER,SUITE 201,LORAIN,OH,UNITED STATES,44055,440-233-7007,440-233-7001,,,,,,,Approved,10/18/2004,1/15/2010,Y,WWW.BUCKEYEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"26,807,000.00","279,635.00","27,086,635.00",264,1,265,Y,Y,N,Y,Y,N,N,N,N,Y,TAX AND ESTATE PLANNING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,146796,801-69091,"AGH WEALTH ADVISORS, LLC","AGH WEALTH ADVISORS, LLC",301 N. MAIN STREET,SUITE 1700,WICHITA,KS,UNITED STATES,67202,316-267-3220,316-291-4115,,,,,,,Approved,4/18/2008,1/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"34,337,516.00","34,337,516.00",0,111,111,N,Y,Y,Y,Y,N,N,N,N,Y,HOURLY CONSULTING SERVICES,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,112222,801-23959,GALOVICH FINANCIAL PLANNING SERVICES INC,GALOVICH FINANCIAL PLANNING SERVICES INC,736 W INGOMAR RD STE 207,,INGOMAR,PA,UNITED STATES,15127,412-367-1650,412-367-7783,,,,,,,Approved,9/30/1985,1/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"33,000,000.00",0,"33,000,000.00",275,0,275,Y,Y,N,N,N,N,N,N,Y,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105709,801-14008,PROFESSIONAL INVESTMENT MANAGEMENT INC,PROFESSIONAL INVESTMENT MANAGEMENT INC,2000 W HENDERSON RD,SUITE 150,COLUMBUS,OH,UNITED STATES,43220-2466,614-777-2100,614-777-2121,,,,,,,Approved,7/27/1978,4/7/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,PERCENTAGE OF ASSETS FOR PENSION CONSULTING SERVICES.,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,Y,NON-CONTINUOUS CONSULTING W/INDIVIDUALS CONCERNING MGMT OF THEIR ASSETS,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105960,801-18140,"MEMBERS CAPITAL ADVISORS, INC.","MEMBERS CAPITAL ADVISORS, INC.",5910 MINERAL POINT RD,,MADISON,WI,UNITED STATES,53705,319-483-3241,319-483-2267,,,,,,,Approved,1/4/1983,4/7/2010,Y,WWW.MEMBERSCAPITALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,FEE FOR AFFILIATES PER INTERNAL COST ALLOCATION,Y,"8,781,554,000.00","514,860,000.00","9,296,414,000.00",19,10,29,N,N,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,117980,801-60779,"THE CAPITAL CHART ROOM, LTD","THE CAPITAL CHART ROOM, LTD",2015 EAST LAMAR BOULEVARD,SUITE 100,ARLINGTON,TX,UNITED STATES,76006-7350,817-801-6455,817-801-6513,,,,,,,Approved,12/14/2001,4/7/2010,Y,WWW.THECAPITALCHARTROOM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"71,827,023.00","9,117,164.00","80,944,187.00",111,60,171,Y,Y,N,N,N,Y,N,N,N,Y,CONSULTING,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,137388,801-66569,"BRANDYWINE MANAGERS, LLC","BRANDYWINE MANAGERS, LLC",7234 LANCASTER PIKE,,HOCKESSIN,DE,UNITED STATES,19707,302-234-5750,302-234-5754,,,,,,,Approved,5/15/2006,4/7/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,"3,774,577,592.00",0,"3,774,577,592.00",38,0,38,N,N,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106760,801-42489,DANISON & ASSOCIATES INC,DANISON & ASSOCIATES INC,2150 TREMONT CENTER,,COLUMBUS,OH,UNITED STATES,43221,614-487-6040,614-487-6043,,,,,,,Approved,10/16/1992,4/7/2010,N,,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"2,487,458.00","264,701,416.00","267,188,874.00",3,90,93,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147332,801-69233,"PROACTIVE ADVISORS, LLC","PROACTIVE ADVISORS, LLC",131 PROSPEROUS PLACE,STE. 17A,LEXINGTON,KY,UNITED STATES,40509-1853,859-263-1117 X632,859-263-1312,,,,,,,Approved,6/19/2008,4/7/2010,Y,WWW.PROACTIVEMONEYMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,"CREDIT UNIONS, ASSOCIATIONS",Y,Y,N,Y,N,N,Y,SUBSCRIPTIONS FOR ASSET ALLOCATION SERVICES,Y,"27,899,540.00","6,689,900.00","34,589,440.00",59,5,64,Y,Y,N,Y,Y,Y,N,N,N,Y,ASSET ALLOCATION SERVICES,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N
LARO,146056,801-68709,SCOT MCCORMICK LLC,SCOT MCCORMICK LLC,,,,,,,702-804-5844,702-804-5844,2800 BREAKERS CREEK DR,,LAS VEGAS,NV,UNITED STATES,89134,Approved,1/17/2008,1/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"150,413,475.00",0,"150,413,475.00",11,0,11,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122266,801-61372,"WINDSOR ADVISORY GROUP, LLC","WINDSOR ADVISORY GROUP, LLC",21 W. BROAD STREET,3RD FLOOR,COLUMBUS,OH,UNITED STATES,43215-4100,614-545-0300,614-545-0272,,,,,,,Approved,8/8/2002,4/7/2010,Y,WWW.WAG-LLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"261,652,160.00","109,976,526.00","371,628,686.00",244,29,273,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,143719,801-67788,"CONVERGENT WEALTH ADVISORS, LLC","CONVERGENT WEALTH ADVISORS, LLC",2600 TOWER OAKS BLVD,SUITE 300,ROCKVILLE,MD,USA,20852,301-770-6300,301-770-1408,,,,,,,Approved,4/25/2007,4/7/2010,Y,WWW.CONVERGENTWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,5-Jan,0,More than 500,500,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"4,361,576,232.00","5,875,588,125.00","10,237,164,357.00","3,829","2,028","5,857",Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109817,801-31661,SOUTHEASTERN ADVISORY SERVICES INC,SOUTHEASTERN ADVISORY SERVICES INC,12 PIEDMONT CENTER,SUITE 202,ATLANTA,GA,USA,30305,404-237-3156,404-237-2650,,,,,,,Approved,3/17/1988,1/15/2010,Y,HTTP://WWW.SEADVISORY.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,N,Y,N,Y,N,Y,Y,PERCENTAGE OF ASSETS UNDER OTHER COMPANIES MANAGEMENT,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,133329,801-63649,"MARYLAND CAPITAL MANAGEMENT, LLC","MARYLAND CAPITAL MANAGEMENT, LLC",800 NORTH CHARLES STREET,SUITE 300,BALTIMORE,MD,UNITED STATES,21201,410-547-2666,410-547-2670,,,,,,,Approved,11/1/2004,4/7/2010,Y,WWW.MDCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"387,852,734.00","32,356,079.00","420,208,813.00",798,35,833,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109232,801-56625,FERGUSON ASSET MANAGEMENT INC,FERGUSON ASSET MANAGEMENT INC,,,,,,,301-670-0994,301-670-0996,,,,,,,Approved,6/23/1999,4/7/2010,Y,MYMONEYMANAGER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"96,273,000.00",0,"96,273,000.00",129,0,129,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,147804,801-70016,"FIDUCIARY CONSULTING GROUP, LLC","FIDUCIARY CONSULTING GROUP, LLC",77 PEARL STREET,,MANCHESTER,NH,UNITED STATES,3101,603-647-5600,603-647-6040,,,,,,,Approved,4/22/2009,4/7/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"38,702,898.00","35,291,317.00","73,994,215.00",36,26,62,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,122331,801-63628,BOND & CO.,"BOND AND COMPANY, INC.",,,,,,,781.449.8100,781-915-0693,P. O. BOX 920139,,NEEDHAM,MA,UNITED STATES,2492,Approved,11/15/2004,4/7/2010,Y,WWW.BONDANDCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,RETAINER,Y,"41,807,216.00","3,835,285.00","45,642,501.00",174,45,219,Y,Y,N,Y,N,N,N,N,N,Y,CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,142171,801-68416,THE FLORIDAN GROUP,PETER FISHER CROWELL,3848 KILLEARN COURT,,TALLAHASSEE,FL,USA,32309,850-224-5513,850-224-7924,P.O. BOX 13329,,TALLAHASSEE,FL,USA,32317-3329,Approved,10/15/2007,4/7/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"42,000,000.00",0,"42,000,000.00",249,0,249,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,133936,801-63968,"WEISER CAPITAL MANAGEMENT, LLC","WEISER CAPITAL MANAGEMENT, LLC",135 WEST 50TH STREET,,NEW YORK,NY,UNITED STATES,10020,212-375-6506,212-375-6912,,,,,,,Approved,3/3/2005,4/7/2010,Y,WWW.WEISERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,Nov-50,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"120,000,000.00",0,"120,000,000.00",290,0,290,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,151070,801-70620,"M.C. BYRD WEALTH MANAGEMENT, LLC","M.C. BYRD WEALTH MANAGEMENT, LLC",633 W. MAIN,SUITE B,BELLVILLE,TX,UNITED STATES,77418,979-865-0660,979-865-0688,,,,,,,Approved,9/30/2009,4/7/2010,Y,WWW.MCBYRDWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"62,212,111.00","639,000.00","62,851,111.00",260,2,262,Y,Y,N,N,Y,N,N,N,N,N,,0,,Y,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105945,801-49159,DEWITT CAPITAL MANAGEMENT LLC,DEWITT CAPITAL MANAGEMENT LLC,1853 POST ROAD EAST,,WESTPORT,CT,USA,6880,203-254-0559,203-254-1685,,,,,,,Approved,5/9/1995,1/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"29,500,000.00",0,"29,500,000.00",46,0,46,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108987,801-56484,"PHOENIX VARIABLE ADVISORS, INC.","PHOENIX VARIABLE ADVISORS, INC.",ONE AMERICAN ROW,,HARTFORD,CT,UNITED STATES,06102-5056,860-403-5456,860-403-5132,,,,,,,Approved,4/28/1999,4/7/2010,Y,WWW.PHOENIXWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,885,384,000.00",0,"1,885,384,000.00",18,0,18,N,N,Y,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N
LARO,139018,801-65848,"SAYBROOK ADVISORS, LLC","SAYBROOK ADVISORS, LLC",401 WILSHIRE BLVD,SUITE 850,SANTA MONICA,CA,UNITED STATES,90401,310-899-9200,310-899-9101,,,,,,,Approved,2/1/2006,4/7/2010,Y,WWW.SAYBROOK.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"320,124,086.00",0,"320,124,086.00",16,0,16,N,N,N,N,N,N,N,N,N,Y,PRIVATE EQUITY FUNDS AND SEPARATELY MANAGED ACCOUNTS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y
MIRO,147922,801-69457,"SWISS ASSET ADVISORS, LLC","SWISS ASSET ADVISORS, LLC",,,,,,,305-381-9900,305-381-9400,,,,,,,Approved,8/14/2008,4/7/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,134562,801-68386,RED ROCK WEALTH MANAGEMENT LLC,RED ROCK WEALTH MANAGEMENT LLC,6817 S. EASTERN AVE.,STE. 101,LAS VEGAS,NV,UNITED STATES,89119,702-987-1607,866-850-0922,,,,,,,Approved,9/26/2007,1/15/2010,Y,WWW.REDROCKWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"38,000,000.00",0,"38,000,000.00",128,0,128,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,Y,HOME LOAN RATE QUOTE SERVICE ONLINE,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,147814,801-69431,"PRAETORIAN GUARD, A DIVISION OF PRAETORIAN WEALTH MANAGEMENT,INC","PRAETORIAN WEALTH MANAGEMENT, INC.",3775 VIA NONA MARIE SUITE 220,,CARMEL,CA,UNITED STATES,93923,831-622-9600,831-622-9002,,,,,,,Approved,8/7/2008,1/15/2010,Y,WWW.PRAETORIANGUARD.BIZ,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"45,044,722.00","355,950.00","45,400,672.00",202,3,205,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106657,801-53959,"CAPRIN ASSET MANAGEMENT, LLC",CAPRIN ASSET MANAGEMENT LLC,7100 FOREST AVE. SUITE 303,,RICHMOND,VA,UNITED STATES,23226,804-648-3333,804-648-6651,,,,,,,Approved,2/28/1997,1/15/2010,Y,CAPRINBONDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,Nov-50,0,More than 500,500,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,RECEIVERSHIP,Y,Y,N,Y,N,N,N,,Y,"901,800,000.00",0,"901,800,000.00",521,0,521,Y,Y,N,Y,N,N,N,N,N,N,,More than 500,500,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,113717,801-64121,"ASSET SOLUTIONS, INC.","ASSET SOLUTIONS, INC.",8441 WEST BOWLES AVENUE,SUITE 225,LITTLETON,CO,UNITED STATES,80123,303-932-2288,303-932-8588,,,,,,,Approved,8/21/2006,1/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"44,940,694.00",0,"44,940,694.00",597,0,597,Y,N,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,145452,801-68479,"AMERISRAEL CAPITAL MANAGEMENT, LLC","AMERISRAEL CAPITAL MANAGEMENT, LLC",,,,,,,212-327-1345,,,,,,,,Approved,10/26/2007,1/27/2010,Y,WWW.SHAREDVALUESFUND.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"920,192.00",0,"920,192.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,14023,801-19690,"SYNOVUS SECURITIES, INC.","SYNOVUS SECURITIES, INC.",1137 FIRST AVENUE - 2ND FLOOR,,COLUMBUS,GA,UNITED STATES,31901,706-649-2327,706-649-7147,P.O. BOX 2628,,COLUMBUS,GA,UNITED STATES,31902-2628,Approved,9/1/1983,7/22/2010,Y,HTTP://WWW.SYNOVUS.COM/SSI,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"53,654,231.00","63,891,338.00","117,545,569.00",2,"1,105","1,107",Y,Y,N,Y,N,Y,Y,N,N,N,,51-100,,Y,N,Y,N,N,N,Y,N,N,,N,,Y,Y,N,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,Y
BRO,109445,801-56937,INVESTMENT ADVISORY GROUP LLC,INVESTMENT ADVISORY GROUP,51 MILL ST BLDG D STE 101,,HANOVER,MA,UNITED STATES,2339,781-826-1235,781-826-6566,,,,,,,Approved,12/3/1999,7/22/2010,Y,WWW.IAGADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"159,190,000.00",0,"159,190,000.00","1,312",0,"1,312",Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,118832,801-67614,"MACRO ADVISORS, INC.","MACRO ADVISORS, INC.",526 GREENBRIAR ROAD,,YORK,PA,USA,17404,717-764-4566,717-767-5663,,,,,,,Approved,3/16/2007,1/27/2010,Y,WWW.MACROADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"43,483,741.00",0,"43,483,741.00",516,0,516,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
BRO,149862,801-70173,"LOGE SOLUTIONS, LLC","LOGE SOLUTIONS, LLC",60 STATE STREET,SUITE 700,BOSTON,MA,UNITED STATES,2109,617-275-8808,,,,,,,,Approved,6/2/2009,7/22/2010,Y,WWW.LOG-E.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"61,480,261.00",0,"61,480,261.00",34,0,34,N,Y,N,N,N,N,N,N,N,Y,FAMILY OFFICES,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
LARO,149678,801-70544,"NMS CAPITAL ASSET MANAGEMENT, INC.","NMS CAPITAL ASSET MANAGEMENT, INC.",433 NORTH CAMDEN DRIVE,4TH FLOOR,BEVERLY HILLS,CA,UNITED STATES,90210,310-855-0020,310-279-5118,,,,,,,Approved,10/20/2009,7/22/2010,Y,WWW.NMSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,26-100,0,51-75 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,0,"714,885,373.00","714,885,373.00",0,200,200,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,123724,801-67461,"BROUSSARD FINANCIAL GROUP, LLC","BROUSSARD FINANCIAL GROUP, LLC",106 WEST VETERANS MEMORIAL DRIVE,,KAPLAN,LA,USA,70548,337-643-8319,337-643-8785,POST OFFICE BOX 505,,KAPLAN,LA,USA,70548-0505,Approved,1/11/2007,1/27/2010,Y,WWW.BROUSSARDFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"32,112,048.00",0,"32,112,048.00",359,0,359,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,139321,801-71058,FUSION ANALYTICS INVESTMENT PARTNERS LLC,FUSION ANALYTICS INVESTMENT PARTNERS LLC,535 5TH AVENUE,SUITE 612,NEW YORK,NY,UNITED STATES,10017,212-661-2022,212-661-2777,,,,,,,Approved,2/16/2010,7/22/2010,Y,WWW.FUSIONINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"300,000,000.00",0,"300,000,000.00",500,0,500,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,153704,801-71375,"MISSION VALUE PARTNERS, LLC","MISSION VALUE PARTNERS, LLC","651 1ST STREET WEST, SUITE G",,SONOMA,CA,UNITED STATES,95476,707-750-3325,707-750-3325,,,,,,,Approved,4/22/2010,7/22/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,51-75 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,"""FULCRUM FEE""",Y,"119,000,000.00",0,"119,000,000.00",4,0,4,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,143780,801-68039,"AEQUITAS INVESTMENT MANAGEMENT, LLC","AEQUITAS INVESTMENT MANAGEMENT, LLC",5300 MEADOWS ROAD,SUITE 400,LAKE OSWEGO,OR,UNITED STATES,97035,503-419-3500,503-419-3530,,,,,,,Approved,6/19/2007,7/22/2010,Y,WWW.AEQUITASCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"48,309,252.00",0,"48,309,252.00",6,0,6,N,N,N,N,N,N,N,N,N,Y,MANAGES AND/OR ADVISES INVESTMENT-RELATED LIMITED LIABILITY COMPANIES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,816,801-56264,CREDIT SUISSE SECURITIES (USA) LLC,CREDIT SUISSE SECURITIES (USA) LLC,11 MADISON AVENUE,,NEW YORK,NY,UNITED STATES,10010,(212)325-2000,(212)325-8224,1 MADISON AVENUE,9TH FLOOR,NEW YORK,NY,UNITED STATES,10010,Approved,3/12/1999,7/22/2010,Y,HTTP://WWW.CREDIT-SUISSE.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,More than 1000,"11,000",251-500,0,More than 1000,"4,000",Nov-50,0,More than 500,"4,500",Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,"TRUSTS, LIMITED PARTNERSHIPS, FAMILY OFFICES",Y,N,N,Y,Y,Y,N,,Y,"11,566,009,648.00","894,657,796.00","12,460,667,444.00","4,709","1,049","5,758",Y,Y,Y,Y,N,Y,N,N,N,N,,10-Jan,,Y,Y,Y,N,Y,N,Y,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,Y,N,Y,Y,Y,N,Y
NYRO,154500,801-71720,BHR CAPITAL LLC,BHR CAPITAL LLC,375 PARK AVENUE,20TH FL,NEW YORK,NY,UNITED STATES,10152,212-371-8895,646-205-1844,,,,,,,Approved,7/29/2010,7/22/2010,Y,WWW.BHRCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"485,000,000.00",0,"485,000,000.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,152104,801-70809,"GUGGENHEIM PARTNERS LATIN AMERICA, INC.","GUGGENHEIM PARTNERS LATIN AMERICA, INC.",1111 BRICKELL AVENUE,SUITE 2802,MIAMI,FL,UNITED STATES,33131,305.373.8033,305.374.8246,,,,,,,Approved,12/4/2009,7/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,0,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,FOUNDATIONS,Y,N,N,Y,N,Y,N,,Y,"138,282,000.00","1,430,315,000.00","1,568,597,000.00",13,23,36,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,Y,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,132755,801-70925,EQUIS GROUP LLC,EQUIS GROUP LLC,,,,,,,636-458-9620,636-458-7777,,,,,,,Approved,2/17/2010,1/27/2010,Y,WWW.EQUISGROUPLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,CONSULTING FEES,Y,0,"30,000,000.00","30,000,000.00",0,31,31,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,142638,801-67375,"DYNAMIC TRADING MANAGEMENT, LLC.","DYNAMIC TRADING MANAGEMENT, LLC.",,,,,,,914-220-9404,914-614-8495,,,,,,,Approved,12/11/2006,1/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"28,500,000.00",0,"28,500,000.00",121,0,121,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,132070,801-63282,"GLOBAL FINANCIAL PRIVATE CAPITAL, LLC","GLOBAL FINANCIAL PRIVATE CAPITAL, LLC",2080 RINGLING BOULEVARD,SECOND FLOOR,SARASOTA,FL,USA,34237,866-641-2186,941-918-0405,,,,,,,Approved,7/12/2004,7/22/2010,Y,HTTP://WWW.GF-PC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,51-250,0,More than 500,"1,000",11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"434,531,768.00","8,440,203.00","442,971,971.00",933,9,942,Y,Y,N,Y,Y,N,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,108903,801-56491,FISCHER FRANCIS TREES & WATTS SINGAPORE PTE LTD,FISCHER FRANCIS TREES & WATTS SINGAPORE PTE LTD,16 COLLYER QUAY #32-01,,SINGAPORE,,SINGAPORE,49318,65 6210 4400,65 6210 3964,,,,,,,Approved,6/7/1999,7/22/2010,Y,WWW.FFTW.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,SINGAPORE,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"161,960,000.00",0,"161,960,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,107206,801-37205,FISCHER FRANCIS TREES & WATTS,FISCHER FRANCIS TREES & WATTS,5 ALDERMANBURY SQUARE,,LONDON,,UNITED KINGDOM,EC2V 7BP,44 207 621 6255,44 207 621 6205,,,,,,,Approved,8/24/1990,7/22/2010,Y,WWW.FFTW.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,,UNITED KINGDOM,10-Jun,0,0,0,0,0,0,0,25-Nov,0,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,26-50 percent,OFFICIAL INSTITUTIONS AND CENTRAL BANKS,Y,N,N,Y,N,Y,N,,Y,"11,837,660,000.00",0,"11,837,660,000.00",30,0,30,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107900,801-50372,"BOFA ADVISORS, LLC","BOFA ADVISORS, LLC",100 FEDERAL STREET,,BOSTON,MA,UNITED STATES,2110,617-772-3864,617-772-3878,,,,,,,Approved,11/14/1995,7/22/2010,Y,WWW.BOFACAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,More than 500,"21,000",0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,AFFILIATED AND/OR THIRD PARTY INVESTMENT ADVISERS,Y,N,N,Y,N,N,N,,Y,"112,959,781,871.00",0,"112,959,781,871.00",267,0,267,N,Y,Y,Y,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATELY PLACED FUNDS THAT ARE OFFERED TO QUALIFIED INVESTORS,,,N,N,N,N,Y,N,N,N,N,,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,Y
HQ,110166,801-71466,FORTIS INVESTMENT MANAGEMENT UK LIMITED,FORTIS INVESTMENT MANAGEMENT UK LIMITED,5 ALDERMANBURY SQUARE,,LONDON,,UNITED KINGDOM,EC2V 7BP,00 44 20 7063 7517,00 44 20 7678 4555,,,,,,,Approved,6/3/2010,7/22/2010,Y,WWW.BNPPARIBAS-IP.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,251-500,0,51-250,0,0,0,0,0,251-500,0,0 percent,0 percent,0 percent,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"49,305,000,000.00","2,595,000,000.00","51,900,000,000.00",226,12,238,N,N,N,Y,N,N,N,N,N,Y,NON-US PRIVATE CLIENTS,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104713,801-26296,"BANC OF AMERICA INVESTMENT ADVISORS, INC.","BANC OF AMERICA INVESTMENT ADVISORS, INC.",100 FEDERAL STREET,,BOSTON,MA,UNITED STATES,2110,617-434-6447,617-434-5766,,,,,,,Approved,1/16/1986,7/22/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,562,868,110.00",0,"1,562,868,110.00",14,0,14,N,Y,Y,N,N,Y,N,N,N,Y,"PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT COMPANIES, ASSET ALLOCATION",,,Y,N,N,N,Y,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,Y
MIRO,129429,801-62945,BALDWIN & ASSOCIATES,"MARY E. BALDWIN, CFP, PROFESSIONAL ASSOCIATION",1735 W. HIBISCUS BLVD.,SUITE 200,MELBOURNE,FL,USA,32901,321-722-0511,321-722-0925,,,,,,,Approved,4/8/2004,1/27/2010,Y,WWW.MEBALDWIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"66,954,591.00","66,954,591.00",0,380,380,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,145612,801-68627,ALLARIA LEDESMA & CIA,ALLARIA LEDESMA & CIA SOC. DE BOLSA SA,25 DE MAYO 359 PISO 12,,BUENOS AIRES,,ARGENTINA,1002,5411-5555-6000,5411-5555-6003,,,,,,,Approved,1/2/2008,1/27/2010,Y,WWW.ALLARIA.COM.AR,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,ARGENTINA,51-250,0,Nov-50,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,Y,N,,Y,"68,000,000.00","160,000,000.00","228,000,000.00",270,850,"1,120",N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105455,801-10577,"FISCHER FRANCIS TREES & WATTS, INC","FISCHER FRANCIS TREES & WATTS, INC","200 PARK AVENUE, 46TH FLOOR",,NEW YORK,NY,UNITED STATES,10166,212-681-3000,212-681-3295,,,,,,,Approved,2/14/1975,7/22/2010,Y,WWW.FFTW.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,0 percent,26-50 percent,Up to 10 percent,11-25 percent,CENTRAL BANKS AND OFFICIAL INSTITUTIONS,Y,N,N,Y,Y,Y,N,,Y,"5,309,220,000.00","89,100,000.00","5,398,320,000.00",68,2,70,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,131802,801-64437,"BLUE PRAIRIE GROUP,LLC","BLUE PRAIRIE GROUP,LLC",140 S. DEARBORN STREET,SUITE 300,CHICAGO,IL,UNITED STATES,60603,312-376-8450,312-533-4001,,,,,,,Approved,7/14/2005,7/22/2010,Y,WWW.BLUEPRAIRIEGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,101-250,0,11-25 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE ASSETS UNDER CONSULTATION,Y,"79,206,556.00","4,400,000,000.00","4,479,206,556.00",77,47,124,Y,Y,N,Y,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150813,801-70385,"FOUNTAINHEAD FINANCIAL, LLC","FOUNTAINHEAD FINANCIAL, LLC",500 NORTH MICHIGAN AVE,SUITE #2000,CHICAGO,IL,UNITED STATES,60611,312-222-9840,312-222-9834,,,,,,,Approved,7/27/2009,1/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"71,337,364.00","71,337,364.00",0,56,56,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147287,801-69263,MUELLER ASSET MANAGEMENT,"MUELLER ASSET MANAGEMENT, LLC",,,,,,,262-243-5456,,,,,,,,Approved,6/17/2008,1/20/2009,Y,WWW.DISCOUNTINVESTMENTADVISOR.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,137658,801-67628,"RETIREMENT WEALTH ADVISORS, INC.","RETIREMENT WEALTH ADVISORS, INC.",501 BALDWIN STREET,SUITE 203,JENISON,MI,UNITED STATES,49428,616-667-2150,616-667-2218,,,,,,,Approved,3/16/2007,7/22/2010,Y,WWW.WESTMICHIGANWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,SELECTION OF OTHER ADVISORS,Y,"94,690,739.00","3,453,668.00","98,144,407.00",480,19,499,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,130814,801-68448,"NEWBRIDGE FINANCIAL SERVICES GROUP, INC.","NEWBRIDGE FINANCIAL SERVICES GROUP, INC.",1451 W. CYPRESS CREEK ROAD,SUITE 204,FT. LAUDERDALE,FL,UNITED STATES,33309,954-334-3450,954-489-2390,,,,,,,Approved,11/6/2007,7/22/2010,Y,WWW.NEWBRIDGEFSG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,51-250,0,Nov-50,0,51-250,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"6,583,605.00","60,191,204.00","66,774,809.00",23,418,441,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N
NYRO,130913,801-62895,"DALTON, GREINER, HARTMAN, MAHER & CO., LLC","DALTON, GREINER, HARTMAN, MAHER & CO., LLC",565 FIFTH AVENUE,SUITE 2101,NEW YORK,NY,UNITED STATES,10017,212-557-2445,212-687-3979,,,,,,,Approved,2/6/2004,7/22/2010,Y,WWW.DGHM.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,008,386,000.00",0,"1,008,386,000.00",525,0,525,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,152533,801-70933,"ASCENT INVESTMENT PARTNERS, LLC","ASCENT INVESTMENT PARTNERS, LLC",1401 SOUTH BRENTWOOD BLVD.,SUITE 390,ST. LOUIS,MO,UNITED STATES,63144,314-227-3275,314-227-3295,4200 W. 115TH STREET,SUITE 100,LEAWOOD,KS,UNITED STATES,66211,Approved,1/4/2010,7/22/2010,Y,WWW.ASCENTINVESTMENTPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"515,389,795.00",0,"515,389,795.00",242,0,242,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,Y,Y,N,Y,N,Y,N,Y,Y,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107818,801-60102,"SUMMIT FINANCIAL STRATEGIES, INC","SUMMIT FINANCIAL STRATEGIES, INC",100 CORPORATE PARKWAY,SUITE 314,AMHERST,NY,UNITED STATES,14226,716-636-0169,716-833-8010,,,,,,,Approved,3/20/2001,7/22/2010,Y,WWW.SUMMITFINANCIALSTRATEGIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"47,640,756.00",0,"47,640,756.00",110,0,110,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,143926,801-68040,SIMRAN CAPITAL MANAGEMENT LLC,SIMRAN CAPITAL MANAGEMENT LLC,180 NORTH STETSON,SUITE 3500,CHICAGO,IL,UNITED STATES,60601,312-265-4700,312-265-4760,15950 N DALLAS PKWY,SUITE 400,DALLAS,TX,UNITED STATES,75248,Approved,6/20/2007,7/22/2010,Y,WWW.SIMRANCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"375,000,000.00",0,"375,000,000.00",11,0,11,N,N,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT PARTNERSHIPS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108797,801-21624,FINANCIAL INSIGHTS INC,FINANCIAL INSIGHTS INC,"3110 RUSTON WAY, SUITE C",,TACOMA,WA,UNITED STATES,98402,253-627-6010,253-627-6097,,,,,,,Approved,6/26/1984,1/27/2010,Y,WWW.FINANCIALINSIGHTS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,"72,756,693.00","6,302,552.00","79,059,245.00",581,57,638,Y,Y,N,N,N,Y,Y,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104862,801-31849,"STRATEGIC INVESTMENT MANAGEMENT, L.P.","STRATEGIC INVESTMENT MANAGEMENT, L.P.","1001 19TH ST. N.,16TH FL.",,ARLINGTON,VA,USA,22209-1722,703-243-4433,703-243-2266,,,,,,,Approved,4/1/1988,7/22/2010,Y,WWW.STRATEGICGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DC,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,11-25 percent,0 percent,0 percent,26-50 percent,26-50 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,NON-US SOCIAL SECURITY ADMINISTRATION,Y,N,N,Y,N,Y,N,,Y,"15,744,510,798.00","4,061,052,369.00","19,805,563,167.00",51,3,54,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,Y,N,Y,Y,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,141335,801-67056,"HALLADOR INVESTMENT ADVISORS, INC.","HALLADOR INVESTMENT ADVISORS, INC.",,,,,,,775-831-2272,775-831-2275,,,,,,,Approved,8/9/2006,1/27/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"332,000,000.00",0,"332,000,000.00",19,0,19,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,Y,"SOLICIT INVESTORS FOR HALLADOR BALANCED FUND, LLC",N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122866,801-66518,"MPS-LORIA FINANCIAL PLANNERS,LLC","MPS-LORIA FINANCIAL PLANNERS,LLC",7500 SOUTH COUNTY LINE ROAD,,BURR RIDGE,IL,USA,60527-6955,630-887-4404,630-887-7895,,,,,,,Approved,4/5/2006,1/27/2010,Y,WWW.MPSLORIA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"268,000,000.00","268,000,000.00",0,"2,000","2,000",Y,Y,N,N,Y,N,N,N,N,N,,More than 500,500,Y,N,N,Y,N,N,Y,N,N,,N,,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,119066,801-69116,WARREN FINANCIAL SERVICE,"WARREN FINANCIAL SERVICE & ASSOCIATES, INC.",7 DOWLIN FORGE RD,,EXTON,PA,USA,19341,610-363-2000,610-363-2223,,,,,,,Approved,5/2/2008,6/25/2010,Y,WWW.WARRENFINANCIALSERVICE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,Nov-50,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"42,720,228.00","865,952.00","43,586,180.00",169,1,170,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,120685,801-67750,"HOLZER & COMPANY, INC.","HOLZER & COMPANY, INC.",263 CENTER AVENUE,,WESTWOOD,NJ,USA,7675,201-722-1400,201-722-1013,,,,,,,Approved,4/17/2007,2/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,000,000.00","43,000,000.00","77,000,000.00",39,4,43,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,118595,801-61059,KSHER AA LLC,KSHER AA LLC,20 DAYTON AVENUE,,GREENWICH,CT,UNITED STATES,6830,203-552-1900,203-552-1901,,,,,,,Approved,4/12/2002,2/17/2010,Y,WWW.GRAMERCY.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,10-Jun,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,688,235.00",0,"3,688,235.00",4,0,4,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105148,801-35032,LACLA INVESTMENT ADVISERS,CLARK AARON COHEN,1901 AVE. OF THE STARS #610,,LOS ANGELES,CA,USA,90067,310-556-8336,310-556-8087,,,,,,,Approved,8/7/1989,2/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"98,423,751.00","5,127,231.00","103,550,982.00",5,1,6,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,154269,801-71588,"AVP ADVISORS, LLC","AVP ADVISORS, LLC",10940 WILSHIRE BLVD.,SUITE 1950,LOS ANGELES,CA,UNITED STATES,90024,310-689-7700,310-689-7707,,,,,,,Approved,6/24/2010,6/25/2010,Y,AVPADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"435,000,000.00",0,"435,000,000.00",2,0,2,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109409,801-62784,YOUR SOURCE FINANCIAL,"YOUR SOURCE FINANCIAL, PLC.",707 E. NORTHERN AVE.,,PHOENIX,AZ,USA,85020,602-343-1700,602-343-1710,,,,,,,Approved,2/13/2004,2/17/2010,Y,WWW.YSFI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"68,477,709.00","21,241,387.00","89,719,096.00",328,153,481,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,119193,801-68788,"SMF FINANCIAL ADVISORS, LLC","SMF FINANCIAL ADVISORS, LLC",855 VALLEY ROAD,,CLIFTON,NJ,USA,7013,973-472-6250,973-472-7172,,,,,,,Approved,2/28/2008,8/3/2010,Y,WWW.SMF-CPA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"176,021,208.00","5,873,225.00","181,894,433.00",483,26,509,Y,Y,N,N,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110539,801-45014,"WINDHAM CAPITAL MANAGEMENT, LLC","WINDHAM CAPITAL MANAGEMENT, LLC",200 CLARENDON STREET,T-26,BOSTON,MA,UNITED STATES,2116,617-576-7360,617-864-5548,,,,,,,Approved,11/12/1993,8/3/2010,Y,WWW.WINDHAMCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,ASSET MANAGERS,Y,N,N,Y,N,Y,N,,Y,"53,939,653.00","33,175,968,661.00","33,229,908,314.00",45,46,91,N,Y,N,Y,N,N,Y,N,N,Y,PORTFOLIO AND RISK MANAGEMENT SOFTWARE AND CONSULTING SERVICES,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112016,801-39280,"TDA INVESTMENT GROUP, INC.","TDA INVESTMENT GROUP, INC.",2025 PIONEER COURT,,SAN MATEO,CA,UNITED STATES,94403,650-343-6333,650-343-0858,,,,,,,Approved,7/3/1991,8/3/2010,Y,WWW.TDAINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"304,737,807.00",0,"304,737,807.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,REAL ESTATE INVESTMENT MANAGEMENT FOR PENSION FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131910,801-66317,"CASTLE ASSET MANAGEMENT, LLC","CASTLE ASSET MANAGEMENT, LLC",145 MARCUS BLVD.,,HAUPPAUGE,NY,UNITED STATES,11788,631-952-3700,631-952-9797,,,,,,,Approved,3/8/2006,8/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,10-Jun,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"92,648,783.00",0,"92,648,783.00",682,0,682,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,154126,801-71558,"CUSTOM WEALTH PARTNERS, LLC","CUSTOM WEALTH PARTNERS, LLC",,,,,,,440-543-6827,609-895-7395,,,,,,,120-Day Approval,6/22/2010,8/3/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,150605,801-70356,SOLAMERE ADVISORS,"CAMG SOLAMERE MANAGEMENT, LLC",4201 CONGRESS STREET,SUITE 455,CHARLOTTE,NC,UNITED STATES,28209,704-547-3100,704-547-3101,,,,,,,Approved,6/30/2009,8/3/2010,Y,WWW.SOLAMEREADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"39,798,517.00","16,022,373.00","55,820,890.00",96,37,133,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,146220,801-68817,"TIMBER CREEK CAPITAL MANAGEMENT, LLC","TIMBER CREEK CAPITAL MANAGEMENT, LLC",44 SCHOOL STREET,SUITE 410,BOSTON,MA,UNITED STATES,2108,617-722-0855,617-722-0851,,,,,,,Approved,2/14/2008,2/17/2010,Y,WWW.TIMBERCREEK-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"229,679,590.00",0,"229,679,590.00",126,0,126,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,153679,801-71391,"RENAISSANCE INVESTMENT GROUP, LLC","RENAISSANCE INVESTMENT GROUP, LLC",222 SOUTH STREET,SUITE 201,PITTSFIELD,MA,UNITED STATES,1201,413-445-2481,413-445-5873,,,,,,,Approved,4/26/2010,8/3/2010,Y,WWW.RIGLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"177,105,994.00","10,254,707.00","187,360,701.00",317,10,327,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109596,801-55209,RREEF,RREEF AMERICA LLC,875 N. MICHIGAN AVENUE,41ST FLOOR,CHICAGO,IL,UNITED STATES,60611,312-266-9300,312-266-9346,,,,,,,Approved,1/27/1998,8/3/2010,Y,HTTP://WWW.RREEF.COM,N,Y,N,N,Y,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,251-500,0,51-250,0,Nov-50,0,0,0,101-250,0,0 percent,0 percent,Up to 10 percent,11-25 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,26-50 percent,Up to 10 percent,NON-US INVESTORS MANAGERS - PARTIALLY DELEGAGED FUNDS,Y,N,N,Y,N,Y,N,,Y,"6,279,241,556.00",0,"6,279,241,556.00",63,0,63,N,Y,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,Y
LARO,113843,801-68121,"STONEGATE FINANCIAL GROUP, LLC","STONEGATE FINANCIAL GROUP, LLC",7373 N SCOTTSDALE ROAD #D-205,,SCOTTSDALE,AZ,UNITED STATES,85253,602-953-8450,602-953-8451,,,,,,,Approved,8/3/2007,8/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"87,000,000.00",0,"87,000,000.00",260,0,260,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,123718,801-61600,"CMS FUND ADVISERS, INC.","CMS FUND ADVISERS, INC.",308 E. LANCASTER AVENUE,SUITE 300,WYNNEWOOD,PA,UNITED STATES,19096-2145,(610) 896-3000,(610) 896-3083,,,,,,,Approved,11/1/2002,8/3/2010,Y,WWW.CMSCO.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,A PERCENTAGE OF COMMITTED AND/OR CONTRIBUTED CAPITAL,Y,0,"1,261,800,799.00","1,261,800,799.00",0,68,68,Y,N,N,Y,N,N,N,N,N,Y,INVESTMENT SUPERVISORY SERVICES FOR PRIVATE INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,119146,801-60924,"PILOT ADVISORS, L.P.","PILOT ADVISORS, L.P.",1633 BROADWAY,9TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-660-5361,646-829-0961,,,,,,,Approved,2/25/2002,2/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,More than 500,700,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"700,000,000.00",0,"700,000,000.00",674,0,674,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,136988,801-65614,"VAN BIEMA VALUE PARTNERS, LLC","VAN BIEMA VALUE PARTNERS, LLC",745 5TH AVENUE,14TH FLOOR,NEW YORK,NY,UNITED STATES,10151,212-308-5900,212-308-5949,,,,,,,Approved,1/27/2006,8/3/2010,Y,WWW.VBVALUEPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"625,327,629.00",0,"625,327,629.00",9,0,9,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT ADVICE TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105015,801-19270,ALDRIDGE & CO,ALDRIDGE ROBERT JOHN,"24012 CALLE DE LA PLATA,STE 440",,LAGUNA HILLS,CA,UNITED STATES,92653,949-859-1802,949-859-9538,,,,,,,Approved,7/21/1983,2/17/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,IRC501 C9 TAX EXEMPT INSURANCE ASSOCIATIONS,Y,N,N,Y,Y,N,N,,Y,"40,133,985.00",0,"40,133,985.00",89,0,89,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,139163,801-65934,"BELL ROCK CAPITAL, LLC","BELL ROCK CAPITAL, LLC",19606 COASTAL HIGHWAY,SUITE 101,REHOBOTH BEACH,DE,UNITED STATES,19971,302-227-7607,302-227-7609,,,,,,,Approved,1/24/2006,2/17/2010,Y,WWW.BELLROCKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"40,300,000.00","223,300,000.00","263,600,000.00",187,1,188,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,127036,801-66544,ATLAS CAPITAL ADVISORS LLC,ATLAS CAPITAL ADVISORS LLC,38 KEYES AVE SUITE 200,,SAN FRANCISCO,CA,UNITED STATES,94129,415-354-2400,415-354-2400,38 KEYES AVE SUITE 200,,SAN FRANCISCO,CA,UNITED STATES,94129,Approved,5/3/2006,2/17/2010,Y,WWW.ATLASCA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"115,000,000.00","2,500,000.00","117,500,000.00",90,4,94,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,116798,801-70034,"CAMBRIDGE WEALTH MANAGEMENT, INC.","CAMBRIDGE WEALTH MANAGEMENT, INC.","2828 N. CENTRAL AVE, SUITE 1145",,PHOENIX,AZ,USA,85004,602-277-0611,602-266-7010,,,,,,,Approved,3/26/2009,2/17/2010,Y,WWW.CAMBRIDGEWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE OF ASSETS UNDER MANAGEMENT WITH A THIRD PARTY MANAGER,Y,"48,929,000.00",0,"48,929,000.00",74,0,74,Y,Y,N,N,N,Y,N,N,N,Y,"CONSULTING SERVICES IN RESPONSE TO QUESTIONS ASKED THROUGH A WEBSITE PLATFORM, WHICH PROVIDES CONSUMERS WITH AN ON-LINE SOURCE",51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,117384,801-60684,"FRANKLIN TEMPLETON INSTITUTIONAL, LLC","FRANKLIN TEMPLETON INSTITUTIONAL, LLC",600 FIFTH AVENUE,,NEW YORK,NY,UNITED STATES,10020,(212) 632-3000,(212) 632-4126,,,,,,,Approved,11/13/2001,8/3/2010,Y,WWW.FRANKLINTEMPLETONINSTITUTIONAL.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,251-500,0,Nov-50,0,Nov-50,0,0,0,101-250,0,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,GOVERNMENTAL ENTITIES AND INVESTMENT ADVICE TO PRIVATE FUNDS,Y,N,N,Y,N,Y,N,,Y,"14,355,315,540.00",0,"14,355,315,540.00",146,0,146,N,Y,Y,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N
ARO,107346,801-23163,"RIDGEWORTH CAPITAL MANAGEMENT, INC.","RIDGEWORTH CAPITAL MANAGEMENT, INC.","50 HURT PLAZA, STE 1400",,ATLANTA,GA,UNITED STATES,30303,404-581-1589,404-575-2978,,,,,,,Approved,2/1/1985,8/3/2010,Y,WWW.RIDGEWORTH.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,11-25 percent,26-50 percent,11-25 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"35,794,427,219.00","153,411,601.00","35,947,838,820.00",182,2,184,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114653,801-68230,"HG CAPITAL ADVISORS, LLC","HG CAPITAL ADVISORS, LLC","11767 KATY FREEWAY, SUITE 170",SUITE 170,HOUSTON,TX,UNITED STATES,77079,(281) 589-2623,281-589-1904,"11767 KATY FREEWAY, SUITE 170",,HOUSTON,TX,UNITED STATES,77079,Approved,8/21/2007,8/3/2010,Y,WWW.HGADVISROS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,Y,N,Y,Y,Y,TEACHING,Y,"18,000,000.00","72,000,000.00","90,000,000.00",120,12,132,Y,Y,N,N,N,N,Y,N,Y,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,121820,801-68548,"CONCORD ATLANTIC, INC.","CONCORD ATLANTIC, INC.",,,,,,,703-533-1525,703-241-9544,,,,,,,Approved,11/13/2007,8/3/2010,Y,N/A,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),S CORPORATION,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,256,000.00",0,"25,256,000.00",111,0,111,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,143516,801-67751,"CARPENTER, CLAYDON ADVISORS, INC.","CARPENTER, CLAYDON ADVISORS, INC.",834 N. HIGHLAND AVENUE,,ORLANDO,FL,UNITED STATES,32803,407-843-0316,407-843-1668,,,,,,,Approved,4/13/2007,8/3/2010,Y,WWW.CCAWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"103,876,519.00","103,876,519.00",0,181,181,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,3255,801-12471,ST GERMAIN INVESTMENT MANAGEMENT,"ST. GERMAIN INVESTMENT MANAGEMENT, INC.",1500 MAIN ST,,SPRINGFIELD,MA,UNITED STATES,1115,[413]733-5111,[413]747-0848,,,,,,,Approved,12/30/1976,8/3/2010,Y,WWW.STGERMAININVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,More than 500,"4,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"705,336,000.00","9,314,000.00","714,650,000.00","4,907",69,"4,976",Y,Y,N,Y,N,N,N,N,N,N,,More than 500,1000,N,N,Y,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,N
SFRO,140339,801-68704,"CEDAR MOUNTAIN ADVISORS, LLC","CEDAR MOUNTAIN ADVISORS, LLC",1750 SW HARBOR WAY,SUITE 340,PORTLAND,OR,USA,97201,503-224-6868,503-224-6887,,,,,,,Approved,1/3/2008,8/3/2010,Y,WWW.CMAPDX.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"54,852,414.00",0,"54,852,414.00",322,0,322,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,132456,801-67505,INTELLINOMICS,"INTELLINOMICS, INC.",8087 WASHINGTON VILLAGE DR.,SUITE 110,DAYTON,OH,USA,45458,937-435-7070,937-435-0888,,,,,,,Approved,1/23/2007,8/3/2010,Y,WWW.INTELLI-K.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"41,500,000.00",0,"41,500,000.00",230,0,230,N,N,N,N,N,N,N,N,N,Y,ADVICE TO PARTICIPANTS IN EMPLOYER PROVIDED RETIREMENT PLANS.,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,265,801-41722,ESI FINANCIAL ADVISORS,"EQUITY SERVICES, INC.",ONE NATIONAL LIFE DRIVE,,MONTPELIER,VT,UNITED STATES,5604,800-344-7437,802-229-7244,,,,,,,Approved,7/9/1992,8/3/2010,Y,WWW.EQUITY-SERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VT,UNITED STATES,251-500,0,251-500,0,251-500,0,Nov-50,0,More than 500,"7,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"887,040,816.00","887,040,816.00",0,"7,500","7,500",Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,Y,N,Y,N,N,N,Y,N,N,,N,N,Y,Y,Y,Y,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
BRO,119283,801-61576,D.G. CAPITAL MANAGEMENT,D.G. CAPITAL MANAGEMENT TRUST,260 FRANKLIN STREET,SUITE 1600,BOSTON,MA,UNITED STATES,2110,617-896-1500,617-896-1501,,,,,,,Approved,11/26/2002,8/3/2010,Y,WWW.DGCAP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),MASSACHUSETTS BUSINESS TRUST,MA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,11-25 percent,26-50 percent,11-25 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,836,886,469.00",0,"1,836,886,469.00",37,0,37,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153672,801-71616,OLYMPIA AMERICAN MANAGEMENT COMPANY,OLYMPIA AMERICAN MANAGEMENT COMPANY,888 SEVENTH AVENUE,17TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-586-7525,212-586-8737,,,,,,,Approved,7/27/2010,8/3/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,138612,801-65283,"CYPRESS ADVISORY SERVICES LTD., LLP","CYPRESS ADVISORY SERVICES LTD., LLP",820 GESSNER,SUITE 1450,HOUSTON,TX,USA,77024,713-827-8014,713-827-0493,,,,,,,Approved,2/1/2006,2/17/2010,Y,WWW.CYPRESSADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"53,153,345.00",0,"53,153,345.00",488,0,488,Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,144735,801-68278,"RIDLEY ASSET MANAGEMENT, LLC","RIDLEY ASSET MANAGEMENT, LLC",,,,,,,415-381-5583,415-381-5583,775 E. BLITHEDALE AVE.,#305,MILL VALLEY,CA,UNITED STATES,94941,Approved,8/23/2007,2/17/2010,Y,RIDLEYASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"27,411,855.00",0,"27,411,855.00",40,0,40,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145743,801-68588,"PRAIRIEVIEW PARTNERS, LLC","PRAIRIEVIEW PARTNERS, LLC","413 WACOUTA ST., SUITE 300",,ST. PAUL,MN,UNITED STATES,55101,651-233-1100,651-304-1555,,,,,,,Approved,11/23/2007,2/17/2010,Y,WWW.PRAIRIEVIEWPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"117,094,000.00",0,"117,094,000.00",598,0,598,Y,Y,N,N,N,N,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,144316,801-70137,"PURE FINANCIAL ADVISORS, INC.","PURE FINANCIAL ADVISORS, INC.",3131 CAMINO DEL RIO N,SUITE 1550,SAN DIEGO,CA,UNITED STATES,92108,619-814-4100,619-814-4109,,,,,,,Approved,5/1/2009,8/3/2010,Y,WWW.PUREFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,500,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"116,460,309.00",0,"116,460,309.00",953,0,953,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108680,801-56993,DOUGLASS WINTHROP ADVISORS LLC,DOUGLASS WINTHROP ADVISORS LLC,"51 EAST 42ND STREET, SUITE 1806",,NEW YORK,NY,UNITED STATES,10017,212-557-7680,212-557-7683,,,,,,,Approved,11/9/1999,2/17/2010,Y,WWW.DOUGLASSWINTHROP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"294,535,546.00","24,145,145.00","318,680,691.00",344,16,360,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,106235,801-49071,SMITH SHELLNUT WILSON,SMITH SHELLNUT WILSON LLC,150 FOUNTAINS BLVD,SUITE A,MADISON,MS,UNITED STATES,39110,601-605-1776,601-605-1710,150 FOUNTAINS BLVD,SUITE A,MADISON,MS,UNITED STATES,39110,Approved,4/26/1995,2/17/2010,Y,WWW.SSW1776.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MS,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"497,624,166.00","870,872,568.00","1,368,496,734.00",325,28,353,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108569,801-56336,"CLASSIC CAPITAL, INC.","CLASSIC CAPITAL, INC.",,,,,,,973-379-6100,973-376-4134,,,,,,,Approved,3/18/1999,8/3/2010,Y,HTTP://WWW.CLASSICCAPITAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"151,211,993.00",0,"151,211,993.00",402,0,402,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,127558,801-67662,MIKE O'REILLY LLC,MIKE O'REILLY LLC,2 MONARCH TRACE CT. UNIT 101,,CHESTERFIELD,MO,USA,63017,636-532-9121,636-532-9122,,,,,,,Approved,3/23/2007,2/17/2010,Y,OREILLYLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"85,000,000.00","85,000,000.00",0,285,285,N,Y,N,Y,N,N,N,N,N,Y,GENERAL CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,140004,801-66449,"KK WEALTH ADVISORS, LLC","KK WEALTH ADVISORS, LLC",4300 EL CAMINO REAL,SUITE 105,LOS ALTOS,CA,UNITED STATES,94022,650-941-5530,650-941-4994,,,,,,,Approved,3/21/2006,8/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"111,243,365.00",0,"111,243,365.00",48,0,48,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104610,801-31624,FINANCIAL ADVANTAGE INC,FINANCIAL ADVANTAGE INC,5950 SYMPHONY WOODS RD,SUITE 100,COLUMBIA,MD,UNITED STATES,21044-3308,410-715-9200,410-715-9202,,,,,,,Approved,4/1/1988,8/3/2010,Y,WWW.FINANCIALADVANTAGEINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,OTHER RIAS,Y,Y,N,Y,N,N,N,,Y,"248,273,561.00",0,"248,273,561.00",238,0,238,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105253,801-14263,WASHINGTON CAPITAL MANAGEMENT INC,WASHINGTON CAPITAL MANAGEMENT INC,1301 5TH AVE,SUITE 3100,SEATTLE,WA,UNITED STATES,98101-2632,206-382-0825,206-382-0950,,,,,,,Approved,10/1/1978,8/3/2010,Y,WWW.WCMADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,101-250,0,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,"TAFT-HARTLEY HEALTH & WELFARE, TRAINING TRUST, AND CASH MANAGEMENT ACCOUNTS",Y,Y,N,Y,N,N,Y,MORTGAGE LOAN & SERVICING FEES,Y,"2,458,679,565.00","138,487,288.00","2,597,166,853.00",175,12,187,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114531,801-61327,MCDONALD CAPITAL MANAGEMENT,"ISLAY CAPITAL MANAGEMENT, LLC",8001 QUAKER AVENUE,SUITE J,LUBBOCK,TX,UNITED STATES,79424,806-744-8617,806-762-8555,,,,,,,Approved,8/5/2002,2/17/2010,Y,HTTP://WWW.MCDCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"94,510,591.00",0,"94,510,591.00",296,0,296,N,Y,N,Y,N,N,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137895,801-65611,CANTILLON CAPITAL MANAGEMENT LLC,CANTILLON CAPITAL MANAGEMENT LLC,"40 WEST 57TH STREET, 27TH FLOOR",,NEW YORK,NY,UNITED STATES,10019,212-603-3300,212-603-3301,,,,,,,Approved,1/24/2006,8/3/2010,Y,WWW.CANTILLON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,944,496,000.00",0,"1,944,496,000.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109859,801-32089,AMERICAN ECONOMIC PLANNING GROUP INC,AMERICAN ECONOMIC PLANNING GROUP INC,775 MOUNTAIN BLVD.,SUITE 102,WATCHUNG,NJ,USA,7069,908-757-5600,908-757-0511,,,,,,,Approved,5/20/1988,8/3/2010,Y,WWW.AEPG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,RELIGIOUS ORGANIZATION,Y,Y,N,N,N,Y,N,,Y,"374,900,000.00","154,300,000.00","529,200,000.00","1,279",740,"2,019",Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112531,801-57590,SHORELINE INVESTMENT MANAGEMENT CO,SHORELINE INVESTMENT MANAGEMENT CO,3000 HANOVER ST,M/S 1037,PALO ALTO,CA,UNITED STATES,94304,650-857-2314,650-236-2001,,,,,,,Approved,5/18/2000,1/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,Y,"ACTUAL COST REIMBURSEMENT, PAID QUARTERLY IN ARREARS",Y,"6,142,546,433.00",0,"6,142,546,433.00",2,0,2,N,N,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,134988,801-67493,"CRISPIAN VENTURE CAPITAL, LLC","CRISPIAN VENTURE CAPITAL, LLC",1400 PRESTON ROAD,SUITE 400,PLANO,TX,UNITED STATES,75093,972-608-8753,972-608-8816,,,,,,,Approved,2/2/2007,6/25/2010,Y,WWW.CRISPIANVC.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,MANAGEMENT OF PARTNERSHIP INVESTMENTS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
LARO,127077,801-62071,"FOUR CORNERS CAPITAL MANAGEMENT, LLC","FOUR CORNERS CAPITAL MANAGEMENT, LLC",555 SOUTH FLOWER STREET,SUITE 3300,LOS ANGELES,CA,UNITED STATES,90071,213-233-4444,213-233-4579,,,,,,,Approved,5/29/2003,6/25/2010,Y,WWW.FCCM.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,0 percent,51-75 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"101,286,786.00","39,030,047.00","140,316,833.00",1,1,2,N,N,Y,Y,N,N,N,N,N,Y,STRUCTURED PRODUCT/SECURITIZATION ADVICE,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,19714,801-69700,BARCLAYS CAPITAL INC.,BARCLAYS CAPITAL INC.,200 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10166,212-412-4000,212-412-1081,,,,,,,Approved,9/22/2008,6/25/2010,Y,WWW.BARCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,More than 1000,"9,000",Nov-50,0,More than 1000,"5,000",10-Jun,0,More than 500,"5,000",Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"339,354,372.00","7,481,718,474.00","7,821,072,846.00",242,"26,081","26,323",N,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,Y,N,Y,N,N,N,N,,N,,Y,Y,N,N,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N
CHRO,118261,801-70541,"DIVERSIFIED FINANCIAL ADVISORS, LLC","DIVERSIFIED FINANCIAL ADVISORS, LLC",14323 SOUTH OUTER FORTY DRIVE,SUITE #210 SOUTH,TOWN AND COUNTRY,MO,UNITED STATES,63017,314-786-9000,314-786-9001,14323 SOUTH OUTER FORTY DRIVE,SUITE 210 SOUTH,TOWN AND COUNTRY,MO,UNITED STATES,63017,Approved,9/11/2009,6/25/2010,Y,WWW.DIVERSFIEDFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"7,565,212.00","79,504,057.00","87,069,269.00",65,136,201,Y,Y,N,N,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,154304,801-71642,"RENOWN WEALTH ADVISORS, LLC","RENOWN WEALTH ADVISORS, LLC",2552 BLUE MEADOW DRIVE,,TEMPLE,TX,UNITED STATES,76502,254-773-1040,254-773-2233,,,,,,,120-Day Approval,7/1/2010,6/25/2010,Y,WWW.RENOWNWEALTH.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,OTHER RIAS,Y,Y,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,N,N,N,N,Y,ASSET MANAGEMENT FOR OTHER RIAS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,122821,801-71622,"AVONDALE CONQUEST, LLC","AVONDALE CONQUEST, LLC",631 BRIDGEWAY AVE,,SAUSALITO,CA,UNITED STATES,94965,415-331-3066,415-331-2592,,,,,,,Approved,6/29/2010,6/25/2010,Y,WWW.CONQUESTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"36,878,984.00",0,"36,878,984.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,MANAGE INVESTMENT ADVISORY ACCOUNT INVOLVING INVESTMENT SUPERVISORY SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,133232,801-63953,"AMERICAN INDEPENDENCE FINANCIAL SERVICES, LLC","AMERICAN INDEPENDENCE FINANCIAL SERVICES, LLC","335 MADISON AVENUE, MEZZ.",,NEW YORK,NY,UNITED STATES,10017,866-410-2006,646-747-3478,,,,,,,Approved,2/17/2005,1/29/2010,Y,WWW.AMERICANIFS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,Up to 10 percent,Up to 10 percent,51-75 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"901,491,267.00",0,"901,491,267.00",27,0,27,N,Y,Y,Y,N,Y,N,N,N,N,,0,,N,Y,N,Y,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,140659,801-66793,CEVIAN CAPITAL II GP LIMITED,CEVIAN CAPITAL II GP LIMITED,LA MOTTE CHAMBERS,,ST. HELIER,,JERSEY,JE1 1BJ,44 1534 602 509,44 1534 602 433,,,,,,,Approved,5/24/2006,6/28/2010,Y,WWW.CEVIANCAPITAL.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED COMPANY,,JERSEY,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,746,000,000.00",0,"3,746,000,000.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,135188,801-64387,"EVANSON ASSET MANAGEMENT, LLC","EVANSON ASSET MANAGEMENT, LLC",,,,,,,831-333-2060,831-333-2063,,,,,,,Approved,10/19/2005,1/29/2010,Y,WWW.EVANSONASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,More than 500,"1,000",0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,Y,"1,778,564,245.00","12,610,244.00","1,791,174,489.00","2,613",18,"2,631",N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,153856,801-71545,PATAGONIA WEALTH ADVISORS,PATAGONIA WEALTH ADVISORS LLC,1200 BRICKELL AVE,SUITE 1800,MIAMI,FL,UNITED STATES,33131,305-961-1698,786-272-5929,,,,,,,120-Day Approval,6/28/2010,6/28/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,0,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138653,801-69614,JO HAMBRO CAPITAL MANAGEMENT LIMITED,JO HAMBRO CAPITAL MANAGEMENT LIMITED,RYDER COURT,14 RYDER STREET,LONDON,,UNITED KINGDOM,SW1Y 6QB,+44 20 7747 5678,+44 20 7747 5647,,,,,,,Approved,9/30/2008,6/28/2010,Y,WWW.JOHCM.CO.UK,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,51-250,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,NON US INVESTMENT COMPANIES SUCH AS UK AND IRISH LISTED FUNDS AND UCITS OPEN ENDED FUNDS,Y,N,N,N,N,Y,N,,Y,"4,885,000,000.00",0,"4,885,000,000.00",24,0,24,N,N,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR NON US INVESTMENT COMPANIES SUCH AS UK AND IRISH LISTED FUNDS AND UCITS OPEN ENDED FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,152989,801-71140,"SIGNET CAPITAL MANAGEMENT, LLC","SIGNET CAPITAL MANAGEMENT, LLC",3225 AVIATION AVENUE,SUITE 601,MIAMI,FL,UNITED STATES,33133,305-250-5607,786-472-8812,1750 PRESIDENTS STREET,SUITE 240,RESTON,VA,UNITED STATES,20190,Approved,2/26/2010,6/28/2010,Y,WWW.SIGNETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"34,812,581.00",0,"34,812,581.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED VEHICLES OTHER THAN INVESTMENT COMPANIES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,N,N,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,136133,801-64644,POLAR CAPITAL,POLAR CAPITAL LLP,4 MATTHEW PARKER STREET,,LONDON,,UNITED KINGDOM,SW1H 9NP,00 44 207 227 2700,00 44 207 227 2799,,,,,,,Approved,9/19/2005,6/28/2010,Y,WWW.POLARCAPITAL.CO.UK,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,INVESTMENT COMPANIES NOT REGISTERED IN 1940 ACT,Y,N,N,N,N,Y,N,,Y,"2,695,004,115.00",0,"2,695,004,115.00",15,0,15,N,N,N,Y,N,N,N,N,N,Y,"ADVISORY SERVICES FOR PRIVATE FUNDS, MANAGED ACCOUNTS, NON DISCRETIONARY ACCOUNTS",,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,120766,801-64149,"SENSIBLE FINANCIAL PLANNING AND MANAGEMENT, LLC","SENSIBLE FINANCIAL PLANNING AND MANAGEMENT, LLC",203 CRESCENT STREET,SUITE 108,WALTHAM,MA,UNITED STATES,2453,781-642-0890,617-812-6138,,,,,,,Approved,4/18/2005,6/28/2010,Y,WWW.SENSIBLEFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"65,953,412.00","120,608,587.00","186,561,999.00",302,345,647,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,109710,801-67363,PLANNED FINANCIAL GROWTH CO,CARL DAVID REINHOLD,,,,,,,239-472-2682,239-472-2682,,,,,,,Approved,1/3/2007,6/28/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,FL,UNITED STATES,5-Jan,0,0,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"36,355,622.00",0,"36,355,622.00",42,0,42,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,111228,801-60177,THE LIFE MANAGEMENT GROUP,"WEALTH PLANNING & MANAGEMENT, INC.",2658 ARBOR HILL LANE,,PEARLAND,TX,UNITED STATES,77584,713-961-1999,713-481-0745,3355 W. ALABAMA,SUITE 1225,HOUSTON,TX,UNITED STATES,77098,Approved,4/6/2001,6/28/2010,Y,HTTP://WWW.LIFEPLANNINGGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"25,832,646.00","71,043.00","25,903,689.00",184,13,197,Y,Y,N,Y,Y,Y,N,N,Y,Y,MULTI-FAMILY OFFICE SERVICES - TRUST SPONSOR FOR POOL FUND (NOT AFFILIATED WITH GENERAL PARTNER -  NO ASSET MANAGEMENT),25-Nov,,N,N,N,N,N,N,N,N,Y,"TRUSTS, FOUNDATIONS & RETIREMENT PLAN SERVICES",Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,153812,801-71528,GOUWS CAPITAL LLC,GOUWS CAPITAL LLC,BALLANTYNE ONE,"15720 JOHN J. DELANEY DRIVE, SUITE 300",CHARLOTTE,NC,UNITED STATES,28277,704-650-9701,,,,,,,,120-Day Approval,6/22/2010,6/28/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110584,801-34431,"EAST END FINANCIAL GROUP, INC.","EAST END FINANCIAL GROUP, INC.",318 ROANOKE AVE,,RIVERHEAD,NY,UNITED STATES,11901,631-727-8111,631-727-1817,,,,,,,Approved,5/15/1989,6/28/2010,Y,WWW.EASTENDFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"156,738,958.00","11,145,359.00","167,884,317.00",274,15,289,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,Y,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110826,801-32987,EAGLE STRATEGIES LLC,EAGLE STRATEGIES LLC,51 MADISON AVENUE,ROOM 151,NEW YORK,NY,UNITED STATES,10010,(888) 695-3245,(212) 576-6902,,,,,,,Approved,10/14/1988,6/28/2010,Y,HTTP://WWW.NEWYORKLIFE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,501-1000,0,501-1000,0,501-1000,0,0,0,More than 500,"3,000",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"2,115,030,757.00","2,115,030,757.00",0,"7,312","7,312",Y,Y,N,N,N,Y,N,N,N,N,,More than 500,1000,N,Y,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,Y,N,N,N
NYRO,126567,801-63433,"KRUG, DAVID M.","KRUG, DAVID M.",,,,,,,914-997-1406,914-761-2719,,,,,,,Approved,8/18/2004,6/28/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"25,750,000.00",0,"25,750,000.00",14,0,14,Y,Y,N,N,Y,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109259,801-55627,"NEW CENTURY INVESTMENT MANAGEMENT, INCORPORATED","NEW CENTURY INVESTMENT MANAGEMENT, INCORPORATED","OAKLAND TOWNE SQUARE, ONE TOWNE SQUARE, SUITE 1690",,SOUTHFIELD,MI,UNITED STATES,48076-3728,248-262-3140,248-262-3141,,,,,,,Approved,6/19/1998,6/28/2010,Y,HTTP://WWW.NCIMI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,LIMITED PARTNERSHIP,Y,Y,N,Y,N,N,N,,Y,"114,981,869.00",0,"114,981,869.00",67,0,67,N,Y,N,Y,N,N,N,N,N,Y,CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,149688,801-69975,MOTLEY FOOL ASSET MANAGEMENT,"MOTLEY FOOL ASSET MANAGEMENT, LLC",2000 DUKE STREET,SUITE 175,ALEXANDRIA,VA,UNITED STATES,22314-6101,703-302-1100,703-254-1600,,,,,,,Approved,3/23/2009,6/28/2010,Y,HTTP://WWW.FOOLFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"98,755,482.00",0,"98,755,482.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110031,801-56552,GRIES FINANCIAL LLC,GRIES FINANCIAL LLC,1801 E NINTH STREET STE 1600,,CLEVELAND,OH,USA,44114-3103,216-861-1148,216-861-0106,,,,,,,Approved,4/16/1999,6/28/2010,Y,GRIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"361,943,716.00","118,500,000.00","480,443,716.00",638,24,662,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105903,801-30898,CAPITAL MANAGEMENT SERVICES INC,CAPITAL MANAGEMENT SERVICES INC,"STRAFFORD BLDG FOUR, STE 300",175 STRAFFORD AVENUE,WAYNE,PA,USA,19087-3333,610-254-0001,610-254-0025,P.O. BOX 433,,SOUTHEASTERN,PA,USA,19399-0433,Approved,11/19/1987,6/28/2010,Y,WWW.CMS-ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"249,226,527.00","57,476,286.00","306,702,813.00",906,60,966,Y,Y,N,N,Y,Y,N,N,N,N,,25-Nov,,Y,Y,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110772,801-25136,"CHEVIOT VALUE MANAGEMENT, LLC","CHEVIOT VALUE MANAGEMENT, LLC",100 WILSHIRE BLVD.,SUITE 2020,SANTA MONICA,CA,UNITED STATES,90401,310-451-8600,310-451-7765,,,,,,,Approved,9/5/1985,1/29/2010,Y,HTTP://CHEVIOTVALUE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"243,159,453.00","2,341,776.00","245,501,229.00",586,3,589,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,126071,801-62152,"MORGAN STANLEY ASSET & INVESTMENT TRUST MANAGEMENT CO., LIMITED","MORGAN STANLEY ASSET & INVESTMENT TRUST MANAGEMENT CO., LIMITED",YEBISU GARDEN PLACE TOWER,4/20/2003,"SHIBUYA-KU, TOKYO",,JAPAN,150-6009,-11626,-10545,,,,,,,Approved,7/21/2003,6/28/2010,Y,WWW.MORGANSTANLEY.CO.JP/MSINJAPAN/GROUPCOMPANIES/MSIM_EN.HTML,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,JAPAN,51-250,0,Nov-50,0,0,0,0,0,101-250,0,0 percent,0 percent,Up to 10 percent,Up to 10 percent,51-75 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"27,047,735,390.00","513,744,270.00","27,561,479,660.00",105,4,109,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,133433,801-68419,"THE TAX PRACTICE, INC.","THE TAX PRACTICE, INC.",3131 S. BASCOM AVE,SUITE 250,CAMPBELL,CA,UNITED STATES,95008-6768,408-879-0399,408-377-2456,,,,,,,Approved,10/12/2007,1/29/2010,Y,WWW.TAXPRACTICE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"31,159,203.00",0,"31,159,203.00",241,0,241,Y,Y,N,N,N,N,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,113718,801-62772,"IDG ADVISORS, LLC","IDG ADVISORS, LLC",6825 EAST TENNESSEE AVE.,SUITE 200,DENVER,CO,USA,80224,303-399-5554,303-399-5568,,,,,,,Approved,2/20/2004,1/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,Y,N,Y,SOLICITOR'S FEES,Y,0,"83,462,183.00","83,462,183.00",0,154,154,N,Y,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,148779,801-69730,"SANCTUARY WEALTH MANAGEMENT, LLC","SANCTUARY WEALTH MANAGEMENT, LLC",275 SOUTH 5TH AVENUE,SUITE 151,POCATELLO,ID,UNITED STATES,83201,208-233-0080,208-233-0088,,,,,,,Approved,11/24/2008,1/29/2010,Y,WWW.SANCTUARYWEALTH.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,ID,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,% ASSETS UNDER CONSULTATION,Y,0,"40,000,000.00","40,000,000.00",0,563,563,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153586,801-71456,"MPC CAPITAL ADVISORS, LLC","MPC CAPITAL ADVISORS, LLC",,,,,,,877-370-5320,877-370-5325,,,,,,,Approved,5/18/2010,5/13/2010,Y,WWW.MPCCAPITALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"88,000,000.00","88,000,000.00",0,1,1,N,N,N,N,Y,Y,N,N,N,Y,INVESTMENT CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,138923,801-65346,OUTFITTER FINANCIAL CORP.,OUTFITTER FINANCIAL CORP.,1497 CHAIN BRIDGE ROAD,SUITE 200,MCLEAN,VA,UNITED STATES,22101,703-356-8611,703-356-5086,,,,,,,Approved,1/31/2006,5/13/2010,Y,WWW.OUTFITTERFUNDS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"15,858,776.00",0,"15,858,776.00",23,0,23,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,107813,801-57658,MARCHAND FARIES FINANCIAL MANAGEMENT INC,MARCHAND FARIES FINANCIAL MANAGEMENT INC,,,,,,,904-805-0207,904-805-0209,,,,,,,Approved,6/20/2000,1/26/2010,Y,WWW.MFFM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"59,959,433.00","2,100,645.00","62,060,078.00",265,5,270,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,140018,801-66452,WEALTH INC.,WEALTH INC.,,,,,,,904-805-0296,904-805-0209,,,,,,,Approved,4/4/2006,1/26/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,083,038.00",0,"3,083,038.00",57,0,57,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,134573,801-66676,LAFITTE CAPITAL MANAGEMENT LP,LAFITTE CAPITAL MANAGEMENT LP,701 BRAZOS STREET,SUITE 310,AUSTIN,TX,USA,78701,512.478.1271,512.478.1529,,,,,,,Approved,5/4/2006,5/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"55,209,000.00",0,"55,209,000.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,FIRM OFFERS INVESTMENT ADVISORY SERVICES TO POOLED INVESTMENT VEHICLES.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,117436,801-63825,"GENEREUX INVESTMENT MANAGEMENT, INC.","GENEREUX INVESTMENT MANAGEMENT, INC.",,,,,,,712-256-7500,712-256-7501,PO BOX 1507,,COUNCIL BLUFFS,IA,UNITED STATES,51502,Approved,1/3/2005,1/26/2010,Y,WWW.GENEREUX.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"45,332,198.00",0,"45,332,198.00",213,0,213,Y,Y,N,Y,Y,N,N,N,N,Y,GENERAL CONSULTATION SERVICES,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,142418,801-67316,METAMORPHOSIS MONEY MANAGEMENT LLC,METAMORPHOSIS MONEY MANAGEMENT LLC,1200 17TH STREET SUITE 880,,DENVER,CO,UNITED STATES,80202,303-567-6490,303-291-1312,,,,,,,Approved,12/13/2006,1/26/2010,Y,HTTP://WWW.METAM3.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"42,916,435.00","14,308,723.00","57,225,158.00",8,4,12,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,144740,801-68203,"TAYLOR, COTTRILL LLC","TAYLOR, COTTRILL LLC",224 MAIN STREET,,NEW LONDON,NH,UNITED STATES,3257,603-526-7400,603-526-4842,P.O. BOX 7,,NEW LONDON,NH,UNITED STATES,03257-0622,Approved,8/3/2007,1/26/2010,Y,WWW.TAYLORCOTTRILL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"160,260,360.00",0,"160,260,360.00",255,0,255,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,111115,801-36051,CAUSEY DEMGEN & MOORE INC,CAUSEY DEMGEN & MOORE INC,1801 CALIFORNIA ST,STE 4650,DENVER,CO,UNITED STATES,80202-2681,303-296-2229,303-296-3731,,,,,,,Approved,2/22/1990,8/24/2009,Y,WWW.CDMCPA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"91,340,120.00","3,070,681.00","94,410,801.00",119,13,132,Y,Y,N,N,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107965,801-37721,AMERICAN REALTY ADVISORS,AMERICAN REALTY ADVISORS,"801 N BRAND BLVD, SUITE 800",,GLENDALE,CA,USA,91203-1237,818-545-1152,818-545-8460,,,,,,,Approved,11/15/1990,5/13/2010,Y,WWW.AMERICANREAL.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,,Y,Y,N,Y,N,Y,N,,N,0,0,0,0,0,0,N,N,N,Y,Y,N,Y,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,42057,801-63738,ARVEST ASSET MANAGEMENT,"ARVEST INVESTMENTS, INC.",921 WEST MONROE AVENUE,P. O. BOX 1515,LOWELL,AR,UNITED STATES,72745,479 770 1825,479 770 1836,921 WEST MONROE AVENUE,P. O. BOX 1515,LOWELL,AR,UNITED STATES,72745-1515,Approved,1/3/2005,5/13/2010,Y,WWW.ARVESTAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AR,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,"2,000",More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"468,292,000.00","110,024,000.00","578,316,000.00","2,283",484,"2,767",Y,Y,N,Y,N,Y,N,N,N,N,,More than 500,1000,Y,Y,Y,N,N,N,Y,N,N,,N,Y,Y,Y,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
LARO,110428,801-24076,MESSNER & SMITH,MESSNER & SMITH THEME VALUE INVESTMENT MANAGEMENT LTD,530 B STREET,SUITE 300,SAN DIEGO,CA,UNITED STATES,92101-4407,619-239-9049,619-239-0838,,,,,,,Approved,5/16/1985,5/13/2010,Y,WWW.MESSNERSMITH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"234,900,000.00",0,"234,900,000.00",97,0,97,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107711,801-23561,REYNOLDS CAPITAL MANAGEMENT,REYNOLDS FREDERICK LEO,,,,,,,415-265-7167,808-661-1662,2580 KEKAA DRIVE STE. 115,,LAHAINA,HI,UNITED STATES,96761,Approved,2/25/1985,1/26/2010,Y,REYNOLDSFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Sole Proprietorship,,HI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"65,337,387.00",0,"65,337,387.00",5,0,5,N,Y,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,121302,801-71460,"NAZELROD & ASSOCIATES FINANCIAL SERVICES, INC.","NAZELROD & ASSOCIATES FINANCIAL SERVICES, INC.",600 FAIRMOUNT AVENUE,SUITE 300,TOWSON,MD,USA,21286,410-583-7662,410-583-7718,,,,,,,Approved,5/20/2010,5/13/2010,Y,WWW.NAZELRODASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"32,240,497.00",0,"32,240,497.00",54,0,54,Y,Y,N,N,N,N,N,N,N,Y,"TAX, ESTATE PLNG, RISK MGMT, FINANCIAL MGMT",51-100,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108155,801-57583,LAKESIDE CAPITAL MANAGEMENT LLC,"LAKESIDE CAPITAL MANAGEMENT, LLC",1938 43RD AVE EAST,,SEATTLE,WA,UNITED STATES,98112,206-324-2600,206-726-0663,1938 43RD AVE EAST,,SEATTLE,WA,UNITED STATES,98112,Approved,5/5/2000,5/13/2010,Y,WWW.LAKESIDECAPITAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"147,530,792.00",0,"147,530,792.00",528,0,528,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,152719,801-71017,ALPHADYNE ASSET MANAGEMENT PTE. LTD.,ALPHADYNE ASSET MANAGEMENT PTE. LTD.,ONE GEORGE STREET,#13-03,SINGAPORE,,SINGAPORE,49145,+(65) 6622 8288,+(62) 6622 8299,,,,,,,Approved,2/3/2010,5/13/2010,Y,WWW.ADYNE.COM,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),PRIVATE LIMITED COMPANY,,SINGAPORE,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,472,393,476.00",0,"1,472,393,476.00",6,0,6,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT OF OTHER POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,150950,801-70428,"RETURN ON INVESTMENT, LLC","RETURN ON INVESTMENT, LLC",,,,,,,805-569-2461,805-569-2461,,,,,,,Approved,8/12/2009,1/26/2010,Y,WWW.RETURN-ON-INVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"322,000,000.00",0,"322,000,000.00",7,0,7,N,Y,N,Y,N,Y,N,N,N,Y,"CONSULTING, DUE DILIGENCE AND RESEARCH SERVICES",,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,108761,801-57379,KING RIDGE ASSET MANAGEMENT LLC,KING RIDGE ASSET MANAGEMENT LLC,,,,,,,888-291-0088,772-234-2309,,,,,,,Approved,3/28/2000,5/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"35,000,000.00","35,000,000.00",0,32,32,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,148801,801-69745,ABIDAR CAPITAL MANAGEMENT,"ABIDAR, LAHCEN, (NMN)",,,,,,,925-353-5871,925-353-5871,,,,,,,Approved,11/13/2008,5/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"26,000,000.00",0,"26,000,000.00",78,0,78,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,143838,801-69839,SHERWOOD FOREST CAPITAL MANAGEMENT,"SHERWOOD FOREST CAPITAL MANAGEMENT, LLC",530 EAST MAIN STREET,SUITE 320,RICHMOND,VA,UNITED STATES,23219,804-503-0094,804-592-2713,,,,,,,Approved,1/15/2009,5/13/2010,Y,WWW.SFCMVA.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"27,300,000.00",0,"27,300,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,130752,801-62958,"ANGELO, GORDON ADVISORS, LLC","ANGELO, GORDON ADVISORS, LLC",245 PARK AVENUE,26TH FLOOR,NEW YORK,NY,UNITED STATES,10167,212.692.2000,212.338.9611,,,,,,,Approved,3/30/2004,5/13/2010,Y,WWW.ANGELOGORDON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"537,000,000.00",0,"537,000,000.00",2,0,2,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,129800,801-63194,SANDHILL INVESTMENT MANAGEMENT,SANDHILL CAPITAL PARTNERS LLC,360 DELAWARE AVENUE,SUITE 402,BUFFALO,NY,UNITED STATES,14202,716-852-0279,716-852-1905,,,,,,,Approved,6/16/2004,5/13/2010,Y,WWW.SANDHILL-IM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"159,449,720.00","1,618,466.00","161,068,186.00",299,42,341,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106043,801-63664,UMA FINANCIAL SERVICES INC,UMA FINANCIAL SERVICES INC,"310 EAST 4500 SOUTH, #500",,SALT LAKE CITY,UT,UNITED STATES,84107,801-747-0800,801-747-3520,,,,,,,Approved,1/3/2005,5/13/2010,Y,UMAFS.ORG,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,"1,000",26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"308,632,185.00",0,"308,632,185.00","2,411",0,"2,411",Y,Y,N,N,Y,N,N,N,N,N,,251-500,,N,N,N,N,N,N,Y,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106797,801-37037,FORTALEZA ASSET MANAGEMENT INC,FORTALEZA ASSET MANAGEMENT INC,30 NORTH LASALLE STREET,SUITE 1526,CHICAGO,IL,UNITED STATES,60602,312-621-6111,312-621-6112,,,,,,,Approved,7/27/1990,5/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"232,379,908.00",0,"232,379,908.00",30,0,30,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,113057,801-61230,"MISSION WEALTH MANAGEMENT, LLC","MISSION WEALTH MANAGEMENT, LLC",1123 CHAPALA STREET,2ND FLOOR,SANTA BARBARA,CA,UNITED STATES,93101,805-882-2360,805-882-2362,,,,,,,Approved,6/7/2002,5/13/2010,Y,WWW.MISSIONWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,10-Jun,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"405,395,121.00","6,370,722.00","411,765,843.00","1,017",5,"1,022",Y,Y,N,Y,Y,Y,N,N,N,Y,FAMILY WEALTH MANAGEMENT,101-250,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,145003,801-70014,DIAMOND PEAK CAPITAL LLC,DIAMOND PEAK CAPITAL LLC,100 RIALTO PLACE  SUITE 716,,MELBOURNE,FL,UNITED STATES,32901,321-541-1216,775-313-9627,774 MAYS BLVD #10-463,,INCLINE VILLAGE,NV,UNITED STATES,89452,Approved,3/12/2009,1/27/2010,Y,HTTP://WWW.DIAMONDPEAKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,10-Jun,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"67,574,354.00",0,"67,574,354.00",90,0,90,N,Y,N,Y,N,Y,N,N,N,Y,ADVISOR TO A LIMITED PARTNERSHIP,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,136369,801-64675,"STEPHENS INVESTMENT MANAGEMENT GROUP, LLC","STEPHENS INVESTMENT MANAGEMENT GROUP, LLC",111 CENTER STREET,,LITTLE ROCK,AR,UNITED STATES,72201,800-458-6589,501-377-2327,,,,,,,Approved,9/2/2005,6/2/2010,Y,WWW.STEPHENSFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,AR,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,NON-CORPORATE ORGANIZATION/FOUNDATION,Y,N,N,N,N,Y,N,,Y,"554,190,422.00","2,570,486.00","556,760,908.00",41,1,42,N,Y,Y,Y,N,N,N,N,N,Y,REGISTRANT PROVIDES ITS MODEL PORTFOLIOS AS RECOMMENDED STRATEGY MODELS TO OTHER ADVISERS FOR USE IN THEIR ADVISORY SERVICES.,,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119239,801-69058,"VERMILLION FINANCIAL ADVISORS, INC.","VERMILLION FINANCIAL ADVISORS, INC.",16 EXECUTIVE COURT,SUITE 3,SOUTH BARRINGTON,IL,UNITED STATES,60010,847-382-9999,847-382-3399,,,,,,,Approved,5/12/2008,6/2/2010,Y,WWW.VERMILLIONFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"97,000,000.00",0,"97,000,000.00",567,0,567,Y,Y,N,Y,Y,Y,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104868,801-28213,RANDOLPH CO INC,RANDOLPH CO INC,4200 MALSBARY ROAD,,CINCINNATI,OH,UNITED STATES,45242,[513]891-7144,[513]891-2018,,,,,,,Approved,12/8/1986,2/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"390,716,522.00",0,"390,716,522.00",45,0,45,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123609,801-66667,"CIG ASSET MANAGEMENT, INC.","CIG ASSET MANAGEMENT, INC.",28411 NORTHWESTERN HIGHWAY,SUITE 1350,SOUTHFIELD,MI,UNITED STATES,48034,248-827-1010,248-827-7167,,,,,,,Approved,5/2/2006,7/21/2010,Y,WWW.CIGCORPORATION.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"90,626,359.00",0,"90,626,359.00",589,0,589,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,Y,Y,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,144221,801-68143,"GLOBAL WEALTH CONSULTANTS, LLC","GLOBAL WEALTH CONSULTANTS, LLC",8955 FONTANA DEL SOL WAY,,NAPLES,FL,UNITED STATES,34109,239-919-2115,239-919-2118,,,,,,,Approved,7/17/2007,7/21/2010,Y,WWW.GWC.US.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,TRUSTS,Y,N,N,N,N,N,N,,Y,"83,870,232.00",0,"83,870,232.00",260,0,260,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111536,801-60792,PILE WEALTH MANAGEMENT,PILE WEALTH MANAGEMENT,ONE INDIANA SQUARE,SUITE 1200,INDIANAPOLIS,IN,UNITED STATES,46204,317-269-3454,317-269-3450,,,,,,,Approved,12/14/2001,7/21/2010,Y,HTTP://WWW.RJPINVESTMENTADVISORS.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"43,375,431.00","64,770,258.00","108,145,689.00",144,99,243,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105891,801-29455,PRINCETON INVESTMENT MANAGEMENT COMPANY,PRIMM & CO INC,,,,,,,609-758-6502,609-758-8364,,,,,,,Approved,5/11/1987,2/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"55,540,402.00","55,996,379.00","111,536,781.00",50,10,60,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111673,801-20657,RAMPART INVESTMENT MANAGEMENT,RAMPART INVESTMENT MANAGEMENT CO INC,1 INTERNATIONAL PLACE,,BOSTON,MA,UNITED STATES,02110-2634,617-342-6900,617-342-6910,,,,,,,Approved,1/13/1984,12/15/2009,Y,WWW.RIMCO.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,251-500,0,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"8,051,897,790.00",0,"8,051,897,790.00",302,0,302,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109291,801-56179,US ADVISORY GROUP INC,US ADVISORY GROUP INC,301 EDGEWATER PLACE,SUITE 410,WAKEFIELD,MA,UNITED STATES,1880,781-246-0222,781-246-9096,,,,,,,Approved,1/29/1999,7/21/2010,Y,USADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"75,000,000.00","15,000,000.00","90,000,000.00",51,150,201,Y,Y,N,Y,N,N,N,N,N,Y,TAX PREPARATION,101-250,,N,N,N,Y,N,N,Y,N,Y,WEALTH ADVISORY GROUP,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106457,801-43337,PRODIGY ASSET MANAGEMENT LLC,PRODIGY ASSET MANAGEMENT LLC,14100 CRAWFORD STREET,,BOYS TOWN,NE,UNITED STATES,68010,402-493-9875,402-493-9575,,,,,,,Approved,1/25/1993,2/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"685,600,000.00",0,"685,600,000.00",157,0,157,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,134471,801-64000,SG CAPITAL MANAGEMENT LLC,SG CAPITAL MANAGEMENT LLC,415 NORTH LASALLE ST,SUITE 401,CHICAGO,IL,UNITED STATES,60654,312-923-0150,312-828-0059,,,,,,,Approved,4/13/2005,7/21/2010,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"107,000,000.00",0,"107,000,000.00",6,0,6,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150740,801-70345,"NEW VISTA INVESTMENT GROUP, LLC","NEW VISTA INVESTMENT GROUP, LLC",20 SOUTH CLARK STREET,SUITE 3000,CHICAGO,IL,UNITED STATES,60603,312-629-0136,312-855-0445,,,,,,,Approved,7/1/2009,7/21/2010,Y,WWW.NV-IG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,Y,PERCENTAGE OF NET INCOME AS DEFINED IN THE SPECIFIC AGREEMENT,Y,"203,700,000.00",0,"203,700,000.00",3,0,3,N,N,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,149642,801-70122,HIGHSTREET  ASSET MANAGEMENT  U.S. INC.,HIGHSTREET  ASSET MANAGEMENT  U.S. INC.,244 PALL MALL STREET,SUITE 350,LONDON,,CANADA,N6A 5P6,519-850-9500,519-850-1214,,,,,,,Approved,4/30/2009,7/21/2010,Y,WWW.HIGHSTREET.CA,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",Nov-50,0,Nov-50,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153696,801-71393,"KESSLER INVESTMENT GROUP, LLC","KESSLER INVESTMENT GROUP, LLC","50 WASHINGTON STREET, SUITE 1A",,COLUMBUS,IN,UNITED STATES,47201,812-314-0083,812-314-0087,,,,,,,Approved,5/13/2010,7/21/2010,Y,WWW.KESSLERIG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"50,000,000.00","19,000,000.00","69,000,000.00",451,943,"1,394",N,Y,N,N,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152254,801-71110,"TWO SIGMA ADVISERS, LLC","TWO SIGMA ADVISERS, LLC",379 WEST BROADWAY,,NEW YORK,NY,UNITED STATES,10012,(212) 625-5700,(212) 625-5800,,,,,,,Approved,2/18/2010,2/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"180,560,332.00",0,"180,560,332.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,151723,801-71645,WEALTHPOINT ADVISORS LLC,WEALTHPOINT ADVISORS LLC,9465 COUNSELORS ROW,SUITE 200,INDIANAPOLIS,IN,UNITED STATES,46240,317-818-1040,317-818-1045,,,,,,,Approved,7/23/2010,7/21/2010,Y,WWW.WEALTHPOINTADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"64,191,963.00",0,"64,191,963.00",140,0,140,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,135791,801-68233,"LIBERTY ASSET MANAGEMENT, INC.","LIBERTY ASSET MANAGEMENT, INC.",6725 KINGERY HIGHWAY,,WILLOWBROOK,IL,UNITED STATES,60527-5142,630-789-9653,630-734-1471,,,,,,,Approved,8/8/2007,2/11/2010,Y,WWW.LIBERTYASSETMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"14,138,337.00","26,632,588.00","40,770,925.00",85,112,197,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110658,801-20514,FCA CORP,FCA CORP,791 TOWN & COUNTRY BLVD.,SUITE 250,HOUSTON,TX,UNITED STATES,77024-3925,713-781-2856,713-781-7195,,,,,,,Approved,1/13/1984,12/15/2009,Y,WWW.FCACORP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"328,923,246.00","2,469,068.00","331,392,314.00",446,19,465,Y,Y,Y,Y,N,N,N,N,N,Y,CONSULTING,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107238,801-51938,"BEAIRD HARRIS WEALTH MANAGEMENT, INC.","BEAIRD HARRIS WEALTH MANAGEMENT, INC.",12221 MERIT DR,STE 750,DALLAS,TX,UNITED STATES,75251,972-503-1040,972-503-1120,,,,,,,Approved,5/20/1996,2/11/2010,Y,HTTP://WWW.BHCOCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"313,526,444.00",0,"313,526,444.00",195,0,195,Y,Y,N,N,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,24913,801-69460,LOWELL AND COMPANY INC,LOWELL AND COMPANY INC,4021 84TH,SUITE 100,LUBBOCK,TX,UNITED STATES,79423,806-747-2644,806-747-2646,,,,,,,Approved,8/20/2008,2/11/2010,Y,LOWELLANDCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,Nov-50,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,"27,679,519.00",0,"27,679,519.00",299,0,299,Y,Y,N,N,N,N,Y,N,N,N,,10-Jan,,N,N,Y,Y,N,N,Y,N,Y,BUSINESS CONSULTANTS,Y,Y,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
BRO,111075,801-56887,"PARKMAN SHAW & CO., INC.","PARKMAN SHAW & CO., INC.",,,,,,,617-731-5261,617-739-0716,,,,,,,Approved,9/29/1999,2/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"27,630,391.00",0,"27,630,391.00",39,0,39,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,151970,801-71029,"TAYLOR ASSET MANAGEMENT, INC.","TAYLOR ASSET MANAGEMENT, INC.",714 SOUTH DEARBORN STREET,2ND FLOOR,CHICAGO,IL,UNITED STATES,60605,312-583-0500,312-583-0502,,,,,,,Approved,2/25/2010,2/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"35,403,542.00",0,"35,403,542.00",30,0,30,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,104719,801-27828,PACIFIC INCOME ADVISERS INC,PACIFIC INCOME ADVISERS INC,1299 OCEAN AVE STE 210,,SANTA MONICA,CA,USA,90401-1036,310-393-1424,310-434-0100,,,,,,,Approved,9/4/1986,7/21/2010,Y,WWW.PACIFICINCOME.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,More than 500,"7,500",Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,STRIKE/HOSPITAL FUNDS,Y,N,N,N,N,Y,N,,Y,"4,444,628,337.00",0,"4,444,628,337.00","7,539",0,"7,539",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
DRO,112829,801-16541,"COOK STREET CONSULTING, INC.","COOK STREET CONSULTING, INC.",5299 DTC BLVD,SUITE 1150,GREENWOOD VILLAGE,CO,UNITED STATES,80111,303-333-7770,303-333-7771,,,,,,,Approved,10/16/1981,2/11/2010,Y,WWW.COOKSTREETCONSULTING.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"168,902,984.00","4,896,805,373.00","5,065,708,357.00",2,57,59,N,N,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,134246,801-63926,AAD CAPITAL MANAGEMENT L.P.,AAD CAPITAL MANAGEMENT L.P.,420 STEVENS AVENUE,SUITE 210,SOLANA BEACH,CA,UNITED STATES,92075,858-427-1437,858-350-5171,,,,,,,Approved,2/9/2005,2/11/2010,Y,WWW.AADCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP (LP),DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"34,740,798.00",0,"34,740,798.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,142580,801-67426,ASHFIELD CAPITAL PARTNERS,"ASHFIELD CAPITAL PARTNERS, LLC","750 BATTERY STREET, SUITE 600",,SAN FRANCISCO,CA,USA,94111,415-391-4747,415-391-1234,,,,,,,Approved,1/4/2007,7/21/2010,Y,WWW.ASHFIELD.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,More than 500,"9,000",Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,WRAP PROGRAM CLIENTS,Y,N,N,Y,N,N,N,,Y,"2,866,620,813.00","860,713,318.00","3,727,334,131.00","3,967","4,807","8,774",N,Y,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR WRAP FEE PROGRAMS,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,133040,801-63741,"ACORN ADVISORY CAPITAL, L.P.","ACORN ADVISORY CAPITAL, L.P.",590 MADISON AVENUE,30TH FLOOR,NEW YORK,NY,USA,10022,212-838-7000,212-838-7594,,,,,,,Approved,1/3/2005,2/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"459,273,139.00",0,"459,273,139.00",7,0,7,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108967,801-57836,FBB CAPITAL PARTNERS,"FULTON BREAKEFIELD BROENNIMAN,LLC",4520 EAST-WEST HIGHWAY,SUITE 450,BETHESDA,MD,UNITED STATES,20814,301-657-8870,301-657-0866,,,,,,,Approved,8/4/2000,7/22/2010,Y,WWW.FBBCAPITALPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,10-Jun,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"413,933,487.00","10,120,471.00","424,053,958.00","1,326",162,"1,488",Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N
NYRO,138163,801-65607,"SPINNER ASSET MANAGEMENT, LLC","SPINNER ASSET MANAGEMENT, LLC","730 FIFTH AVENUE, STE. 1601",,NEW YORK,NY,UNITED STATES,10019,212-223-3410,212-223-3415,,,,,,,Approved,2/1/2006,7/22/2010,Y,WWW.SPINNERASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"171,000,000.00",0,"171,000,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HEDGE FUND,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,123711,801-61622,"TORTOISE CAPITAL ADVISORS, L.L.C.","TORTOISE CAPITAL ADVISORS, L.L.C.","11550 ASH STREET, SUITE 300",,LEAWOOD,KS,UNITED STATES,66211,(913) 981-1020,(913) 981-1021,,,,,,,Approved,11/22/2002,7/22/2010,Y,WWW.TORTOISEADVISORS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,141,891,100.00",0,"3,141,891,100.00",300,0,300,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,Y,N,Y,N,Y,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,150119,801-70207,"MONTE FINANCIAL GROUP, LLC","MONTE FINANCIAL GROUP, LLC",1205 BOSTON POST ROAD,,GUILFORD,CT,UNITED STATES,6437,203-453-6851,203-453-6855,,,,,,,Approved,6/4/2009,7/22/2010,Y,WWW.MONTEFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"71,553,000.00",0,"71,553,000.00",418,0,418,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,123688,801-67307,VERDANT CAPITAL MANAGEMENT INC.,VERDANT CAPITAL MANAGEMENT INC.,,,,,,,310-540-2818,310-961-5969,3838 CARSON STREET SUITE #218,,TORRANCE,CA,UNITED STATES,90503,Approved,11/21/2006,2/8/2010,Y,WWW.VERDANTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,SELECTION OF OTHER ADVISORS,Y,"30,000,000.00","8,000,000.00","38,000,000.00",108,80,188,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,148864,801-69902,WTM WEALTH MANAGEMENT CORPORATION,WTM WEALTH MANAGEMENT CORPORATION,500 PORTION ROAD,SUITE 2,LAKE RONKONKOMA,NY,UNITED STATES,11779,877-275-4986 EXT. 55,877-630-8807,,,,,,,Approved,2/6/2009,2/8/2010,Y,WWW.WTMWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,More than 500,597,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"33,359,575.00",0,"33,359,575.00",725,0,725,N,Y,N,N,N,N,N,N,Y,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,125117,801-63771,INTERACTIVE FINANCIAL ADVISORS,"INTERACTIVE FINANCIAL ADVISORS, INC.",DRAKE OAKBROOK PLAZA,"2215 YORK ROAD, SUITE 306",OAKBROOK,IL,USA,60523,630-472-1300,630-472-1305,,,,,,,Approved,1/3/2005,2/8/2010,Y,WWW.INTERACTIVEFINANCIALADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"166,560,635.00",0,"166,560,635.00","3,786",0,"3,786",Y,Y,N,N,N,N,N,N,N,Y,LOCKWOOD/SEI ACCOUNTS,26-50,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,122160,801-61385,"SANCO SERVICES, INC.","SANCO SERVICES, INC.",3912 BETSY KERRISON PKWY,,JOHNS ISLAND,SC,USA,29455,800-245-0494,843-243-8509,,,,,,,Approved,8/13/2002,2/8/2010,Y,HTTP://WWW.SANCOSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"53,758,148.00",0,"53,758,148.00",269,0,269,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,127269,801-63460,PENBROOK MANAGEMENT LLC,PENBROOK MANAGEMENT LLC,570 LEXINGTON AVE,12TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-702-6625,212-702-6630,,,,,,,Approved,8/27/2004,2/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"68,618,189.00",0,"68,618,189.00",182,0,182,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,132563,801-63491,"HOLLIS CAPITAL MANAGEMENT, LLC","HOLLIS CAPITAL MANAGEMENT, LLC","100 SPEAR ST., SUITE 935",,SAN FRANCISCO,CA,UNITED STATES,94105,(415) 546-2205,(415) 546-2201,,,,,,,Approved,9/2/2004,2/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"42,000,000.00",0,"42,000,000.00",1,0,1,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,118971,801-60923,MERIDIAN ADVISORY SERVICES,MERIDIAN ADVISORY SERVICES LLC,,,,,,,231-237-9715,231-237-9615,PO BOX 227,,CHARLEVOIX,MI,,49720,Approved,2/14/2002,2/8/2010,Y,WWW.MERIDIAN-ADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"30,000,000.00",0,"30,000,000.00",60,0,60,Y,Y,N,N,N,Y,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107798,801-56453,GOVATOS INVESTMENT CONSULTING,GOVATOS JAMES A INVESTMENT CONSULTING INC,,,,,,,610-296-2471,610-296-2681,,,,,,,Approved,4/19/1999,2/8/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,105983,801-42708,INTEGRITY MANAGEMENT & RESEARCH INC,INTEGRITY MANAGEMENT & RESEARCH INC,221 PENSACOLA ROAD,,VENICE,FL,UNITED STATES,34285,941-484-4000,941-480-0555,,,,,,,Approved,11/16/1992,2/8/2010,Y,WWW.VALIANTFUND.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109404,801-57326,I FINANCIAL,INDEPENDENT FINANCIAL ADVISORS LLC,"5995 BROCKTON AVENUE, SUITE B",,RIVERSIDE,CA,USA,92506-1867,951-328-0894,951-328-0895,,,,,,,Approved,4/3/2000,2/8/2010,Y,WWW.IFADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"76,102,937.00",0,"76,102,937.00",178,0,178,Y,Y,N,Y,Y,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,151402,801-70556,QUANTFLOW STRATEGIES LLC,QUANTFLOW STRATEGIES LLC,,,,,,,415-596-4966,415-480-1829,,,,,,,Approved,9/8/2009,2/8/2010,Y,WWW.QUANTFLOW.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"26,000,000.00",0,"26,000,000.00",103,0,103,Y,Y,N,N,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,132818,801-63546,"LENOX WEALTH MANAGEMENT, INC.","LENOX WEALTH MANAGEMENT, INC.",8044 MONTGOMERY ROAD,SUITE 480,CINCINNATI,OH,UNITED STATES,45236,513-618-7080,513-618-7079,,,,,,,Approved,9/29/2004,4/5/2010,Y,WWW.LENOXWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"535,084,000.00","520,000.00","535,604,000.00","1,270",10,"1,280",Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,125272,801-61827,"WALL FOSS ADVISORS, INC.","WALL FOSS ADVISORS, INC.",212 E HIGHLAND DRIVE,SUITE 201,LAKELAND,FL,UNITED STATES,33813,863-683-0708,863-686-0799,,,,,,,Approved,2/14/2003,4/5/2010,Y,WWW.WALLFOSS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"89,968,386.00","6,267,282.00","96,235,668.00",254,95,349,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,151471,801-70731,"EMERGINGWEALTH INVESTMENT MANAGEMENT, INC.","EMERGINGWEALTH INVESTMENT MANAGEMENT, INC.",5700 CORPORATE DRIVE,SUITE 360,PITTSBURGH,PA,UNITED STATES,15237,412-635-9210,412-635-9213,,,,,,,Approved,10/28/2009,4/5/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,122169,801-64794,SCOTT C. MARSH FINANCIAL,SCOTT CLYDE MARSH,,,,,,,801-272-4677,801-272-4410,,,,,,,Approved,11/14/2005,9/2/2009,Y,WWW.SCOTTMARSH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,UT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"41,000,000.00",0,"41,000,000.00",188,0,188,Y,Y,N,N,N,N,Y,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,Y,TAX PREPARATION AND PLANNING,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110882,801-45239,FRY HENSLEY & CO,FRY HENSLEY & CO,700 WALNUT STREET,STE 650,CINCINNATI,OH,UNITED STATES,45202,513-357-4440,513-357-4444,,,,,,,Approved,1/5/1994,4/5/2010,Y,WWW.FRYHENSLEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"29,733,703.00",0,"29,733,703.00",171,0,171,Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,130791,801-62919,"RESOURCE MANAGEMENT SERVICE, LLC","RESOURCE MANAGEMENT SERVICE, LLC",31 INVERNESS CENTER PARKWAY,SUITE 360,BIRMINGHAM,AL,UNITED STATES,35242,205-991-9516,205-991-2807,,,,,,,Approved,2/20/2004,4/5/2010,Y,RESOURCEMGT.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,AL,UNITED STATES,51-250,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,EDUCATIONAL ENDOWMENTS,Y,N,N,Y,N,Y,Y,TRANSACTION-BASED FEES,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,TIMBERLAND INVESTMENT MANAGEMENT,0,,N,N,N,N,N,N,N,N,Y,TIMBERLAND BROKER,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131534,801-66006,"NPA ASSET MANAGEMENT, LLC","NPA ASSET MANAGEMENT, LLC",PLAZA II 117 WEST CENTURY ROAD,SUITE 150,PARAMUS,NJ,UNITED STATES,7652,201-476-0029,201-476-0132,,,,,,,Approved,2/23/2006,4/5/2010,Y,WWW.NATIONWIDEPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,REFERRAL FEES,Y,"39,150,000.00",0,"39,150,000.00",270,0,270,N,Y,N,Y,N,Y,N,N,N,Y,TACTICAL ASSET ALLOCATION,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,141558,801-71318,"ESTATE AND BUSINESS PLANNING GROUP, PA","ESTATE AND BUSINESS PLANNING GROUP, PA",305 DOUGLAS AVE,,ALTAMONTE SPRINGS,FL,UNITED STATES,32714,407-389-1122,407-862-0418,,,,,,,Approved,4/28/2010,4/5/2010,Y,WWW.DROPHELP.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,More than 75 percent,Up to 10 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,N,N,N,N,,N,0,0,0,0,0,0,Y,N,Y,N,N,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,125181,801-62250,MCCARTHY CAPITAL CORPORATION,MCCARTHY CAPITAL CORPORATION,1601 DODGE ST,SUITE 3800,OMAHA,NE,UNITED STATES,68102,402-932-8600,402-991-0020,,,,,,,Approved,8/15/2003,4/5/2010,Y,HTTP://MCCARTHYCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"394,537,594.00","300,653,805.00","695,191,399.00",5,1,6,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,127346,801-66540,"TOOMEY INVESTMENT MANAGEMENT, INC","TOOMEY INVESTMENT MANAGEMENT, INC",420 CENTER STREET,1ST FLOOR,WALLINGFORD,CT,UNITED STATES,6492,203-949-1710,203-265-6874,,,,,,,Approved,5/15/2006,4/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"41,000,000.00","10,000,200.00","51,000,200.00",775,65,840,Y,Y,N,N,Y,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135129,801-64196,EAGLE STEWARD WEALTH MANAGEMENT LLC,EAGLE STEWARD WEALTH MANAGEMENT LLC,2084 HYDESVILLE ROAD,SUITE 3,NEWARK,NY,UNITED STATES,14513,585-218-9860,585-218-0901,,,,,,,Approved,4/29/2005,4/5/2010,Y,WWW.EAGLESTEWARD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"42,920,874.00",0,"42,920,874.00",682,0,682,Y,Y,N,N,N,N,N,N,N,N,,0,,Y,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,107852,801-36918,CORNERCAP INVESTMENT COUNSEL INC,CORNERCAP INVESTMENT COUNSEL INC,1355 PEACHTREE STREET N.E.,SUITE 1700,ATLANTA,GA,UNITED STATES,30309,404.870.0700,404.870.0770,,,,,,,Approved,4/30/1990,4/5/2010,Y,WWW.CORNERCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,Nov-50,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"568,966,925.00",0,"568,966,925.00",655,0,655,N,Y,Y,Y,N,Y,Y,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,116761,801-60760,AETOS ALTERNATIVES MANAGEMENT,"AETOS ALTERNATIVES MANAGEMENT, LLC",2180 SAND HILL ROAD,FOURTH FLOOR,MENLO PARK,CA,UNITED STATES,94025,650-234-1862,650-234-1888,,,,,,,Approved,12/13/2001,4/5/2010,Y,WWW.AETOSCAPITAL.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,251-500,0,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"3,376,580,215.00","698,138,000.00","4,074,718,215.00",260,3,263,N,Y,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110240,801-60043,"TRUST AND FIDUCIARY MANAGEMENT SERVICES, INC.","TRUST AND FIDUCIARY MANAGEMENT SERVICES, INC.",33 BROAD STREET,SUITE 402,BOSTON,MA,UNITED STATES,2109,617-896-3689,617-896-3690,,,,,,,Approved,2/23/2001,4/5/2010,Y,WWW.TFMSBOS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,26-50 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"15,000,000.00","10,000,000.00","25,000,000.00",48,21,69,N,Y,N,Y,N,N,N,N,N,Y,SPECIAL PROJECTS,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,138689,801-65675,"FIRST Q CAPITAL, LLC","FIRST Q CAPITAL, LLC","888 SAN CLEMENTE DRIVE, SUITE 180",,NEWPORT BEACH,CA,UNITED STATES,92660,949-720-3000,949-861-6590,,,,,,,Approved,1/27/2006,4/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"176,966,000.00",0,"176,966,000.00",3,0,3,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,153325,801-71215,"CUMMINGS BAY CAPITAL MANAGEMENT, L.P.","CUMMINGS BAY CAPITAL MANAGEMENT, L.P.",13455 NOEL ROAD,SUITE 800,DALLAS,TX,UNITED STATES,75240,972-628-4100,972-628-4147,,,,,,,Approved,4/1/2010,4/5/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,Up to 10 percent,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,Y,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N
DRO,121742,801-61486,CA PARTNERS LLC,CA PARTNERS LLC,,,,,,,970-925-2926,970-925-2045,P.O. BOX 4389,,ASPEN,CO,UNITED STATES,81612,Approved,10/4/2002,4/5/2010,Y,WWW.CAPARTNERSFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"91,210,960.00",0,"91,210,960.00",5,0,5,N,N,N,N,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR OTHER POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110264,801-56868,HARRIS MYCFO INVESTMENT ADVISORY SERVICES LLC,HARRIS MYCFO INVESTMENT ADVISORY SERVICES LLC,1080 MARSH ROAD,SUITE.100,MENLO PARK,CA,UNITED STATES,94025,650-210-5000,650-210-5099,,,,,,,Approved,10/20/1999,4/5/2010,Y,WWW.HARRISMYCFO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"5,355,258,382.00","1,487,268,756.00","6,842,527,138.00","1,689",966,"2,655",N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,129987,801-67789,"MAJOR LEAGUE INVESTMENTS, INC.","MAJOR LEAGUE INVESTMENTS, INC.",530 LORING AVENUE,SUITE 302,SALEM,MA,UNITED STATES,1970,978-740-1011,978-744-8240,,,,,,,Approved,4/17/2007,4/5/2010,Y,WWW.MAJORLEAGUEINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"35,517,079.00",0,"35,517,079.00",163,0,163,Y,Y,N,Y,N,Y,N,N,N,Y,TAX PREPARATION SERVICES,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152331,801-70902,TRILANTIC CAPITAL PARTNERS,TRILANTIC CAPITAL MANAGEMENT LLC,"399 PARK AVE. , 15TH FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-607-8450,,,,,,,,Approved,1/4/2010,12/17/2009,Y,HTTP://WWW.TRILANTICPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,700,000,000.00",0,"2,700,000,000.00",15,0,15,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,140030,801-68929,BKM WEALTH MANAGEMENT GROUP LLC,BKM WEALTH MANAGEMENT GROUP LLC,"3601 HOBSON ROAD, #202",,FORT WAYNE,IN,UNITED STATES,46815,260-918-4500,888-479-4468,,,,,,,Approved,3/11/2008,4/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"13,666,000.00","14,624,000.00","28,290,000.00",186,76,262,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,122320,801-71289,"MARYLAND FINANCIAL GROUP, INC.","MARYLAND FINANCIAL GROUP, INC.",50 W. MONTGOMERY AVE.,STE 260,ROCKVILLE,MD,UNITED STATES,20850,301-251-8550,301-251-8554,,,,,,,Approved,4/6/2010,4/5/2010,Y,WWW.LEGACYWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"53,195,865.00","2,829,439.00","56,025,304.00",245,24,269,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,149624,801-70177,GUIDESTONE ADVISORS,GUIDESTONE ADVISORS,2401 CEDAR SPRINGS ROAD,,DALLAS,TX,UNITED STATES,75201-1498,214-720-6486,214-720-2105,,,,,,,Approved,6/1/2009,12/17/2009,Y,HTTP://WWW.GUIDESTONE.ORG  (ORGANIZATION WEB SITE THAT CONTAINS LINKS TO ALL GUIDESTONE AFFILIATES' WEBSITES),N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,NO FEES ARE CHARGED.,N,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,149008,801-70206,"ARMORY CAPITAL MANAGEMENT, LLC","ARMORY CAPITAL MANAGEMENT, LLC",110 WEST FAYETTE STREET,SUITE 900,SYRACUSE,NY,UNITED STATES,13202,315-701-6452,315-423-2815,,,,,,,Approved,5/21/2009,4/5/2010,Y,WWW.ARMORYCM.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"18,881,068.00","6,081,212.00","24,962,280.00",142,4,146,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,Y,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,126536,801-61995,BROOKFIELD SOUNDVEST CAPITAL MANAGEMENT LTD.,BROOKFIELD SOUNDVEST CAPITAL MANAGEMENT LTD.,100 SPARKS STREET,9TH FLOOR,"OTTAWA, ONTARIO",,CANADA,KIP5B7,613-236-7361,613-236-6130,,,,,,,Approved,4/22/2003,4/5/2010,Y,WWW.BROOKFIELDSOUNDVEST.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"298,136,646.00",0,"298,136,646.00",60,0,60,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,Y,N,N,N,N,N,Y,SOUNDVEST POOLED FUNDS,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,139843,801-66435,"HIGHVIEW POINT PARTNERS, LLC","HIGHVIEW POINT PARTNERS, LLC",1055 WASHINGTON BOULEVARD,,STAMFORD,CT,UNITED STATES,6901,203-391-6720,203-391-6721,,,,,,,Approved,3/21/2006,4/5/2010,Y,HTTP://WWW.HIGHVIEWPOINT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"194,451,310.00",0,"194,451,310.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,121696,801-62072,"MCDONALD PRESLEY CAPITAL MANAGEMENT, INC.","MCDONALD PRESLEY CAPITAL MANAGEMENT, INC.",6319-D MUTUAL DRIVE,,FORT WAYNE,IN,UNITED STATES,46825,260-969-6767,260-969-6769,,,,,,,Approved,6/3/2003,4/5/2010,Y,WWW.MCDONALDPRESLEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"46,405,547.00",0,"46,405,547.00",473,0,473,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,112133,801-60973,DECKERT FINANCIAL MANAGEMENT INC,DECKERT FINANCIAL MANAGEMENT INC,812 MOOREFIELD PARK DRIVE,SUITE 110,RICHMOND,VA,UNITED STATES,23236-3675,804-421-0063,804-421-0067,,,,,,,Approved,3/21/2002,4/5/2010,Y,WWW.DECKERTLEAHY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY INVESTMENT MGMT FEES,Y,"41,089,052.00","897,343.00","41,986,395.00",392,73,465,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,Y,N,N,N,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106341,801-40364,STONEBRIDGE CAPITAL MANAGEMENT,STONEBRIDGE FINANCIAL INC,33 CLINTON ROAD,,WEST CALDWELL,NJ,USA,7006,973-244-9696,973-244-9441,,,,,,,Approved,12/16/1991,4/5/2010,Y,WWW.SBCM.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,Nov-50,0,251-500,0,More than 75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"137,768,879.00",0,"137,768,879.00",569,0,569,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108040,801-57062,STONEBRIDGE CAPITAL MANAGEMENT II LLC,STONEBRIDGE CAPITAL MANAGEMENT II LLC,33 CLINTON ROAD,,WEST CALDWELL,NJ,USA,7006,973-244-9696,973-244-9441,,,,,,,Approved,12/10/1999,4/5/2010,Y,WWW.SBCM.NET,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,More than 75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"19,533,970.00",0,"19,533,970.00",79,0,79,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,151085,801-70893,"HARBOR INVESTMENT ADVISORY, LLC","HARBOR INVESTMENT ADVISORY, LLC",100 LIGHT STREET,SUITE 1300,BALTIMORE,MD,UNITED STATES,21202,410-456-1485,,,,,,,,Approved,1/4/2010,4/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,0,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"12,228,215.00","74,649,128.00","86,877,343.00",4,64,68,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108077,801-56956,STONEBRIDGE CAPITAL MANAGEMENT III LLC,STONEBRIDGE CAPITAL MANAGEMENT III LLC,33 CLINTON ROAD,,WEST CALDWELL,NJ,USA,7006,973-244-9696,973-244-9441,,,,,,,Approved,10/28/1999,4/5/2010,Y,WWW.SBCM.NET,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"8,109,496.00",0,"8,109,496.00",19,0,19,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137788,801-65629,"R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC.","R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC.",1700 BROADWAY,FLOOR 39,NEW YORK,NY,UNITED STATES,10019,212-245-0400,212-245-4030,,,,,,,Approved,1/27/2006,4/5/2010,Y,WWW.NIEDERHOFFER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,"RGNCM CHARGES, AS A PERCENTAGE OF AUM, AN ADMINISTRATION FEE",Y,"923,981,053.00",0,"923,981,053.00",12,0,12,N,N,N,N,N,N,N,N,N,Y,ADVISING PRIVATE INVESTMENT FUNDS,0,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111805,801-60311,"STONEBRIDGE CAPITAL MANAGEMENT, IV","STONEBRIDGE CAPITAL MANAGEMENT, IV",33 CLINTON ROAD,,WEST CALDWELL,NJ,USA,7006,973-244-9696,973-244-9441,,,,,,,Approved,6/8/2001,4/5/2010,Y,WWW.SBCM.NET,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,More than 75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"12,553,519.00",0,"12,553,519.00",20,0,20,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112202,801-60273,"UNITED INVESTMENT MANAGERS, INC.","UNITED INVESTMENT MANAGERS, INC.",10 SOUTH LASALLE STREET,SUITE 1380,CHICAGO,IL,UNITED STATES,60603,312.332.4751,312.332.4980,,,,,,,Approved,5/11/2001,4/5/2010,Y,WWW.UNITEDIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"246,000,000.00","246,000,000.00",0,6,6,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,120506,801-70842,JDC FINANCIAL MANAGEMENT,"DALTON, JOHN, HANSEN","433 METAIRIE ROAD, SUITE 500",,METAIRIE,LA,UNITED STATES,70005,504-835-4006,504-834-1420,,,,,,,Approved,12/10/2009,4/5/2010,Y,WWW.JDCFM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"60,000,000.00",0,"60,000,000.00",200,0,200,N,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,145363,801-68490,"REGATTA CAPITAL GROUP, LLC","REGATTA CAPITAL GROUP, LLC",2301 ROSECRANS AVE.,SUITE 2160,EL SEGUNDO,CA,USA,90245,310-725-9102,310-725-9158,,,,,,,Approved,11/13/2007,4/5/2010,Y,WWW.REGATTAINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"8,015,057.00","50,141,715.00","58,156,772.00",105,504,609,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137097,801-64915,"STONEBRIDGE CAPITAL MANAGEMENT IX, L.L.C.","STONEBRIDGE CAPITAL MANAGEMENT IX, L.L.C.",33 CLINTON ROAD,,WEST CALDWELL,NJ,USA,7006,973-244-9696,973-244-9441,,,,,,,Approved,12/16/2005,4/5/2010,Y,WWW.SBCM.NET,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,More than 75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"3,339,070.00",0,"3,339,070.00",15,0,15,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,147385,801-69251,"STONEBRIDGE CAPITAL MANAGEMENT VI, L.L.C.","STONEBRIDGE CAPITAL MANAGEMENT VI, L.L.C.",33 CLINTON ROAD,,WEST CALDWELL,NJ,USA,7006,973-244-9696,973-244-9441,,,,,,,Approved,7/18/2008,4/5/2010,Y,WWW.SBCM.NET,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,51-75 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"14,978,964.00",0,"14,978,964.00",33,0,33,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145628,801-68589,"PINNACLE FAMILY ADVISORS, LLC","PINNACLE FAMILY ADVISORS, LLC",3010 E. BATTLEFIELD STREET,SUITE A,SPRINGFIELD,MO,UNITED STATES,65804-4018,417-886-6590,417-886-6593,,,,,,,Approved,12/10/2007,4/5/2010,Y,WWW.PINNACLEFAMILYADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SHARES IN FEES PAID TO THIRD PARTY ADVISERS; % OF PLAN ASSETS,Y,"25,327,969.00","3,328,357.00","28,656,326.00",162,2,164,Y,Y,N,Y,Y,Y,N,N,N,Y,FINANCIAL AND BUSINESS CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106352,801-53347,USAA FINANCIAL PLANNING SERVICES,"USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.",9800 FREDERICKSBURG ROAD,,SAN ANTONIO,TX,UNITED STATES,78288-0227,800-531-USAA,210-498-4022,,,,,,,Approved,11/27/1996,3/29/2010,Y,HTTPS://WWW.USAA.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,More than 1000,"1,000",501-1000,0,501-1000,0,5-Jan,0,More than 500,"21,500",More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,N,,More than 500,21500,N,N,N,N,N,N,Y,N,N,,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N
ARO,125071,801-70374,CIOVACCO CAPITAL MANAGEMENT,CIOVACCO CAPITAL MANAGEMENT LLC,,,,,,,678-362-7698,1-866-650-3443,,,,,,,Approved,7/10/2009,3/29/2010,Y,WWW.CIOVACCOCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,102,719.00",0,"34,102,719.00",288,0,288,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,138791,801-65187,"MCGINN, MCKEAN & O'NEILL, INC.","MCGINN, MCKEAN & O'NEILL, INC.",201 N. UNION STREET,SUITE 100,ALEXANDRIA,VA,UNITED STATES,22314,703-548-2555,703-548-2556,,,,,,,Approved,1/10/2006,3/29/2010,Y,WWW.MMOINVESTMENTS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"8,972,786.00",0,"8,972,786.00",12,0,12,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111616,801-57184,"APERIO GROUP, LLC","APERIO GROUP, LLC","THREE HARBOR DRIVE, SUITE 315",,SAUSALITO,CA,UNITED STATES,94965,415-339-4300,415-339-4301,,,,,,,Approved,1/20/2000,3/29/2010,Y,WWW.APERIOGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,296,998,504.00",0,"1,296,998,504.00",398,0,398,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,134535,801-64056,CUMBERLAND ASSOCIATES LLC,CUMBERLAND ASSOCIATES LLC,"1114 AVENUE OF THE AMERICAS, 38TH FLOOR",,NEW YORK,NY,UNITED STATES,10036,212-536-9700,212-703-1459,,,,,,,Approved,3/22/2005,3/29/2010,Y,WWW.CUMBERASSOC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"364,916,873.00",0,"364,916,873.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,147285,801-69309,FOLDES FINANCIAL MANAGEMENT,"FOLDES FINANCIAL MANAGEMENT, LLC",9150 SOUTH DADELAND BLVD.,SUITE 902,MIAMI,FL,UNITED STATES,33156,305-670-0545,305-670-0636,,,,,,,Approved,6/24/2008,3/29/2010,Y,WWW.FOLDESFM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"323,700,000.00",0,"323,700,000.00","1,948",0,"1,948",Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109330,801-56679,IRONWOOD CAPITAL MANAGEMENT CORP,IRONWOOD CAPITAL MANAGEMENT CORP,"ONE MARKET PLAZA, STEUART TOWER",SUITE 2500,SAN FRANCISCO,CA,UNITED STATES,94105,415-777-2400,415-777-2600,,,,,,,Approved,7/13/1999,3/29/2010,Y,WWW.IRONWOODPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,Nov-50,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,038,838,171.00",0,"2,038,838,171.00",14,0,14,N,N,N,Y,N,N,N,N,N,Y,HEDGE FUND OF FUNDS INVESTMENT MANAGER,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,141341,801-67192,"FIDELIS CAPITAL, LLC","FIDELIS CAPITAL, LLC",3104 BLUE LAKE DR.,STE. 120,BIRMINGHAM,AL,UNITED STATES,35243,205.588.6022,800.490.6448,,,,,,,Approved,10/6/2006,3/29/2010,Y,WWW.FIDELISCAPITAL.NET,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,AL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,CARRIED INTEREST ALLOCATION,Y,"1,465,370.00",0,"1,465,370.00",2,0,2,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,137228,801-65966,"EBF & ASSOCIATES, L.P.","EBF & ASSOCIATES, L.P.",SUITE 200,601 CARLSON PARKWAY,MINNETONKA,MN,USA,55305,952-476-7200,952-476-7201,,,,,,,Approved,2/1/2006,3/29/2010,Y,WWW.EBF.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,493,468,031.00",0,"1,493,468,031.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110829,801-46835,INVESTAMERICA INVESTMENT ADVISORS INC,INVESTAMERICA INVESTMENT ADVISORS INC,"101 SECOND STREET, SE",SUITE 800,CEDAR RAPIDS,IA,USA,52401,319-363-8249,319-363-9683,,,,,,,Approved,6/29/1994,3/29/2010,Y,WWW.INVESTAMERICAVENTUREGROUP.COM,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"11,775,272.00",0,"11,775,272.00",1,0,1,N,N,Y,N,N,N,N,N,N,Y,BUSINESS DEVELOPMENT CORPORATION,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,134416,801-64982,BAC GLOBAL ADVISORS,"BAC GLOBAL ADVISORS, INC.",2333 PONCE DE LEON BLVD.,SUITE 700-A,CORAL GABLES,FL,UNITED STATES,33134,305-523-6516,305-375-0362,,,,,,,Approved,12/2/2005,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,ENDOWMENT,Y,N,N,N,N,N,N,,Y,"31,000,000.00","16,000,000.00","47,000,000.00",9,7,16,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,141491,801-67093,HALCYON ASSET-BACKED ADVISORS L.P.,HALCYON ASSET-BACKED ADVISORS L.P.,477 MADISON AVENUE,8TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-303-9400,212-935-1831,,,,,,,Approved,9/7/2006,3/29/2010,Y,WWW.HALCYONLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"561,430,000.00",0,"561,430,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150056,801-70178,"MBF ASSET MANAGEMENT, LLC","MBF ASSET MANAGEMENT, LLC",1200 WEST BROADWAY,,HEWLETT,NY,UNITED STATES,11557,516-792-9600,516-295-5230,,,,,,,Approved,5/19/2009,3/29/2010,Y,WWW.MBFASSETMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"135,000,000.00",0,"135,000,000.00",17,0,17,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,116986,801-61400,"INVESTAMERICA N.D. MANAGEMENT, INC.","INVESTAMERICA N.D. MANAGEMENT, INC.",101 2ND STREET SE,SUITE 800,CEDAR RAPIDS,IA,USA,52401,319-363-8249,319-363-9683,,,,,,,Approved,8/23/2002,3/29/2010,Y,WWW.INVESTAMERICAVENTUREGROUP.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,VENTURE CAPITAL LIMITED PARTNERSHIP,N,N,N,Y,N,N,Y,CAPITAL UNDER MANAGEMENT AND CARRIED INTEREST,Y,"3,172,064.00",0,"3,172,064.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,143384,801-68068,"RESOURCE HORIZONS INVESTMENT ADVISORY, INC.","RESOURCE HORIZONS INVESTMENT ADVISORY, INC.","1350 CHURCH STREET, EXT., N.E.",3RD FLOOR,MARIETTA,GA,USA,30060,770-319-1970,770-319-1676,,,,,,,Approved,6/21/2007,3/29/2010,Y,WWW.RESOURCEHORIZONS.COM,N,N,N,N,N,N,N,N,N,Y,N,N,N,Corporation,,GA,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"13,604,693.00","20,757,128.00","34,361,821.00",105,179,284,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123798,801-61627,"INVESTAMERICA L&C MANAGEMENT,INC.","INVESTAMERICA L&C MANAGEMENT,INC.","101 2ND STREET SE, SUITE 800",,CEDAR RAPIDS,IA,USA,52401,319-363-8249,319-363-9683,,,,,,,Approved,12/10/2002,3/29/2010,Y,WWW.INVESTAMERICAVENTUREGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,VENTURE CAPITAL LIMITED PARTNERSHIP,N,N,N,Y,N,N,Y,CAPITAL UNDER MANAGEMENT AND CARRIED INTEREST,Y,"29,445,726.00",0,"29,445,726.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,141616,801-67152,HALCYON LOAN INVESTORS L.P.,HALCYON LOAN INVESTORS L.P.,"477 MADISON AVENUE, 8TH FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-303-9400,212-935-1831,,,,,,,Approved,10/5/2006,3/29/2010,Y,WWW.HALCYONLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,CLO ENTITIES,Y,N,N,N,N,Y,Y,COLLATERAL MANAGEMENT FEES FOR CLO ENTITIES,Y,"828,529,109.00",0,"828,529,109.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106590,801-13773,SAROFIM TRUST CO,SAROFIM TRUST CO,TWO HOUSTON CENTER,SUITE 2907,HOUSTON,TX,UNITED STATES,77010-1014,713-654-4484,713-654-8184,,,,,,,Approved,4/13/1978,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"174,882,017.00","7,984.00","174,890,001.00",36,1,37,N,Y,N,Y,N,N,N,N,N,Y,TRUST SERVICES,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105917,801-29558,SMITH W B & CO INC,SMITH W B & CO INC,,,,,,,978-468-2213,978-468-2213,P.O. BOX 2399,,SO. HAMILTON,MA,UNITED STATES,1982,Approved,4/28/1987,3/29/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,26-50 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,TRANSACTION FEES,Y,0,"41,461,150.00","41,461,150.00",0,16,16,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111787,801-60188,"SCOUT INVESTMENT ADVISORS, INC.","SCOUT INVESTMENT ADVISORS, INC.",1010 GRAND BLVD,,KANSAS CITY,MO,UNITED STATES,64106,816-860-7000,816-842-1027,,,,,,,Approved,4/11/2001,3/29/2010,Y,WWW.SCOUT-IA.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,251-500,0,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,26-50 percent,26-50 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"8,248,255,376.00",0,"8,248,255,376.00",277,0,277,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,133194,801-64124,"INVESTAMERICA NW MANAGEMENT, INC.","INVESTAMERICA NW MANAGEMENT, INC.","101 2ND STREET SE, SUITE 800",,CEDAR RAPIDS,IA,USA,52401,319-363-8249,319-363-9683,,,,,,,Approved,8/15/2005,3/29/2010,Y,WWW.INVESTAMERICAVENTUREGROUP.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,VENTURE CAPITAL LIMITED PARTNERSHIP,N,N,N,Y,N,N,Y,CAPITAL UNDER MANAGEMENT AND CARRIED INTEREST,Y,"8,459,753.00",0,"8,459,753.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110092,801-56991,KEN STERN & ASSOCIATES INC,KEN STERN & ASSOCIATES INC,"12396 WORLD TRADE DR., STE 312",,SAN DIEGO,CA,UNITED STATES,92128,858-485-0404,858-485-9036,,,,,,,Approved,11/12/1999,3/29/2010,Y,WWW.ASSETPLANNINGSOLUTIONS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"177,178,724.00","7,273,348.00","184,452,072.00",720,36,756,Y,Y,N,Y,N,N,Y,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143429,801-70593,"CLASSIC ASSET MANAGEMENT, LLC","CLASSIC ASSET MANAGEMENT, LLC",24 MERCHANTS WAY,SUITE 207,COLTS NECK,NJ,USA,7722,7326773710,7326773714,,,,,,,Approved,9/25/2009,9/4/2009,Y,WWW.CLASSICASSET.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"30,000,000.00",0,"30,000,000.00",65,0,65,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,151064,801-70898,"INVESTAMERICA L&C MANAGEMENT II, INC","INVESTAMERICA L&C MANAGEMENT II, INC",101 2ND STREET SE,SUITE 800,CEDAR RAPIDS,IA,UNITED STATES,52401,319-363-8249,319-363-9683,,,,,,,Approved,1/4/2010,3/29/2010,Y,WWW.INVESTAMERICAVENTUREGROUP.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,VENTURE CAPITAL LIMITED PARTNERSHIP,N,N,N,Y,N,N,Y,CAPITAL UNDER MANAGEMENT AND CARRIED INTEREST,Y,"385,468.00",0,"385,468.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111372,801-13802,"FRANKLIN TEMPLETON PORTFOLIO ADVISORS, INC.","FRANKLIN TEMPLETON PORTFOLIO ADVISORS, INC.",ONE FRANKLIN PARKWAY,,SAN MATEO,CA,USA,94003-1906,800-822-8464,(650) 312-4208,,,,,,,Approved,5/15/1978,12/18/2009,Y,WWW.FRANKLINTEMPLETON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,51-250,0,51-250,0,Nov-50,0,0,0,More than 500,"10,000",More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,VARIOUS,Y,N,N,Y,N,N,N,,Y,"6,396,265,687.00","469,944,921.00","6,866,210,608.00","9,790",9,"9,799",N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,106209,801-37818,THE GLASS FREEDMAN COMPANY,THE GLASS FREEDMAN COMPANY,30400 TELEGRAPH RD,SUITE 445,BINGHAM FARMS,MI,UNITED STATES,48025,248-647-2822,248-647-8543,"%GLASS RETIREMENT STRATEGIES, INC.","30400 TELEGRAPH RD., SUITE 445",BINGHAM FARMS,MI,UNITED STATES,48025,Approved,11/29/1990,3/29/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"15,000,000.00","6,000,000.00","21,000,000.00",38,8,46,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110682,801-32104,"CAPITAL INTERNATIONAL, INC.","CAPITAL INTERNATIONAL, INC.",11100 SANTA MONICA BLVD.,15TH FLOOR,LOS ANGELES,CA,UNITED STATES,90025-3384,(310) 996-6000,(310) 996-6200,,,,,,,Approved,5/20/1988,12/18/2009,Y,WWW.CAPGROUP.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,51-250,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,FOREIGN GOVERNMENTAL ENTITIES,Y,N,N,N,N,Y,N,,Y,"30,878,282,000.00",0,"30,878,282,000.00",54,0,54,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111361,801-51967,"FRANKLIN ADVISORY SERVICES, LLC","FRANKLIN ADVISORY SERVICES, LLC","ONE PARKER PLAZA, 9TH FLOOR",,FORT LEE,NJ,UNITED STATES,7024,201-592-6700,201-592-7479,,,,,,,Approved,5/16/1996,12/18/2009,Y,WWW.FRANKLINTEMPLETON.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"10,172,950,561.00",0,"10,172,950,561.00",16,0,16,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N
LARO,112674,801-61922,"GUIDED CHOICE ASSET MANAGEMENT, INC.","GUIDED CHOICE ASSET MANAGEMENT, INC.",8910 UNIVERSITY LANE,SUITE 750,SAN DIEGO,CA,UNITED STATES,92122,858-677-9836,858-677-6771,16268 LOS GATOS BLVD,SUITE 102,LOS GATOS,CA,UNITED STATES,95032,Approved,10/10/2002,9/4/2009,Y,WWW.GUIDEDCHOICE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,10-Jun,0,More than 500,"5,328,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,Y,IMPLEMENTATION FEES; PROFESSIONAL SERVICES FEES; REIMBURSEMENTS,Y,"19,238,786,500.00",0,"19,238,786,500.00","420,000",0,"420,000",Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,134195,801-64101,STONEWATER CAPITAL ASIA ADVISORS LLC,STONEWATER CAPITAL ASIA ADVISORS LLC,60 EAST 42ND STREET,3014,NEW YORK,NY,UNITED STATES,10165,212-231-0040,212-231-0041,,,,,,,Approved,4/15/2005,3/29/2010,Y,WWW.STONEWATERCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"102,162,367.00",0,"102,162,367.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,SELECTION OF HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111377,801-52152,"FRANKLIN INVESTMENT ADVISORY SERVICES, LLC","FRANKLIN INVESTMENT ADVISORY SERVICES, LLC",ONE FRANKLIN PARKWAY,,SAN MATEO,CA,UNITED STATES,94403,650-312-3000,650-525-7141,,,,,,,Approved,6/21/1996,12/18/2009,Y,WWW.FRANKLINTEMPLETON.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,073,572,531.00",0,"3,073,572,531.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N
DRO,109904,801-60238,ORIZON INVESTMENT COUNSEL LLC,ORIZON INVESTMENT COUNSEL LLC,16924 FRANCES STREET,SUITE 200,OMAHA,NE,USA,68130-2311,402-330-7008,402.691.0420,,,,,,,Approved,5/3/2001,3/29/2010,Y,WWW.ORIZONGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,More than 500,"1,000",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,"220,020,283.00",0,"220,020,283.00",630,0,630,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,144370,801-68036,"LOF LOPEZ & ASSOCIATES, LLC","LOF LOPEZ & ASSOCIATES, LLC",4757 E. CAMP LOWELL DR.,,TUCSON,AZ,USA,85712,520-881-2523,520-319-5940,,,,,,,Approved,6/28/2007,3/18/2010,Y,WWW.LOFLOPEZ.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"44,721,829.00",0,"44,721,829.00",352,0,352,Y,Y,N,Y,Y,Y,N,N,N,Y,PORTFOLIO AND ACCOUNT CONSULTATION SERVICES,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
HQ,151104,801-70770,THOMAS AZZARA - TAY HAVEN REPORTER,AZZARA THOMAS PETER,,,,,,,242-327-7359,242-327-7359,,,,,,,Approved,12/4/2009,12/8/2009,Y,WWW.BAHAMASBAHAMAS.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,,"BAHAMAS, THE",5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,Y,2% TO MANAGE MONIES,N,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,Y,NEWSLETTER SINCE 1985,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151907,801-70782,"HONIGSTOCK GROUP, LLC","HONIGSTOCK GROUP, LLC",485 UNDERHILL BOULEVARD,,SYOSSET,NY,UNITED STATES,11791,516-247-6060,516-247-6061,,,,,,,Approved,11/19/2009,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,COMPENSATION FROM HEDGE FUND,Y,"72,000,000.00",0,"72,000,000.00",200,0,200,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,117418,801-63570,"FINANCIAL ECONOMICS CONSULTING GROUP, INC.","FINANCIAL ECONOMICS CONSULTING GROUP, INC.",2316 UNIVERSITY BLVD.,,TUSCALOOSA,AL,USA,35401,205-345-0934,205-391-0927,,,,,,,Approved,10/13/2004,3/25/2010,Y,WWW.FECG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"41,750,940.00","4,175,635.00","45,926,575.00",165,81,246,Y,Y,N,N,N,N,N,N,N,Y,"CONSULTING, VALUATION AND EXPERT SERVICES",10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,119636,801-66516,"FINANCIAL AVENGERS, INC.","FINANCIAL AVENGERS, INC.",235 MONTGOMERY STREET,SUITE 724,SAN FRANCISCO,CA,UNITED STATES,94104,415-773-2174,415-773-2194,,,,,,,Approved,4/20/2006,3/18/2010,Y,WWW.FINANCIALAVENGERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"61,302,132.00",0,"61,302,132.00",624,0,624,Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,144191,801-68559,"BAYSHORE ASSET MANAGEMENT, LLC","BAYSHORE ASSET MANAGEMENT, LLC",355 ALHAMBRA CIRCLE,SUITE 801,CORAL GABLES,FL,UNITED STATES,33134,786-888-9400,786-888-8600,,,,,,,Approved,11/13/2007,3/18/2010,Y,WWW.BAYSHOREADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"140,176,297.00","21,316.00","140,197,613.00",103,1,104,Y,Y,N,N,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137926,801-65982,OVERLOOK INVESTMENTS LIMITED,OVERLOOK INVESTMENTS LIMITED,1702 DINA HOUSE,"11 DUDDELL STREET, CENTRAL",HONG KONG,,HONG KONG,,852-2912-0805,852-2521-2227,,,,,,,Approved,1/27/2006,3/18/2010,Y,WWW.OVERLOOKINV.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,DISCRETIONARY BONUS,Y,"1,071,463,886.00",0,"1,071,463,886.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107441,801-50414,"STOTTS GROUP, INC.","STOTTS GROUP, INC.",,,,,,,214-366-0505,214-366-0506,,,,,,,Approved,10/20/1995,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"27,148,453.00","13,922,743.00","41,071,196.00",4,5,9,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
LARO,149641,801-70337,HAVEN CAPITAL GROUP,"HAVEN CAPITAL GROUP, INC.","735 STATE STREET, SUITE 622",,SANTA BARBARA,CA,UNITED STATES,93101,805-963-9050,805-963-9059,,,,,,,Approved,6/23/2009,3/25/2010,Y,WWWW.HAVENCAPITALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"28,747,194.00",0,"28,747,194.00",71,0,71,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105522,801-28169,"MCINTYRE, FREEDMAN & FLYNN INVESTMENT ADVISERS, INC.","MCINTYRE, FREEDMAN & FLYNN INVESTMENT ADVISERS, INC.",4 MAIN STREET,,ORLEANS,MA,UNITED STATES,2653,508-255-1651,508-255-9243,P. O. BOX 1689,,ORLEANS,MA,UNITED STATES,2653,Approved,10/15/1986,3/25/2010,Y,WWW.MCINTYREINVESTMENTS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"41,312,037.00",0,"41,312,037.00",195,0,195,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,126387,801-70525,"FAMILY HERITAGE RESOURCE, INC.","FAMILY HERITAGE RESOURCE, INC.",205 HUDSON TRACE,STE B,AUGUSTA,GA,UNITED STATES,30907,706-739-0725,706-739-0366,,,,,,,Approved,9/10/2009,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,0,0,0,0,0,0,25-Nov,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"42,544,465.00","42,544,465.00",0,110,110,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109423,801-56424,SHAYNE & CO LLC,SHAYNE & CO LLC,4015 HILLSBORO PIKE,SUITE 203,NASHVILLE,TN,UNITED STATES,37215-2776,615/250-1600,615/250-1605,,,,,,,Approved,4/9/1999,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"145,393,630.00",0,"145,393,630.00",119,0,119,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,151824,801-70699,"TWIN OAKS STRATEGIC PARTNERS, LLC","TWIN OAKS STRATEGIC PARTNERS, LLC",15 SOUTHLAKE LANE,SUITE 310,HOOVER,AL,UNITED STATES,35244-3327,205-437-1113,205-437-1194,,,,,,,Approved,10/22/2009,12/8/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"40,000,000.00","20,000,000.00","60,000,000.00",100,100,200,Y,Y,N,N,N,N,N,N,N,Y,ESTATE AND RETIREMENT PLANNING,101-250,,N,N,N,Y,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,120773,801-61267,"HARRINGTON CAPITAL ADVISORS,INC.","HARRINGTON CAPITAL ADVISORS,INC.",ONE SPECTRUM POINTE DRIVE,SUITE 130,LAKE FOREST,CA,UNITED STATES,92630,949-206-6844,949-206-0012,,,,,,,Approved,6/21/2002,3/25/2010,Y,WWW.H-C-A.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"36,510,455.00",0,"36,510,455.00",52,0,52,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,150103,801-70114,"INTEGRITY WEALTH MANAGEMENT, INC.","INTEGRITY WEALTH MANAGEMENT, INC.",202 EAST SPOKANE FALLS BLVD.,SUITE 200,SPOKANE,WA,UNITED STATES,99202,509-315-9532,509-315-9534,,,,,,,Approved,4/15/2009,3/25/2010,Y,WWW.INTEGRITYWM.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"835,578.00","28,324,591.00","29,160,169.00",6,30,36,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106627,801-23074,"M.Z. KARK & ASSOCIATES, INC",KARK M Z & ASSOCIATES INC,1660 LINCOLN STREET,#1660,DENVER,CO,UNITED STATES,80264-1601,303-623-1818,303-623-2018,,,,,,,Approved,1/15/1985,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"107,357,858.00","107,357,858.00",0,"1,597","1,597",Y,Y,N,N,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
DRO,113262,801-61810,"MAURER & ASSOCIATES CAPITAL MANAGEMENT, INC.","MAURER & ASSOCIATES CAPITAL MANAGEMENT, INC.",4600 SOUTH SYRACUSE STREET,SUITE # 1060,DENVER,CO,UNITED STATES,80237-2750,303-757-5350,303-757-5358,,,,,,,Approved,2/21/2003,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"68,500,000.00",0,"68,500,000.00",114,0,114,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,110404,801-16626,"ALL SEASON FINANCIAL ADVISORS, INC.","ALL SEASON FINANCIAL ADVISORS, INC.",731 SHERMAN STREET,,DENVER,CO,USA,80203,303-837-1187,303-837-1723,,,,,,,Approved,12/11/1981,3/25/2010,Y,WWW.ALLSEASONFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"92,514,613.00",0,"92,514,613.00",493,0,493,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,117010,801-60671,CAMDEN PRIVATE CAPITAL,"CAMDEN PARTNERS EQUITY MANAGERS I, LLC",500 EAST PRATT STREET,SUITE 1200,BALTIMORE,MD,UNITED STATES,21202,410-878-6800,410-878-6850,,,,,,,Approved,11/1/2001,3/25/2010,Y,WWW.CAMDENPARTNERS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,"79,207,210.00",0,"79,207,210.00",7,0,7,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,148072,801-69579,"THREE G FINANCIAL, LLC","THREE G FINANCIAL, LLC.",5940 SOUTH RAINBOW BLVD,,LAS VEGAS,NV,UNITED STATES,89118,702-835-9220,503-292-5863,C/O TODD SAKODA,3395 SW GARDEN VIEW AVE,PORTLAND,OR,UNITED STATES,97225,Approved,10/2/2008,3/25/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"58,555,498.00",0,"58,555,498.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,130540,801-62855,"CAMDEN PARTNERS STRATEGIC MANAGER, LLC","CAMDEN PARTNERS STRATEGIC MANAGER, LLC",500 EAST PRATT STREET,SUITE 1200,BALTIMORE,MD,USA,21202,410-878-6800,410-878-6850,,,,,,,Approved,3/11/2004,3/25/2010,Y,WWW.CAMDENPARTNERS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,"207,847,994.00",0,"207,847,994.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,117011,801-60669,"CAMDEN PARTNERS HOLDINGS, LLC","CAMDEN PARTNERS HOLDINGS, LLC",500 EAST PRATT STREET,SUITE 1200,BALTIMORE,MD,USA,21202,410-878-6800,410-878-6850,,,,,,,Approved,11/1/2001,3/25/2010,Y,WWW.CAMDENPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"289,589,769.00",0,"289,589,769.00",10,0,10,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106248,801-64169,DELTA CAPITAL MANAGEMENT LLC,DELTA CAPITAL MANAGEMENT LLC,1 HARDING ROAD,,RED BANK,NJ,UNITED STATES,7701,212-986-4040,212-986-5437,,,,,,,Approved,4/22/2005,3/25/2010,Y,WWW.DELTA-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"152,442,773.00","25,000,000.00","177,442,773.00",72,1,73,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,117013,801-60670,CAMDEN PRIVATE CAPITAL,"CAMDEN PARTNERS PRIVATE EQUITY ADVISORS, LLC",500 EAST PRATT STREET,SUITE 1200,BALTIMORE,MD,USA,21202,410-878-6800,410-878-6850,,,,,,,Approved,11/1/2001,3/25/2010,Y,WWW.CAMDENPARTNERS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"79,207,210.00",0,"79,207,210.00",7,0,7,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,131195,801-63028,FOCUS POINT SOLUTIONS,"FOCUS POINT SOLUTIONS, INC",3395 SW GARDEN VIEW AVENUE,,PORTLAND,OR,UNITED STATES,97225,503-445-1957,503-292-5863,,,,,,,Approved,4/29/2004,3/25/2010,Y,WWW.FOCUSPOINTSOLUTIONS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,REGISTERED INVESTMENT ADVISORY FIRMS,Y,N,N,N,N,N,Y,SHARE A PORTION OF RIA FEES,Y,"58,555,498.00",0,"58,555,498.00",1,0,1,N,N,Y,N,N,N,N,N,N,Y,TURNKEY ASSET MANAGEMENT FOR RIA'S,0,,N,N,N,N,N,N,N,N,Y,TURNKEY ASSET MANAGEMENT FOR RIA'S,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,149096,801-69825,DLK INVESTMENT MANAGEMENT,"DLK INVESTMENT MANAGEMENT, LLC",SUITE 220,6020 CORNERSTONE COURT,SAN DIEGO,CA,UNITED STATES,92121,858.909.0556,619-330-4765,,,,,,,Approved,1/5/2009,3/25/2010,Y,WWW.DLKINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"25,242,534.00","5,364,171.00","30,606,705.00",25,1,26,N,Y,N,N,N,N,N,N,N,Y,POOLED INVESTEMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,117029,801-60683,"MEZZACAPPA INVESTORS, LLC","MEZZACAPPA INVESTORS, LLC",830 THIRD AVENUE,SECOND FLOOR,NEW YORK,NY,UNITED STATES,10022,212-332-2000,212-332-3650,,,,,,,Approved,11/21/2001,3/25/2010,Y,WWW.MEZZFUND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"326,200,000.00",0,"326,200,000.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,152092,801-70831,FRANCK GALLAND US ADVISORS S.A.,FRANCK GALLAND US ADVISORS S.A.,RUE DE LA COMBE 21,,NYON,,SWITZERLAND,1260,+41.58.310.48.00,+41.58.310.48.01,,,,,,,Approved,12/7/2009,3/25/2010,Y,WWW.FRANCKGALLANDUSA.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SWITZERLAND,10-Jun,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,116963,801-63243,"FINANCIAL RESEARCH, INC.","FINANCIAL RESEARCH, INC.",1605 NW SAMMAMISH ROAD,SUITE 250,ISSAQUAH,WA,UNITED STATES,98027,425-657-2229,866-411-9122,,,,,,,Approved,7/6/2004,3/25/2010,Y,WWW.NWWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"60,843,674.00","60,843,674.00",0,60,60,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,116369,801-66584,ALLEGIANCE FINANCIAL ADVISORS,"ALLEGIANCE FINANCIAL ADVISORS, INC.",202 MCKNIGHT PARK DRIVE,,PITTSBURGH,PA,UNITED STATES,15237-6501,412-369-7755,412-369-7299,,,,,,,Approved,4/24/2006,3/25/2010,Y,WWW.ALLEGIANCE-FINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"33,843,032.00","33,843,032.00",0,54,54,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106801,801-39523,"THE H GROUP, INC.","THE H GROUP, INC.",3395 SW GARDEN VIEW AVE,,PORTLAND,OR,UNITED STATES,97225,503-292-5853,503-292-5863,,,,,,,Approved,7/18/1991,3/25/2010,Y,WWW.THEHGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,More than 500,"1,000",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"487,166,502.00",0,"487,166,502.00","2,693",0,"2,693",Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,126238,801-68129,"CFS CUBIC FINANCIAL SERVICES, INC.","CFS CUBIC FINANCIAL SERVICES, INC.",,,,,,,770-495-1500,,,,,,,,Approved,7/16/2007,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"37,423,934.00",0,"37,423,934.00",138,0,138,N,Y,N,N,N,N,N,N,N,Y,ADVISORY CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,148542,801-69677,"SANDPIPER CAPITAL, LLC","SANDPIPER CAPITAL, LLC",999 WATERSIDE DRIVE,SUITE 1835,NORFOLK,VA,UNITED STATES,23510,757-962-4596,757-962-5038,,,,,,,Approved,10/23/2008,3/25/2010,Y,WWW.SANDPIPER-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"28,408,234.00",0,"28,408,234.00",59,0,59,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,150146,801-70123,CHESAPEAKE WEALTH MANAGEMENT,CHESAPEAKE WEALTH MANAGEMENT LLC,1301 YORK RD.,SUITE 800,LUTHERVILLE,MD,UNITED STATES,21093,410-828-5533,443-269-0561,,,,,,,Approved,4/30/2009,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"75,000,000.00","75,000,000.00",0,20,20,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N
SFRO,118523,801-65613,"VIKING ASSET MANAGEMENT, LLC","VIKING ASSET MANAGEMENT, LLC",505 SANSOME STREET,SUITE 1275,SAN FRANCISCO,CA,UNITED STATES,94111,(415) 981-5300,(415) 981-5301,,,,,,,Approved,1/27/2006,3/25/2010,Y,WWW.VIKINGASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,10-Jun,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"138,496,717.00",0,"138,496,717.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR INVESTMENT LIMITED PARTNERSHIPS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,140649,801-66782,PERIMETER CAPITAL MANAGEMENT,PERIMETER CAPITAL PARTNERS LLC,FIVE CONCOURSE PARKWAY,SUITE 2725,ATLANTA,GA,USA,30328,770 350 8700,770 350 8701,,,,,,,Approved,6/8/2006,3/25/2010,Y,WWW.PERIMETERCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,376,361,678.00",0,"1,376,361,678.00",28,0,28,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123430,801-69553,CYGNET FINANCIAL FREEDOM HOUSE,CYGNET FINANCIAL PLANNING INC.,4139 WEST WALTON BLVD.,SUITE D,WATERFORD,MI,USA,48329-4187,248-673-2900,248-673-5312,PO BOX 301000,,WATERFORD,MI,USA,48330-1000,Approved,8/28/2008,3/24/2010,Y,WWW.FINANCIALFREEDOMHOUSE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"21,000,000.00","15,000,000.00","36,000,000.00",261,7,268,Y,Y,N,Y,Y,N,N,N,N,Y,"THE BULK OF OUR ADVISORY BUSINESS IS REFERRED TO FUNDQUEST, INC., BOSTON, MA",51-100,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108290,801-8177,"GOODWIN CAPITAL ADVISERS, INC.","GOODWIN CAPITAL ADVISERS, INC.",ONE AMERICAN ROW,,HARTFORD,CT,UNITED STATES,06102-5056,860-403-5000,860-403-5132,,,,,,,Approved,12/14/1971,3/24/2010,Y,WWW.GOODWINCAP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"15,084,661,646.00",0,"15,084,661,646.00",38,0,38,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N
FWRO,105441,801-32217,AUSTIN ASSET MANAGEMENT CO,AUSTIN ASSET MANAGEMENT CO,"7200 N. MOPAC, SUITE 315",,AUSTIN,TX,UNITED STATES,78731,512-453-6622,512-453-4253,,,,,,,Approved,6/9/1988,3/24/2010,Y,WWW.AUSTINASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,FLAT FEES (RETAINER AGREEMENTS),Y,"339,722,418.00",0,"339,722,418.00","1,137",0,"1,137",Y,Y,N,Y,N,N,N,N,N,Y,EXPERT WITNESS,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,117958,801-61481,"HANCOCK INVESTMENT ADVISORS, LLC","HANCOCK INVESTMENT ADVISORS, LLC",383 MARSHALL AVENUE,,ST. LOUIS,MO,UNITED STATES,63119,314-997-3191,314-997-3358,,,,,,,Approved,9/24/2002,3/24/2010,Y,WWW.HANCOCKSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"44,111,325.00",0,"44,111,325.00",120,0,120,N,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
ARO,118468,801-69565,"CARMICHAEL CAPITAL, INC.","CARMICHAEL CAPITAL, INC.",339 MAIN STREET - 2ND FLOOR,,FRANKLIN,TN,UNITED STATES,37064,615-595-5800,615-595-5825,,,,,,,Approved,9/5/2008,3/31/2010,Y,WWW.CARMICHAELCAPITAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"58,263,536.00",0,"58,263,536.00",134,0,134,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106477,801-37870,DAVIDSON KEMPNER ADVISERS INC,DAVIDSON KEMPNER ADVISERS INC,65 EAST 55TH STREET,19TH FLOOR,NEW YORK,NY,UNITED STATES,10022-4834,212-446-4000,212-371-4318,,,,,,,Approved,12/4/1990,3/31/2010,Y,WWW.DKPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,51-250,0,51-250,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"10,806,369,569.00",0,"10,806,369,569.00",7,0,7,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,130596,801-62808,ALYDAR CAPITAL,"ALYDAR PARTNERS, LLC",222 BERKELEY STREET,17TH FLOOR,BOSTON,MA,UNITED STATES,2116,617-646-3500,617-646-3501,,,,,,,Approved,2/17/2004,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,637,674,927.00",0,"2,637,674,927.00",9,0,9,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106157,801-54124,CHARTWELL INVESTMENT PARTNERS,CHARTWELL INVESTMENT PARTNERS,1235 WESTLAKES DR,SUITE 400,BERWYN,PA,USA,19312,610-296-1400,610-296-1430,,,,,,,Approved,3/28/1997,3/31/2010,Y,HTTP://WWW.CHARTWELLIP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,PA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,11-25 percent,11-25 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,PROPRIETARY ACCOUNTS,Y,N,N,Y,N,Y,N,,Y,"4,785,000,000.00",0,"4,785,000,000.00",183,0,183,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,113624,801-60419,WELLS FARGO ALTERNATIVE ASSET MANAGEMENT LLC,WELLS FARGO ALTERNATIVE ASSET MANAGEMENT LLC,333 MARKET ST.  29TH FLOOR,MAC# A0119-291,SAN FRANCISCO,CA,UNITED STATES,94105-2130,415-371-4000,415-371-3052,,,,,,,Approved,7/13/2001,3/31/2010,Y,WWW.WFAAM.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"461,810,795.00",0,"461,810,795.00",9,0,9,N,N,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104864,801-20651,"CHARLES PRATT & COMPANY, L.L.C.","CHARLES PRATT & COMPANY, L.L.C.",355 LEXINGTON AVENUE,,NEW YORK,NY,UNITED STATES,10017-6603,212-867-4444,212-867-0028,,,,,,,Approved,2/14/1984,3/31/2010,Y,HTTP://WWW.CHARLESPRATT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"198,961,817.00","76,218,023.00","275,179,840.00",145,211,356,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,104930,801-24747,COLONY CAPITAL MANAGEMENT INC,COLONY CAPITAL MANAGEMENT INC,"3060 PEACHTREE RD NW, STE 1550",,ATLANTA,GA,UNITED STATES,30305,404-365-5050,404-365-5070,,,,,,,Approved,5/23/1985,3/31/2010,Y,WWW.COLONYCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"101,089,000.00",0,"101,089,000.00",52,0,52,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105668,801-570,HEBER FUGER WENDIN INC,HEBER FUGER WENDIN INC,36700  WOODWARD AVENUE,SUITE 201,BLOOMFIELD,MI,UNITED STATES,48304-3984,248-258-6866,248-258-9295,,,,,,,Approved,11/1/1940,3/31/2010,Y,WWW.HEBERINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,Up to 10 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"17,193,413.00","3,249,058,000.00","3,266,251,413.00",7,81,88,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
NYRO,133738,801-65262,"INDUS CAPITAL PARTNERS, LLC","INDUS CAPITAL PARTNERS, LLC",152 WEST 57TH STREET,28TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-909-2888,212-909-2878,,,,,,,Approved,1/9/2006,3/31/2010,Y,WWW.INDUSCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,709,561,589.00",0,"3,709,561,589.00",20,0,20,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,142793,801-67434,"MOSAIC WEALTH MANAGEMENT, L.L.C.","MOSAIC WEALTH MANAGEMENT, L.L.C.",3575 PIEDMONT ROAD NE,"15 PIEDMONT CENTER, SUITE 1070",ATLANTA,GA,USA,30305,404-405-8080,404-806-2145,,,,,,,Approved,1/16/2007,3/31/2010,Y,WWW.MOSAICW.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"31,475,297.00",0,"31,475,297.00",118,0,118,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137295,801-65189,TACONIC CAPITAL ADVISORS LP,TACONIC CAPITAL ADVISORS L.P.,"450 PARK AVENUE, 9TH FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-209-3100,212-209-3185,,,,,,,Approved,1/18/2006,3/31/2010,Y,WWW.TACONICCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"7,937,597,026.00",0,"7,937,597,026.00",14,0,14,N,N,N,N,N,N,N,N,N,Y,"PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES (E.G., HEDGE FUNDS)",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,111001,801-57710,COHEN & STEERS EUROPE S.A.,COHEN & STEERS EUROPE S.A.,CHAUSSEE DE LA HULPE 166,,1170 BRUSSELS,,BELGIUM,,(32) 2-679-0660,(32) 2-679-0670,,,,,,,Approved,9/22/2000,3/31/2010,Y,WWW.COHENANDSTEERS.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Other (specify),BELGIAN LIMITED COMPANY,,BELGIUM,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,51-75 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,Y,"LICENSING FEES, AND PORTFOLIO CONSTRUCTION AND EVALUATION FEES",Y,"2,978,144,000.00",0,"2,978,144,000.00",64,0,64,N,N,Y,Y,N,N,N,N,N,Y,"PORTFOLIO CONSULTING SVCS, INDEX MAINTENANCE SVCS; PORTFOLIO MANAGEMENT FOR PRIVATE & NON U.S. POOLED INVESTMENT VEHICLES",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,136362,801-64517,"SAGE ADVISORY GROUP, LLC","SAGE ADVISORY GROUP, LLC",66 BEACON STREET,,BOSTON,MA,UNITED STATES,2108,617-367-6601,617-367-6602,,,,,,,Approved,7/22/2005,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"114,549,655.00","114,549,655.00",0,326,326,N,Y,N,Y,N,Y,N,N,N,N,,,,Y,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,114835,801-61045,CLM CAPITAL MANAGEMENT LLC,CLM CAPITAL MANAGEMENT LLC,6 B WASHINGTON STREET,SUITE 101,SANFORD,ME,UNITED STATES,4073,207-636-7068,207-459-7209,,,,,,,Approved,4/8/2002,3/31/2010,Y,WWW.CLMCM.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,ME,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"28,190,375.00",0,"28,190,375.00",145,0,145,N,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105295,801-36415,GWYNN MANAGEMENT CO,GWYNN MANAGEMENT CO,"BUILDING 11, SUITE 201","3495 PIEDMONT RD, NE",ATLANTA,GA,UNITED STATES,30305-1738,404-233-7577,404-233-6611,,,,,,,Approved,4/20/1990,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"95,902,712.00",0,"95,902,712.00",55,0,55,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138692,801-66397,"SKY BRIDGE CAPITAL, LLC","SKY BRIDGE CAPITAL, LLC",527 MADISON AVE.,16TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-485-3100,212-485-3137,,,,,,,Approved,4/4/2006,3/31/2010,Y,HTTP://WWW.SKYBRIDGECAPITAL.COM/,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,Nov-50,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"330,000,000.00",0,"330,000,000.00",2,0,2,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109890,801-18388,"CAHILL FINANCIAL ADVISORS, INC.","CAHILL FINANCIAL ADVISORS, INC.",7300 METRO BOULEVARD,SUITE 625,EDINA,MN,UNITED STATES,55439,952-926-1659,952-926-0633,,,,,,,Approved,2/10/1983,3/31/2010,Y,WWW.CAHILLFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"50,038,886.00","75,801,074.00","125,839,960.00",133,197,330,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109018,801-56323,"GENWORTH FINANCIAL WEALTH MANAGEMENT, INC.","GENWORTH FINANCIAL WEALTH MANAGEMENT, INC.",2300 CONTRA COSTA BLVD,SUITE 600,PLEASANT HILL,CA,UNITED STATES,94523-3967,800-664-5345,925-521-1050,,,,,,,Approved,3/8/1999,3/31/2010,Y,WWW.EWEALTHMANAGER.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,251-500,0,51-250,0,51-250,0,501-1000,0,More than 500,"62,351",More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"11,007,190,928.00","1,704,801,593.00","12,711,992,521.00","61,917","15,482","77,399",N,Y,Y,Y,N,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110702,801-47405,ASSET MANAGEMENT INTERNATIONAL,TONG ROBERT WAI,"SUITE 1111, SILVERCORD II",30 CANTON ROAD,"TSIMSHATSUI, KOWLOON",,HONG KONG,,852-2375-9223,852-2375-5339,2168  S. ATLANTIC BLVD.,,MONTEREY PARK,CA,UNITED STATES,91754,Approved,10/13/1994,9/9/2009,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,N,Y,N,Y,Y,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVICE,,,N,N,N,N,N,Y,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,149012,801-70179,"CABAL CAPITAL MANAGEMENT, LLC","CABAL CAPITAL MANAGEMENT, LLC",,,,,,,210-833-6286,210-764-5455,,,,,,,Approved,5/6/2009,12/11/2009,Y,WWW.CABALCAPITALMANAGEMENT.COM,N,N,N,N,N,N,N,N,N,Y,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,0,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,ECONOMIC DEVELOPMENT PROJECT INVESTMENT ADVISOR,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107171,801-46751,"FIDUCIARY ASSET MANAGEMENT, L.L.C.","FIDUCIARY ASSET MANAGEMENT, L.L.C.",8235 FORSYTH BOULEVARD,SUITE 700,CLAYTON,MO,UNITED STATES,63105,314-446-6700,314-446-6701,,,,,,,Approved,6/16/1994,3/31/2010,Y,WWW.FIDUCIARYASSET.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,More than 500,"1,500",51-75 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"6,859,469,284.00",0,"6,859,469,284.00","1,453",0,"1,453",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,119262,801-63977,"1620 INVESTMENT ADVISORS, INC.","1620 INVESTMENT ADVISORS, INC.",36 CORDAGE PARK CIRCLE,SUITE 222,PLYMOUTH,MA,UNITED STATES,2360,508-830-4778,508-830-0524,,,,,,,Approved,2/24/2005,3/31/2010,Y,WWW.1620IA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"64,764,053.00","630,056.00","65,394,109.00",262,3,265,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108543,801-55668,LANDMARK EQUITY ADVISORS LLC,LANDMARK EQUITY ADVISORS LLC,10 MILL POND LANE,,SIMSBURY,CT,UNITED STATES,06070-2429,860-651-9760,860-651-8890,,,,,,,Approved,7/15/1998,3/31/2010,Y,WWW.LANDMARKPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,489,502,028.00",0,"5,489,502,028.00",25,0,25,N,N,N,Y,N,N,N,N,N,Y,FUND OF FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
BRO,114922,801-60513,"STRATEGIC CAPITAL ALLOCATION GROUP, L.L.C.","STRATEGIC CAPITAL ALLOCATION GROUP, L.L.C.",800 BOYLSTON STREET,24TH FLOOR,BOSTON,MA,UNITED STATES,2199,617-450-9300,617-450-9399,,,,,,,Approved,8/24/2001,3/31/2010,Y,HTTP://WWW.SCAGRP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"469,817,158.00","469,817,158.00",0,7,7,N,N,N,N,N,Y,N,N,N,Y,INVESTMENT CONSULTING & STRATEGY,,,N,N,N,N,N,N,N,N,Y,"SEE SCHEDULE D, PAGE 5",N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104926,801-50488,"MPM WEALTH ADVISORS, INC.",MODERN PORTFOLIO MANAGEMENT INC,7429 INTERNATIONAL DRIVE,,HOLLAND,OH,UNITED STATES,43528,419-861-1400,419-861-1450,,,,,,,Approved,11/17/1995,3/31/2010,Y,MODERNPORTFOLIOMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,10-Jun,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"303,483,229.00","303,483,229.00",0,"1,669","1,669",N,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,Y,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,107926,801-56189,"EARNEST PARTNERS, LLC",EARNEST PARTNERS LLC,"1180 PEACHTREE STREET, NE",SUITE 2300,ATLANTA,GA,UNITED STATES,30309,404-815-8772,404-815-8948,,,,,,,Approved,1/12/1999,3/31/2010,Y,WWW.EARNESTPARTNERS.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"8,000",More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,TAFT HARTLEY & ENDOWMENTS,Y,N,N,N,N,Y,N,,Y,"15,343,670,490.00","125,072,947.00","15,468,743,437.00","8,112",5,"8,117",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,120509,801-61189,"GAV, LTD.","GAV, LIMITED",5731 CROMO DRIVE,,EL PASO,TX,USA,79912,(519)833-2971,(519)833-2973,,,,,,,Approved,5/30/2002,12/11/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,IRELAND ,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,TRUSTS,Y,N,N,Y,N,N,N,,Y,0,"35,424,530.00","35,424,530.00",0,1,1,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111015,801-47598,"MSREF II, INC.","MSREF II, INC.",1585 BROADWAY,"REAL ESTATE FUNDS, 37TH FLOOR",NEW YORK,NY,UNITED STATES,10036,212-761-4700,212-761-0511,,,,,,,Approved,11/8/1994,3/31/2010,Y,WWW.MORGANSTANLEY.COM/REALESTATE/,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,251-500,0,251-500,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ACQUISITION AND DISPOSITION FEES,Y,"286,378,693.00",0,"286,378,693.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105676,801-22808,"PRUDENTIAL INVESTMENT MANAGEMENT, INC.","PRUDENTIAL INVESTMENT MANAGEMENT, INC.",GATEWAY CENTER 3,,NEWARK,NJ,UNITED STATES,7102,973-802-4558,973-367-4448,,,,,,,Approved,12/7/1984,3/31/2010,Y,WWW.PRUDENTIAL.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,More than 1000,"1,000",501-1000,0,51-250,0,5-Jan,0,101-250,0,0 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,26-50 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,"CHURCHES, FOREIGN GOVERNMENTS",Y,N,N,Y,N,Y,Y,COST BASIS FOR CERTAIN AFFILIATED PARTIES.,Y,"268,647,547,082.00","715,483,127.00","269,363,030,209.00",467,5,472,N,Y,Y,Y,Y,Y,Y,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N
SFRO,141974,801-68139,"FRONT STREET CAPITAL MANAGEMENT, INC.","FRONT STREET CAPITAL MANAGEMENT, INC.","218 EAST FRONT STREET, SUITE 205",,MISSOULA,MT,USA,59802,406.541.0130,406.541.0133,,,,,,,Approved,7/17/2007,3/31/2010,Y,WWW.FRONTSTREETCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"177,965,712.00",0,"177,965,712.00",889,0,889,N,Y,N,Y,N,N,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112697,801-61065,"AMERICAN PORTFOLIOS ADVISORS, INC",AMERICAN PORTFOLIOS ADVISORS. INC,4250 VETERAN'S MEMORIAL HIGHWAY,"4TH. FLOOR, SUITE 420E",HOLBROOK,NY,UNITED STATES,11741,631-439-4600 X127,631-439-4637,,,,,,,Approved,4/8/2002,3/31/2010,Y,WWW.AMERICANPORTFOLIOS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 500,"2,765",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,"707,743,223.00","495,008,815.00","1,202,752,038.00","5,557","3,887","9,444",Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,Y,Y,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,146256,801-70600,SOHO ASSET MANAGEMENT LLC,SOHO ASSET MANAGEMENT LLC,2432 RAILWAY AVENUE,SUITE I/428,LOS OLIVOS,CA,USA,93441,866-294-7913,866-294-7913,P.O. BOX 428,,LOS OLIVOS,CA,USA,93441-0428,Approved,9/24/2009,9/9/2009,Y,WWW.SOHOAMLLC.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"15,280,171.00",0,"15,280,171.00",2,0,2,N,Y,N,Y,N,N,N,N,N,Y,MANAGEMENT OF PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,112167,801-56393,GHP FINANCIAL GROUP,"GHP HORWATH, P.C.","1670 BROADWAY, STE 3000",,DENVER,CO,USA,80202,303-831-5000,303-831-5032,,,,,,,Approved,4/30/1999,3/31/2010,Y,WWW.GHPCPA.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,CO,UNITED STATES,51-250,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,"WE RECEIVE SOLICITATION FEES FROM GHP INVESTMENT ADVISORS, INC.",N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,"WE REFER CLIENTS TO GHP INVESTMENT ADVISORS, INC.",0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106230,801-32397,WEICK & ASSOCIATES INC,"WEICK & ASSOCIATES, INC.",8800 PIPPEN ROAD,SUITE 226,ROMEO,MI,USA,48065,586-336-0500,603-250-5377,,,,,,,Approved,8/11/1988,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"42,560,889.00",0,"42,560,889.00",20,0,20,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,152541,801-70930,"INDEX MANAGEMENT SOLUTIONS, LLC","INDEX MANAGEMENT SOLUTIONS, LLC","2005 MARKET STREET, ONE COMMERCE SQUARE",SUITE 2020,PHILADELPHIA,PA,UNITED STATES,19103,215-854-8181,215-854-8190,,,,,,,Approved,1/7/2010,12/11/2009,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111020,801-48140,MORGAN STANLEY REAL ESTATE INVESTMENT MANAGEMENT II INC.,MORGAN STANLEY REAL ESTATE INVESTMENT MANAGEMENT II INC.,1585 BROADWAY,"REAL ESTATE FUNDS, 37TH FLOOR",NEW YORK,NY,UNITED STATES,10036,212-761-4700,212-761-0511,,,,,,,Approved,1/13/1995,3/31/2010,Y,WWW.MORGANSTANLEY.COM/REALESTATE/,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,251-500,0,251-500,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"76,410,905.00",0,"76,410,905.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105783,801-35435,TOWERS WATSON PENNSYLVANIA INC.,TOWERS WATSON PENNSYLVANIA INC.,1500 MARKET STREET,CENTRE SQUARE EAST,PHILADELPHIA,PA,UNITED STATES,19102,215-246-6000,215-246-4463,,,,,,,Approved,9/24/1990,3/31/2010,Y,TOWERSWATSON.COM,Y,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,More than 1000,"5,000",51-250,0,0,0,0,0,101-250,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151225,801-70638,FORBES FAMILY TRUST LLC,FFT WEALTH MANAGEMENT LLC,622 THIRD AVE,32ND FLOOR,NEW YORK,NY,UNITED STATES,10017,212-488-1390,212-735-0003,,,,,,,Approved,10/7/2009,3/31/2010,Y,WWW.FORBESFAMILYTRUST.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,105899,801-36461,TIMUCUAN ASSET MANAGEMENT INC,TIMUCUAN ASSET MANAGEMENT INC,200 WEST FORSYTH STREET,SUITE 1600,JACKSONVILLE,FL,USA,32202,904-356-1739,904-358-2344,PO BOX 52898,,JACKSONVILLE,FL,USA,32201,Approved,3/1/1990,5/21/2010,Y,TIMUCUAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"435,475,651.00",0,"435,475,651.00",184,0,184,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,131091,801-71497,"DUPREE FINANCIAL GROUP, LLC","DUPREE FINANCIAL GROUP, LLC",237 EAST MAIN STREET,,LEXINGTON,KY,UNITED STATES,40507,859-233-0400,859-233-0472,,,,,,,120-Day Approval,6/4/2010,5/21/2010,Y,WWW.DUPREEFINANCIAL.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,KY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,Y,ASSET ALLOCATION SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,129553,801-68271,"KROHNE CAPITAL, LLC","KROHNE CAPITAL, LLC",,,,,,,858-454-5789,509-277-8895,,,,,,,Approved,8/20/2007,1/22/2010,Y,HTTP://KROHNECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,"25,000,000.00",0,"25,000,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,121923,801-61733,CYPRESS CAPITAL GROUP,"CYPRESS CAPITAL GROUP, INC.",218 ROYAL PALM WAY,,PALM BEACH,FL,UNITED STATES,33480,561-659-5889,561-659-1191,,,,,,,Approved,1/16/2003,5/21/2010,Y,WWW.CYPRESSCAPITALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"774,575,483.00","250,615,740.00","1,025,191,223.00",837,174,"1,011",Y,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR TRUST COMPANY,10-Jan,,N,N,N,N,N,N,N,Y,N,,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,137897,801-65032,FINTAN PARTNERS LLC,FINTAN PARTNERS LLC,"300 HAMILTON AVE, 4TH FLOOR",,PALO ALTO,CA,USA,94301,650-687-3400,650-618-0313,,,,,,,Approved,1/3/2006,1/22/2010,Y,WWW.FINTANPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"660,000,000.00",0,"660,000,000.00",2,0,2,N,Y,N,Y,N,N,N,N,N,Y,FUND OF HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107047,801-32135,COSTA GREGORY MICHAEL,COSTA GREGORY MICHAEL,,,,,,,978-475-0307,978-474-1978,,,,,,,Approved,5/27/1988,1/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"44,821,223.00","44,821,223.00",0,280,280,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106605,801-42435,INTEGRATED FINANCIAL SERVICES INC,INTEGRATED FINANCIAL SERVICES INC,,,,,,,203-226-3477,203-454-3974,,,,,,,Approved,9/29/1992,1/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"76,420,304.00","76,420,304.00",0,25,25,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,151299,801-70574,STAVIS & COHEN FINANCIAL,"STAVIS & COHEN FINANCIAL, LLC",1330 POST OAK BLVD.,SUITE 2190,HOUSTON,TX,UNITED STATES,77056,713-275-7750,713-275-7770,,,,,,,Approved,9/24/2009,1/22/2010,Y,WWW.STAVISANDCOHEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"36,605,119.00","11,888,802.00","48,493,921.00",40,24,64,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,109118,801-55519,"A. MILLER INVESTMENT ADVISORS, L.P.","A. MILLER INVESTMENT ADVISORS, L.P.",310 SUL ROSS ST.,,HOUSTON,TX,UNITED STATES,77006,713-238-6730,713-238-6708,P.O. BOX 540327,,HOUSTON,TX,UNITED STATES,77254,Approved,5/15/1998,5/21/2010,Y,WWW.AMILLER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"71,139,940.00","16,552,830.00","87,692,770.00",109,146,255,N,Y,N,N,Y,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,113178,801-60660,SP ASSET MANAGEMENT,"PANDYA, SANDEEP MADHAVLAL",20380 TOWN CENTER LANE,SUITE 205,CUPERTINO,CA,UNITED STATES,95014,408-257-7711,408-904-5611,,,,,,,Approved,11/2/2001,1/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"65,000,000.00",0,"65,000,000.00",65,0,65,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,132313,801-63470,JKMILNE ASSET MANAGEMENT,MILNE LLC,1520 ROYAL PALM SQUARE BLVD,SUITE 210,FORT MYERS,FL,UNITED STATES,33919,239-936-3430,239-936-3391,,,,,,,Approved,8/27/2004,1/22/2010,Y,WWW.JKMILNE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,INSURANCE,Y,N,N,Y,N,N,Y,MINIMUM FEES FOR NEW ACCOUNTS,Y,"1,600,141,243.00","55,650,379.00","1,655,791,622.00",22,1,23,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,153444,801-71284,"ACELA CAPITAL MANAGEMENT, LLC","ACELA CAPITAL MANAGEMENT, LLC","20380 TOWN CENTER LANE, SUITE 200",,CUPERTINO,CA,UNITED STATES,95014,408-861-9888,,,,,,,,120-Day Approval,4/1/2010,5/21/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107838,801-16384,PERSONAL BUSINESS MANAGEMENT GROUP LTD,PERSONAL BUSINESS MANAGEMENT GROUP LTD,1911 SUMMER ST,,STAMFORD,CT,USA,6905,203-357-1046,203-964-1173,,,,,,,Approved,9/14/1981,1/22/2010,Y,WWW.PBMGLTD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"156,263,000.00",0,"156,263,000.00",165,0,165,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,10985,801-15614,"PENSION FUND EVALUATIONS, INC.","PENSION FUND EVALUATIONS, INC.",2450 MIDDLE COUNTRY RD,,CENTEREACH,NY,UNITED STATES,11720,631-585-8282,631-585-8343,,,,,,,Approved,11/14/1980,1/22/2010,Y,PFEVAL.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Other (specify),SUB S CORPORATION,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,SELF DIRECTED PLANS,N,N,N,Y,Y,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,Y,EXECUTION ANALYSIS,,,N,N,Y,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N
HQ,140462,801-66884,K.K. JERMYN CAPITAL,K.K. JERMYN CAPITAL,1-4-2 KASUMIGASEKI,CHIYODA-KU,TOKYO,,JAPAN,100-0013,-8133,-8134,,,,,,,Approved,6/13/2006,9/9/2009,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,JAPAN,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,11-25 percent,26-50 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,PRINCIPALS AND AFFILIATES OF THE APPLICANT,Y,N,N,N,N,Y,N,,Y,0,"85,397,770.00","85,397,770.00",0,1,1,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,107454,801-51450,ROBINSON INVESTMENT GROUP INC,ROBINSON INVESTMENT GROUP INC,5301 VIRGINIA WAY STE 150,,BRENTWOOD,TN,USA,37027,615-242-3447,615-242-9962,,,,,,,Approved,3/15/1996,1/22/2010,Y,WWW.ROBINSONINVESTMENT.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,REGISTERED INVESTMENT ADVISER,Y,N,N,N,N,N,N,,Y,"99,047,547.00","9,277,054.00","108,324,601.00",192,54,246,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,141440,801-67170,"SOUND INVESTMENT STRATEGIES, INC.","SOUND INVESTMENT STRATEGIES, INC.",407 LINCOLN AVENUE,,MUKILTEO,WA,UNITED STATES,98275,425-353-4960,425-347-6138,,,,,,,Approved,10/2/2006,1/22/2010,Y,WWW.INVESTSOUNDLY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"36,446,545.00",0,"36,446,545.00",189,0,189,N,Y,N,Y,Y,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111943,801-57402,FULLER HYLAND ADVISORS LLC,FULLER HYLAND ADVISORS LLC,550 OAKWOOD AVE.,,LAKE FOREST,IL,UNITED STATES,60045,847-604-8881,847-295-0400,,,,,,,Approved,3/13/2000,1/22/2010,Y,WWW.FULLERHYLAND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,582,875.00","41,300,696.00","44,883,571.00",21,168,189,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,152458,801-70901,"GLOBAL STRATEGIES INVESTMENT MANAGEMENT, LLC","GLOBAL STRATEGIES INVESTMENT MANAGEMENT, LLC",1100 PEACHTREE STREET N.E.,SUITE 1480,ATLANTA,GA,UNITED STATES,30309,404-233-4429,678-916-4264,,,,,,,Approved,1/5/2010,1/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,10-Jun,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"158,000,000.00",0,"158,000,000.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,N,N,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,151456,801-70608,"PRISM ASSET MANAGEMENT, LLC","PRISM ASSET MANAGEMENT, LLC",55-202 LANGSUAN ROAD,"PHATUM THANI, LUMPINI",BANGKOK,,THAILAND,,630-894-0135,,,,,,,,Approved,10/14/2009,9/10/2009,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,130128,801-67062,CAPSTONE WEALTH MANAGEMENT,"CAPSTONE WEALTH MANAGEMENT, INC.",1500 POLY DRIVE,SUITE 107,BILLINGS,MT,UNITED STATES,59102,406-259-4939,406-294-5150,1500 POLY DRIVE SUTIE 107,,BILLINGS,MT,UNITED STATES,59102,Approved,8/3/2006,5/21/2010,Y,WWW.CAPSTONERETIRE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"119,712,136.00","10,808,725.00","130,520,861.00",262,6,268,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152078,801-70845,"STONE RUN CAPITAL, LLC","STONE RUN CAPITAL, LLC",600 5TH AVENUE,,NEW YORK,NY,UNITED STATES,10020,212-830-5387,212-315-0673,,,,,,,Approved,12/7/2009,5/21/2010,Y,WWW.STONERUNCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"108,500,000.00",0,"108,500,000.00",14,0,14,N,Y,N,Y,N,N,N,N,N,Y,POOLED INVESTMENT VEHICLE,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,127249,801-62378,JAMES MCCUSKER & ASSOCIATES,"MCCUSKER, JAMES",11 SUMMER STREET,,CHELMSFORD,MA,UNITED STATES,1824,978-256-1323,978-256-1248,,,,,,,Approved,9/22/2003,1/22/2010,Y,WWW.MCCUSKERASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"90,345,049.00",0,"90,345,049.00",679,0,679,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,127181,801-63056,"BRUTON FINANCIAL ADVISORS, LLC","BRUTON FINANCIAL ADVISORS, LLC",521 EAST LANCASTER AVENUE,,DOWNINGTOWN,PA,USA,19335,610-518-3900,610-518-3880,,,,,,,Approved,4/19/2004,5/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,More than 500,600,26-50 percent,11-25 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"147,489,662.00",0,"147,489,662.00",614,0,614,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111750,801-60133,"CONESTOGA CAPITAL ADVISORS, LLC","CONESTOGA CAPITAL ADVISORS, LLC",259 N. RADNOR-CHESTER RD.,RADNOR COURT SUITE 120,RADNOR,PA,USA,19087,484-654-1380,610-225-0533,,,,,,,Approved,4/18/2001,1/22/2010,Y,WWW.CONESTOGACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"345,396,182.00",0,"345,396,182.00",186,0,186,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,124636,801-61711,STRATEGIC POINT INVESTMENT ADVISORS LLC,STRATEGIC POINT INVESTMENT ADVISORS LLC,220 WEST EXCHANGE STREET,,PROVIDENCE,RI,UNITED STATES,02903-1004,401-273-1500,401-273-8987,,,,,,,Approved,12/31/2002,5/28/2010,Y,WWW.STRATEGICPOINT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,More than 500,"1,500",More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"539,916,506.00",0,"539,916,506.00","3,830",0,"3,830",Y,Y,N,Y,N,N,N,N,N,N,,More than 500,1000,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,Y,Y,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N
HQ,153063,801-71183,NORTHWEST INVESTMENT MANAGEMENT (HONG KONG) LIMITED,NORTHWEST INVESTMENT MANAGEMENT (HONG KONG) LIMITED,11TH FLOOR KINWICK CENTRE,"32 HOLLYWOOD ROAD, CENTRAL",HONG KONG,,CHINA,,00852-3657-5600,00852-3165-1671,,,,,,,Approved,3/8/2010,6/1/2010,Y,WWW.NIMCO.CO.UK,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"540,000,000.00",0,"540,000,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,117232,801-64472,NIXON PEABODY FINANCIAL ADVISORS LLC,NIXON PEABODY FINANCIAL ADVISORS LLC,1100 CLINTON SQUARE,,ROCHESTER,NY,UNITED STATES,14604,(585) 263-1100,(866) 798-9238,,,,,,,Approved,7/18/2005,5/28/2010,Y,WWW.NPFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,LLCS,Y,Y,N,Y,N,N,N,,Y,"315,717.00","236,463,710.00","236,779,427.00",1,159,160,Y,Y,N,N,N,Y,Y,N,N,Y,"CONSULTING, TAX PLANNING & PREPARATION",101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,150341,801-70482,"MWM INVESTMENT CONSULTING, LLC","MWM INVESTMENT CONSULTING, LLC",2390 TAMIANI TRAIL N.,SUITE 108,NAPLES,FL,UNITED STATES,34103,239-430-0738,239-430-0749,,,,,,,Approved,8/18/2009,1/22/2010,Y,WWW.MWMINVESTMENTCONSULTING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"46,580,736.00",0,"46,580,736.00",12,0,12,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,147075,801-69187,SPRAKER WEALTH MANAGEMENT INC,SPRAKER WEALTH MANAGEMENT INC,543 N. WYMORE RD.,SUITE 104,MAITLAND,FL,USA,32751,407-478-7899,407-478-7898,,,,,,,Approved,5/21/2008,1/22/2010,Y,WWW.SPRAKERWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"57,723,780.00","167,382.00","57,891,162.00",228,2,230,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,148285,801-69949,GRAHAM & DODD FUND L.L.C.,THE GRAHAM & DODD FUND L.L.C.,404 PARK AVENUE SOUTH,5TH FLOOR,NEW YORK,NY,UNITED STATES,10016,212-649-5884,212-649-5722,,,,,,,Approved,2/27/2009,5/28/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,10-Jun,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,11-25 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"88,536,957.00",0,"88,536,957.00",5,0,5,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,112822,801-71531,"PACIFIC MOUNTAIN ADVISORS, INC.","PACIFIC MOUNTAIN ADVISORS, INC.",5619 SCOTTS VALLEY DRIVE,SUITE 140,SCOTTS VALLEY,CA,UNITED STATES,95066-3453,831-438-0408,831-438-1068,,,,,,,Approved,6/14/2010,5/28/2010,Y,WWW.PACIFICMOUNTAINADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"35,147,029.00",0,"35,147,029.00",387,0,387,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,112463,801-57799,LEWIS CAPITAL MANAGEMENT,"LEWIS CAPITAL MANAGEMENT, LLLP",,,,,,,239-649-8229,239-643-6832,,,,,,,Approved,9/5/2000,6/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),"LIMITED LIABILITY, LIMITED PARTNERSHIP",FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"70,431,861.00",0,"70,431,861.00",158,0,158,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,118090,801-60865,CHARLEMAGNE CAPITAL (IOM) LIMITED,CHARLEMAGNE CAPITAL (IOM) LIMITED,ST MARY'S COURT,20 HILL STREET,DOUGLAS,,ISLE OF MAN,IM1 1EU,44 1624 640200,44 1624 614474,,,,,,,Approved,1/23/2002,6/1/2010,Y,"WWW.CHARLEMAGNECAPITAL.COM (THIS IS A GROUP WEBSITE, NOT AN INDIVIDUAL WEBSITE FOR THE REGISTRANT)",Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Other (specify),LIMITED COMPANY,,ISLE OF MAN,51-250,0,Nov-50,0,0,0,51-250,0,26-100,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,SEGREGATED ACCOUNTS/INSTITUTIONAL,Y,N,N,N,N,Y,N,,Y,"2,563,171,802.00","488,757,198.00","3,051,929,000.00",36,3,39,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137637,801-64878,CHARLEMAGNE CAPITAL (UK) LIMITED,CHARLEMAGNE CAPITAL (UK) LIMITED,39 ST JAMES'S STREET,,LONDON,,UNITED KINGDOM,SW1A 1JD,440-20751-82100,440-20751-82199,ST MARY'S COURT,20 HILL STREET,DOUGLAS,,ISLE OF MAN,IM1 1EU,Approved,11/14/2005,6/1/2010,Y,WWW.CHARLEMAGNECAPITAL.COM (PLEASE NOTE THIS IS THE CHARLEMAGNE CAPITAL GROUP'S WEBSITE),Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Other (specify),LIMITED COMPANY,,UNITED KINGDOM,51-250,0,Nov-50,0,0,0,51-250,0,26-100,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,SEGREGATED ACCOUNTS/INSTITUTIONAL,Y,N,N,N,N,Y,N,,Y,"2,563,171,802.00","488,757,198.00","3,051,929,000.00",36,3,39,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,142892,801-70621,"THE FINANCIAL PLANNING GROUP, INC","THE FINANCIAL PLANNING GROUP, INC",15815 FRANKLIN TRAIL SOUTHEAST,SUITE 300,PRIOR LAKE,MN,USA,55372,952-853-2233,952-400-4331,15815 FRANKLIN TRAIL SOUTHEAST,SUITE 300,PRIOR LAKE,MN,USA,55425,Approved,10/15/2009,9/14/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"35,665,758.00",0,"35,665,758.00",185,0,185,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,107776,801-16349,NUTTALL RICHARD VOIGHT,"NUTTALL, RICHARD VOIGHT","9, AIRY HALL COURT",,COLUMBIA,SC,UNITED STATES,29209,803-787 7668,803 787 7668,,,,,,,Approved,9/17/1981,6/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,SC,UNITED STATES,5-Jan,0,0,0,0,0,0,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"95,500,000.00",0,"95,500,000.00",85,0,85,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151246,801-71030,"AXEL CAPITAL MANAGEMENT, LLC","AXEL CAPITAL MANAGEMENT, LLC",350 PARK AVENUE,25TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-935-7111,212-935-6999,,,,,,,Approved,1/26/2010,6/1/2010,Y,WWW.AXELCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"143,000,000.00",0,"143,000,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,POOLED INVESTMENT VEHICLE,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110797,801-58187,CAZENOVE CAPITAL MANAGEMENT LIMITED,CAZENOVE CAPITAL MANAGEMENT LIMITED,12 MOORGATE,,LONDON,,UNITED KINGDOM,EC2R 6DA,+44 (0)20 3479 1000,+44 (0)20 3479 1010,,,,,,,Approved,1/9/2001,6/1/2010,Y,WWW.CAZENOVECAPITAL.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,,UNITED KINGDOM,251-500,0,51-250,0,0,0,0,0,More than 500,"7,000",11-25 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,Y,Y,N,,Y,"11,935,800,000.00","1,525,930,000.00","13,461,730,000.00","7,196",78,"7,274",Y,Y,Y,Y,Y,N,Y,N,N,N,,More than 500,500,N,N,N,N,N,N,N,N,N,,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,122639,801-63561,"BEACON INVESTMENT MANAGEMENT, LLC","BEACON INVESTMENT MANAGEMENT, LLC",1 INDIA STREET,SUITE 205,BOSTON,MA,UNITED STATES,2109,617-357-8306,617-357-6921,,,,,,,Approved,10/8/2004,1/22/2010,Y,BEACONINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"43,935,421.00","43,935,421.00",0,112,112,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,126032,801-61894,T.ROWE PRICE GLOBAL INVESTMENT SERVICES LIMITED,T.ROWE PRICE GLOBAL INVESTMENT SERVICES LIMITED,60 QUEEN VICTORIA STREET,,LONDON,,UNITED KINGDOM,EC4N 4TZ,011-44-20-7651-8200,011-44-20-7651-8480,100 EAST  PRATT STREET,,BALTIMORE,MD,UNITED STATES,21202,Approved,3/26/2003,6/1/2010,Y,WWW.TROWEPRICE.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,,UNITED KINGDOM,51-250,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,51-75 percent,FOREIGN INVESTMENT COMPANIES,Y,N,N,N,N,N,N,,Y,"37,326,942,849.00","911,823,711.00","38,238,766,560.00",117,3,120,N,N,Y,Y,N,N,N,N,N,Y,NON-U.S. COLLECTIVE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,Y,"SEE SCHEDULE D, MISC.",N,,Y,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110422,801-15619,TERRIL & COMPANY,TERRIL BROTHERS INC,11906 MANCHESTER RD,SUITE 301,ST LOUIS,MO,UNITED STATES,63131-4504,314-965-0344,314-965-7017,PO BOX 31277,,SAINT LOUIS,MO,UNITED STATES,63131-0277,Approved,11/12/1980,6/1/2010,Y,WWW.TERRILANDCOMPANY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,11-25 percent,26-50 percent,11-25 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"400,000,000.00",0,"400,000,000.00",281,0,281,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106337,801-41392,WINSLOW ASSET MANAGEMENT INC,WINSLOW ASSET MANAGEMENT INC,3333 RICHMOND RD #180,,BEACHWOOD,OH,UNITED STATES,44122,216-360-4700,216-360-4710,,,,,,,Approved,5/12/1992,1/22/2010,Y,WWW.WINSLOWASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"343,601,973.00","9,601,257.00","353,203,230.00",100,3,103,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106103,801-41250,ROLF ADLER GROUP INC,ROLF ADLER GROUP INC,,,,,,,330-562-8969,330-562-8969,,,,,,,Approved,5/7/1992,1/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"67,236,600.00",0,"67,236,600.00",77,0,77,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,126616,801-61994,PHOENIX FINANCIAL CONSULTING,"WINN, BRUCE DAVID",2241 FARNUM STE 204,,CASPER,WY,UNITED STATES,82609,307-234-4668,,,,,,,,Approved,4/25/2003,6/1/2010,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SELECTION OF OTHER ADVISORS,Y,"3,550,000.00",0,"3,550,000.00",49,0,49,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTATION WITH OTHER PORTFOLIO MANAGERS,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,143573,801-69164,NAPLES CAPITAL ADVISORS,"NAPLES CAPITAL ADVISORS, INC",599 9TH STREET NORTH STE.101,,NAPLES,FL,UNITED STATES,34102,239-963-2605,239-430-0900,,,,,,,Approved,5/22/2008,6/1/2010,Y,WWW.NAPLESCAPITALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"144,721,046.00","927,379.00","145,648,425.00",201,29,230,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,Y,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,111576,801-60539,FLOYD CAPITAL MANAGEMENT,"FLOYD, BENJAMIN JOSEPH",4612 SUMMERHILL ROAD,,TEXARKANA,TX,UNITED STATES,75503,903-794-2704,214-889-2704,,,,,,,Approved,8/31/2001,1/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"123,773,839.00",0,"123,773,839.00",269,0,269,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,129507,801-68770,STANDARD PLANNING COMPANY,"SINCLAIR, TOTTEN & DERINGER, INC.",11 SCHOOL STREET,,ROCKPORT,MA,USA,1966,978-546-9800,978-546-9801,P.O. BOX 725,,ROCKPORT,MA,USA,1966,Approved,2/6/2008,9/14/2009,Y,WWW.STANDARDPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"25,000,000.00","25,000,000.00",0,210,210,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,39326,801-48984,CONSOLIDATED INVESTMENT ADVISORS,THE LAWRENCE D. VITEZ CORPORATION,6525 MORRISON BLVD,SUITE 108,CHARLOTTE,NC,UNITED STATES,28211,704-366-0466,704-366-4377,,,,,,,Approved,4/18/1995,6/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"76,603,783.00","76,603,783.00",0,250,250,Y,Y,N,N,Y,Y,N,N,N,N,,51-100,,N,N,Y,Y,N,N,Y,N,N,,N,,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144971,801-68717,"GENESIS ASSET MANAGEMENT, LLC","GENESIS ASSET MANAGEMENT, LLC",5-9 UNION SQUARE WEST,6TH FLOOR,NEW YORK,NY,UNITED STATES,10003,212-542-5853,212-675-6008,,,,,,,Approved,1/14/2008,6/1/2010,Y,WWW.GENESISAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,Y,N,Y,N,N,,Y,"11,593,718.00","23,746,000.00","35,339,718.00",47,3,50,Y,Y,N,Y,N,N,Y,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
HQ,110072,801-52436,ELITE CONSULTANTS INTERNATIONAL,ELITE CONSULTANTS INTERNATIONAL INC,"BLOCK A-02, AL-OWAIS BLDG.",AL-RIQQA STREET.,"DUBAI, UNITED ARAB EMIRATES",,UNITED ARAB EMIRATES,,971-4-2226464,971-4-2273020,P.O.BOX 21049,,DUBAI,,UNITED ARAB EMIRATES,,Approved,7/12/1996,6/1/2010,Y,WWW.ELITECONINT.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,11-25 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,Y,"11,500,000.00","3,500,000.00","15,000,000.00",2,12,14,Y,Y,N,Y,N,Y,N,N,N,Y,CREDIT ANALYSIS FOR BANK CLIENTS,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105764,801-19785,MELLON CAPITAL MANAGEMENT CORPORATION,MELLON CAPITAL MANAGEMENT CORPORATION,50 FREMONT STREET,SUITE 3900,SAN FRANCISCO,CA,UNITED STATES,94105,415-546-6056,415-777-5699,,,,,,,Approved,9/30/1983,6/1/2010,Y,WWW.MCM.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,251-500,0,51-250,0,Nov-50,0,5-Jan,0,251-500,0,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,WRAP FEE PROGRAM SPONSORS,Y,N,N,Y,N,Y,Y,"CONSULTATIONS, JOINT VENTURE",Y,"121,560,712,953.00","236,009,350.00","121,796,722,303.00",892,8,900,N,Y,Y,Y,N,N,Y,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108333,801-54532,"ALTAIR MANAGEMENT PARTNERS, INC.","ALTAIR MANAGEMENT PARTNERS, INC.","103 BRADFORD ROAD, STE 110",STONEWOOD COMMONS II,WEXFORD,PA,UNITED STATES,15090,724-935-2720,724-935-2729,,,,,,,Approved,5/30/1997,1/22/2010,Y,HTTP://WWW.ALTAIRMP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,Y,N,,Y,"176,000,000.00","45,000,000.00","221,000,000.00",128,89,217,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106899,801-33635,ANGELL FINANCIAL,ANGELL FINANCIAL,,,,,,,719-633-6688,719-633-5982,,,,,,,Approved,1/26/1989,1/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,NON PROFIT TRUST,Y,N,N,Y,N,N,N,,Y,"1,000,000.00","33,000,000.00","34,000,000.00",1,3,4,N,Y,N,N,N,N,Y,Y,Y,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,131304,801-71251,"STERLING WEALTH MANAGEMENT, INC.","STERLING WEALTH MANAGEMENT, INC.","115 N. NEIL STREET, SUITE 305",,CHAMPAIGN,IL,UNITED STATES,61820,217-398-1900,217-398-1911,,,,,,,Approved,4/6/2010,6/1/2010,Y,WWW.STERLINGWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"17,877,833.00","12,651,476.00","30,529,309.00",86,7,93,Y,Y,N,Y,N,N,Y,N,N,Y,"WEALTH MANAGEMENT, INVESTMENT & NON-INVESTMENT CONSULTING",25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110770,801-36288,"HENNESSY ADVISORS, INC.","HENNESSY ADVISORS, INC.",7250 REDWOOD BOULEVARD,SUITE 200,NOVATO,CA,UNITED STATES,94945,415-899-1555,415-899-1559,7250 REDWOOD BOULEVARD,SUITE 200,NOVATO,CA,UNITED STATES,94945,Approved,4/2/1990,6/1/2010,Y,WWW.HENNESSYADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"927,767,808.00",0,"927,767,808.00",11,0,11,N,N,Y,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR LIMITED LIABILITY COMPANY,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107392,801-51758,MONTICELLO ASSOCIATES INC,MONTICELLO ASSOCIATES INC,1200 17TH STREET,SUITE 2600,DENVER,CO,UNITED STATES,80202,303-572-6300,303-572-6305,,,,,,,Approved,4/18/1996,6/1/2010,Y,WWW.MONTICELLOASSOCIATES.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,51-75 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,Y,GENERAL ASSET MANAGEMENT CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,116719,801-60673,ATLANTA CAPITAL,"ATLANTA CAPITAL MANAGEMENT COMPANY, L.L.C.",1349 WEST PEACHTREE ST.,TWO MIDTOWN PLAZA STE. 1600,ATLANTA,GA,USA,30309,404-876-9411,404-872-1672,,,,,,,Approved,9/30/2001,1/22/2010,Y,WWW.ATLCAP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,101-250,0,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,11-25 percent,11-25 percent,11-25 percent,WRAP FEE/SMA & UMA PROGRAMS,Y,N,N,N,N,Y,N,,Y,"7,748,290,000.00",0,"7,748,290,000.00",292,0,292,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,154008,801-71533,CQ INVESTMENT MANAGEMENT LLC,CQ INVESTMENT MANAGEMENT LLC,400 KING STREET,SUITE 7,CHAPPAQUA,NY,UNITED STATES,10514,914-238-2045,914-238-2047,,,,,,,120-Day Approval,6/14/2010,6/1/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,0,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,N,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111894,801-56409,"RESOURCE INVESTMENT ARCHITECTS, INC.","RESOURCE INVESTMENT ARCHITECTS, INC.",34 PETALUMA BLVD. N.,,PETALUMA,CA,UNITED STATES,94952,707-763-7861,707-763-8005,,,,,,,Approved,4/7/1999,6/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,500,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"21,294,005.00","151,506,680.00","172,800,685.00",95,486,581,Y,Y,N,Y,Y,Y,N,N,N,Y,ACT AS SOLICITOR FOR MANAGERS,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,110405,801-40100,"PENSION PARAMETERS FINANCIAL SERVICES, INC.","PENSION PARAMETERS FINANCIAL SERVICES, INC.",28 WEST 44TH STREET,SUITE 806,NEW YORK,NY,UNITED STATES,10036,212-675-9360,212-675-9363,,,,,,,Approved,10/31/1991,6/1/2010,Y,PENPARNY@AOL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"49,446,218.00","49,446,218.00",0,35,35,N,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,135303,801-64223,"WARNER FINANCIAL, INC","WARNER FINANCIAL, INC",4550 MONTGOMERY AVE,SUITE 352 NORTH,BETHESDA,MD,USA,20814,301-961-9505,301-469-3424,,,,,,,Approved,4/22/2005,3/29/2010,Y,WWW.WARNER-FINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"97,560,889.00","97,560,889.00",0,98,98,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,113661,801-60620,E CAPITAL MANAGEMENT L.P.,E CAPITAL MANAGEMENT L.P.,375 PARK AVENUE SUITE 2800,,NEW YORK,NY,UNITED STATES,10152,212-751-5959,212-754-2045,,,,,,,Approved,10/3/2001,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,712,883,436.00",0,"3,712,883,436.00",14,0,14,N,N,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109933,801-60053,"INLAND INVESTMENT ADVISORS, INC.","INLAND INVESTMENT ADVISORS, INC.",2901 BUTTERFIELD ROAD,,OAK BROOK,IL,USA,60523,630-218-8000,630-218-4955,,,,,,,Approved,3/20/2001,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"328,134,767.00",0,"328,134,767.00",15,0,15,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110342,801-16930,"AR ASSET MANAGEMENT, INC.","AR ASSET MANAGEMENT, INC.",335 N. MAPLE DRIVE,SUITE 366,BEVERLY HILLS,CA,USA,90210,310-859-7644,310-859-7854,,,,,,,Approved,3/19/1982,9/14/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"387,176,116.00",0,"387,176,116.00",140,0,140,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,105809,801-26805,COX GARY IAN,COX GARY IAN,,,,,,,719-495-8100,NONE,,,,,,,Approved,4/24/1986,3/29/2010,Y,WWW.GARYICOX.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,N,Y,N,N,,Y,0,"25,000,000.00","25,000,000.00",0,450,450,Y,Y,N,N,Y,N,Y,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108379,801-55126,NORTHSHORE ADVISORS LLC,NORTHSHORE ADVISORS LLC,7201 W. 78TH ST.,SUITE 200,MINNEAPOLIS,MN,UNITED STATES,55439,952-837-9890,952-837-9270,,,,,,,Approved,12/18/1997,3/29/2010,Y,WWW.NORTHSHOREADVISORSLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,26-50 percent,11-25 percent,26-50 percent,Up to 10 percent,INSURANCE COMPANIES,Y,N,N,Y,N,N,N,,Y,"310,711,938.00","31,246,785.00","341,958,723.00",16,2,18,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107269,801-40783,PPM AMERICA INC,"PPM AMERICA, INC.",225 WEST WACKER DRIVE,SUITE 1200,CHICAGO,IL,UNITED STATES,60606,312-634-2500,312-634-0049,,,,,,,Approved,2/20/1992,3/29/2010,Y,WWW.PPMAMERICA.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,51-75 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"69,800,874,442.00",0,"69,800,874,442.00",69,0,69,N,Y,Y,Y,N,N,N,N,N,Y,"PORTFOLIO MANAGEMENT FOR FOREIGN POOLED PRODUCTS, CREDIT RESEARCH AND SUPPORT FOR AFFILIATED ENTITIES (WITHOUT COMPENSATION).",,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110058,801-58206,"LOWERY THOMAS, LLC","LOWERY THOMAS, LLC","3685 MT. DIABLO BLVD., SUITE 151",,LAFAYETTE,CA,USA,94549,925-284-5271,925-284-0427,,,,,,,Approved,12/19/2000,3/29/2010,Y,WWW.LOWERYTHOMAS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"70,720,000.00","70,720,000.00",0,378,378,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107365,801-44359,PIEDRA CAPITAL LTD,PIEDRA CAPITAL LTD,3355 WEST ALABAMA,SUITE 980,HOUSTON,TX,UNITED STATES,77098,713-622-7625,713-622-4655,,,,,,,Approved,7/22/1993,3/29/2010,Y,WWW.PIEDRACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"66,628,049.00",0,"66,628,049.00",68,0,68,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,145220,801-70319,ROBINSON CAPITAL MANAGEMENT LLC,ROBINSON CAPITAL MANAGEMENT LLC,5370 S. MANHATTAN CIRCLE,SUITE 201,BOULDER,CO,UNITED STATES,80303,303-245-0035,303-245-0036,,,,,,,Approved,8/12/2009,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"43,750,000.00",0,"43,750,000.00",113,0,113,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109412,801-56005,WILLIAMS CAPITAL MANAGEMENT COMPANY,WILLIAMS CAPITAL MANAGEMENT COMPANY,825 GREEN BAY ROAD,,WILMETTE,IL,USA,60091,847-256-5565,847-256-5680,,,,,,,Approved,11/6/1998,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"28,706,456.00",0,"28,706,456.00",53,0,53,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111300,801-58207,E&E ADVISORS L.P.,E&E ADVISORS L.P.,"375 PARK AVENUE, SUITE 2800",,NEW YORK,NY,UNITED STATES,10152,212-751-5959,212-754-2045,,,,,,,Approved,12/11/2000,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,11-25 percent,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,334,799,024.00",0,"1,334,799,024.00",17,0,17,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,N,N,N,N,N,Y,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,140268,801-66646,BRIDGE CAPITAL INVESTMENTS PTE LTD.,BRIDGE CAPITAL INVESTMENTS PTE LTD.,9 TEMASEK BLVD,08-01B SUNTEC TOWER 2,SINGAPORE,,SINGAPORE,38989,65-6220-7594,65-6220-7523,,,,,,,Approved,5/9/2006,9/15/2009,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,,SINGAPORE,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,Up to 10 percent,26-50 percent,0 percent,11-25 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"331,000,000.00",0,"331,000,000.00",6,0,6,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131728,801-63200,E&E CAPITAL ADVISORS LLC,E&E CAPITAL ADVISORS LLC,375 PARK AVE.,SUITE 2800,NEW YORK,NY,UNITED STATES,10152,212-751-5959,212-754-2405,,,,,,,Approved,5/28/2004,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"289,188,491.00",0,"289,188,491.00",5,0,5,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,27913,801-38116,L.M. KOHN & COMPANY,L.M. KOHN & COMPANY,9810 MONTGOMERY ROAD,,CINCINNATI,OH,USA,45242-6414,513-792-0301,513-792-0300,,,,,,,Approved,1/18/1991,12/15/2009,Y,WWW.LMKOHN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,51-250,0,Nov-50,0,51-250,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"153,938,780.00","153,938,780.00",0,353,353,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,Y,N,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,107318,801-49929,SISUNG INVESTMENT MANAGEMENT SERVICES LLC,SISUNG INVESTMENT MANAGEMENT SERVICES LLC,"201 ST. CHARLES AVE., SUITE 4240",,NEW ORLEANS,LA,UNITED STATES,70170,504-544-7700,504-544-7701,,,,,,,Approved,8/18/1995,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,117,264,182.00","18,187,157.00","1,135,451,339.00",56,2,58,N,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N
LARO,138337,801-65038,ERISEY WEALTH MANAGEMENT,ERISEY WEALTH MANAGEMENT LLC,"28248 N. TATUM BLVD., STE. B-1, #418",,CAVE CREEK,AZ,UNITED STATES,85331,480-473-4611,480-474-4447,,,,,,,Approved,1/30/2006,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"31,000,000.00",0,"31,000,000.00",27,0,27,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,MANAGING PARTNER OF LLC,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
NYRO,114494,801-61362,"PARSONS CAPITAL MANAGEMENT, LLC","PARSONS CAPITAL MANAGEMENT, LLC",1225 RT. 31 SOUTH BUILDING A,SUITE 112,LEBANON,NJ,USA,8833,908-730-0011,908-730-0012,,,,,,,Approved,8/2/2002,3/29/2010,Y,WWW.PARSONSCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"93,672,900.00","10,952,529.00","104,625,429.00",685,77,762,Y,Y,N,Y,N,N,N,N,N,Y,CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108484,801-57758,"COAST ASSET MANAGEMENT, LLC","COAST ASSET MANAGEMENT, LLC",2450 COLORADO AVENUE,"SUITE 100, EAST TOWER",SANTA MONICA,CA,UNITED STATES,90404,310-576-3500,310-576-3512,,,,,,,Approved,7/20/2000,3/29/2010,Y,WWW.COASTASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,10-Jun,0,0,0,Nov-50,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,"COLLATERALIZED DEBT OBLIGATIONS, AND COLLATERALIZED FUND OBLIGATIONS",Y,N,N,N,N,Y,N,,Y,"1,422,734,453.00","41,675,520.00","1,464,409,973.00",29,1,30,N,N,N,N,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR DOMESTIC AND FOREIGN PRIVATELY PLACED HEDGE FUNDS AND SEPARATELY MANAGED ACCOUNTS,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,149156,801-69862,LEGAL & GENERAL INVESTMENT MANAGEMENT AMERICA,LEGAL & GENERAL INVESTMENT MANAGEMENT AMERICA INC.,8755 WEST HIGGINS ROAD,SUITE 600,CHICAGO,IL,UNITED STATES,60631,773-867-1650,773-867-1651,,,,,,,Approved,1/8/2009,3/29/2010,Y,HTTP://WWW.LGIMA.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,NON-US ADVISER,Y,N,N,N,N,N,N,,Y,"16,447,700,000.00",0,"16,447,700,000.00",42,0,42,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107180,801-34623,STRATEGIC WEALTH MANAGEMENT INC,STRATEGIC WEALTH MANAGEMENT INC,"7900 SE 28TH STREET, FIFTH FLOOR",,MERCER ISLAND,WA,USA,98040,206-288-4100,206-288-4141,,,,,,,Approved,7/14/1989,3/29/2010,Y,WWW.SWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,NATIVE AMERICAN TRIBES,Y,Y,N,Y,N,N,N,,Y,"240,985,609.00","2,572,337.00","243,557,946.00",64,9,73,Y,Y,N,Y,Y,Y,N,N,N,Y,COMPREHENISVE ADVISORY SERVICES TO NATIVE AMERICAN TRIBES OR TRIBAL ENTITIES.,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,141303,801-67068,"MASON & ASSOCIATES, INC.","MASON & ASSOCIATES, INC.",7474 NORTH FIGUEROA STREET,SUITE 100,LOS ANGELES,CA,UNITED STATES,90041,323-254-3072,323-254-3198,,,,,,,Approved,8/3/2006,12/15/2009,Y,HTTP://WWW.CWMASON.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,REFERRAL FEES,Y,0,"76,402,682.00","76,402,682.00",0,289,289,Y,Y,N,Y,Y,Y,Y,N,N,Y,SEMINARS,0,,N,N,N,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,44970,801-35725,SOUTHWEST CORPORATE INVESTMENT SERVICES,"CUSOURCE, LLC",6801 PARKWOOD BOULEVARD,,PLANO,TX,UNITED STATES,75024-7198,800-442-6427,214-703-7919,,,,,,,Approved,12/22/1989,3/29/2010,Y,WWW.SWCORPINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"30,900,000,000.00","30,900,000,000.00",0,99,99,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,148562,801-69717,"ASTRAEUS WEALTH ADVISERS, LLC","ASTRAEUS WEALTH ADVISERS, LLC",444 N. MICHIGAN AVENUE,SUITE 1200,CHICAGO,IL,UNITED STATES,60611,312-670-2500,312-602-3830,,,,,,,Approved,10/31/2008,3/29/2010,Y,HTTP://WWW.ASTRAEUSADVISERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,DISCRETIONARY BONUS,Y,"32,217,741.00","239,280,736.00","271,498,477.00",12,147,159,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,108493,801-55066,HAMON U.S. INVESTMENT ADVISORS LIMITED,HAMON U.S. INVESTMENT ADVISORS LIMITED,3510-15 JARDINE HOUSE,1 CONNAUGHT PLACE,CENTRAL HONG KONG,,HONG KONG,,852-2526-4268,852-2526-7277,,,,,,,Approved,12/16/1997,3/29/2010,Y,WWW.HAMOM.COM.HK,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,317,000,000.00",0,"1,317,000,000.00",2,0,2,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,151223,801-70506,RARE INFRASTRUCTURE (NORTH AMERICA) PTY LTD,RARE INFRASTRUCTURE (NORTH AMERICA) PTY LTD,"LEVEL 18, 1 YORK STREET",,SYDNEY,,AUSTRALIA,2000,61 2 9397 7300,61 2 9397 7399,,,,,,,Approved,8/31/2009,12/15/2009,Y,WWW.RAREINFRASTRUCTURE.COM,N,N,N,Y,N,N,N,Y,N,N,N,N,N,Corporation,,,AUSTRALIA,Nov-50,0,10-Jun,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,Y,Y,N,N,N,N,Y,CURRENTLY HAS NO INVESTMENT CLIENTS BUT IT INTENDS TO PROVIDE PORTFOLIO MGT FOR INVESTMENT COMPANIES & ERISA PLANS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109998,801-57632,"TOWERHILL WEALTH MANAGEMENT, LLC","TOWERHILL WEALTH MANAGEMENT, LLC",9640 CLAYTON ROAD,,ST. LOUIS,MO,UNITED STATES,63124,314-725-6300,314-727-0096,,,,,,,Approved,6/5/2000,3/29/2010,Y,WWW.TOWERHILLWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"74,438,881.00",0,"74,438,881.00",11,0,11,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106927,801-51504,THE QINSIGHT GROUP,COMPUTER HANDHOLDERS INC,5480 BALTIMORE DRIVE,SUITE 213,LA MESA,CA,UNITED STATES,91942,619-460-0984,619-460-1780,,,,,,,Approved,3/18/1996,3/29/2010,Y,WWW.QINSIGHT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,TRUSTS AND IRA'S,Y,N,N,N,N,N,N,,Y,"27,198,852.00",0,"27,198,852.00",49,0,49,Y,Y,N,Y,N,N,Y,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109229,801-57188,EXCEL CAPITAL MANAGEMENT CORP,EXCEL CAPITAL MANAGEMENT CORP,14 IRVING COURT,,BELLE MEAD,NJ,UNITED STATES,8502,908-431-1770,908-431-1771,,,,,,,Approved,3/22/2000,3/29/2010,Y,WWW.EXCELCAPITALMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"52,831,963.00",0,"52,831,963.00",160,0,160,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105060,801-31820,"PENOBSCOT INVESTMENT MANAGEMENT COMPANY, INC.","PENOBSCOT INVESTMENT MANAGEMENT COMPANY, INC.",50 CONGRESS STREET,SUITE 410,BOSTON,MA,UNITED STATES,2109,617-227-3111,617-227-7467,,,,,,,Approved,5/2/1988,3/29/2010,Y,WWW.PIMBOSTON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,PARTNERSHIP,Y,N,N,Y,N,N,N,,Y,"230,444,472.00","14,215,225.00","244,659,697.00",345,11,356,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,149929,801-70153,IMPACT INVESTMENT ADVISER LLC,IMPACT INVESTMENT ADVISER LLC,100 PINE STREET,SUITE 2860,SAN FRANCISCO,CA,UNITED STATES,94111,415-981-1074,415-981-1087,,,,,,,Approved,5/15/2009,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,EXPENSE REIMBURSEMENTS,Y,"422,121,318.00",0,"422,121,318.00",6,0,6,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109766,801-14216,BENDER ROBERT & ASSOCIATES,BENDER ROBERT L INC,245 S. LOS ROBLES AVENUE,SUITE 620,PASADENA,CA,USA,91101,626-397-9072,626-397-9090,,,,,,,Approved,12/1/1978,3/29/2010,Y,WWW.ROBERTBENDER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"116,140,155.00",0,"116,140,155.00",387,0,387,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,125801,801-68024,TUBLIN - DIFUSCO ADVISORS INC.,TUBLIN - DIFUSCO ADVISORS INC.,,,,,,,516-623-2862,516-377-1734,,,,,,,Approved,6/15/2007,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"30,238,573.00",0,"30,238,573.00",135,0,135,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,125139,801-61781,"PROPRIETARY CAPITAL, LLC","PROPRIETARY CAPITAL, LLC","1225 SEVENTEENTH STREET, SUITE 1500",,DENVER,CO,UNITED STATES,80202,303-575-9084,303-260-7785,,,,,,,Approved,2/10/2003,3/29/2010,Y,WWW.PROP-CAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"550,000,000.00",0,"550,000,000.00",6,0,6,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR OTHER POOLED INVESTMENT VEHICLES.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,136509,801-68878,"SHELL CAPITAL MANAGEMENT, LLC","SHELL CAPITAL MANAGEMENT, LLC",500 EBENEZER ROAD,,KNOXVILLE,TN,USA,37923,865-539-9070,865-539-9980,,,,,,,Approved,2/28/2008,3/29/2010,Y,WWW.SHELL-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"37,684,387.00",0,"37,684,387.00",101,0,101,N,Y,N,Y,Y,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,7425,801-65853,"NTB ADVISERS, A DIVISION OF NEIDIGER, TUCKER, BRUNER INC","NEIDIGER, TUCKER, BRUNER, INC.",1331 17TH ST,SUITE 400,DENVER,CO,USA,80202,303-825-1825,303-825-3789,,,,,,,Approved,1/30/2006,9/15/2009,Y,WWW.NTBINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,251-500,0,26-50 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"52,464,225.00","50,148,369.00","102,612,594.00",304,16,320,Y,Y,N,Y,Y,N,Y,N,N,N,,25-Nov,,Y,Y,Y,N,N,N,Y,N,Y,INVESTMENT ADVISOR,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y
FWRO,111097,801-4868,"U.S. GLOBAL INVESTORS, INC.","U.S. GLOBAL INVESTORS, INC.",7900 CALLAGHAN ROAD,,SAN ANTONIO,TX,USA,78229,210-308-1234,210-348-2661,,,,,,,Approved,6/16/1968,9/15/2009,Y,WWW.USFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,51-250,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,381,694,300.00",0,"2,381,694,300.00",15,0,15,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,111727,801-40331,LAMCO ADVISORY SERVICES INC.,LAMCO ADVISORY SERVICES INC.,1525 INTERNATIONAL PARKWAY,SUITE 2071,LAKE MARY,FL,USA,32746,407-585-1160,407-585-1199,,,,,,,Approved,12/27/1991,12/16/2009,Y,WWW.LAMCOGROUP.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,RI,UNITED STATES,Nov-50,0,10-Jun,0,0,0,10-Jun,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"447,510,343.00","900,633,702.00","1,348,144,045.00",381,191,572,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152873,801-71290,ROC CAPITAL,"ROC CAPITAL MANAGEMENT, L.P.",640 5TH AVENUE,10TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212.607.8333,212.246.2690,,,,,,,Approved,4/12/2010,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,531,000,000.00",0,"3,531,000,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106845,801-53258,HAMMOND ASSOCIATES,HAMMOND ASSOCIATES INSTITUTIONAL FUND CONSULTANTS INC,101 S. HANLEY,SUITE 300,ST. LOUIS,MO,UNITED STATES,63105,314-746-1600,314-746-1699,,,,,,,Approved,11/8/1996,3/29/2010,Y,WWW.HAIFC.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,51-250,0,51-250,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,Y,Y,N,N,Y,"PERCENTAGE OF ASSETS ADVISED, BUT NOT MANAGED",Y,"1,117,883,423.00","683,520,888.00","1,801,404,311.00",106,58,164,N,Y,N,Y,Y,Y,Y,N,N,Y,NON-DISCRETIONARY INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL AND INDIVIDUAL CLIENTS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,Y,N,N,Y,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,143580,801-67844,"RDK STRATEGIES, LLC","RDK STRATEGIES, LLC",,,,,,,410-970-6111,410-630-7772,,,,,,,Approved,4/26/2007,3/29/2010,Y,WWW.RDKSTRATEGIES.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,11-25 percent,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"2,685,522,745.00","2,685,522,745.00",0,4,4,N,N,N,N,Y,Y,N,N,N,Y,"IA PRODUCT DEVELOPMENT SERVICES, FIDUCIARY CONSULTING",0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,148888,801-69808,CLARITY INVESTMENTS + PLANNING LLC,CLARITY INVESTMENTS + PLANNING LLC,500  FIFTH AVENUE,SUITE 810,NEW YORK,NY,UNITED STATES,10110,212-730-7029,212-868-3140,,,,,,,Approved,12/16/2008,3/29/2010,Y,WWW.CLARITYINV.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"8,901,436.00",0,"8,901,436.00",82,0,82,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,154528,801-71702,"CORIOLIS MANAGEMENT, LLC","CORIOLIS MANAGEMENT, LLC","1600 TYSONS BLVD, SUITE 320",,MCLEAN,VA,UNITED STATES,22102-4865,703-574-3570,877-311-7839,,,,,,,120-Day Approval,8/4/2010,7/15/2010,Y,WWW.CORIOLISFUND.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,INVESTMENT FUND MANAGEMENT,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,132567,801-66904,FINANCIAL INNOVATIONS LLC,FINANCIAL INNOVATIONS LLC,15660 DALLAS PARKWAY,SUITE 110,DALLAS,TX,UNITED STATES,75248,972-931-0063,214-853-4224,,,,,,,Approved,6/28/2006,1/19/2010,Y,WWW.FINANCIALINNOV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"45,309,000.00",0,"45,309,000.00",352,0,352,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,140538,801-66895,JERMYN CAPITAL (SINGAPORE) PTE. LTD.,JERMYN CAPITAL (SINGAPORE) PTE. LTD.,#28-00,ONE MARINA BOULEVARD,SINGAPORE,,SINGAPORE,18989,65 6535 1312,65 6535 3122,#29-10 INTERNATIONAL PLAZA,10 ANSON ROAD,SINGAPORE,,SINGAPORE,79903,Approved,6/13/2006,9/16/2009,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),PRIVATE LIMITED COMPANY,,SINGAPORE,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,11-25 percent,26-50 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,PRINCIPALS AND AFFILIATED PARTIES OF THE APPLICANT,Y,N,N,N,N,Y,N,,Y,"96,552,783.00",0,"96,552,783.00",2,0,2,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,152562,801-70992,BREWER CAPITAL MANAGEMENT,BSI WEALTH MANAGEMENT LLC,900 IDS CENTER,80 SOUTH 8TH STREET,MINNEAPOLIS,MN,UNITED STATES,55402,612-349-5273,612.349.5274,,,,,,,Approved,1/22/2010,7/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"19,222,001.00","23,171,702.00","42,393,703.00",68,39,107,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,Y,Y,N,Y,N,N,Y,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152690,801-70975,"GLOBAL THEMATIC PARTNERS, LLC","GLOBAL THEMATIC PARTNERS, LLC",681 FIFTH AVENUE,12TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-223-6968,212-223-6931,,,,,,,Approved,1/21/2010,7/15/2010,Y,WWW.GTPARTNERS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,N,Y,Y,N,Y,N,N,N,N,Y,N,N,N
LARO,134600,801-64376,UNITED CAPITAL FINANCIAL ADVISERS,"UNITED CAPITAL FINANCIAL ADVISERS, LLC",500 NEWPORT CENTER DRIVE,SECOND FLOOR,NEWPORT BEACH,CA,UNITED STATES,92660,949-999-8500,949-999-8545,,,,,,,Approved,6/9/2005,7/15/2010,Y,"WWW.UNITEDCP.COM, SEE ALSO SCHEDULE D",N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,Nov-50,0,More than 500,"4,500",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,682,000,000.00",0,"1,682,000,000.00","8,051",0,"8,051",Y,Y,N,Y,Y,Y,N,N,N,N,,More than 500,1650,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105268,801-35935,CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP,CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP,ONE INTERNATIONAL PL 45TH FLOOR,,BOSTON,MA,UNITED STATES,02110-2602,617-737-3225,617-261-0572,,,,,,,Approved,1/26/1990,7/15/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,MA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,11-25 percent,0 percent,11-25 percent,11-25 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"6,992,886,323.00",0,"6,992,886,323.00",16,0,16,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N
FWRO,153741,801-71552,ARTESA FINANCIAL GROUP,"ARTESA FINANCIAL GROUP, LLC",3205 W. DAVIS,SUITE 102B,CONROE,TX,UNITED STATES,77304,936-760-2215,936-760-2216,,,,,,,120-Day Approval,6/10/2010,7/15/2010,Y,WWW.ARTESAFINANCIALGROUP.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,152905,801-71196,"EASTMAN MATTSON CAPITAL MANAGEMENT, LLC","EASTMAN MATTSON CAPITAL MANAGEMENT, LLC",9130 GALLERIA COURT,SUITE 306,NAPLES,FL,UNITED STATES,34109,239-254-7780,,,,,,,,120-Day Approval,3/17/2010,7/15/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"16,000,000.00",0,"16,000,000.00",35,0,35,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,131941,801-71292,"SC MANAGEMENT, INC.","SC MANAGEMENT, INC.",100 DRAKES LANDING ROAD,SUITE 125,GREENBRAE,CA,UNITED STATES,94904,(415) 464-0991,(415) 464-0993,,,,,,,Approved,4/9/2010,7/15/2010,Y,WWW.SC-MANAGEMENTINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"111,660,000.00",0,"111,660,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER TO POOLED INVESTMENT VEHICLE,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106800,801-48408,"NATIXIS ASSET MANAGEMENT ADVISORS, L.P.","NATIXIS ASSET MANAGEMENT ADVISORS, L.P.",399 BOYLSTON STREET,,BOSTON,MA,UNITED STATES,2116,617-449-2900,617-449-2847,,,,,,,Approved,3/1/1995,7/15/2010,Y,WWW.GA.NATIXIS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,251-500,0,51-250,0,51-250,0,Nov-50,0,More than 500,"25,000",51-75 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,SUB-ADVISED WRAP PLATFORMS,Y,N,N,Y,N,N,Y,A PERCENTAGE OF WRAP SPONSOR FEES IN SOME CASES.,Y,"9,033,273,024.00","1,066,952,510.00","10,100,225,534.00","18,255","1,675","19,930",N,Y,Y,Y,N,Y,N,N,N,Y,"OVERLAY PORTFOLIO MANAGEMENT, MODEL RESEARCH PROVIDER, AND ADMINISTRATIVE SERVICES",,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N
PLRO,151980,801-70754,"PARTNERS IN FINANCIAL PLANNING, LLC","PARTNERS IN FINANCIAL PLANNING, LLC",421 SOUTH COLLEGE AVENUE,,SALEM,VA,UNITED STATES,24153,540-444-2930,540-266-3620,421 SOUTH COLLEGE AVENUE,,SALEM,VA,UNITED STATES,24153,Approved,11/10/2009,7/15/2010,Y,WWW.PARTNERSINFINANCIALPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"89,216,613.00",0,"89,216,613.00",405,0,405,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106238,801-50763,"DLJ REAL ESTATE CAPITAL PARTNERS, INC.","DLJ REAL ESTATE CAPITAL PARTNERS, LLC","11 MADISON AVENUE, 16TH FLOOR",,NEW YORK,NY,UNITED STATES,10010,212-325-2000,212-325-6100,,,,,,,Approved,1/11/1996,7/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,116,655,308.00",0,"1,116,655,308.00",8,0,8,N,N,N,N,N,N,N,N,N,Y,"RECOMMENDATIONS WITH RESPECT TO THE ACQUISITION, RETENTION AND SALE OF INVESTMENTS.",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N
BRO,108633,801-53421,AEW CAPITAL MANAGEMENT LP,AEW CAPITAL MANAGEMENT LP,TWO SEAPORT LANE,,BOSTON,MA,UNITED STATES,02210-2021,617-261-9000,617-261-9555,,,,,,,Approved,12/9/1996,7/15/2010,Y,WWW.AEW.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,51-250,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,26-50 percent,"ENDOWMENTS, PRIVATE FOUNDATIONS",Y,N,N,N,N,Y,Y,PERCENTAGE OF CASH FLOW & OTHER SUITABLE ARRANGEMENTS,Y,"12,667,658,663.00","6,237,517,046.00","18,905,175,709.00",66,11,77,N,N,N,Y,N,N,N,N,N,Y,REAL ESTATE INVESTMENT ADVISORY SERVICES,,,N,Y,N,N,N,Y,N,N,Y,REAL ESTATE INVESTMENT ADVISORY SERVICES,N,,N,Y,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,114742,801-60487,"DLJ GROWTH CAPITAL, INC.","DLJ GROWTH CAPITAL, INC.","11 MADISON AVENUE, 16TH FLOOR",,NEW YORK,NY,USA,10010,212-325-2000,212-325-6100,,,,,,,Approved,9/6/2001,7/15/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"19,579,061.00",0,"19,579,061.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,"RECOMMENDATIONS WITH RESPECT TO THE ACQUISITION, RETENTION AND SALE OF INVESTMENTS.",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N
MIRO,110400,801-26038,"HORIZON CAPITAL MANAGEMENT, INC.","HORIZON CAPITAL MANAGEMENT, INC.",,,,,,,337-983-0676,225-282-1111,,,,,,,Approved,12/31/1985,1/19/2010,Y,WWW.HCMFX.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,LA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,152087,801-70760,SHOREPOINT CAPITAL PARTNERS LLC,SHOREPOINT CAPITAL PARTNERS LLC,"14 PAGE TERRACE, SUITE 2 C/D",,STOUGHTON,MA,UNITED STATES,2072,781-341-7250,781-341-7246,,,,,,,Approved,11/5/2009,1/19/2010,Y,WWW.SHOREPOINTCAPITALPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"33,660,591.00","3,012,003.00","36,672,594.00",117,6,123,Y,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,124861,801-70680,"SOUNDBRIDGE CAPITAL MANAGEMENT,LLC","SOUNDBRIDGE CAPITAL MANAGEMENT,LLC",505 MONTGOMERY STREET,11TH FLOOR,SAN FRANCISCO,CA,UNITED STATES,94111,415-375-4088,,,,,,,,Approved,10/15/2009,1/19/2010,Y,WWW.SOUNDBRIDGECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"28,000,000.00",0,"28,000,000.00",60,0,60,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,117504,801-68384,"WILHELM FINANCIAL SERVICES, PLLC","WILHELM FINANCIAL SERVICES, PLLC",,,,,,,360-790-5757,N/A,,,,,,,Approved,9/27/2007,1/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"40,663,865.00","40,663,865.00",0,36,36,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,8408,801-24253,"CAPITAL FINANCIAL SERVICES, INC.","CAPITAL FINANCIAL SERVICES, INC.",#1 MAIN STREET NORTH,,MINOT,ND,UNITED STATES,58703,701-837-9600,701-857-1891,,,,,,,Approved,5/30/1985,7/15/2010,Y,WWW.CAPFIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,More than 500,"2,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,REFERRAL FEES FROM OTHER INVESTMENT ADVISORS.,Y,"66,233,447.00","29,967,851.00","96,201,298.00","2,203",129,"2,332",Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,Y,N,N,N,Y,N,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143414,801-67718,"BLUE WATER CAPITAL MANAGEMENT, LLC","BLUE WATER CAPITAL MANAGEMENT, LLC",1001 JAMES STREET,,SYRACUSE,NY,USA,13203,315-438-8690,315-438-8691,1001 JAMES STREET,,SYRACUSE,NY,USA,13203,Approved,4/9/2007,7/15/2010,Y,WWW.BLUEWATERCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,Nov-50,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,NOT FOR PROFIT ORGANIZATIONS,Y,Y,N,Y,N,N,N,,Y,"79,582,731.00","21,766,185.00","101,348,916.00",550,28,578,Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,111383,801-42343,TEMPLETON GLOBAL ADVISORS LIMITED,TEMPLETON GLOBAL ADVISORS LIMITED,LYFORD CAY,,NASSAU,,"BAHAMAS, THE",,242-362-4600,242-362-4308,PO BOX N-7759,LYFORD CAY,NASSAU,,"BAHAMAS, THE",,Approved,9/22/1992,1/19/2010,Y,WWW.FRANKLINTEMPLETON.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Other (specify),COMPANY LIMITED BY SHARES,,"BAHAMAS, THE",Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,26-50 percent,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"54,087,795,038.00",0,"54,087,795,038.00",42,0,42,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
SFRO,127794,801-62334,DENALI CAPITAL MANAGEMENT LLC,DENALI CAPITAL MANAGEMENT LLC,315 BARNETTE STREET,SUITE 201,FAIRBANKS,AK,UNITED STATES,99701,907-456-3361,907-456-3301,,,,,,,Approved,9/11/2003,1/19/2010,Y,WWW.DENALICAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AK,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,ANNUITY CONTRACTS,Y,"81,590,608.00","5,060,503.00","86,651,111.00",320,14,334,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,37550,801-56576,RUSSELL INVESTMENTS,RUSSELL CAPITAL INC.,909 A STREET,,TACOMA,WA,UNITED STATES,98402-1616,253-572-9500,253-591-3495,P.O. BOX 1616,,TACOMA,WA,UNITED STATES,98402-1616,Approved,6/8/1999,7/15/2010,Y,WWW.RUSSELL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"812,906,500.00",0,"812,906,500.00",12,0,12,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
SFRO,106446,801-47270,RUSSELL INVESTMENTS,RUSSELL REAL ESTATE ADVISORS INC,909 A STREET,,TACOMA,WA,UNITED STATES,98402-1616,253-572-9500,253-591-3495,P.O. BOX 1616,,TACOMA,WA,UNITED STATES,98402-1616,Approved,8/22/1994,7/15/2010,Y,WWW.RUSSELL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"972,100,000.00",0,"972,100,000.00",6,0,6,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,107478,801-50751,"FLETCHER ASSET MANAGEMENT, INC.","FLETCHER ASSET MANAGEMENT, INC.",48 WALL STREET,5TH FLOOR,NEW YORK,NY,UNITED STATES,10005,212-284-4800,212-284-4801,,,,,,,Approved,12/7/1995,7/15/2010,Y,HTTP://WWW.FLETCHER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"558,000,000.00",0,"558,000,000.00",16,0,16,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152702,801-71231,PROFESSIONAL PLANNING SERVICES,"PPS ADVISORS, INC.",4250 VETERANS MEMORIAL HIGHWAY,SUITE 420E,HOLBROOK,NY,UNITED STATES,11741,631-439-4600,631-439-1325,,,,,,,Approved,3/19/2010,7/15/2010,Y,WWW.PPSADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,0,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"35,161,000.00",0,"35,161,000.00",79,0,79,Y,Y,N,Y,N,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,109189,801-56213,APS ASSET MANAGEMENT PTE LTD,APS ASSET MANAGEMENT PTE LTD,3 ANSON ROAD,#23-01 SPRINGLEAF TOWER,SINGAPORE,,SINGAPORE,79909,65-6333-8600,65-6333-8900,,,,,,,Approved,1/22/1999,7/15/2010,Y,WWW.APS.COM.SG,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,,SINGAPORE,Nov-50,0,Nov-50,0,0,0,Nov-50,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,FOUNDATIONS AND ENDOWNMENT,N,N,N,Y,N,Y,N,,Y,"376,670,426.00",0,"376,670,426.00",11,0,11,N,N,N,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,FUND MANAGEMENT & INVESTMENT ADVISORY,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151912,801-70780,NILE CAPITAL MANAGEMENT LLC,NILE CAPITAL MANAGEMENT LLC,152 W. 57TH STREET,32ND FLOOR,NEW YORK,NY,UNITED STATES,10019,646-367-2820,646-367-2815,,,,,,,Approved,11/16/2009,7/15/2010,Y,WWW.NILEFUNDS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109598,801-56550,MACNEALY HOOVER INVESTMENT MANAGEMENT INC,MACNEALY HOOVER INVESTMENT MANAGEMENT INC,MILLENNIUM CENTRE 200 MARKET AVE. N.  SUITE 200,,CANTON,OH,USA,44702,330-454-1010,330-454-1003,,,,,,,Approved,6/10/1999,1/20/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"173,853,689.00","4,230,057.00","178,083,746.00",83,5,88,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105637,801-22924,"THE HARBOR GROUP, INC.","THE HARBOR GROUP, INC.",402 RIVERWAY PL,,BEDFORD,NH,UNITED STATES,03110-6765,603-668-0634,603-668-4561,,,,,,,Approved,12/14/1984,1/20/2010,Y,WWW.HARBORGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"379,732,793.00","223,920,323.00","603,653,116.00",430,99,529,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,154457,801-71705,GCP CAPITAL PARTNERS LLC,GCP CAPITAL PARTNERS LLC,"300 PARK AVENUE, 23RD FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-389-1561,212-389-1761,,,,,,,120-Day Approval,8/13/2010,7/16/2010,Y,WWW.GCPCAPITAL.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVICE TO PRIVATE EQUITY FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,129934,801-63794,"SUNNYMEATH ASSET MANAGEMENT, INC.","SUNNYMEATH ASSET MANAGEMENT, INC.",151 BODMAN PLACE,SUITE 100,RED BANK,NJ,UNITED STATES,07701-1074,732-933-8444,732-936-1170,,,,,,,Approved,1/14/2005,1/20/2010,Y,WWW.SUNNYMEATH.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,26-50 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"81,600,000.00",0,"81,600,000.00",18,0,18,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106340,801-50349,LAZARD ASSET MANAGEMENT CANADA INC,LAZARD ASSET MANAGEMENT (CANADA)INC,"30 ROCKEFELLER PLAZA, 59TH FLOOR",,NEW YORK,NY,USA,10112,212-632-6000,212-332-1703,,,,,,,Approved,10/23/1995,3/30/2010,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,620,219,896.00",0,"1,620,219,896.00",43,0,43,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,133401,801-63754,"NIBC CREDIT MANAGEMENT, INC.","NIBC CREDIT MANAGEMENT, INC.",1095 AVENUE OF THE AMERICAS,26TH FLOOR,NEW YORK,NY,UNITED STATES,10036,212-461-6400,212-461-6498,,,,,,,Approved,12/17/2004,3/30/2010,Y,WWW.NIBC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,More than 75 percent,CDOS AND OTHER INVESTMENT VEHICLES,Y,N,N,N,N,Y,N,,Y,"242,582,776.00","720,749,131.00","963,331,907.00",2,6,8,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT ADVICE TO CDOS AND OTHER VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,150028,801-70105,"TRANSAMERICA INVESTMENT SERVICES, LLC","TRANSAMERICA INVESTMENT SERVICES, LLC",11111 SANTA MONICA BLVD,SUITE 820,LOS ANGELES,CA,UNITED STATES,90025,310-996-3200,310-477-9767,,,,,,,Approved,5/8/2009,3/30/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,0,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,"PROVIDES CORE ADMINISTRATIVE, OPERATIONAL, LEGAL, COMPLIANCE, FINANCE, HUMAN RESOURCES, MARKETING AND DISTRIBUTION FUNCTIONS",N,N,N,N,N,N,Y,IA AFFILIATES PAY TRANSAMERICA INVESTMENT SERVICES  FOR SERVICES,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,"MARKETING AND INTRODUCING PROSPECTIVE CLIENT TO TRANSAMERICA INVESTMENT MANAGEMENT, LLC (""TIM"")",,,N,N,N,N,N,N,N,N,N,,Y,Y,N,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,611,801-61332,"MUTUAL OF OMAHA INVESTOR SERVICES, INC.","MUTUAL OF OMAHA INVESTOR SERVICES, INC.",MUTUAL OF OMAHA PLAZA,FL. - 3,OMAHA,NE,UNITED STATES,68175-1020,402-351-6813,402-351-5803,,,,,,,Approved,7/30/2002,3/30/2010,Y,WWW.MUTUALOFOMAHA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"34,279,215.00",0,"34,279,215.00",1,0,1,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,Y,N,N,N,N,N,N,,N,,N,N,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150882,801-70486,"HOYEM WEALTH MANAGEMENT, LLC","HOYEM WEALTH MANAGEMENT, LLC",717 SOUTH BENTON AVENUE,,ELMHURST,IL,UNITED STATES,60126,630-833-3504,,,,,,,,Approved,8/21/2009,12/16/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"146,269,100.00","146,269,100.00",0,4,4,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,138210,801-64994,ATLANTES FINANCIAL ADVISORS,ATLANTES FINANCIAL ADVISORS CORP,"365 GRAND AVENUE, SUITE  ""A""",,FAIRHOPE,AL,USA,36532,251-928-1616,251-928-1566,,,,,,,Approved,1/4/2006,3/30/2010,Y,WWW.ATLANTESFINANCIALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"19,688,650.00","11,225,219.00","30,913,869.00",113,40,153,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107386,801-39728,CAVES & ASSOCIATES,CAVES PRESTON STILSON,"1334 PARK VIEW AVE,STE 100",,MANHATTAN BEACH,CA,UNITED STATES,90266,310-545-4179,310-546-8153,,,,,,,Approved,8/27/1991,3/30/2010,Y,WWW.CAVESASSOCIATES.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"131,747,470.00","190,479.00","131,937,949.00",274,2,276,Y,Y,N,Y,Y,Y,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,148842,801-70280,"BME INVESTMENT PARTNERS, LLC","BME INVESTMENT PARTNERS, LLC",1080 HOLCOMB BRIDGE ROAD,BUILDING 200 - SUITE 305,ROSWELL,GA,UNITED STATES,30076,678-578-0260,678-578-0261,,,,,,,Approved,6/8/2009,3/30/2010,Y,WWW.BMEINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"50,000,000.00",0,"50,000,000.00",1,0,1,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT PARTNERSHIP,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138769,801-66005,"ADVANCED PORTFOLIO MANAGEMENT, LLC","ADVANCED PORTFOLIO MANAGEMENT, LLC",1330 AVENUE OF THE AMERICAS,SUITE 3600,NEW YORK,NY,UNITED STATES,10019,212-838-4700,212-838-0700,,,,,,,Approved,1/23/2006,3/30/2010,Y,WWW.APMCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"2,113,927,480.00",0,"2,113,927,480.00",8,0,8,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107561,801-43024,DIVERSIFIED FINANCIAL,DELURGIO NICHOLAS DAVID,108 WHISPERING PINES DR STE 130,,SCOTTS VALLEY,CA,UNITED STATES,95066-4785,831-438-7223,831-438-6335,,,,,,,Approved,1/27/1993,3/30/2010,Y,WWW.DIFI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,0,"50,723,238.00","50,723,238.00",0,203,203,Y,Y,N,N,N,Y,N,N,N,Y,REFERRALS TO 3RD PARTY PENSION ADMINISTRATORS,10-Jan,,N,N,N,Y,N,N,Y,N,Y,GUARANTEED INTRODUCING BROKER TO PEREGRINE FINANCI,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,127264,801-62131,DIVERSIFIED FINANCIAL MANAGEMENT INC.,DIVERSIFIED FINANCIAL MANAGEMENT INC.,80 WASHINGTON STREET,SUITE O-54,NORWELL,MA,UNITED STATES,2061,781-792-0440,781-792-0606,,,,,,,Approved,6/20/2003,12/16/2009,Y,WWW.DFMWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"34,076,020.00","75,149,013.00","109,225,033.00",24,181,205,Y,Y,N,N,Y,Y,Y,N,N,Y,MUTUAL FUND RESEARCH AND ANALYSIS.,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,131684,801-63276,NUMERIC INVESTORS LLC,NUMERIC INVESTORS LLC,470 ATLANTIC AVENUE,6TH FLOOR,BOSTON,MA,UNITED STATES,2210,617 897 7800,617 897 7899,,,,,,,Approved,6/16/2004,3/30/2010,Y,WWW.NUMERIC.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,11-25 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,11-25 percent,11-25 percent,11-25 percent,Up to 10 percent,"INCLUDES TAFT-HARTLEY, INSURANCE, HEALTH CARE AND RELIGIOUS ORGANIZATIONS",Y,N,N,N,N,Y,N,,Y,"11,270,395,728.00",0,"11,270,395,728.00",103,0,103,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109771,801-21527,"MID ATLANTIC FINANCIAL MANAGEMENT, INC.","MID ATLANTIC FINANCIAL MANAGEMENT, INC.",1251 WATERFRONT PLACE,SUITE 510,PITTSBURGH,PA,UNITED STATES,15222-4235,412-391-7077,412-391-7220,,,,,,,Approved,6/7/1984,3/30/2010,Y,WWW.MACG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,51-250,0,Nov-50,0,51-250,0,5-Jan,0,More than 500,"2,500",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,"545,221,319.00",0,"545,221,319.00","2,382",0,"2,382",Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,Y,Y,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151755,801-70934,BRIDGEHAMPTON CAPITAL MANAGEMENT LLC,BRIDGEHAMPTON CAPITAL MANAGEMENT LLC,7 TRADEMANS PATH,SUITE 6,BRIDGEHAMPTON,NY,UNITED STATES,11932-1521,631-537-0056,866-453-0567,BOX 1521,,BRIDGEHAMPTON,NY,UNITED STATES,11932-1521,Approved,1/4/2010,12/16/2009,Y,HTTP://WWW.BRIDGEHAMPTONCAPITAL.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"36,500,000.00",0,"36,500,000.00",5,0,5,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,126573,801-69594,RETIREMENT FUND MANAGEMENT,"RETIREMENT FUND MANAGEMENT, LLC",FIVE CONCOURSE PKWY,SUITE 3000,ATLANTA,GA,USA,30328-7106,770-399-8803,770-573-3808,,,,,,,Approved,10/2/2008,3/30/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,429,957.00","266,168,732.00","267,598,689.00",7,8,15,N,Y,N,Y,Y,Y,N,N,N,Y,FUND RESEARCH FOR REGISTERED INVESTMENT ADVISERS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107859,801-54610,"GOFEN AND GLOSSBERG, L.L.C.","GOFEN AND GLOSSBERG, L.L.C.","455 CITYFRONT PLAZA, SUITE 3000",,CHICAGO,IL,UNITED STATES,60611-5345,312-828-1100,312-828-9685,,,,,,,Approved,5/6/1997,3/30/2010,Y,WWW.GOFEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,INSURANCE COMPANIES,Y,N,N,Y,N,N,N,,Y,"2,641,703,258.00","160,216,467.00","2,801,919,725.00","2,650",120,"2,770",Y,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT ADVICE THROUGH CONSULTATIONS.,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
SFRO,109847,801-34233,MCGEE FINANCIAL STRATEGIES INC.,MCGEE FINANCIAL STRATEGIES INC.,12455 SW 68TH AVENUE,,PORTLAND,OR,USA,97223,503-597-2222,503-598-8515,,,,,,,Approved,1/31/1994,3/30/2010,Y,WWW.MCGEENET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISER/MANAGER FEES,Y,"189,389,572.00","4,854,152.00","194,243,724.00",567,26,593,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106993,801-6211,CONNORS INVESTOR SERVICES INC,CONNORS INVESTOR SERVICES INC,1210 BROADCASTING ROAD,SUITE 200,WYOMISSING,PA,USA,19610-3213,610-376-7418,610-376-3181,,,,,,,Approved,12/25/1969,3/30/2010,Y,CONNORSINVESTOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,10-Jun,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"325,627,482.00","1,927,036.00","327,554,518.00",330,2,332,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105166,801-27507,LAW OFFICE OF JOHN L. CALTON,CALTON JOHN LOWELL,,,,,,,319-358-9410,,P.O. BOX 5667,,CORALVILLE,IA,UNITED STATES,52241,Approved,7/24/1986,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,IA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"66,642,100.00","993,466.00","67,635,566.00",272,5,277,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,147874,801-69435,HOLIFIELD HUNTLEY FINANCIAL ADVISERS,"HOLIFIELD FINANCIAL ADVISORY SERVICES, INC",146 SECOND STREET N,SUITE 105,SAINT PETERSBURG,FL,UNITED STATES,33701-3361,727-823-3801,727-823-3805,,,,,,,Approved,8/8/2008,3/30/2010,Y,WWW.HOLIFIELDHUNTLEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"35,634,664.00","35,634,664.00",0,227,227,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,130585,801-62991,"MRM-HORIZON ADVISORS, LLC","MRM-HORIZON ADVISORS, LLC","84 STATE STREET, SUITE 800",,BOSTON,MA,UNITED STATES,2109,617-728-0444,617-728-0055,,,,,,,Approved,4/22/2004,3/30/2010,Y,WWW.MRM-HORIZON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"128,297,022.00","64,624,942.00","192,921,964.00",184,61,245,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,Y,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,129817,801-69369,SFC FINANCIAL LLC,SFC FINANCIAL LLC,3890 S. LINDBERGH BLVD,STE 210,ST. LOUIS,MO,USA,63127,314-842-2001,314-842-3303,,,,,,,Approved,7/8/2008,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"41,565,834.00","41,565,834.00",0,126,126,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,137115,801-64847,"HARRIS INVESTOR SERVICES, INC.","HARRIS INVESTOR SERVICES, INC.",311 W. MONROE-14TH FL,,CHICAGO,IL,USA,60606,312-461-6009,312-461-7211,,,,,,,Approved,11/4/2005,3/30/2010,Y,WWW.HARRISBANK.COM\INVESTMENTS,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,"3,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"631,168,457.00",0,"631,168,457.00","3,118",0,"3,118",Y,Y,N,Y,N,Y,Y,N,N,N,,251-500,,Y,Y,Y,N,N,N,Y,N,N,,N,N,Y,Y,N,Y,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N
BRO,141836,801-67184,"CROW POINT PARTNERS, LLC","CROW POINT PARTNERS, LLC",10 NEW DRIFTWAY,SUITE 203,SCITUATE,MA,UNITED STATES,02066-4546,781-545-8900,781-545-8930,,,,,,,Approved,9/19/2006,3/30/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,067,550,000.00",0,"1,067,550,000.00",4,0,4,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104837,801-33207,"ALBERT A. CAPORASO & ASSOCIATES, INC.",CAPORASO ALBERT A & ASSOCIATES INC.,1013 CENTRE ROAD,SUITE 100,WILMINGTON,DE,UNITED STATES,19805,302-998-9898,302-998-9893,,,,,,,Approved,11/3/1988,3/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"30,437,378.00","5,890,000.00","36,327,378.00",48,3,51,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108151,801-55158,"ROBERT BROOKE ZEVIN ASSOCIATES, INC.","ROBERT BROOKE ZEVIN ASSOCIATES, INC.",50 CONGRESS STREET,SUITE 1040,BOSTON,MA,USA,2109,617-742-6666,617-742-6660,,,,,,,Approved,1/8/1998,3/30/2010,Y,WWW.RBZA.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,FEE BASED ON CLIENT'S TRUSTEE FEE,Y,"221,911,382.00","37,299,801.00","259,211,183.00",210,9,219,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N
CHRO,105815,801-17956,PARKER CARLSON & JOHNSON,PARKER CARLSON & JOHNSON,120 WEST THIRD STREET,SUITE 300,DAYTON,OH,UNITED STATES,45402,937-223-0600,937-461-6691,,,,,,,Approved,12/3/1982,3/29/2010,Y,WWW.PCJINVEST.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,LUMP SUM ADVISER'S FEE,Y,"154,000,000.00",0,"154,000,000.00",311,0,311,Y,Y,Y,Y,N,N,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109884,801-17104,MGO INVESTMENT ADVISORS INC.,MGO INVESTMENT ADVISORS INC.,THE TOWER AT ERIEVIEW,1301 E. NINTH STREET SUITE 1400,CLEVELAND,OH,UNITED STATES,44114,216-771-4242,216-771-4274,,,,,,,Approved,4/27/1982,3/29/2010,Y,WWW.MGO-INC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,More than 500,"1,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"163,302,868.00","178,181,226.00","341,484,094.00","1,547",189,"1,736",N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107319,801-42910,"DIVERSIFIED INVESTMENT ADVISORS, INC.","DIVERSIFIED INVESTMENT ADVISORS, INC.",440 MAMARONECK AVENUE,,HARRISON,NY,UNITED STATES,10528,914-627-3000,914-627-3280,,,,,,,Approved,12/16/1992,3/29/2010,Y,DIVINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,501-1000,0,Nov-50,0,251-500,0,0,0,More than 500,"3,500",51-75 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,"HEALTH AND WELFARE BENEFIT PLAN TRUST, FOUNDATION",Y,N,N,Y,N,N,N,,Y,"3,540,205,985.00","1,092,360,940.00","4,632,566,925.00","2,242","1,017","3,259",N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,114085,801-60721,"MASON STREET ADVISORS, LLC","MASON STREET ADVISORS, LLC",720 EAST WISCONSIN AVENUE,,MILWAUKEE,WI,UNITED STATES,53202-4797,414-665-5400,414-625-7242,,,,,,,Approved,12/17/2001,3/29/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,11-25 percent,26-50 percent,0 percent,11-25 percent,CBO,Y,N,N,N,N,N,N,,Y,"83,697,000,000.00",0,"83,697,000,000.00",34,0,34,N,N,Y,Y,N,Y,N,N,N,Y,ADVISE CLIENTS ON DEVELOPING THEIR INVESTMENT GUIDELINES; MANAGING CLIENTS' SECURITIES LENDING PROGRAMS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,42847,801-64516,"POLAR INVESTMENT COUNSEL, INC.","POLAR INVESTMENT COUNSEL, INC.",,,,,,,218-681-7344,218-681-1329,,,,,,,Approved,7/28/2005,9/17/2009,Y,WWW.POLARINVEST1.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"562,283.00","178,556,737.00","179,119,020.00",2,938,940,Y,Y,N,N,N,Y,N,N,Y,N,,26-50,,N,N,Y,N,N,N,Y,N,Y,FUTURES INTRODUCING BROKER,N,Y,Y,Y,N,Y,Y,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,N,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110003,801-43586,MANCHESTER CAPITAL MANAGEMENT LLC,MANCHESTER CAPITAL MANAGEMENT LLC,3657 MAIN STREET,,MANCHESTER,VT,UNITED STATES,5254,802-362-4410,802-362-1377,PO BOX 416,,MANCHESTER,VT,UNITED STATES,5254,Approved,4/7/1993,3/29/2010,Y,MCMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VT,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,248,105,756.00","90,766,732.00","1,338,872,488.00",494,160,654,Y,Y,N,Y,N,Y,N,N,N,Y,"FAMILY OFFICE SERVICES,FOUNDATION ADMINISTRATION, REAL ESTATE MANAGEMENT,",51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108777,801-69856,"EKS ASSOCIATES, LLC","EKS ASSOCIATES, LLC",601 EWING STREET,SUITE A-7,PRINCETON,NJ,UNITED STATES,8540,609-921-1016,609-924-2681,,,,,,,Approved,1/9/2009,3/29/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,N,Y,N,N,N,N,N,,Y,0,"95,000,000.00","95,000,000.00",0,38,38,Y,Y,N,N,Y,Y,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,137709,801-64894,FRONT STREET INVESTMENT MANAGEMENT INC.,FRONT STREET INVESTMENT MANAGEMENT INC.,33 YONGE STREET,SUITE 600,"TORONTO, ONTARIO",,CANADA,M5E 1G4,416-597-9595,647-435-9799,,,,,,,Approved,11/15/2005,12/16/2009,Y,WWW.FRONTSTREETCAPITAL.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",Nov-50,0,10-Jun,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,849,285,939.00",0,"1,849,285,939.00",29,0,29,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N
CHRO,119859,801-61760,"ADVANCED ASSET MANAGEMENT ADVISORS, INC.","ADVANCED ASSET MANAGEMENT ADVISORS, INC.","255 BRADENTON AVE., SUITE 200",,DUBLIN,OH,USA,43017,614-717-4451,614-717-4453,,,,,,,Approved,1/24/2003,3/29/2010,Y,WWW.ADVANCEDASSETMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,10-Jun,0,More than 500,502,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"417,000,000.00",0,"417,000,000.00","1,324",0,"1,324",N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,115801,801-70185,"PREMIER INVESTMENT ADVISORY SERVICES, INC.","PREMIER INVESTMENT ADVISORY SERVICES, INC.",2801 ARLINGTON,,ADA,OK,USA,74820,580-332-6908,580-332-7981,P.O. BOX 1257,,ADA,OK,USA,74821,Approved,6/30/2009,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"81,383,849.00",0,"81,383,849.00",418,0,418,Y,Y,N,Y,N,Y,N,N,N,Y,SEMINARS AND WORKSHOPS,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,122233,801-62651,"AVENUE ADVISORS, LLC","AVENUE ADVISORS, LLC",12707 HIGH BLUFF DRIVE,SUITE 200,SAN DIEGO,CA,UNITED STATES,92130,858-457-4579,858-581-3777,,,,,,,Approved,1/6/2004,3/29/2010,Y,WWW.AVENUEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"45,005,581.00",0,"45,005,581.00",99,0,99,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,130242,801-62746,"J.S. OLIVER CAPITAL MANAGEMENT, L.P.","J.S. OLIVER CAPITAL MANAGEMENT, L.P.",,,,,,,858-756-8370,858-756-6731,,,,,,,Approved,2/20/2004,3/29/2010,Y,WWW.JSOLIVER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"133,094,368.00",0,"133,094,368.00",41,0,41,Y,Y,N,Y,N,N,N,N,N,Y,PERFORMS INVST MNGT & ADVISORY FUNCTIONS AS INVST MANAGER FOR INVST LTD PARTNERSHIPS & OTHER POOLED INVST VEHICLES.,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106816,801-37125,"PRODUCTIVE PORTFOLIOS, INC.",PRODUCTIVE CAPITAL MANAGEMENT INC,20545 CENTER RIDGE RD,STE 410,ROCKY RIVER,OH,UNITED STATES,44116-3428,440-356-8996,440-356-8712,,,,,,,Approved,8/6/1990,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"1,862,884,904.00","1,862,884,904.00",0,158,158,N,N,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110660,801-41971,PAMPEL & ASSOCIATES INC,PAMPEL & ASSOCIATES INC,101 SOUTH MAIN STREET,,MONTICELLO,IN,USA,47960,574-583-7333,574-583-8726,,,,,,,Approved,8/3/1992,9/18/2009,Y,HTTP://WWW.PAMPEL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"41,799,013.00",0,"41,799,013.00",712,0,712,Y,Y,N,Y,Y,N,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,36509,801-57178,HEWITT FINANCIAL SERVICES LLC,HEWITT FINANCIAL SERVICES LLC,100 HALF DAY ROAD,,LINCOLNSHIRE,IL,USA,60069,847-295-5000,847-883-8002,,,,,,,Approved,2/18/2000,12/16/2009,Y,WWW.HEWITTFS.COM,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,REFERRAL FEES (FROM OTHER INVESTMENT ADVISERS),N,Y,N,Y,N,N,Y,REFERRAL FEES (FROM OTHER INVESTMENT ADVISERS),N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,110162,801-31531,HEWITT INVESTMENT GROUP LLC,HEWITT INVESTMENT GROUP LLC,100 HALF DAY ROAD,,LINCOLNSHIRE,IL,USA,60069,847-295-5000,847-295-7960,,,,,,,Approved,2/25/1988,12/16/2009,Y,WWW.HEWITTINVEST.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"260,300,000.00","76,816,000,000.00","77,076,300,000.00",1,213,214,N,N,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,124405,801-66564,"STERN CAPITAL MANAGEMENT, INC.","STERN CAPITAL MANAGEMENT, INC.",18 THROCKMORTON LANE,SUITE 201,OLD BRIDGE,NJ,UNITED STATES,8857,732-679-7050,732-679-7068,,,,,,,Approved,5/23/2006,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,"TRUSTS, ESTATES OR PROFESSIONAL ORGANIZATIONS",Y,Y,N,N,N,N,N,,Y,"57,712,273.00",0,"57,712,273.00",767,0,767,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108603,801-11453,DUNVEGAN ASSOCIATES INC,DUNVEGAN ASSOCIATES INC,1114 STATE STREET,,SANTA BARBARA,CA,UNITED STATES,93101,805-969-5432,805-730-9107,,,,,,,Approved,4/8/1976,3/29/2010,Y,DUNVEGAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,26-50 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"178,481,139.00","4,200,351.00","182,681,490.00",90,1,91,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,125304,801-61867,PALMERDODGE ADVISORS LLC,PALMERDODGE ADVISORS LLC,111 HUNTINGTON AVENUE,18TH FLOOR,BOSTON,MA,UNITED STATES,02199-7613,617-239-0450,617-227-4420,,,,,,,Approved,3/14/2003,3/29/2010,Y,WWW.PDADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,FOUNDATIONS,Y,N,N,N,N,N,N,,Y,"180,643,429.00","873,021,173.00","1,053,664,602.00",265,3,268,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108744,801-57394,MILLENNIUM INVESTMENT SERVICES,MILLENNIUM INVESTMENT SERVICES,16217 KITTRIDGE STREET,,VAN NUYS,CA,USA,91406,818-902-5544,818-786-4271,,,,,,,Approved,3/17/2000,3/29/2010,Y,WWW.MINVS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"76,371,524.00",0,"76,371,524.00",380,0,380,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,Y,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,129610,801-62656,PREMIERSOURCE LLC,PREMIERSOURCE LLC,"211 N. ROBINSON AVE., STE. 1900",,OKLAHOMA CITY,OK,UNITED STATES,73102,405-228-7699,405-228-7689,,,,,,,Approved,1/23/2004,3/29/2010,Y,WWW.PREMIER-SOURCE.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,Y,A PERCENTAGE OF ASSETS HELD BY THE ADVISEE-PENSION PLAN,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112179,801-35002,"JAMES REED FINANCIAL SERVICES, INC.","JAMES REED FINANCIAL SERVICES, INC.",3690 ORANGE PLACE SUITE 240,,BEACHWOOD,OH,UNITED STATES,44122,216-464-2090,216-464-1163,,,,,,,Approved,8/17/1989,3/29/2010,Y,WWW.REED-FINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"108,159,340.00","32,127,497.00","140,286,837.00",228,99,327,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111950,801-67855,"SHAKESPEARE WEALTH MANAGEMENT, INC.","SHAKESPEARE WEALTH MANAGEMENT, INC.",150 N. SUNNYSLOPE ROAD,SUITE 320,BROOKFIELD,WI,UNITED STATES,53005,262-814-1600,262-814-0600,,,,,,,Approved,5/4/2007,3/29/2010,Y,WWW.SHAKESPEAREINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"37,403,871.00",0,"37,403,871.00",265,0,265,Y,Y,N,Y,Y,Y,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,130930,801-62902,"TAURUS ASSET MANAGEMENT, LLC","TAURUS ASSET MANAGEMENT, LLC","590 MADISON AVENUE, 35TH FLR",,NEW YORK,NY,UNITED STATES,10022-2524,212-457-9922,212-457-9923,,,,,,,Approved,3/12/2004,3/29/2010,Y,WWW.TAURUSASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,SOLE PROPRIETORSHIP,Y,N,N,Y,Y,Y,N,,Y,"531,341,416.00",0,"531,341,416.00",445,0,445,Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,143720,801-68152,"WAKEFIELD ASSET MANAGEMENT, LLLP","WAKEFIELD ASSET MANAGEMENT, LLLP","6161 SOUTH SYRACUSE WAY, SUITE #340",,GREENWOOD VILLAGE,CO,UNITED STATES,80111,303-771-0630,303-770-0160,,,,,,,Approved,7/23/2007,3/29/2010,Y,WWW.WAKEFIELDINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED LIABILITY LIMITED PARTNERSHIP (LLLP),CO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"87,578,036.00","4,238,838.00","91,816,874.00",459,76,535,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,144247,801-68674,"CANNON CAPITAL MANAGEMENT, INC.","CANNON CAPITAL MANAGEMENT, INC.",6768 SOUTH 1300 EAST,,SALT LAKE CITY,UT,UNITED STATES,84121-2719,801-566-3190,801-567-1603,,,,,,,Approved,12/19/2007,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"18,323,256.00","11,162,258.00","29,485,514.00",67,20,87,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,148488,801-70344,"WHALEN AINSWORTH CAPITAL MANAGEMENT, LLC","WHALEN AINSWORTH CAPITAL MANAGEMENT, LLC",400 TRADE CENTER,SUITE 5900,WOBURN,MA,UNITED STATES,01801-7471,781-569-5880,603-507-7876,,,,,,,120-Day Approval,8/3/2009,9/18/2009,Y,WWW.WHALENAINSWORTH.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,N,N,Y,Y,REIMBURSEMENTS FOR OUT-OF-POCKET EXPENSES,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109252,801-56077,CATALYST INVESTMENT MANAGEMENT CO LLC,CATALYST INVESTMENT MANAGEMENT CO LLC,"767 THIRD AVE, 32ND FLOOR",,NEW YORK,NY,USA,10017,212-676-5504,212-676-5511,,,,,,,Approved,12/24/1998,3/29/2010,Y,WWW.CATINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"387,901,000.00",0,"387,901,000.00",11,0,11,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MGT FOR POOLED INVESTMENT VEHICLES.,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,133682,801-66709,THE MUTUAL FUND STORE,"TMFS-NASHVILLE, LLC",9040 CAROTHERS PARKWAY,SUITE A207,FRANKLIN,TN,USA,37067,615-778-3232,615-778-0009,,,,,,,Approved,6/30/2006,3/29/2010,Y,HTTP://WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,More than 500,500,51-75 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,51-75 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"78,214,467.00",0,"78,214,467.00","1,308",0,"1,308",N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,152171,801-70903,STRATEGIC ASSET MANAGEMENT LTD.,STRATEGIC ASSET MANAGEMENT LTD.,CALLE AYACUCHO NO. 277,,LA PAZ,,BOLIVIA,,591-2-2409179,591-2-2409348,,,,,,,Approved,1/4/2010,12/17/2009,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CAYMAN ISLANDS,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,N,N,N,Y,N,N,N,Y,POOLED INVESTMENT VEHICLES.,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,150362,801-70205,THE MUTUAL FUND STORE,BMGHS LLC,150 LOVELL ROAD,SUITE 104,KNOXVILLE,TN,UNITED STATES,37934,865-671-4900,865-671-6080,,,,,,,Approved,5/21/2009,3/29/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"29,560,143.00",0,"29,560,143.00",451,0,451,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,152602,801-70939,"DEER VALLEY ASSET MANAGEMENT, INC","DEER VALLEY ASSET MANAGEMENT, INC",,,,,,,206-601-0900,206-601-0900,PO BOX 34628 ECM 50320,,SEATTLE,WA,UNITED STATES,98124,Approved,1/6/2010,12/17/2009,Y,WWW.DVAM.INFO,N,N,N,N,N,N,N,N,N,N,Y,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,Y,Y,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,Y,Y,Y,Y,Y,N,N,,,,N,N,N,N,N,N,N,N,Y,CFA VALUATIONS FOR PRIVATE EQUITY SECURITIES,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,151815,801-70693,KVAM INTERNATIONAL II LTD.,KVAM INTERNATIONAL II LTD.,UGLAND HOUSE,SOUTH CHURCH STREET,"GEORGETOWN, GRAND CAYMAN",,CAYMAN ISLANDS,KY1-1104,345.949.8066,345.949.8080,KV SERVICES (USA) INC.,489 FIFTH AVENUE,NEW YORK,NY,UNITED STATES,10017,Approved,11/23/2009,3/29/2010,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),CAYMAN COMPANY LIMITED BY SHARES,,CAYMAN ISLANDS,Nov-50,0,Nov-50,0,0,0,Nov-50,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,N,N,N,N,Y,Y,PAID TO AN AFFILIATE OF KVAM INTERNATIONAL II LTD.,Y,"194,369,861.00",0,"194,369,861.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,147358,801-69237,IRON PEAK CAPITAL MANAGEMENT LLC,IRON PEAK CAPITAL MANAGEMENT LLC,"55 POST RD. W, STE 310",,WESTPORT,CT,USA,6880,203-221-5375,203-221-5379,,,,,,,Approved,6/20/2008,3/29/2010,Y,WWW.IRONPEAKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"369,751,000.00",0,"369,751,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,110522,801-38978,BALLEW RUSSELL INC,BALLEW RUSSELL INC,4800 I-55 NORTH,SUITE 21,JACKSON,MS,UNITED STATES,39211,601-368-3500,601-368-3555,P.O. BOX 14888,,JACKSON,MS,UNITED STATES,39236-4888,Approved,6/21/1991,3/29/2010,Y,WWW.SBCORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MS,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,More than 500,510,26-50 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,SEE SCHEDULE D - MISCELLANEOUS,Y,"327,481,461.00","21,458,956.00","348,940,417.00",776,12,788,Y,Y,N,Y,Y,N,Y,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,123513,801-61664,NELSON CAPITAL MANAGEMENT,"NELSON CAPITAL MANAGEMENT, LLC","1860 EMBARCADERO ROAD, SUITE 140",,PALO ALTO,CA,UNITED STATES,94303-3320,650-493-1000,650-493-1800,,,,,,,Approved,12/6/2002,3/29/2010,Y,WWW.NELSONCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,500,26-50 percent,26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"714,767,836.00","15,732,319.00","730,500,155.00",677,3,680,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110641,801-15900,"SCHROEDER, BRAXTON & VOGT INC.","SCHROEDER, BRAXTON & VOGT INC.",1412 SWEET HOME ROAD,SUITE 7,AMHERST,NY,UNITED STATES,14228,716-634-6113,716-213-0582,,,,,,,Approved,4/9/1981,3/29/2010,Y,WWW.SBVFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,Y,Y,N,N,N,,Y,"203,163,312.00","1,543,961.00","204,707,273.00",435,1,436,Y,Y,N,N,N,N,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106249,801-37961,"BEARD INVESTMENT SERVICES, INC.","BEARD INVESTMENT SERVICES, INC.",108 W WESTERN RESERVE ROAD,,YOUNGSTOWN,OH,USA,44514,330-758-0575,330-758-8375,,,,,,,Approved,1/10/1991,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"142,201,224.00","142,201,224.00",0,693,693,Y,Y,N,N,N,N,N,N,N,N,,More than 500,500,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,125730,801-67771,"ANTHONY SMITH ADVISORS, INC.","ANTHONY SMITH ADVISORS, INC.","2999 PIEDMONT ROAD, N.E.",SUITE 100,ATLANTA,GA,UNITED STATES,30305,404-231-1414,404-231-9693,,,,,,,Approved,4/24/2007,3/29/2010,Y,WWW.ANTHONYSMITHADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,TAX AND LEGAL,Y,Y,N,Y,N,N,Y,INVESTMENT MONITORING FEE,Y,"33,308,749.00","130,132,503.00","163,441,252.00",110,346,456,Y,Y,N,N,Y,Y,N,N,N,Y,RE-FINANCING ANALYSIS; TAX PREPARATION,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109034,801-56517,GEMMER ASSET MANAGEMENT LLC,GEMMER ASSET MANAGEMENT LLC,1655 NORTH MAIN ST,SUITE 280,WALNUT CREEK,CA,UNITED STATES,94596,925-933-3786,925-933-6165,,,,,,,Approved,5/21/1999,3/29/2010,Y,WWW.GEMMERLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,Nov-50,0,More than 500,739,26-50 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"462,652,845.00",0,"462,652,845.00",739,0,739,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,131690,801-64813,JLFRANKLIN WEALTH PLANNING,"FRANKLIN, JOYCE LEA",900 LARKSPUR LANDING CIRCLE,SUITE 185,LARKSPUR,CA,USA,94939-1756,415-925-3400,415-925-3401,,,,,,,Approved,11/8/2005,3/29/2010,Y,WWW.JLFWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"43,260,517.00",0,"43,260,517.00",158,0,158,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,150764,801-70333,"CAPITAL WEALTH PLANNING, LLC","CAPITAL WEALTH PLANNING, LLC",840 111TH AVENUE NORTH,SUITE 10,NAPLES,FL,UNITED STATES,34108,239-593-2100,239-593-2110,,,,,,,Approved,6/30/2009,4/15/2010,Y,WWW.CAPITALWEALTHPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"102,430,000.00",0,"102,430,000.00",57,0,57,N,Y,Y,Y,N,N,N,N,N,Y,PROVIDING SUB-ADVISORY SERVICES TO OTHER REGISTERED INVESTMENT ADVISERS,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108330,801-36616,"GERBER/TAYLOR ASSOCIATES, INC.","GERBER/TAYLOR ASSOCIATES, INC.",ONE COMMERCE SQUARE,SUITE 1900,MEMPHIS,TN,UNITED STATES,38103,901-526-9750,901-526-4385,,,,,,,Approved,7/22/1999,4/15/2010,Y,WWW.GERBERTAYLOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"236,067,545.00","91,800,526.00","327,868,071.00",1,21,22,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,133719,801-63805,"MAIN STREET CAPITAL ADVISORS, LLC","MAIN STREET CAPITAL ADVISORS, LLC",6525 W. WARM SPRINGS RD.,,LAS VEGAS,NV,UNITED STATES,89118,702-932-5330,702-629-5998,,,,,,,Approved,1/28/2005,4/15/2010,Y,MAINSTREETCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"5,000,000,000.00",0,"5,000,000,000.00",18,0,18,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,115582,801-62658,"KARN, COUZENS & ASSOCIATES, INC.","KARN, COUZENS & ASSOCIATES, INC.",10 MELROSE DRIVE,,FARMINGTON,CT,USA,6032,860-676-2727,860-676-8638,,,,,,,Approved,1/9/2004,9/21/2009,Y,WWW.KARNCOUZENS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"135,249,818.00",0,"135,249,818.00",568,0,568,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,148459,801-69671,"HERITAGE WEALTH MANAGEMENT GROUP, LTD","HERITAGE WEALTH MANAGEMENT GROUP, LTD",220 WEST FREEMASON STREET,SUITE 200,NORFOLK,VA,UNITED STATES,23510,757-321-3725,757-321-1741,,,,,,,Approved,11/3/2008,4/15/2010,Y,WWW.HWMGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"28,553,214.00","10,471,425.00","39,024,639.00",179,83,262,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,151867,801-70710,"AYERS CAPITAL, LLC","AYERS CAPITAL, LLC",221 N. LASALLE STREET,SUITE 900,CHICAGO,IL,UNITED STATES,60601,312-648-1720,312-269-3060,,,,,,,Approved,10/20/2009,4/15/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"3,630,000.00","7,460,000.00","11,090,000.00",5,9,14,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,150656,801-70350,"CROSSWIND INVESTMENTS, LLC","CROSSWIND INVESTMENTS, LLC",TWO INTERNATIONAL PLACE,27TH FLOOR,BOSTON,MA,UNITED STATES,2110,617-861-8013,617-737-3018,,,,,,,Approved,6/30/2009,4/15/2010,Y,WWW.CROSSWINDINVESTMENTS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,11-25 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"49,800,070.00",0,"49,800,070.00",7,0,7,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,145014,801-68391,NORTHLEAF CAPITAL ADVISORS LTD.,NORTHLEAF CAPITAL ADVISORS LTD.,79 WELLINGTON STREET W,"6TH FLOOR, BOX 120","TORONTO, ONTARIO",,CANADA,M5K 1N9,416-477-6701,416-304-0195,,,,,,,Approved,10/5/2007,12/21/2009,Y,WWW.NORTHLEAFCAPITAL.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"30,000,000.00",0,"30,000,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109174,801-56778,AILERON LTD,AILERON LTD,818 WEST GRAND RIVER AVENUE,,BRIGHTON,MI,UNITED STATES,48116,810-494-7190,810-494-7191,,,,,,,Approved,9/1/1999,4/15/2010,N,,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,11-25 percent,51-75 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"1,800,000,000.00","1,800,000,000.00",0,36,36,N,N,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153533,801-71366,"OFS CAPITAL MANAGEMENT, LLC","OFS CAPITAL MANAGEMENT, LLC",2850 WEST GOLF ROAD,5TH FLOOR,ROLLING MEADOWS,IL,UNITED STATES,60008,847-734-2060,847-734-7910,,,,,,,Approved,4/20/2010,4/15/2010,Y,WWW.OFSCAPITAL.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146732,801-69064,"WORLDWIDE ASSET MANAGEMENT GROUP, LLC","WORLDWIDE ASSET MANAGEMENT GROUP, LLC",30 WALL STREET,10TH FLOOR,NEW YORK,NY,UNITED STATES,10005,212-248-1401,212-742-8710,,,,,,,Approved,4/17/2008,12/21/2009,Y,WWW.WORLDWIDEAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,0,0,0,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"26,909,621.00",0,"26,909,621.00",100,0,100,Y,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,113360,801-17695,CAPSTONE ASSET MANAGEMENT COMPANY,CAPSTONE ASSET MANAGEMENT COMPANY,5847 SAN FELIPE,STE 4100,HOUSTON,TX,USA,77057-3266,713-260-9000,713-260-9025,,,,,,,Approved,7/26/1982,4/15/2010,Y,WWW.CAPSTONEFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,Nov-50,0,More than 500,"2,000",11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,RELIGIOUS ORGANIZATIONS AND HEALTHCARE,Y,N,N,N,N,N,N,,Y,"3,147,294,495.00",0,"3,147,294,495.00","1,908",0,"1,908",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110990,801-58265,"DBA, LONG INVESTMENT ADVISORY, INC.","R.M. LONG INVESTMENT ADVISORY, INC.",1752 11TH STREET,,REEDLEY,CA,UNITED STATES,93654,559-638-5336,559-638-8183,,,,,,,Approved,1/25/2001,4/15/2010,Y,WWW.LONGINVESTMENTADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"47,493,704.00","693,268.00","48,186,972.00",281,102,383,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,133614,801-71367,"WISE WEALTH MANAGEMENT, LLC","WISE WEALTH MANAGEMENT, LLC",100 PARK AVENUE,SUITE 1600,NEW YORK,NY,USA,10017,212-567-1416,212-658-9559,,,,,,,Approved,5/4/2010,4/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"26,746,324.00",0,"26,746,324.00",129,0,129,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,137785,801-65050,"ASSET MANAGEMENT INVESTORS, LLC","ASSET MANAGEMENT INVESTORS, LLC",191 NORTH WACKER DRIVE,SUITE 1500,CHICAGO,IL,UNITED STATES,60606,312-621-0810,312-277-2988,,,,,,,Approved,1/3/2006,4/15/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"308,400,000.00","9,200,000.00","317,600,000.00",208,1,209,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,146851,801-69003,"LEONETTI & ASSOCIATES, LLC","LEONETTI & ASSOCIATES, LLC",1130 LAKE COOK ROAD,SUITE 300,BUFFALO GROVE,IL,UNITED STATES,60089-1976,847-520-0999,847-520-5475,,,,,,,Approved,4/23/2008,4/15/2010,Y,WWW.LEONETTIASSOC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,RETAINER,Y,"397,100,956.00",0,"397,100,956.00",931,0,931,Y,Y,N,N,N,N,N,N,N,Y,ASSET ALLOCATION SERVICES,26-50,,N,Y,N,N,N,N,N,N,N,,N,N,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,145167,801-68652,"SGL INVESTMENT ADVISORS, INC.","SGL INVESTMENT ADVISORS, INC.",283 W. FRONT STREET SUITE 302,,MISSOULA,MT,UNITED STATES,59802-4328,406-721-0999,406-721-0922,,,,,,,Approved,1/7/2008,12/21/2009,Y,WWW.SGLINVESTMENTADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"36,274,703.00",0,"36,274,703.00",115,0,115,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,112778,801-57384,DINUZZO INVESTMENT ADVISORS INC.,DINUZZO INVESTMENT ADVISORS INC.,1501 THIRD ST.,,BEAVER,PA,UNITED STATES,15009,724-728-6564,724-728-2998,,,,,,,Approved,4/7/2000,4/15/2010,Y,WWW.DINUZZO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"163,603,366.00","553,369.00","164,156,735.00",483,10,493,Y,Y,N,Y,Y,N,N,N,N,Y,"CONSULTATION SERVICES, MANAGER OF MANAGERS",101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,134447,801-69955,"SELECT WEALTH ADVISORS, INC.","SELECT WEALTH ADVISORS, INC.",2020 STANDIFORD AVENUE,SUITE F-3,MODESTO,CA,UNITED STATES,95350,209-579-9900,209-579-9908,,,,,,,Approved,3/2/2009,4/15/2010,Y,WWW.SELECTWEALTHADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"70,000,000.00","70,000,000.00",0,200,200,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,112355,801-60269,"WEALTH PLANNERS, LLC","WEALTH PLANNERS, LLC",6230 PERKINS ROAD,SUITE B,BATON ROUGE,LA,UNITED STATES,70808,225-757-8007,225-767-8006,,,,,,,Approved,5/21/2001,4/16/2010,Y,WWW.PROFESSIONALINVESTING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,More than 500,553,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"52,386,557.00","22,613,888.00","75,000,445.00",455,98,553,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110145,801-71319,"RETIREMENT INCOME SOLUTIONS, INC.","RETIREMENT INCOME SOLUTIONS, INC.",455 EAST EISENHOWER PARKWAY,SUITE 300,ANN ARBOR,MI,UNITED STATES,48108,734-769-7727,734-662-6680,,,,,,,Approved,4/12/2010,4/16/2010,Y,WWW.RISADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,More than 500,500,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"568,499,000.00",0,"568,499,000.00",685,0,685,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107664,801-43264,"JOYCEPAYNE PARTNERS, P.C.","JOYCEPAYNE PARTNERS, P.C.",9030 STONY POINT PARKWAY,SUITE 100,RICHMOND,VA,UNITED STATES,23235,804-358-2702,804-358-9436,,,,,,,Approved,2/3/1993,4/16/2010,Y,WWW.JOYCEPAYNEPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"298,749,619.00","70,915,733.00","369,665,352.00",773,157,930,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108499,801-57266,RONEY CAPITAL MANAGEMENT,RONEY CAPITAL MANAGEMENT LLC,10 POST OFFICE SQUARE,SUITE 630,BOSTON,MA,UNITED STATES,2109,617-482-0522,617-482-0823,,,,,,,Approved,2/11/2000,4/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"55,516,712.00",0,"55,516,712.00",104,0,104,N,Y,N,Y,N,N,N,N,N,Y,"BUSINESS CONSULTING SERVICES,HOUSEHOLD MANAGEMENT CONSULTING SERVICES",,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,152323,801-70879,"PARK RIDGE ADVISORS, L.L.C.","PARK RIDGE ADVISORS, L.L.C.",41 MERRIEBROOK LANE,,STAMFORD,CT,UNITED STATES,6902,203-274-7521,203-504-8435,,,,,,,Approved,1/4/2010,12/21/2009,Y,WWW.PARKRIDGEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,Y,0,"28,000,000.00","28,000,000.00",0,6,6,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,153466,801-71317,JORDAN FINANCIAL LLC,JORDAN FINANCIAL LLC,610 VALLEVISTA AVE,,PITTSBURGH,PA,UNITED STATES,15234,(412) 303-5256,(412) 343-4964,,,,,,,Approved,4/30/2010,4/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,0,"26,178,711.00","26,178,711.00",0,53,53,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,153717,801-71369,CCM LLC,CCM LLC,200 SOUTH ORANGE AVENUE,SUITE 1875,ORLANDO,FL,UNITED STATES,32801,407-843-1804,407-843-3778,,,,,,,120-Day Approval,5/7/2010,4/16/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,PERFORMANCE FEES,Y,"14,500,373.00",0,"14,500,373.00",1,0,1,N,Y,N,N,N,N,N,N,N,Y,PRIVATE PLACEMENT MANAGEMENT,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,139270,801-66467,"CASTLE POINT CAPITAL MANAGEMENT, LLC","CASTLE POINT CAPITAL MANAGEMENT, LLC",20 HORSENECK LANE,,GREENWICH,CT,USA,6830,203-862-3150,203-862-3151,,,,,,,Approved,4/6/2006,4/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"443,153,916.00",0,"443,153,916.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,INVESTMENT SUPERVISORY SERVICES FOR POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109685,801-58222,"JK HARRIS ADVISORS, LLC","JK HARRIS ADVISORS, LLC","208 ST. JAMES AVENUE, SUITE A",,GOOSE CREEK,SC,UNITED STATES,29445,800-313-0877,877-504-1731,,,,,,,Approved,12/15/2000,4/16/2010,Y,WWW.JKHARRIS.COM,N,N,N,N,N,N,N,N,N,Y,N,N,N,Limited Liability Company,,SC,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,0,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,N,,More than 500,1500,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,141349,801-67206,ALLIANZ GLOBAL INVESTORS ADVISORY GMBH,ALLIANZ GLOBAL INVESTORS ADVISORY GMBH,MAINZER LANDSTRASSE 11-13,,FRANKFURT AM MAIN,,GERMANY,60329,49-69-263-13900,49-69-263-14920,,,,,,,Approved,10/12/2006,7/6/2010,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),GESELLSCHAFT MIT BESCHRAENKTER HAFTUNG (GMBH),,GERMANY,Nov-50,0,Nov-50,0,0,0,10-Jun,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"15,635,645,020.00","7,560,044,634.00","23,195,689,654.00",76,"1,107","1,183",Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,Y,DISTRIBUTOR OF FINANCIAL INSTRUMENTS (OUTSIDE USA),N,,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,119755,801-63101,TFR ADVISORS LLP,TFR ADVISORS LLP,5040 TENNYSON PARKWAY,,PLANO,TX,UNITED STATES,75024,972-599-3388,972-379-3323,,,,,,,Approved,5/7/2004,7/6/2010,Y,WWW.TFR-INC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"145,000,000.00",0,"145,000,000.00",320,0,320,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N
SFRO,111296,801-41243,"GLYNN CAPITAL MANAGEMENT, LLC","GLYNN CAPITAL MANAGEMENT, LLC","3000 SAND HILL RD, BLDG 3-230",,MENLO PARK,CA,UNITED STATES,94025,650-854-2215,650-854-8083,,,,,,,Approved,5/21/1992,7/6/2010,Y,WWW.GLYNNCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"145,567,446.00",0,"145,567,446.00",13,0,13,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110507,801-15995,ABBIT MANAGEMENT CORP,ABBIT MANAGEMENT CORP,ONE S HARBOR AVE,,GRAND HAVEN,MI,UNITED STATES,49417,616-842-0280,616-842-5266,,,,,,,Approved,4/17/1981,9/22/2009,Y,WWW.ABBIT.BIZ,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,500,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,FOR NON-ADVISORY BUSINESS SERVICES ON CERTAIN ACCOUNTS,Y,"123,055,095.00",0,"123,055,095.00",547,0,547,N,Y,N,Y,N,Y,N,N,N,Y,PREPERATION OF QFT & 1099S FORMS FOR CERTAIN ACCOUNTS,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111413,801-42446,AEGIS ASSET MANAGEMENT INC,AEGIS ASSET MANAGEMENT INC,2331 W LINCOLN AVENUE,,ANAHEIM,CA,UNITED STATES,92801,714-635-9900,714-520-0680,,,,,,,Approved,10/1/1992,7/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"25,396,532.00",0,"25,396,532.00",58,0,58,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,140086,801-66599,PRESIMA INC.,PRESIMA INC.,"1000, PLACE JEAN-PAUL-RIOPELLE","MONTREAL HERALD BUILDING, SUITE 400","MONTREAL, QUEBEC",,CANADA,H2Z 2B6,514-673-1375,514-673-1378,,,,,,,Approved,5/3/2006,7/6/2010,Y,WWW.PRESIMA.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"QUEBEC, CANADA",Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"538,927,686.00",0,"538,927,686.00",21,0,21,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,151952,801-70916,"CMA ADVISORY GROUP, LLC","CMA ADVISORY GROUP, LLC",6220 S. ORANGE BLOSSOM TRAIL,STE. 143,ORLANDO,FL,UNITED STATES,32809,800-980-8949,,,,,,,,Approved,1/15/2010,7/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"45,000,000.00",0,"45,000,000.00",48,0,48,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,129903,801-62712,"THRESHOLD GROUP, LLC","THRESHOLD GROUP, LLC",3025 HARBORVIEW DR,,GIG HARBOR,WA,UNITED STATES,98335,253-851-4300,253-851-0464,PO BOX 2358,,GIG HARBOR,WA,UNITED STATES,98335,Approved,1/16/2004,7/6/2010,Y,WWW.THRESHOLDGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"287,556,982.00","1,213,016,281.00","1,500,573,263.00",96,455,551,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,148267,801-71099,LYRICAL ASSET MANAGEMENT LP,LYRICAL ASSET MANAGEMENT LP,405 PARK AVENUE,,NEW YORK,NY,USA,10022,212-415-6600,212-415-6699,,,,,,,Approved,3/11/2010,7/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"42,442,000.00",0,"42,442,000.00",7,0,7,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110974,801-51193,PRICEWATERHOUSECOOPERS INVESTMENT ADVISERS LLC,PRICEWATERHOUSECOOPERS INVESTMENT ADVISERS LLC,300 MADISON AVENUE,,NEW YORK,NY,UNITED STATES,10017,(646) 471-3576,(813) 329-4447,,,,,,,Approved,2/6/1996,1/12/2010,Y,WWW.PWC.COM,N,N,N,N,N,N,N,N,N,Y,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,Y,Y,N,N,N,Y,"APPLICANT IS RESPONSIBLE FOR SUPERVISING INVESTMENT ADVICE PROVIDED BY PRICEWATERHOUSECOOPERS LLP, A PROFESSIONAL SERVICES FIRM.",101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,149733,801-70232,"148 ADVISORS, LLC","148 ADVISORS, LLC",435 HUDSON STREET,2ND FLOOR,NEW YORK,NY,UNITED STATES,10014,212-220-5840,212-500-3321,,,,,,,Approved,6/2/2009,7/6/2010,Y,WWW.JNFAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"96,000,000.00",0,"96,000,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR SEPARATELY MANAGED ACCOUNTS,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106297,801-42753,"UCM PARTNERS, L.P.","UCM PARTNERS, L.P.",52 VANDERBILT AVENUE,4TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-797-2688,212-425-4199,,,,,,,Approved,11/25/1992,7/6/2010,Y,WWW.UCMPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,11-25 percent,UNIONS,Y,N,N,Y,N,Y,N,,Y,"1,520,000,000.00",0,"1,520,000,000.00",20,0,20,N,N,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HIGH NET WORTH INDIVIDUALS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,154154,801-71547,VALPEY FINANCIAL SERVICES LLC,VALPEY FINANCIAL SERVICES LLC,"ONE EAGLE SQUARE, SUITE 500",,CONCORD,NH,UNITED STATES,3301,603-856-7945,603-856-7946,,,,,,,Approved,6/24/2010,7/6/2010,Y,WWW.RONVALPEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,BY PROJECT,Y,"18,411,237.00","9,923,641.00","28,334,878.00",230,77,307,Y,Y,N,N,N,N,N,N,N,N,,51-100,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,123527,801-61548,"PRIVATE EQUITY INVESTMENTS, INC.","PRIVATE EQUITY INVESTMENTS, INC.",3419 VIA LIDO,#351,NEWPORT BEACH,CA,UNITED STATES,92663,800-825-9990,949-209-1970,,,,,,,Approved,11/6/2002,7/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,SET-UP FEES AND TRANSACTION FEES,Y,"118,619,283.00",0,"118,619,283.00",84,0,84,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,114173,801-60451,BROOKTREE CAPITAL MANAGEMENT INC.,BROOKTREE CAPITAL MANAGEMENT INC.,25 IONIA SW,SUITE 310,GRAND RAPIDS,MI,UNITED STATES,49503,616-774-3159,616-774-3141,PO BOX 6367,,GRAND RAPIDS,MI,UNITED STATES,49516-6367,Approved,8/2/2001,1/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"43,292,299.00",0,"43,292,299.00",65,0,65,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138757,801-66324,"TEEWINOT CAPITAL ADVISERS, L.L.C.","TEEWINOT CAPITAL ADVISERS, L.L.C.",101 PARK AVENUE,48TH FLOOR,NEW YORK,NY,UNITED STATES,10178,212-984-2360,212-984-2361,,,,,,,Approved,3/8/2006,7/6/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"46,100,000.00",0,"46,100,000.00",40,0,40,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108413,801-55253,CAPITAL INVESTMENT ADVISORS INC,CAPITAL INVESTMENT ADVISORS INC,200 SANDY SPRINGS PLACE,SUITE 300,ATLANTA,GA,UNITED STATES,30328,404-531-0018,404-531-0010,,,,,,,Approved,3/30/1998,7/6/2010,Y,WWW.YOURWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,"1,285",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"600,000,000.00","28,000,000.00","628,000,000.00","1,300",50,"1,350",Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
HQ,111103,801-21347,FIL INVESTMENT ADVISORS,FIL INVESTMENT ADVISORS,PEMBROKE HALL,42 CROW LANE,PEMBROKE,,BERMUDA,HM19,441-295-0665,441-292-5282,,,,,,,Approved,9/4/1984,9/22/2009,N,,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,BERMUDA,51-250,0,51-250,0,0,0,10-Jun,0,26-100,0,0 percent,0 percent,Up to 10 percent,26-50 percent,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,A % OF FEE RECEIVED BY THE ADVISOR RETAINING REGISTRANT,Y,"12,800,000,000.00",0,"12,800,000,000.00",49,0,49,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108695,801-56107,BUCK CONSULTANTS,"BUCK CONSULTANTS, LLC","ONE PENNSYLVANIA PLAZA, 30TH FLOOR",,NEW YORK,NY,UNITED STATES,10119-0047,212-330-1000,212-330-1344,,,,,,,Approved,1/6/1999,9/22/2009,Y,BUCKCONSULTANTS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,More than 1000,"2,000",Nov-50,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,0 percent,Up to 10 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,119200,801-61687,"LOWE ENTERPRISES INVESTMENT MANAGEMENT, LLC","LOWE ENTERPRISES INVESTMENT MANAGEMENT, LLC","11777 SAN VICENTE BLVD.,",SUITE 900,LOS ANGELES,CA,UNITED STATES,90049,310-820-6661,310-820-8131,,,,,,,Approved,1/2/2003,7/6/2010,Y,HTTP://WWW.LOWEENTERPRISES.COM/LEI/,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ACQUISITION & DISPOSITION FEES: ALL FEES SEPARATELY NEGOTIATED.,Y,"568,176,187.00","898,347,684.00","1,466,523,871.00",6,3,9,N,N,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105563,801-15421,"ROBERT J OBERST,SR & ASSOCIATES",T. GARRY PITNEY & ASSOCIATES INC.,218 BROAD ST,,RED BANK,NJ,USA,7701,732-842-2300,732-842-1755,,,,,,,Approved,8/8/1980,1/12/2010,Y,WWW.RJO-PLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"122,913,456.00","122,913,456.00",0,287,287,Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,Y,TAX PREPARATION,Y,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,116015,801-69396,"BAYVIEW INVESTMENT COUNSEL, INC","BAYVIEW INVESTMENT COUNSEL, INC",301 PIER ONE ROAD,SUITE 201,STEVENSVILLE,MD,UNITED STATES,21666-2677,410-604-3800,410-604-3874,,,,,,,Approved,7/11/2008,9/22/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"33,269,761.00",0,"33,269,761.00",306,0,306,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,Y,Y,N,N,Y,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,143124,801-67550,BRYDEN-ABRAMS INVESTMENT MANAGEMENT LLC,BRYDEN-ABRAMS INVESTMENT MANAGEMENT LLC,666 FIFTH AVENUE,15TH FLOOR,NEW YORK,NY,UNITED STATES,10103,212-850-1127,212-850-1164,,,,,,,Approved,2/8/2007,1/12/2010,Y,WWW.BRYDENABRAMS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"30,694,399.00",0,"30,694,399.00",18,0,18,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,119721,801-61145,"ACS HR SOLUTIONS, LLC","ACS HR SOLUTIONS, LLC",ONE PENNSYLVANIA PLAZA,30TH FLOOR,NEW YORK,NY,USA,10119-0047,212-330-1000,212-330-1344,,,,,,,Approved,6/14/2002,9/22/2009,Y,WWW.BUCKCONSULTANTS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,More than 1000,"2,000",Nov-50,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,N,Y,N,Y,N,N,Y,ANCILLARY TO THIS INVESTMENT ADVISER'S BUSINESS OF RECORDKEEPING,N,0,0,0,0,0,0,Y,N,N,N,Y,Y,N,N,N,N,,More than 500,1300000,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,137800,801-71580,"ALTERNA WEALTH MANAGEMENT, INC.","ALTERNA WEALTH MANAGEMENT, INC.",6600 N. ANDREWS AVE.,SUITE 282,FT. LAUDERDALE,FL,UNITED STATES,33309,954-703-2020,954-703-2010,,,,,,,Approved,6/22/2010,7/6/2010,Y,WWW.ALTERNAWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"27,929,444.00","688,757.00","28,618,201.00",47,4,51,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106743,801-40835,CLARFELD FINANCIAL ADVISORS INC,CLARFELD FINANCIAL ADVISORS INC,560 WHITE PLAINS ROAD,,TARRYTOWN,NY,USA,10591,914-846-0100,914-846-0186,,,,,,,Approved,2/20/1992,7/6/2010,Y,WWW.CLARFELD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"200,000,000.00","2,950,000,000.00","3,150,000,000.00",45,"2,581","2,626",Y,Y,N,N,N,Y,N,N,N,N,,More than 500,1000,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,142828,,"AMERICAFIRST CAPITAL MANAGEMENT, LLC","AMERICAFIRST CAPITAL MANAGEMENT, LLC",8150 SIERRA COLLEGE BLVD,SUITE 290,ROSEVILLE,CA,UNITED STATES,95661,916-932-7145,916-787-9943,,,,,,,Approved,5/3/2007,1/12/2010,Y,WWW.AFCM-UIT.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,000,000.00",0,"25,000,000.00",40,0,40,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,Y,ADVISOR TO MUTUAL FUNDS AND UNIT INVESTMENT TRUSTS,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144996,801-68321,"WALTHAUSEN & CO., LLC","WALTHAUSEN & CO., LLC",9 EXECUTIVE PARK DRIVE,,CLIFTON PARK,NY,UNITED STATES,12065,518-371-3450,518-371-3980,,,,,,,Approved,9/7/2007,1/12/2010,Y,WWW.WALTHAUSENFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"144,698,297.00",0,"144,698,297.00",7,0,7,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,148226,801-69539,WEALTH LTD,WEALTH LTD,399 KHYBER PASS ROAD,SUITE 124,NEWMARKET,,NEW ZEALAND,1023,649-921-5521,649-921-5521,,,,,,,Approved,9/29/2008,7/6/2010,Y,WEALTH.ORG.NZ,N,N,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,,NEW ZEALAND ,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,Y,Y,N,N,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111895,801-60450,EFFICIENT FRONTIER ADVISORS LLC,EFFICIENT FRONTIER ADVISORS LLC,,,,,,,860-974-0888,CALL FIRST,PO BOX 237,,EASTFORD,CT,UNITED STATES,06242-0237,Approved,8/3/2001,1/14/2010,Y,HTTP://WWW.EFFICIENTFRONTIER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"152,426,000.00",0,"152,426,000.00",48,0,48,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,147108,801-71608,NORTHSTAR FINANCIAL ADVISORS LLC,NORTHSTAR FINANCIAL ADVISORS LLC,,,,,,,631-754-3445,631-754-3445,,,,,,,Approved,6/24/2010,6/28/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"36,268,234.00",0,"36,268,234.00",80,0,80,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,107142,801-38248,KINGS CAPITAL MANAGEMENT INC.,KINGS CAPITAL MANAGEMENT INC.,WAH HEI TOWER STE 2213,TUNG HEI COURT SHAU KEI WAN,HONG KONG,,HONG KONG,,852-571-8492,,,,,,,,Approved,2/7/1991,1/14/2010,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"5,000,000.00",0,"5,000,000.00",20,0,20,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110347,801-55731,KNIGHTSBRIDGE ASSET MANAGEMENT LLC,KNIGHTSBRIDGE ASSET MANAGEMENT LLC,660 NEWPORT CENTER DR,SUITE 460,NEWPORT BEACH,CA,UNITED STATES,92660,949-644-4444,949-717-5030,,,,,,,Approved,7/31/1998,6/28/2010,Y,WWW.KNIGHTSB.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,10-Jun,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,066,609,252.00","2,025,763.00","1,068,635,015.00","1,337",12,"1,349",N,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,111087,801-34933,"KORNITZER CAPITAL MANAGEMENT, INC.","KORNITZER CAPITAL MANAGEMENT, INC.",5420 WEST 61ST PLACE,,SHAWNEE MISSION,KS,USA,66205,913-677-7778,913-831-6263,P.O. BOX 918,,SHAWNEE MISSION,KS,U.S.A.,66201,Approved,8/4/1989,6/28/2010,Y,WWW.KORNITZERCAPITALMANAGEMENT.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,More than 500,"1,000",51-75 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"6,430,000,000.00",0,"6,430,000,000.00","2,560",0,"2,560",N,Y,Y,Y,N,N,N,N,N,Y,GENERAL CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,151748,801-70668,LOTSOFF CAPITAL MANAGEMENT LLC,LOTSOFF CAPITAL MANAGEMENT LLC,20 N. CLARK STREET,SUITE 3400,CHICAGO,IL,UNITED STATES,60602-4109,312-368-1442,312-750-1131,,,,,,,Approved,9/1/2009,6/28/2010,Y,WWW.LOTSOFF.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,BROKERAGE WRAP PROGRAMS,Y,Y,N,Y,N,Y,Y,RETURNS ACHIEVED RELATIVE TO A TARGET INDEX,Y,"1,567,937,292.00","9,475,417.00","1,577,412,709.00",543,1,544,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,Y,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110662,801-4782,WOODSTOCK CORPORATION,WOODSTOCK CORPORATION,27 SCHOOL STREET,SUITE 200,BOSTON,MA,UNITED STATES,2108,617-227-0600,617-523-0229,,,,,,,Approved,4/4/1968,6/28/2010,Y,WWW.WOODSTOCKCORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"525,179,571.00","10,362,036.00","535,541,607.00",485,10,495,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,142623,801-67378,"STEELE FINANCIAL SERVICES, LLC","STEELE FINANCIAL SERVICES, LLC",1285 SHERIDAN AVE.,SUITE 250,CODY,WY,USA,82414,307-587-2600,307-587-2548,,,,,,,Approved,1/3/2007,1/14/2010,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,358,288.00",0,"2,358,288.00",103,0,103,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,140380,801-66718,HIGHCLERE INTERNATIONAL INVESTORS,HIGHCLERE INTERNATIONAL INVESTORS LIMITED,2 MANCHESTER SQUARE,,LONDON,,UNITED KINGDOM,W1U 3PA,+44 207-258-9830,+44 207-258-9831,,,,,,,Approved,6/6/2006,6/28/2010,Y,WWW.HIGHCLEREINVESTORS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"921,000,000.00",0,"921,000,000.00",3,0,3,N,Y,N,Y,N,N,N,N,N,Y,"RESEARCH OF NON-US, NON-CANADIAN EQUITY SECURITIES",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109668,801-15538,SOUTHWEST MONEY MANAGEMENT INC,SOUTHWEST MONEY MANAGEMENT INC,,,,,,,626-915-1838,626-339-5660,,,,,,,Approved,8/4/1980,1/14/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,TAFT HARTLEY TRUST FUNDS,Y,N,N,Y,N,N,N,,Y,"161,159,754.00",0,"161,159,754.00",8,0,8,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,143041,801-68318,"THE ELEMENTS FINANCIAL GROUP, LLC","THE ELEMENTS FINANCIAL GROUP, LLC",245 FISCHER AVE,SUITE A-4,COSTA MESA,CA,UNITED STATES,92626,714-427-5800,714-546-0840,,,,,,,Approved,9/27/2007,6/28/2010,Y,WWW.ELEMENTSFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"164,480,071.00",0,"164,480,071.00","1,401",0,"1,401",N,Y,N,Y,N,N,N,N,N,Y,PROVIDER OF ASSET ALLOCATION PLATFORM,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,127344,801-67280,"BRANDYWINE FINANCIAL GROUP, INC.","BRANDYWINE FINANCIAL GROUP, INC.",100 FOUR FALLS CORPORATE CENTER,STE 105,WEST CONSHOHOCKEN,PA,USA,19428,610-828-1155,610-828-9335,,,,,,,Approved,11/28/2006,6/28/2010,Y,WWW.BRANDYWINEFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"57,000,000.00","5,000,000.00","62,000,000.00",250,300,550,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,122448,801-61413,"MAGNUS CAPITAL MANAGEMENT, LLC","MAGNUS CAPITAL MANAGEMENT, LLC",350 FIFTH AVENUE SOUTH,SUITE 203,NAPLES,FL,UNITED STATES,34102,239-262-8501,239-262-2212,,,,,,,Approved,8/28/2002,1/14/2010,Y,WWW.MAGNUSCAPITAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"31,000,000.00","165,000,000.00","196,000,000.00",51,40,91,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,121560,801-61316,"DEROY & DEVEREAUX PRIVATE INVESTMENT COUNSEL, INC.","DEROY & DEVEREAUX PRIVATE INVESTMENT COUNSEL, INC.",26777 CENTRAL PARK BLVD.,STE. 180,SOUTHFIELD,MI,UNITED STATES,48076,248-358-3220,248-358-9111,,,,,,,Approved,7/16/2002,6/28/2010,Y,WWW.DEROYDEVEREAUX.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"457,400,000.00",0,"457,400,000.00",89,0,89,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108213,801-38064,"C.W. HENDERSON & ASSOCIATES, INC.","C.W. HENDERSON & ASSOCIATES, INC.","20 W. KINZIE STREET, SUITE 1100",,CHICAGO,IL,UNITED STATES,60654,312-222-1401,312-832-7801,,,,,,,Approved,1/10/1991,6/28/2010,Y,WWW.CWHENDERSON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,5-Jan,0,0,0,10-Jun,0,More than 500,828,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,701,000,000.00",0,"2,701,000,000.00",828,0,828,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,7294,801-62856,"GREGORY J. SCHWARTZ & CO., INC.","GREGORY J. SCHWARTZ & CO., INC.",3707 W. MAPLE,,BLOOMFIELD HILLS,MI,UNITED STATES,48301,248-644-2701,248-644-6837,,,,,,,Approved,3/15/2004,6/28/2010,Y,WWW.GJSCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,101-250,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"45,000,000.00","1,800,000,000.00","1,845,000,000.00",8,125,133,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,Y,N,N,N,Y,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,117816,801-44183,"KUHN & CARSON, INC.","KUHN & CARSON, INC.",3622 LYCKAN PARKWAY,SUITE 1001,DURHAM,NC,USA,27707,919-493-3233,919-493-3666,,,,,,,Approved,6/21/1993,6/28/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"250,456,333.00",0,"250,456,333.00",153,0,153,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,15277,801-62529,"STUDNESS RESEARCH, INC.","STUDNESS RESEARCH, INC.",,,,,,,516-627-4976,516-365-3538,,,,,,,Approved,11/13/2003,9/23/2009,Y,STUDNESS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,11-25 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"25,000,000.00",0,"25,000,000.00",16,0,16,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,Y,Y,N,N,N,N,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110783,801-27797,"BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC","BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC",2929 ARCH STREET,8TH FLOOR,PHILADELPHIA,PA,UNITED STATES,19104,215-609-3500,215-609-3501,,,,,,,Approved,8/29/1986,6/28/2010,Y,WWW.BRANDYWINEGLOBAL.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"7,500",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,Y,ASSET-BASED FEE FROM MODEL-ONLY RECIPIENTS,Y,"29,536,369,037.00","4,802,861.00","29,541,171,898.00","6,346",15,"6,361",N,Y,Y,Y,N,N,N,N,N,Y,MODEL-ONLY PORTFOLIOS,,,N,Y,N,Y,N,N,N,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109983,801-56865,"HEWINS FINANCIAL ADVISORS, LLC","HEWINS FINANCIAL ADVISORS, LLC",400 SOUTH EL CAMINO REAL,SUITE 800,SAN MATEO,CA,UNITED STATES,94402,650-620-3040,650-372-0813,,,,,,,Approved,10/1/1999,6/28/2010,Y,WWW.HEWINSFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"699,985,000.00","1,316,015,000.00","2,016,000,000.00","2,971",479,"3,450",Y,Y,N,Y,N,Y,N,N,N,Y,MATTERS NOT INVOLVING SECURITIES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,137673,801-64843,ANCORA WEST ADVISORS,"ANCORA WEST ADVISORS, LLC",8630 TECHNOLOGY WAY,SUITE A,RENO,NV,USA,89521,775-284-7778,775-284-7779,P.O. BOX 19427,,RENO,NV,USA,89511,Approved,10/21/2005,6/28/2010,Y,WWW.ANCORAWEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"51,747,985.00","1,944,280.00","53,692,265.00",76,4,80,N,Y,N,Y,N,Y,Y,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111135,801-27047,"MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.","MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.",353 N. CLARK ST,,CHICAGO,IL,UNITED STATES,60654,800-621-4421,312-595-7208,,,,,,,Approved,5/15/1986,6/28/2010,Y,WWW.MESIROWFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,51-250,0,Nov-50,0,51-250,0,5-Jan,0,More than 500,"4,446",Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,Up to 10 percent,CONSULTING SERVICES,Y,N,Y,Y,N,Y,N,,Y,"12,706,307,751.00","12,366,727,889.00","25,073,035,640.00","5,272","2,380","7,652",Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,N,Y,Y,N,N,N,Y,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105363,801-24450,LANCZ ALAN B & ASSOCIATES INC,LANCZ ALAN B & ASSOCIATES INC,2400 N REYNOLDS RD,,TOLEDO,OH,USA,43615,419-536-5200,419-536-5401,,,,,,,Approved,6/11/1985,1/14/2010,Y,HTTP://WWW.ABLONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"104,035,539.00",0,"104,035,539.00",105,0,105,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110452,801-48035,BATTERYMARCH FINANCIAL MANAGEMENT INC,BATTERYMARCH FINANCIAL MANAGEMENT INC,JOHN HANCOCK TOWER,200 CLARENDON STREET,BOSTON,MA,UNITED STATES,2116,617-266-8300,617-266-0633,,,,,,,Approved,12/27/1994,6/28/2010,Y,WWW.BATTERYMARCH.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,5-Jan,0,101-250,0,0 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,"ENDOWMENTS, FOUNDATIONS AND FOREIGN GOVERNMENT ENTITIES",Y,N,N,N,N,Y,Y,ASSET-BASED FEE FROM MODEL-ONLY RECIPIENTS,Y,"18,894,428,783.00",0,"18,894,428,783.00",137,0,137,N,Y,Y,Y,N,N,N,N,N,Y,MODEL-ONLY PORTFOLIOS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,140332,801-66592,SUNSAGE CAPITAL MANAGEMENT,"SUNSAGE CAPITAL, LLC",4400 STATE HIGHWAY 360,,GRAPEVINE,TX,UNITED STATES,76051-6754,800-820-3182,,,,,,,,Approved,5/3/2006,1/14/2010,Y,HTTP://WWW.SUNSAGE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"38,345,673.00",0,"38,345,673.00",84,0,84,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110102,801-31712,SLOY DAHL & HOLST INC,SLOY DAHL & HOLST INC,1230 SW FIRST AVENUE,SUITE 310,PORTLAND,OR,UNITED STATES,97204,503-248-9800,503-248-7088,,,,,,,Approved,3/25/1988,6/28/2010,Y,WWW.SDH-INC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"81,316,613.00","130,537,305.00","211,853,918.00",388,483,871,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,147053,801-69156,"CTC CONSULTING, LLC","CTC CONSULTING, LLC",4380 SW MACADAM AVENUE,"THE RIVER FORUM, SUITE 490",PORTLAND,OR,UNITED STATES,97239-6407,503-228-4300,503-220-4576,,,,,,,Approved,3/31/2008,6/28/2010,Y,WWW.CTCCONSULTING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"834,801,792.00",0,"834,801,792.00",16,0,16,N,Y,N,Y,Y,Y,N,N,N,Y,"ASSET ALLOCATION, PERFORMANCE MEASUREMENT, HIGH NET WORTH CONSULTING SERVICES",0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107668,801-37888,MARQUE MILLENNIUM CAPITAL MANAGEMENT LLC,MARQUE MILLENNIUM CAPITAL MANAGEMENT LLC,"850 THIRD AVENUE, 18TH FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-759-6800,212-759-6807,,,,,,,Approved,12/13/1990,1/14/2010,Y,WWW.MARQMIL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,51-75 percent,0 percent,11-25 percent,HEALTH & WELFARE FUNDS,Y,N,N,N,N,Y,N,,Y,"34,213,563.00","90,022,595.00","124,236,158.00",3,1,4,N,Y,N,Y,N,N,N,N,N,Y,MODEL PORTFOLIO SECURITY SELECTION SERVICES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,138971,801-65470,CLARIUM CAPITAL MANAGEMENT LLC,CLARIUM CAPITAL MANAGEMENT LLC,1 LETTERMAN DRIVE,"BUILDING C, SUITE 400",SAN FRANCISCO,CA,UNITED STATES,94129-2402,415-248-5140,415-248-5141,,,,,,,Approved,1/23/2006,6/28/2010,Y,HTTP://WWW.CLARIUM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,237,000,000.00",0,"1,237,000,000.00",7,0,7,N,N,N,Y,N,Y,Y,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,Y,Y,N,N,Y,Y,N,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
CHRO,154255,801-71644,"M&B INVESTMENT ADVISORS, LLC","M&B INVESTMENT ADVISORS, LLC",10260 ALLIANCE RD. SUITE 160,,CINCINNATI,OH,UNITED STATES,45242,513-842-8560,513-842-8561,,,,,,,120-Day Approval,7/22/2010,6/28/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"15,000,000.00",0,"15,000,000.00",100,0,100,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,147843,801-69725,"GLOBAL CREDIT ADVISERS, LLC","GLOBAL CREDIT ADVISERS, LLC",99 PARK AVENUE 15TH FLOOR,,NEW YORK,NY,UNITED STATES,10016,212-949-1860,212-949-6219,,,,,,,Approved,11/25/2008,6/28/2010,Y,WWW.GLOBALCREDITADVISERS.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"80,500,000.00",0,"80,500,000.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,MANAGE HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139734,801-66662,ARNOTT CAPITAL PTY LTD,ARNOTT CAPITAL PTY LTD,"SUITE 1004, LEVEL 10",1 ALFRED STREET,SYDNEY,,AUSTRALIA,2000,61 2 9222 7100,61 2 9222 7133,,,,,,,Approved,5/3/2006,9/23/2009,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,AUSTRALIA,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"447,471,869.00",0,"447,471,869.00",4,0,4,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106332,801-27914,ABBOTT CAPITAL MANAGEMENT LLC,ABBOTT CAPITAL MANAGEMENT LLC,1211 AVENUE OF THE AMERICAS,SUITE 4300,NEW YORK,NY,UNITED STATES,10036,212-757-2700,212-757-0835,,,,,,,Approved,9/22/1986,7/28/2010,Y,WWW.ABBOTTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"6,738,000,000.00","200,000,000.00","6,938,000,000.00",23,5,28,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110130,801-18320,ALTFEST PERSONAL WEALTH MANAGEMENT,ALTFEST L J & CO INC,425 PARK AVENUE,24TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-406-0867,212-406-0867,,,,,,,Approved,2/2/1983,7/28/2010,Y,WWW.ALTFEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"554,548,877.00","4,411,000.00","558,959,877.00","1,543",57,"1,600",Y,Y,N,N,N,N,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
PLRO,107440,801-44532,HUGHES CAPITAL MANAGEMENT INC,HUGHES CAPITAL MANAGEMENT INC,"916 PRINCE STREET, 3RD FLR",,ALEXANDRIA,VA,UNITED STATES,22314,703-684-7222,703-684-7799,,,,,,,Approved,8/16/1993,1/20/2010,Y,WWW.HUGHESCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,11-25 percent,26-50 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"959,288,000.00",0,"959,288,000.00",42,0,42,N,N,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,127283,801-63997,"ADDISON AVENUE FINANCIAL PARTNERS, LLC","ADDISON AVENUE FINANCIAL PARTNERS, LLC",1011 SUNSET BLVD.,,ROCKLIN,CA,UNITED STATES,95765-3702,916-435-5436,916-435-5561,P.O. BOX 3010,,ROCKLIN,CA,UNITED STATES,95677-8465,Approved,2/25/2005,7/28/2010,Y,WWW.ADDISONAVENUE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,500,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,COMPENSATED BY OTHER INVESTMENT ADVISOR FIRMS FOR REFERRALS,Y,0,"194,667,979.00","194,667,979.00",0,868,868,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,146236,801-69551,"ADVANTAGE INVESTMENT MANAGEMENT, LLC","ADVANTAGE INVESTMENT MANAGEMENT, LLC",230 2ND STREET SE,SUITE 200,CEDAR RAPIDS,IA,USA,52401,319-366-7300,319-862-0754,,,,,,,Approved,9/5/2008,7/28/2010,Y,WWW.OFFICIALAFG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"133,629,179.00","458,476.00","134,087,655.00",242,3,245,Y,Y,N,Y,N,Y,Y,N,N,Y,INVESTMENT CONSULTING,25-Nov,,Y,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
BRO,106821,801-51518,EPG INCORPORATED,EPG INC,60 WILLIAM STREET,,WELLESLEY,MA,UNITED STATES,2481,781-235-2666,781-235-9688,,,,,,,Approved,3/1/1996,7/28/2010,Y,WWW.EPGADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"2,212,307,406.00","2,212,307,406.00",0,58,58,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,151690,801-70658,"OLYMPIAN INVESTMENT MANAGEMENT, LLC","OLYMPIAN INVESTMENT MANAGEMENT, LLC",ONE EAST BROWARD BLVD.,SUITE 700,FORT LAUDERDALE,FL,UNITED STATES,33301,954-745-5824,954-745-5801,,,,,,,120-Day Approval,10/8/2009,9/24/2009,Y,WWW.OLYMPIANCAPITAL.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,Y,N,N,N,Y,ADVISORY CONSULTING SERVICES AND ADVISER TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,152676,801-70991,GOLDEN TRAIL ADVISERS,"GOLDEN TRAIL ADVISERS, LLC",11S270 JACKSON STREET,SUITE101,BURR RIDGE,IL,UNITED STATES,60527,630-323-1111,630-323-6540,,,,,,,Approved,1/14/2010,7/28/2010,Y,WWW.GOLDEN-TRAIL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"27,000,000.00","1,000,000.00","28,000,000.00",155,5,160,Y,Y,N,N,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111221,801-57236,"RSM MCGLADREY, INC.","RSM MCGLADREY, INC.",801 NICOLLET MALL,SUITE 1100 WEST TOWER,MINNEAPOLIS,MN,UNITED STATES,55402-2526,612-376-9363,612-395-7400,801 NICOLLET MALL,SUITE 1100 WEST TOWER,MINNEAPOLIS,MN,UNITED STATES,55402-2526,Approved,2/9/2000,7/28/2010,Y,WWW.MCGLADREY.COM/SERVICES/WEALTH-MANAGEMENT,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,More than 1000,"4,000",51-250,0,51-250,0,0,0,More than 500,"3,500",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"2,538,294,088.00","847,664,594.00","3,385,958,682.00","7,067","1,727","8,794",Y,Y,N,Y,Y,Y,N,N,N,Y,ADVISORY SERVICES INCLUDING INVESTMENT REVIEW AND REPORTING OF NON-MANAGED ASSETS AND RETIREMENT PLAN SERVICES TO PLANS,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,Y
SFRO,142250,801-68764,GRATIO CAPITAL,"GRATIO CAPITAL, INC.",1233 HOWARD ST,SUITE 2F,SAN FRANCISCO,CA,UNITED STATES,94103,212-731-0830,212-918-1643,,,,,,,Approved,2/1/2008,7/28/2010,Y,WWW.GRATIOCAPITAL.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"4,489,771.00",0,"4,489,771.00",5,0,5,N,Y,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111040,801-19944,"ABBOT FINANCIAL MANAGEMENT, INC","ABBOT FINANCIAL MANAGEMENT, INC",510 TURNPIKE STREET,STE 101,NORTH ANDOVER,MA,USA,1845,978-688-9010,978-688-0090,,,,,,,Approved,11/3/1983,9/24/2009,Y,WWW.ABBOTFM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"96,320,000.00",0,"96,320,000.00",275,0,275,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,154503,801-71728,"INDIE ASSET PARTNERS, LLC","INDIE ASSET PARTNERS, LLC",11711 N MERIDIAN STREET,SUITE 475,CARMEL,IN,UNITED STATES,46032,317-571-3771,317-569-9743,,,,,,,120-Day Approval,8/16/2010,7/28/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,133358,801-63747,"QUESTAR ASSET MANAGEMENT, INC.","QUESTAR ASSET MANAGEMENT, INC.",5701 GOLDEN HILLS DRIVE,,MINNEAPOLIS,MN,USA,55416,888-446-5872,763-765-5996,,,,,,,Approved,12/15/2004,7/28/2010,Y,WWW.QUESTARCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,More than 500,"2,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"56,153,718.00","77,954,491.00","134,108,209.00","1,556",673,"2,229",Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N
CHRO,147019,801-69230,PEARSON TRADE INTERNATIONAL INC.,"PEARSON, CRAIG - KEVIN","4841 WOODLAND AVE.,",APT. 203,ROYAL OAK,MI,UNITED STATES,48073,248-425-4443,,,,,,,,Approved,6/20/2008,7/28/2010,Y,WWW.PEARSONTRADEINTERNATIONALINC.COM,N,N,N,N,N,N,N,N,N,N,Y,N,N,Sole Proprietorship,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,More than 75 percent,More than 75 percent,More than 75 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,,N,N,Y,N,Y,Y,N,,N,0,0,0,0,0,0,N,N,N,N,N,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,105555,801-61473,PERPETUITY,PERPETUITY ASSET MANAGEMENT INC,,,,,,,778-883-7651,,P. O. BOX 91507 BELLEVUE LANDING,,WEST VANCOUVER,,CANADA,V7V 3P2,Approved,9/24/2002,7/28/2010,Y,WWW.PERPETUITY.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,11-25 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,Y,CUSTOM CRM SERVICES,Y,"3,293,900.00",0,"3,293,900.00",5,0,5,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,Y,ECONOMIC & FINANCIAL ADVISORY,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,114317,801-60503,BURGUNDY ASSET MANAGEMENT LTD.,BURGUNDY ASSET MANAGEMENT LTD.,"BAY WELLINGTON TOWER, 181 BAY STREET, STE 4510",,"TORONTO, ONTARIO",,CANADA,M5J 2T3,(416) 869-3222,(416) 869-9036,,,,,,,Approved,8/31/2001,9/24/2009,Y,WWW.BURGUNDYASSET.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",51-250,0,Nov-50,0,0,0,0,0,More than 500,"1,500",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,PROVINCIAL GOVERNMENT AGENCY,Y,N,N,N,N,Y,N,,Y,"5,691,013,207.00",0,"5,691,013,207.00","1,300",0,"1,300",N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,110055,801-36895,"TAYLOR STEPHENS, INC.",TAYLOR STEPHENS INC,12720 HILLCREST RD,SUITE 810,DALLAS,TX,USA,75230,972-991-1181,972-991-9761,,,,,,,Approved,6/15/1990,9/24/2009,Y,WWW.TAYLORSTEPHENS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,0 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"57,148,029.00",0,"57,148,029.00",267,0,267,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N
NYRO,106277,801-49470,FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP.,FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP.,450 LEXINGTON AVE,SUITE 3700,NEW YORK,NY,UNITED STATES,10017-3943,212-905-4100,412-288-3939,,,,,,,Approved,6/22/1995,7/29/2010,Y,FEDERATEDINVESTORS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"4,151",26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,ADDITIONAL FEES BASED ON GROSS INCOME.,Y,"8,599,127,103.00","152,375,405.00","8,751,502,508.00","4,149",2,"4,151",N,Y,Y,Y,N,N,N,N,N,Y,ADVISER ALSO PROVIDES MODEL PORTFOLIOS AND ASSET ALLOCATION RECOMMENDATIONS AND PERIODIC UPDATES TO THEM.,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,123557,801-61736,GRYPHON INTERNATIONAL INVESTMENT CORPORATION,GRYPHON INTERNATIONAL INVESTMENT CORPORATION,20 BAY STREET,SUITE 1905,TORONTO,,"ONTARIO, CANADA",M5J 2N8,416-364-2299,416-364-9067,,,,,,,Approved,1/24/2003,9/24/2009,Y,WWW.GRYPHONINTL.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,26-50 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,965,023,335.00","101,649,362.00","4,066,672,697.00",265,3,268,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,126970,801-66766,"FOCUS FINANCIAL PLANNING, LLC","FOCUS FINANCIAL PLANNING, LLC",32100 TELEGRAPH ROAD,SUITE 230,BINGHAM FARMS,MI,UNITED STATES,48025,248-646-0696,248-646-9139,,,,,,,Approved,7/21/2006,1/20/2010,Y,WWW.FOCUSFG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,VARYING FEES FOR SEMINARS  AND EDUCATIONAL CLASSES,Y,0,"31,863,441.00","31,863,441.00",0,162,162,Y,Y,N,Y,N,Y,N,N,N,Y,SEMINARS AND EDUCATIONAL CLASSES,101-250,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105944,801-269,INVESTMENT COUNSEL INC,INVESTMENT COUNSEL INC,7457 ME CAD BLVD.,SUITE 100,CLARKSTON,MI,UNITED STATES,48348-4457,248-625-7897,248-625-7847,P.O. BOX 1440,,CLARKSTON,MI,UNITED STATES,48347,Approved,11/1/1940,7/29/2010,Y,WWW.INVEST-COUNSEL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"143,000,000.00",0,"143,000,000.00",121,0,121,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,139595,801-68413,"3D ASSET MANAGEMENT, INC.","3D ASSET MANAGEMENT, INC.",111 FOUNDERS PLAZA,SUITE 603,EAST HARTFORD,CT,UNITED STATES,06108-3289,860-291-1998,860-291-9818,,,,,,,Approved,10/1/2007,7/29/2010,Y,WWW.3DADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,10-Jun,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,Y,FEES AS SUB-ADVISOR AND MODEL PROVIDER/STATEGIST,Y,"255,735,936.00",0,"255,735,936.00",584,0,584,N,Y,N,Y,N,N,N,N,N,Y,SUB-ADVISOR AND MODEL PROVIDER/STRATEGIST,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,154617,801-71729,"BOLI FUND MANAGEMENT, LLC","BOLI FUND MANAGEMENT, LLC",5755 NORTH POINT PARKWAY,#89,ALPHARETTA,GA,UNITED STATES,30022,770-442-1110,770-442-1120,,,,,,,120-Day Approval,8/9/2010,7/29/2010,Y,WWW.BOLIFUND.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,ADVISER TO HEDGE FUND,0,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112480,801-32115,FIDUCIARY CAPITAL ADVISORS INC,FIDUCIARY CAPITAL ADVISORS INC,570 WESTFIELD AVE,,WESTFIELD,NJ,USA,7090,908-233-6665,908-233-8369,,,,,,,Approved,6/20/1988,9/24/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,492,278.00","211,816,454.00","213,308,732.00",1,5,6,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,133211,801-63633,CENARIO CAPITAL MANAGEMENT,"LATUS CAPITAL, LLC",1100 BENT CREEK BLVD.,2ND FLOOR,MECHANICSBURG,PA,UNITED STATES,17050,717-795-6102,717-795-6105,,,,,,,Approved,11/10/2004,1/20/2010,Y,CENARIOCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,CONSULTING FEES,Y,"76,011,667.00",0,"76,011,667.00",36,0,36,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105997,801-45304,DWIGHT ASSET MANAGEMENT COMPANY LLC,DWIGHT ASSET MANAGEMENT COMPANY LLC,100 BANK STREET,SUITE 800,BURLINGTON,VT,UNITED STATES,5401,802-383-4000,802-862-2513,,,,,,,Approved,12/2/1993,7/29/2010,Y,WWW.DWIGHT.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,10-Jun,0,0,0,101-250,0,0 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,11-25 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,Y,REVENUE SHARE,Y,"52,895,316,404.00","11,447,292,189.00","64,342,608,593.00",130,13,143,N,Y,Y,Y,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,146957,801-69213,"EASTWIND CAPITAL, LLC","EASTWIND CAPITAL, LLC","921 EASTWIND DRIVE, SUITE 101",,WESTERVILLE,OH,UNITED STATES,43081,614-888-2230,614-888-3611,,,,,,,Approved,6/10/2008,7/29/2010,Y,WWW.EASTWINDCAPITAL.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,THIRD PARTY FEES,Y,"21,389,138.00","17,792,334.00","39,181,472.00",171,626,797,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,104688,801-35998,"AKJ ASSET MANAGEMENT, LLC","AKJ ASSET MANAGEMENT, LLC",1180 HARKER AVENUE,,PALO ALTO,CA,USA,94301,650-326-9090,650-326-1560,,,,,,,Approved,1/1/1990,1/20/2010,Y,WWW.AKJASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"176,149,274.00","10,377,483.00","186,526,757.00",451,31,482,Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,134699,801-69920,"SITKA PACIFIC CAPITAL MANAGEMENT, LLC","SITKA PACIFIC CAPITAL MANAGEMENT, LLC",538 BROADWAY,SUITE A,SONOMA,CA,UNITED STATES,95476,707-933-0322,800-888-1314,,,,,,,Approved,3/12/2009,1/20/2010,Y,WWW.SITKAPACIFIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"70,000,000.00",0,"70,000,000.00",300,0,300,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,141389,801-67090,GARNET GROUP LLC,GARNET GROUP LLC,6701 DEMOCRACY BOULEVARD,SUITE 505,BETHESDA,MD,UNITED STATES,20817,301-564-3000,301-564-4440,,,,,,,Approved,8/10/2006,1/20/2010,Y,WWW.GARNETGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"74,456,373.00",0,"74,456,373.00",194,0,194,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,150434,801-70251,"GREENFIELD SEITZ CAPITAL MANAGEMENT, LLC","GREENFIELD SEITZ CAPITAL MANAGEMENT, LLC","2100 MCKINNEY AVE, SUITE 1420",,DALLAS,TX,UNITED STATES,75201,214-367-6170,,,,,,,,Approved,6/26/2009,1/20/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"197,786,494.00",0,"197,786,494.00",467,0,467,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107717,801-5594,MACKAY SHIELDS LLC,MACKAY SHIELDS LLC,9 WEST 57TH ST,,NEW YORK,NY,UNITED STATES,10019,212-230-3800,212-758-3291,,,,,,,Approved,4/11/1969,7/29/2010,Y,WWW.MACKAYSHIELDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,5-Jan,0,101-250,0,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,FOREIGN INVESTMENT COMPANIES & WRAP ACCOUNTS,Y,N,N,N,N,Y,N,,Y,"41,587,414,451.00","1,609,381,013.00","43,196,795,464.00",284,4,288,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,Y,N,N,N
BRO,114335,801-8517,PAX WORLD MANAGEMENT LLC,PAX WORLD MANAGEMENT LLC,"30 PENHALLOW STREET, SUITE 400",,PORTSMOUTH,NH,UNITED STATES,3801,603-431-8022,603-431-9175,,,,,,,Approved,3/24/1972,1/20/2010,Y,PAXWORLD.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"254,949,459.00",0,"254,949,459.00",11,0,11,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105893,801-33567,ECA INVESTMENT GROUP INC,ECA INVESTMENT GROUP INC,224 ST CHARLES WAY,SUITE 100,YORK,PA,UNITED STATES,17402,717-718-1600,717-718-1602,,,,,,,Approved,12/29/1988,7/29/2010,Y,HTTP://WWW.ECAIG.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,500,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"373,056,082.00",0,"373,056,082.00",520,0,520,Y,Y,N,Y,Y,Y,Y,N,N,N,,25-Nov,,N,N,N,Y,N,N,N,N,N,,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,117141,801-60725,KEENER INVESTMENTS,"KEENER, HARRY ALAN",,,,,,,508-255-2483,508-255-2398,,,,,,,Approved,11/27/2001,1/20/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"17,411,160.00","24,673,609.00","42,084,769.00",17,2,19,N,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,114923,801-60524,"INTEGRATED WEALTH MANAGEMENT, LLC","INTEGRATED WEALTH MANAGEMENT, LLC",4800 N. SCOTTSDALE ROAD,SUITE 1600,SCOTTSDALE,AZ,UNITED STATES,85251,480-663-6000,480-663-6033,4800 N. SCOTTSDALE ROAD,SUITE 1600,SCOTTSDALE,AZ,UNITED STATES,85251,Approved,9/18/2001,7/29/2010,Y,WWW.IWMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"39,449,309.00","12,944,955.00","52,394,264.00",285,77,362,Y,Y,N,N,N,Y,N,N,Y,N,,10-Jan,,N,N,N,Y,N,Y,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106610,801-48430,CAPELLI FINANCIAL SERVICES INC,CAPELLI FINANCIAL SERVICES INC,"40950 WOODWARD AVENUE, SUITE 140",,BLOOMFIELD HILLS,MI,USA,48304-2260,248-594-9282,248-594-5751,,,,,,,Approved,3/1/1995,7/29/2010,Y,WWW.CAPELLIFS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"241,087,530.00","6,013,129.00","247,100,659.00",660,67,727,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106128,801-51306,"TURNER INVESTMENT MANAGEMENT, LLC","TURNER INVESTMENT MANAGEMENT, LLC",1205 WESTLAKES DRIVE,SUITE 100,BERWYN,PA,USA,19312,484-329-2300,484-329-2569,,,,,,,Approved,2/15/1996,1/20/2010,Y,WWW.TURNERINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,Nov-50,0,26-100,0,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,11-25 percent,Up to 10 percent,0 percent,11-25 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,661,796,686.00","73,616,693.00","1,735,413,379.00",66,1,67,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,111514,801-55501,"AMERIVEST INVESTMENT MANAGEMENT, LLC","AMERIVEST INVESTMENT MANAGEMENT, LLC",4211 S 102ND STREET,,OMAHA,NE,UNITED STATES,68127,402-574-6040,402-970-3440,,,,,,,Approved,7/21/1998,7/29/2010,Y,WWW.TDAMERITRADE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,More than 1000,"1,000",Nov-50,0,More than 1000,"1,000",0,0,More than 500,"38,000",More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,PERCENTAGE OF ADVISED ASSETS,Y,"233,193,000.00",0,"233,193,000.00","3,004",0,"3,004",Y,Y,Y,N,N,N,N,N,N,N,,More than 500,38000,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N
CHRO,146936,801-71421,"BENJAMIN F. EDWARDS & COMPANY, INCORPORATED","BENJAMIN F. EDWARDS & COMPANY, INCORPORATED",10 SOUTH BRENTWOOD BOULEVARD,SUITE 100,ST. LOUIS,MO,UNITED STATES,63105,314-726-1600,314-726-1601,,,,,,,Approved,5/6/2010,7/29/2010,Y,WWW.BENJAMINFEDWARDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"227,542,266.00","23,984,425.00","251,526,691.00",685,45,730,Y,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,Y,N,N,N,Y,N,N,,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,Y,Y,Y,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,37813,801-64354,FSIC,FINANCIAL SERVICES INTERNATIONAL CORP.,701 FIFTH AVENUE,SUITE 6870,SEATTLE,WA,USA,98104,206-386-5475,206-374-3027,,,,,,,Approved,6/14/2005,8/23/2010,Y,WWW.FSIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,Nov-50,0,More than 500,"1,500",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"8,668,770.00","196,283,320.00","204,952,090.00",100,"1,648","1,748",Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,N,N,Y,N,N,N,Y,N,N,,Y,Y,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107351,801-23767,VOLUMETRIC ADVISERS,VOLUMETRIC ADVISERS INC,,,,,,,845-623-7637,845-623-7732,,,,,,,Approved,5/15/1985,1/29/2010,Y,WWW.VOLUMETRIC.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"18,111,731.00",0,"18,111,731.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153456,801-56365,MANAGERS INVESTMENT GROUP LLC,MANAGERS INVESTMENT GROUP LLC,333 WEST WACKER DRIVE,SUITE 1200,CHICAGO,IL,UNITED STATES,60606-1351,312-368-0066,312-368-0022,,,,,,,Approved,3/30/1999,8/23/2010,Y,WWW.MANAGERSINVEST.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,51-250,0,0,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,"OTHER, PARTNERSHIPS",Y,N,N,N,N,N,N,,Y,"8,014,241,397.00",0,"8,014,241,397.00",531,0,531,N,Y,Y,Y,N,Y,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151736,801-70776,"PATHSTONE FAMILY OFFICE, LLC","PATHSTONE FAMILY OFFICE, LLC",285 GRAND AVENUE,FIVE PATRIOT CENTRE,ENGLEWOOD,NJ,UNITED STATES,7631,201-944-7284,,,,,,,,Approved,12/4/2009,8/23/2010,Y,WWW.PATHSTONE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"490,110,893.00",0,"490,110,893.00",273,0,273,Y,Y,N,Y,N,Y,N,N,N,Y,"FAMILY OFFICE SERVICES - EXPENSE MANAGEMENT, BILL PAY, INSURANCE ADVISORY, CONCIERGE SERVICE, PHILANTHROPIC ADVISORY",0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,104571,801-53332,METROPOLITAN WEST ASSET MANAGEMENT LLC,METROPOLITAN WEST ASSET MANAGEMENT LLC,865 S. FIGUEROA STREET,SUITE 1800,LOS ANGELES,CA,UNITED STATES,90017-2593,213-244-1050,213-244-0985,,,,,,,Approved,11/29/1996,8/23/2010,Y,WWW.MWAMLLC.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,11-25 percent,26-50 percent,Up to 10 percent,Up to 10 percent,COLLATERALIZED BOND OBLIGATION/CDO,Y,N,N,Y,N,Y,N,,Y,"28,219,648,850.00","1,146,496,135.00","29,366,144,985.00",179,17,196,N,Y,Y,Y,N,N,N,N,N,Y,SPONSOR/SERVE AS COLLATERAL MANAGER OF VARIOUS COLLATERALIZED BOND OBLIGATIONS (CBO) AND COLLATERALIZED DEBT OBLIGATIONS (CDO),,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N
DRO,146636,801-71220,"FAIRWAY ASSET MANAGEMENT, LLC","FAIRWAY ASSET MANAGEMENT, LLC",17445 ARBOR STREET,SUITE 200,OMAHA,NE,UNITED STATES,68130,(402) 932-4630,(402) 333-9189,,,,,,,Approved,3/25/2010,8/23/2010,Y,FAIRWAYASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,197,469.00",0,"34,197,469.00",60,0,60,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,148123,801-69526,"MONEX ASSET MANAGEMENT, INC.","MONEX ASSET MANAGEMENT, INC.",440 LOUISIANA STREET,SUITE 1500,HOUSTON,TX,UNITED STATES,77002,713-877-8234,713-877-8381,,,,,,,Approved,10/10/2008,1/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,0,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"70,000,000.00",0,"70,000,000.00",10,0,10,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N
CHRO,110752,801-15258,PENSION ADMINISTRATORS & CONSULTANTS INC,PENSION ADMINISTRATORS & CONSULTANTS INC,1544 WOODLAKE DRIVE,,CHESTERFIELD,MO,USA,63017,314-878-1544,314-878-7508,,,,,,,Approved,6/6/1980,9/25/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,0,"65,700,000.00","65,700,000.00",0,99,99,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,148895,801-69772,"ALPHA INCOME CAPITAL MANAGEMENT, LLC","ALPHA INCOME CAPITAL MANAGEMENT, LLC",,,,,,,916-281-7474,,,,,,,,120-Day Approval,11/26/2008,9/25/2009,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,132063,801-64529,SCHULTZ FINANCIAL MANAGEMENT CORPORATION,SCHULTZ FINANCIAL MANAGEMENT CORPORATION,,,,,,,714-731-0848,714-276-6500,,,,,,,Approved,9/14/2005,8/23/2010,Y,WWW.SCHULTZFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"55,000,000.00",0,"55,000,000.00",250,0,250,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110637,801-69304,"RAMIREZ ASSET MANAGEMENT, INC.","RAMIREZ ASSET MANAGEMENT, INC.",61 BROADWAY,SUITE 2924,NEW YORK,NY,UNITED STATES,10006,212-248-0500,212-248-0528,,,,,,,Approved,6/23/2008,8/23/2010,Y,WWW.RAMIREZAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,51-75 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"28,000,000.00","80,000,000.00","108,000,000.00",1,1,2,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111147,801-29358,"ENRIGHT PREMIER WEALTH ADVISORS, INC.","ENRIGHT PREMIER WEALTH ADVISORS, INC.",21515 HAWTHORNE BLVD,SUITE 1200,TORRANCE,CA,USA,90503,310-543-4559,310-316-0401,,,,,,,Approved,4/16/1987,8/23/2010,Y,WWW.ENRIGHTPREMIER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,10-Jun,0,More than 500,"1,000",26-50 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,THIRD PARTY FEES,Y,"623,000,000.00","161,000,000.00","784,000,000.00","2,215",711,"2,926",Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,132210,801-63787,"LONDON AND CAPITAL INVESTMENT ADVISORS, INC.","LONDON AND CAPITAL INVESTMENT ADVISORS, INC.",4 TRITON SQUARE,REGENT'S PLACE,LONDON,,UNITED KINGDOM,NW1 3HG,+44 (0)20 7396 3200,+44 (0)20 7396 3201,,,,,,,Approved,1/3/2005,9/25/2009,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"127,315,030.00",0,"127,315,030.00",71,0,71,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,106714,801-45642,SPENCER INTERNATIONAL ADVISORS INC,SPENCER INTERNATIONAL ADVISORS INC,1401 SOUTH FORT HARRISON AVENUE,,CLEARWATER,FL,UNITED STATES,33756-2002,727-445-9473,727-445-9405,,,,,,,Approved,1/25/1994,8/23/2010,Y,WWW.SPENCERINTERNATIONAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"106,936,688.00",0,"106,936,688.00",581,0,581,Y,Y,N,Y,N,Y,N,N,N,Y,"MANAGEMENT CONSULTING, ADMINISTRATIVE ENGAGEMENTS",25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105933,801-49300,"DARTMOUTH CAPITAL ADVISORS, INC.","DARTMOUTH CAPITAL ADVISORS, INC.",,,,,,,724-934-5065,724-934-5065,,,,,,,Approved,6/27/1995,1/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"114,869,717.00",0,"114,869,717.00",44,0,44,Y,Y,N,Y,Y,Y,N,N,Y,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,7365,801-39365,"WRP INVESTMENTS, INC.","WRP INVESTMENTS, INC.",4407 BELMONT AVE,,YOUNGSTOWN,OH,UNITED STATES,44505,330-759-2023,330-759-2046,,,,,,,Approved,7/17/1991,8/23/2010,Y,WWW.WRPINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,251-500,0,51-250,0,251-500,0,0,0,More than 500,"2,500",51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"30,594,587.00","247,730,920.00","278,325,507.00",356,"2,311","2,667",Y,Y,N,Y,Y,Y,N,N,Y,N,,101-250,,Y,Y,Y,N,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y
HQ,109716,801-60032,SANDERSON ASSET MANAGEMENT,SANDERSON ASSET MANAGEMENT LIMITED,"HEATHCOAT HOUSE, 6TH FL.",20 SAVILE ROW,LONDON,,UK,W1S 3PR,011-44207-468-5970,011-44207-468-5979,,,,,,,Approved,2/27/2001,8/23/2010,Y,WWW.SANDERSONAM.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,645,124,190.00",0,"5,645,124,190.00",10,0,10,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT MANAGEMENT OF POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,113638,801-8948,WILKINSON OGRADY & CO. INC.,WILKINSON OGRADY & CO. INC.,499 PARK AVENUE,7TH FLOOR,NEW YORK,NY,USA,10022,212-644-5252,212-644-5343,,,,,,,Approved,12/22/1972,9/25/2009,Y,WWW.WILKINSONOGRADY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,509,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,640,756,941.00","140,111,144.00","1,780,868,085.00",506,16,522,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT ADVICE TO A PRIVATE INVESTMENT FUND.,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,130010,801-62633,REGISTERED INVESTMENT ADVISERS LLC,REGISTERED INVESTMENT ADVISERS LLC,7 WALNUT ROAD,,GLEN COVE,NY,UNITED STATES,11542,516-656-3636,516-656-3644,,,,,,,Approved,1/5/2004,1/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"59,725,799.00",0,"59,725,799.00",3,0,3,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,118794,801-58083,THE BEDMINSTER GROUP,"WEBER, STEVEN IRA",36 WILLIAM POPE DR STE 201,,BLUFFTON,SC,UNITED STATES,29909,843-705-5544,843-705-5566,,,,,,,Approved,11/3/2001,1/29/2010,Y,THEBEDMINSTERGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"76,592,000.00","5,000,000.00","81,592,000.00",166,40,206,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,105050,801-23210,BEEKMAN CAPITAL MANAGEMENT LTD,BEEKMAN CAPITAL MANAGEMENT LTD,,,,,,,505 984-2944,505 982-8039,P.O. BOX 373,WOODLAWN STATION,BRONX,NY,UNITED STATES,10470,Approved,1/14/1985,8/23/2010,Y,WWW.BEEKMANCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"373,651,030.00",0,"373,651,030.00",4,0,4,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110856,801-62310,"VRAKAS/BLUM FINANCIAL ADVISORS, INC.","VRAKAS/BLUM FINANCIAL ADVISORS, INC.",445 S. MOORLAND ROAD,SUITE 400,BROOKFIELD,WI,UNITED STATES,53005,262-797-0400,262-797-7895,,,,,,,Approved,8/29/2003,1/29/2010,Y,V-B.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"40,830,251.00",0,"40,830,251.00",137,0,137,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,144278,801-68792,"COMMERCE STREET INVESTMENT ADVISOR, LLC","COMMERCE STREET INVESTMENT ADVISOR, LLC",1700 PACIFIC AVENUE,SUITE 2020,DALLAS,TX,UNITED STATES,75201,214-545-6800,214-545-6850,,,,,,,Approved,1/22/2008,8/23/2010,Y,WWW.COMMERCESTREETCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,PRIVATE EQUITY,Y,N,N,N,N,N,Y,% OF ASSETS ON COMMITTED CAPITAL,Y,"190,847,028.00",0,"190,847,028.00",7,0,7,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVICE TO PRIVATE EQUITY FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,18189,801-29070,LARIMER CAPITAL CORPORATION,LARIMER CAPITAL CORP,1720 SOUTH BELLAIRE STREET,SUITE 1110,DENVER,CO,UNITED STATES,80222,303-573-5511,303-573-5544,,,,,,,Approved,12/1/1986,8/23/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,0,"169,811,247.00","169,811,247.00",0,891,891,Y,Y,N,Y,Y,N,N,N,N,N,,251-500,,N,N,Y,Y,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
MIRO,151001,801-70420,"LATITUDE ADVISORS, LLC","LATITUDE ADVISORS, LLC",,,,,,,(772) 770-1950,(772) 770-1161,,,,,,,Approved,7/16/2009,1/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY REFERRAL FEES,Y,0,"51,000,000.00","51,000,000.00",0,340,340,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,113013,801-60263,"ADVENT CAPITAL MANAGEMENT, LLC","ADVENT CAPITAL MANAGEMENT, LLC",1271 AVENUE OF THE AMERICAS,45TH FLOOR,NEW YORK,NY,UNITED STATES,10020,212-482-1600,212-480-9655,,,,,,,Approved,5/14/2001,8/23/2010,Y,WWW.ADVENTCAP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,838,412,935.00",0,"4,838,412,935.00",56,0,56,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,Y,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,148818,801-69739,FSW ADVISORY SERVICES INC.,FSW ADVISORY SERVICES INC.,325 NORTH ST. PAUL STREET,SUITE 800,DALLAS,TX,UNITED STATES,75201,214-953-4000,214-953-8736,,,,,,,Approved,12/18/2008,1/29/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,N,0,0,0,0,0,0,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,Y,Y,N,Y,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,N,N,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
HQ,111382,801-46997,TEMPLETON ASSET MANAGEMENT LTD.,TEMPLETON ASSET MANAGEMENT LTD.,"7 TEMASEK BLVD., SUNTEC TOWER 1",#38-03,SINGAPORE,,SINGAPORE,38987,65-6338-7177,65-6338-7677,,,,,,,Approved,7/19/1994,8/23/2010,Y,WWW.FRANKLINTEMPLETON.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Other (specify),PUBLIC COMPANY LIMITED BY SHARES,,SINGAPORE,51-250,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"35,046,000,000.00",0,"35,046,000,000.00",61,0,61,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
BRO,107327,801-19708,CABOT MONEY MANAGEMENT INC,CABOT MONEY MANAGEMENT INC,216 ESSEX STREET,,SALEM,MA,UNITED STATES,1970,978-745-9233,978-744-3109,,,,,,,Approved,9/16/1983,8/23/2010,Y,WWW.ECABOT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"438,624,219.00","5,833,132.00","444,457,351.00","1,522",37,"1,559",Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,112551,801-55109,ASHMORE INVESTMENT MANAGEMENT LTD,ASHMORE INVESTMENT MANAGEMENT LTD,61 ALDWYCH,5TH FLOOR,LONDON,,UNITED KINGDOM,WC2B 4AE,+44(0)207-3077-6000,+44(0)207-3077-6001,,,,,,,Approved,12/16/1997,9/25/2009,Y,WWW.ASHMOREGROUP.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Other (specify),LIMITED COMPANY,,UNITED KINGDOM,51-250,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,26-50 percent,0 percent,26-50 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"24,262,152,808.00","441,938,465.00","24,704,091,273.00",45,1,46,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106171,801-43245,BEEKMAN NORTHWEST PARTNERS,BEEKMAN NORTHWEST PARTNERS,,,,,,,505 984-2944,505 982-8039,P.O. BOX 373,WOODLAWN STATION,BRONX,NY,UNITED STATES,10470,Approved,2/2/1993,8/23/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,437,235.00",0,"2,437,235.00",1,0,1,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105621,801-15279,"TUKMAN GROSSMAN CAPITAL MANAGEMENT, INC.","TUKMAN GROSSMAN CAPITAL MANAGEMENT, INC.",60 E SIR FRANCIS DRAKE BLVD,#204,LARKSPUR,CA,UNITED STATES,94939,415-461-6833,415-461-8060,,,,,,,Approved,6/12/1980,1/29/2010,Y,WWW.TUKMANGROSSMAN.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,636,652,040.00",0,"2,636,652,040.00",39,0,39,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105360,801-33949,"INVESCO ADVISERS, INC.","INVESCO ADVISERS, INC.","1555 PEACHTREE STREET, N.E.",,ATLANTA,GA,UNITED STATES,30309,404-892-0896,404-439-4990,,,,,,,Approved,12/30/1988,8/23/2010,Y,HTTP://WWW.INSTITUTIONAL.INVESCO.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,More than 1000,"1,000",501-1000,0,More than 1000,"1,000",Nov-50,0,More than 500,"7,500",Up to 10 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,51-75 percent,11-25 percent,Up to 10 percent,26-50 percent,26-50 percent,26-50 percent,WRAP FEE PROGRAM PARTICIPANTS,Y,N,N,Y,N,Y,N,,Y,"284,962,398,812.00","5,231,508,000.00","290,193,906,812.00","15,087",16,"15,103",N,Y,Y,Y,N,N,N,N,N,Y,IA TO CANADIAN REGISTERED MUTUAL FUNDS; PORTFOLIO MANAGEMENT FOR 529 PLANS AND PRIVATE FUNDS,0,,N,Y,N,N,Y,N,N,N,N,,N,,Y,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,Y,N,N,Y,Y
NYRO,106422,801-48883,EAGLE CAPITAL MANAGEMENT LLC,EAGLE CAPITAL MANAGEMENT LLC,499 PARK AVE,,NEW YORK,NY,UNITED STATES,10022,212-293-4040,212-293-4045,,,,,,,Approved,4/5/1995,8/23/2010,Y,WWW.EAGLECAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,More than 500,500,Up to 10 percent,11-25 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,26-50 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,888,646,542.00",0,"5,888,646,542.00",613,0,613,N,Y,N,Y,N,N,N,N,N,Y,MANAGE THE EAGLE GROWTH LP,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,113419,801-60655,AMUNDI INVESTMENT SOLUTIONS AMERICAS LLC,AMUNDI INVESTMENT SOLUTIONS AMERICAS LLC,1301 AVENUE OF THE AMERICAS,38TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-603-5000,212-603-5002,,,,,,,Approved,10/26/2001,8/23/2010,Y,WWW.AMUNDI-IS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,585,917,538.00",0,"1,585,917,538.00",9,0,9,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y
NYRO,150922,801-70483,AUTHENTIC CONTRARIAN ADVISORS LLC,AUTHENTIC CONTRARIAN ADVISORS LLC,,,,,,,862-216-6781,,,,,,,,120-Day Approval,8/12/2009,9/25/2009,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,145536,801-68624,"TBH GLOBAL ASSET MANAGEMENT, LLC","TBH GLOBAL ASSET MANAGEMENT, LLC",4007 HILLSBORO RD.,,NASHVILLE,TN,UNITED STATES,37215,615-690-4820,615-298-8565,,,,,,,Approved,1/2/2008,8/23/2010,Y,WWW.TBHGLOBALASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"104,571,502.00","5,761,795.00","110,333,297.00",409,21,430,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,5393,801-29938,"CHARLES SCHWAB & CO., INC.","CHARLES SCHWAB & CO., INC.",211 MAIN STREET,SF211MN-05-305,SAN FRANCISCO,CA,UNITED STATES,94105,415-636-7000,415-667-0170,211 MAIN STREET,5TH FLOOR,SAN FRANCISCO,CA,UNITED STATES,94105,Approved,7/24/1987,8/23/2010,Y,WWW.SCHWAB.COM,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,CA,UNITED STATES,More than 1000,"12,622",More than 1000,"2,000",More than 1000,"2,000",0,0,More than 500,"220,900",More than 75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,DESIGNATED BENEFICIARY AND CUSTODIAL,N,Y,N,Y,N,N,Y,ASSET BASED FEES FOR WRAP PROGRAMS SPONSORED BY APPLICANT.,Y,0,0,0,0,0,0,Y,N,N,N,N,Y,N,N,N,Y,WRAP FEE PROGRAMS,More than 500,700,Y,N,Y,N,N,N,Y,N,N,,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,Y,N,Y,Y,N,Y,N,N,N,N,Y,N,N,N,Y,N,N,N,Y
CHRO,10105,801-44573,OGILVIE SECURITY ADVISORS CORP,OGILVIE SECURITY ADVISORS CORPORATION,"71 S. WACKER DRIVE ,SUITE 3025",,CHICAGO,IL,USA,60606,312-335-5476,312-335-5487,,,,,,,Approved,9/1/1993,9/25/2009,Y,WWW.OGILVIESECURITY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,REFERRAL FEES,Y,"552,574.00","32,858,161.00","33,410,735.00",2,166,168,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
SFRO,46237,801-56577,THOMAS WEISEL PARTNERS LLC,THOMAS WEISEL PARTNERS LLC,ONE MONTGOMERY STREET,SUITE 3700,SAN FRANCISCO,CA,UNITED STATES,94104,415-364-2500,415-364-2694,,,,,,,Approved,6/10/1999,8/23/2010,Y,HTTP://WWW.TWEISEL.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,500",Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,FOUNDATIONS,Y,N,N,N,Y,Y,N,,Y,"445,961,115.00","1,295,226,927.00","1,741,188,042.00",89,"1,334","1,423",N,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,Y,N,Y,N,Y,Y,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,N
CHRO,109131,801-56002,COMPASS FINANCIAL ADVISORS LLC,COMPASS FINANCIAL ADVISORS LLC,"2803 BOILERMAKER COURT, 1B",,VALPARAISO,IN,UNITED STATES,46383,219-476-7100,219-476-7200,,,,,,,Approved,11/30/1998,8/23/2010,Y,WWW.COMPASSADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"237,226,899.00",0,"237,226,899.00","1,262",0,"1,262",Y,Y,N,Y,Y,Y,Y,N,N,N,,26-50,,Y,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,151135,801-70708,DELPHI PRIVATE ADVISORS,DELPHI PRIVATE ADVISORS LLC,4747 EXECUTIVE DR #1020,,SAN DIEGO,CA,UNITED STATES,92121,858-222-8050,,,,,,,,Approved,10/27/2009,8/23/2010,Y,WWW.DELPHIPRIVATEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,25-Nov,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"53,674,000.00",0,"53,674,000.00",165,0,165,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,25,801-57874,"ALLEN & COMPANY OF FLORIDA, INC.","ALLEN & COMPANY OF FLORIDA, INC.",1401 SOUTH FLORIDA AVE,,LAKELAND,FL,UNITED STATES,33803,863-688-9000,863-688-4885,,,,,,,Approved,8/21/2000,8/23/2010,Y,WWW.ALLENINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,532,804.00","298,614,487.00","301,147,291.00",29,"1,214","1,243",Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,Y,N,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
NYRO,113648,801-60622,"CONRAD CAPITAL MANAGEMENT, INC.","CONRAD CAPITAL MANAGEMENT, INC.",425 BROADHOLLOW RD,SUITE 116,MELVILLE,NY,UNITED STATES,11747,631-439-7878,631-439-7879,,,,,,,Approved,10/16/2001,8/23/2010,Y,WWW.CONRADCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"42,000,000.00","9,000,000.00","51,000,000.00",260,130,390,Y,Y,N,Y,Y,Y,N,N,N,Y,"CONSULTING, SEMINARS",10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108355,801-60247,"THE PLANNERS NETWORK, INC.","THE PLANNERS NETWORK, INC.",42145 LYNDIE LANE,SUITE 116,TEMECULA,CA,USA,92591,951-676-6288,951-695-0511,,,,,,,Approved,5/11/2001,9/25/2009,Y,WWW.THEPLANNERSNETWORK.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"1,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,"110,100,000.00","165,000,000.00","275,100,000.00","1,080","1,129","2,209",Y,Y,N,Y,Y,Y,N,N,Y,Y,SEE SCHEDULE F,More than 500,1500,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,145589,801-68535,"LARA, SHULL & MAY, LLC","LARA, SHULL & MAY, LLC",7600 LEESBURG PIKE,SUITE 120 EAST,FALLS CHURCH,VA,UNITED STATES,22043,703-827-2300,703-827-2314,,,,,,,Approved,11/26/2007,8/23/2010,Y,WWW.CAPITALSPORTSGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"7,911,860.00","268,040,713.00","275,952,573.00",77,"1,035","1,112",Y,Y,N,N,N,Y,N,N,N,N,,251-500,,Y,N,Y,N,N,N,Y,N,N,,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N
LARO,109932,801-40417,BRONWOOD MANAGEMENT CORP,BRONWOOD MANAGEMENT CORP,1801 AVENUE OF THE STARS,SUITE 300,LOS ANGELES,CA,UNITED STATES,90067,310-288-3808,310-288-3809,,,,,,,Approved,12/17/1991,9/29/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"54,238,862.00",0,"54,238,862.00",31,0,31,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,154278,801-71617,"INCEPTION CAPITAL MANAGEMENT, LLC","INCEPTION CAPITAL MANAGEMENT, LLC",99 S. ALMADEN BLVD.,SUITE #880,SAN JOSE,CA,UNITED STATES,95113,408-261-3300,408-261-3979,,,,,,,120-Day Approval,7/14/2010,6/22/2010,Y,WWW.EXCELCIA.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
LARO,111784,801-68952,"LIFETIME PLANNING, INC.","LIFETIME PLANNING, INC.",1200 PASEO CAMARILLO,SUITE 190,CAMARILLO,CA,USA,93010-6050,805-987-8938,805-484-3510,,,,,,,Approved,3/12/2008,6/22/2010,Y,WWW.LIFETIMEPLANNING.BIZ,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"27,058,097.00",0,"27,058,097.00",124,0,124,Y,Y,N,Y,N,Y,N,N,N,Y,WORKSHOPS,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153117,801-71168,"BARON WEALTH MANAGEMENT, LLC","BARON WEALTH MANAGEMENT, LLC",100 WEST BIG BEAVER ROAD,SUITE 200,TROY,MI,UNITED STATES,48084,(248) 619-1786,,,,,,,,Approved,3/3/2010,6/22/2010,Y,WWW.BARON-WEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"29,574,940.00","60,447,365.00","90,022,305.00",95,106,201,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTATION SERVICES: GENERAL EDUCATION SEMINARS,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,152387,801-70899,"WYNNCORR CAPITAL MANAGEMENT, LLC","WYNNCORR CAPITAL MANAGEMENT, LLC",1600 GOLF ROAD,SUITE 1200,ROLLING MEADOWS,IL,UNITED STATES,60008,(847) 452-1129,(847) 619-7160,,,,,,,Approved,1/4/2010,6/22/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,153914,801-71482,RDG CAPITAL LLC,RDG CAPITAL LLC,4400 POST OAK PARKWAY,SUITE 1450,HOUSTON,TX,UNITED STATES,77027,713-621-1777,713-621-1774,,,,,,,120-Day Approval,5/24/2010,6/22/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"594,283,116.00","341,177,355.00","935,460,471.00",412,1,413,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,10046,801-39329,"WHN INVESTOR SERVICES, INC.","WHN INVESTOR SERVICES, INC.",300 N. CORPORATE DR.,SUITE 215,BROOKFIELD,WI,USA,53045,262-792-9001,262-792-9003,,,,,,,Approved,7/26/1991,9/29/2009,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"4,000,000.00","6,000,000.00","10,000,000.00",7,12,19,N,Y,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,153832,801-71426,PROVIDENT ADVISORY GROUP,PROVIDENT ADVISORY GROUP,5 MARKET STREET,,AMESBURY,MA,UNITED STATES,1913,978-834-8558,978-834-0675,,,,,,,Approved,5/11/2010,6/22/2010,Y,WWW.PROVIDENTADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),SID OF CORPORATION,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,More than 75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"31,208,568.00",0,"31,208,568.00",109,0,109,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,Y,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,115738,801-60608,"PEREGRINE ASSET ADVISERS, INC.","PEREGRINE ASSET ADVISERS, INC.","9755 SW BARNES RD, SUITE 295",,PORTLAND,OR,UNITED STATES,97225,503-459-4651,503-459-4653,,,,,,,Approved,10/3/2001,6/22/2010,Y,WWW.PEREGRINECM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"182,827,263.00","6,525,057.00","189,352,320.00",277,10,287,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,136403,801-64607,ARCHER INVESTMENT CORPORATION,ARCHER INVESTMENT CORPORATION,9000 KEYSTONE CROSSING,SUITE 630,INDIANAPOLIS,IN,UNITED STATES,46240,317-581-1776,317-581-1812,,,,,,,Approved,8/12/2005,6/22/2010,Y,WWW.ARCHERINVESTMENT.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,000,000.00",0,"25,000,000.00",100,0,100,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,Y,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110068,801-14613,MONEY MANAGERS INC,MONEY MANAGERS INC,7600 PARKLAWN AVE,SUITE 376,EDINA,MN,UNITED STATES,55435-5129,952-835-1185,952-835-1317,,,,,,,Approved,5/24/1979,6/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"49,289,887.00","2,559,515.00","51,849,402.00",72,2,74,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115606,801-58256,"BEDFORD FINANCIAL GROUP, INC.","MICHAEL R ROESER AND ASSOCIATES, INC.",1206 E PARK AVE,,LIBERTYVILLE,IL,UNITED STATES,60048,847-996-3230,847-996-3231,,,,,,,Approved,1/10/2001,1/13/2010,Y,WWW.BEDFORDFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"76,500,000.00",0,"76,500,000.00",314,0,314,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,Y,N,Y,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N
CHRO,7477,801-68309,DOUGHERTY & COMPANY LLC,DOUGHERTY & COMPANY LLC,90 SOUTH SEVENTH STREET,SUITE 4300,MINNEAPOLIS,MN,UNITED STATES,55402-4108,612-376-4000,612-376-4102,,,,,,,Approved,9/24/2007,6/22/2010,Y,WWW.DOUGHERTYMARKETS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,0,"28,373,183.00","28,373,183.00",0,208,208,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,Y,N,N,N,Y,N,N,,N,,Y,N,N,Y,Y,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,105885,801-28696,MASON HILL ADVISORS LLC,MASON HILL ADVISORS LLC,623 FIFTH AVENUE,27TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-832-1290,212-838-2215,,,,,,,Approved,1/8/1987,6/22/2010,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,500,000,000.00",0,"1,500,000,000.00",350,0,350,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,129911,801-71485,"WESSEL INVESTMENT COUNSEL, L.L.C.","WESSEL INVESTMENT COUNSEL, L.L.C.",22 SOUTH PACK SQUARE,SUITE 400,ASHEVILLE,NC,USA,28801-3500,828-232-2000,828-232-2098,,,,,,,Approved,6/18/2010,6/22/2010,Y,WWW.WESSELINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"29,478,200.00","1,712,202.00","31,190,402.00",153,5,158,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,134430,801-64003,INVESTCORP INVESTMENT ADVISERS LIMITED,INVESTCORP INVESTMENT ADVISERS LIMITED,"INVESTCORP HOUSE, BLDG 499","ROAD 1706, BLOCK 317",MANAMA,,KINGDOM OF BAHRAIN,,011-973-1753-2000,011-973-1753-0816,"INVESTCORP HOUSE, P.O. BOX 5340",,MANAMA,,KINGDOM OF BAHRAIN,,Approved,3/15/2005,9/29/2009,Y,WWW.INVESTCORPADVISERS.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CAYMAN ISLANDS,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,SPECIAL PURPOSE VEHICLE,Y,N,N,N,N,Y,N,,Y,"3,932,521,678.00","43,291,260.00","3,975,812,938.00",60,1,61,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT OF UNREGISTERED HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,112664,801-67305,"KEATING INVESTMENTS, LLC","KEATING INVESTMENTS, LLC",5251 DTC PARKWAY,SUITE 1000,GREENWOOD VILLAGE,CO,UNITED STATES,80111-2739,720-489-4909,303-728-3536,,,,,,,Approved,11/20/2006,6/22/2010,Y,HTTP://WWW.KEATINGCAPITAL.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"12,000,000.00",0,"12,000,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,108841,801-54981,FIRST STATE INVESTMENTS (SINGAPORE),FIRST STATE INVESTMENTS (SINGAPORE),1 TEMASEK AVENUE,#17-01MILLENIA TOWER,SINGAPORE,,SINGAPORE,39192,65-6538-0008,65-6538-0800,,,,,,,Approved,10/24/1997,9/29/2009,Y,WWW.FIRSTSTATEASIA.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Other (specify),UNLIMITED PUBLIC COMPANY,,SINGAPORE,Nov-50,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,573,359,782.00",0,"2,573,359,782.00",20,0,20,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,113186,801-63262,BERGMAN INVESTMENT MANAGEMENT,BERGMAN DOUGLAS EDWARD,,,,,,,415-374-7800,800-930-7632,,,,,,,Approved,6/18/2004,1/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,0,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"55,904,402.00","55,904,402.00",0,102,102,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,139587,801-66318,"GREEN WEALTH MANAGEMENT, LLC","GREEN WEALTH MANAGEMENT, LLC",350 MILLER STREET SE,SUITE 200,SALEM,OR,UNITED STATES,97302,503.391.1040,503.391.7149,,,,,,,Approved,3/22/2006,6/22/2010,Y,WWW.GREENWEALTHLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"51,346,143.00","2,395,256.00","53,741,399.00",139,8,147,N,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106301,801-50835,SMITH GROUP ASSET MANAGEMENT,SMITH ASSET MANAGEMENT GROUP LP,100 CRESCENT COURT,SUITE 1150,DALLAS,TX,UNITED STATES,75201,214-880-4600,214-880-4640,,,,,,,Approved,12/14/1995,6/22/2010,Y,WWW.SMITHASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,More than 500,"2,000",Up to 10 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,MULTI DISCIPLINE ACCOUNTS,Y,N,N,N,N,Y,Y,FULCRUM FEES,Y,"2,571,243,633.00",0,"2,571,243,633.00","1,328",0,"1,328",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,152933,801-71134,D.O. SOCIALLY RESPONSIBLE INVESTMENT INC.,D.O. SOCIALLY RESPONSIBLE INVESTMENT INC.,,,,,,,415-948-7285,,,,,,,,Approved,3/11/2010,6/22/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,GRANTS AND DONATIONS (NON PROFIT),N,0,0,0,0,0,0,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,140271,801-67740,"LAKESIDE WEALTH MANAGEMENT GROUP, LLC","LAKESIDE WEALTH MANAGEMENT GROUP, LLC",407 W. INDIANA AVENUE,,CHESTERTON,IN,UNITED STATES,46304,219-926-1182,219-395-9525,,,,,,,Approved,4/27/2007,6/22/2010,Y,WWW.LAKESIDEWMG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,251-500,0,Up to 10 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,LPS,Y,Y,N,Y,N,Y,N,,Y,"68,437,531.00",0,"68,437,531.00",587,0,587,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,134092,801-70098,"SUMMIT PORTFOLIO ADVISORS, LLC","SUMMIT PORTFOLIO ADVISORS, LLC",,,,,,,303 317-6900,303 482-1006,PO BOX 837,,DENVER,CO,USA,80201-0837,Approved,5/27/2009,1/13/2010,Y,WWW.SUMMITPORTFOLIOADVISORS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"30,307,052.00",0,"30,307,052.00",83,0,83,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,116564,801-63183,"SFM, LLC","SFM, LLC",575 FRONT STREET,,MANCHESTER,NH,USA,3102,603-625-8400,603-625-8484,,,,,,,Approved,6/7/2004,6/22/2010,Y,WWW.SFMLLC.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"70,126,000.00",0,"70,126,000.00",240,0,240,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,122793,801-61494,BLUEBAY ASSET MANAGEMENT PLC,BLUEBAY ASSET MANAGEMENT PLC,77 GROSVENOR STREET,,LONDON,,UNITED KINGDOM,W1K 3JR,+44 207 389 3700,+44 207 389 3499,,,,,,,Approved,10/7/2002,9/30/2009,Y,WWW.BLUEBAYINVEST.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),PUBLIC LIMITED COMPANY,,UNITED KINGDOM,51-250,0,51-250,0,0,0,Nov-50,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,WHITE LABEL FUNDS,Y,N,N,Y,N,Y,N,,Y,"24,298,000,000.00",0,"24,298,000,000.00",40,0,40,N,N,N,Y,N,N,N,N,N,Y,MANAGED ACCOUNTS AND POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,112360,801-11178,BOSTON FINANCIAL MANAGEMENT INC,BOSTON FINANCIAL MANAGEMENT INC,ONE WINTHROP SQUARE,,BOSTON,MA,UNITED STATES,02110-1209,617-338-8108,617-338-4079,,,,,,,Approved,3/23/1976,9/30/2009,Y,WWW.BOSTONFINANCIALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"709,505,404.00","10,585,016.00","720,090,420.00",795,3,798,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108138,801-55026,"ADVISORY SERVICES & INVESTMENTS, LLC","ADVISORY SERVICES & INVESTMENTS, LLC",15 SW COLORADO,SUITE 280,BEND,OR,USA,97702-1129,541-617-0898,541-617-0498,,,,,,,Approved,11/6/1997,6/22/2010,Y,WWW.ADVISORY-SERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"136,812,019.00","644,490,201.00","781,302,220.00",115,33,148,Y,Y,N,Y,Y,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
CHRO,151164,801-70536,"BUTTONWOOD FINANCIAL GROUP, LLC","BUTTONWOOD FINANCIAL GROUP, LLC",3013 MAIN STREET,,KANSAS CITY,MO,UNITED STATES,64108,816-285-9000,816-285-9001,,,,,,,Approved,8/24/2009,6/22/2010,Y,WWW.BUTTONWOODFG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"222,800,000.00","62,900,000.00","285,700,000.00",445,24,469,Y,Y,N,N,N,N,N,N,N,N,,251-500,,Y,Y,N,Y,N,N,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,140519,801-66703,"ADVISORY WEALTH MANAGEMENT SERVICES, LLC","ADVISORY WEALTH MANAGEMENT SERVICES, LLC",,,,,,,973-801-9501,973-338-8366,,,,,,,Approved,5/5/2006,1/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"29,656,821.00",0,"29,656,821.00",22,0,22,Y,Y,N,N,N,Y,N,N,N,Y,ACCOUNT AGGREGATION SERVICES,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,152305,801-70970,"TOVERO CAPITAL ADVISORS, LLC","TOVERO CAPITAL ADVISORS, LLC",,,,,,,512-940-0681,,,,,,,,120-Day Approval,1/8/2010,6/22/2010,Y,WWW.TOVEROCAPITAL.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,"TOVERO CAPITAL SOLUTIONS FUND, PRIVATE INVESTMENT",N,,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,150212,801-71125,SANCTUARY WEALTH ADVISORS LLC,SANCTUARY WEALTH ADVISORS LLC,600 MONTGOMERY STREET,11TH FLOOR,SAN FRANCISCO,CA,UNITED STATES,94111,415-324-5520,415-962-0600,,,,,,,120-Day Approval,3/8/2010,6/22/2010,Y,WWW.SANCTUARYWS.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,Y,CONSULTING SERVICES,Y,0,0,0,0,0,0,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139254,801-67672,MGH ASSET MANAGEMENT,MGH ASSET MANAGEMENT LTD,"11, 14-20 ALPHA STREET",,WELLINGTON,,NEW ZEALAND,6011,6443845271,6443845271,,,,,,,Approved,4/23/2007,6/22/2010,Y,WWW.MGHAM.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,NEW ZEALAND ,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,26-50 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"14,238,645.00",0,"14,238,645.00",1,0,1,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,131427,801-69613,"STARBOARD ASSET MANAGEMENT, INC.","STARBOARD ASSET MANAGEMENT, INC.",901 SW MARTIN DOWNS BLVD.,,PALM CITY,FL,USA,34990,772-220-1773,772-872-3300,,,,,,,Approved,10/9/2008,6/22/2010,Y,WWW.STARBOARDASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"41,353,767.00",0,"41,353,767.00",169,0,169,N,Y,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,138825,801-71324,EAGLE FINANCIAL STRATEGIES,"ALPHA CAPITAL ADVISORS, INC DBA EAGLE FINANCIAL STRATEGIES","12 ACME ROAD, SUITE 203",,BREWER,ME,UNITED STATES,4412,207-989-5522,207-989-6153,,,,,,,Approved,4/13/2010,6/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,ME,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"36,226,134.00","2,571,485.00","38,797,619.00",396,1,397,Y,Y,N,N,Y,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,142987,801-67519,BANTA ASSET MANAGEMENT LP,BANTA ASSET MANAGEMENT LP,517 30TH STREET,,NEWPORT BEACH,CA,USA,92663,949-673-9944,949-673-9955,,,,,,,Approved,1/29/2007,6/22/2010,Y,WWW.BANTAASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"89,084,676.00",0,"89,084,676.00",410,0,410,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,Y,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,136865,801-64662,"SHAREBUILDER ADVISORS, LLC","SHAREBUILDER ADVISORS, LLC",83 SOUTH KING STREET,,SEATTLE,WA,UNITED STATES,98104,206-805-0800,206-805-0803,,,,,,,Approved,9/2/2005,9/30/2009,Y,WWW.SHAREBUILDER401K.COM,N,N,N,N,N,N,N,N,N,Y,N,N,N,Limited Liability Company,,WA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,Nov-50,0,More than 500,"2,000",0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,154209,801-71594,REMPART ASSET MANAGEMENT,REMPART ASSET MANAGEMENT INC.,"1010 DE LA GAUCHETIERE WEST, SUITE 2000",SUITE 1900,"MONTREAL, QUEBEC",,CANADA,H3B4J1,514-394-2776,514-394-2779,,,,,,,Approved,6/21/2010,6/16/2010,Y,WWW.REMPART.CA,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"380,000,000.00",0,"380,000,000.00",850,0,850,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109129,801-71570,SFC ASSET MANAGEMENT INC,SFC ASSET MANAGEMENT INC,1423 NORTH ATHERTON STREET,,STATE COLLEGE,PA,UNITED STATES,16803,814-238-8474,814-234-3523,,,,,,,Approved,6/21/2010,6/16/2010,Y,WWW.SFCASSETS-ONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,THIRD PARTY ADVISORY FEES,Y,"31,550,920.00","5,125,796.00","36,676,716.00",142,57,199,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108478,801-57705,PENNINGTON FINANCIAL GROUP,PENNINGTON FINANCIAL GROUP,11246 GOLD EXPRESS DRIVE,STE 102,GOLD RIVER,CA,UNITED STATES,95670-4425,916-635-5858,916-635-1331,,,,,,,Approved,7/5/2000,2/8/2010,Y,WWW.PFGADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"127,025,089.00",0,"127,025,089.00",421,0,421,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,10740,801-65845,"PROSPERA FINANCIAL SERVICES, INC.","PROSPERA FINANCIAL SERVICES, INC.",5429 LBJ FREEWAY,SUITE 400,DALLAS,TX,USA,75240,972-581-3000,972-581-3001,,,,,,,Approved,2/1/2006,2/8/2010,Y,WWW.PROSPERAFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"1,400",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,Y,PERCENTAGE OF ASSETS UNDER REVIEW,Y,"89,953,674.00","231,264,366.00","321,218,040.00",426,"1,386","1,812",Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,Y,Y,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,N,Y,N,Y,N,N,N,N,Y,N
NYRO,105672,801-11732,TIMECAPITAL INVESTOR ADVISORY SERVICES INC,TIMECAPITAL INVESTOR ADVISORY SERVICES INC,ONE ROOSEVELT AVENUE,,PORT JEFFERSON STATION,NY,USA,11776,631-331-1400,631-331-1407,,,,,,,Approved,7/29/1976,6/16/2010,Y,HTTP://TIMECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,Nov-50,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"133,508,855.00",0,"133,508,855.00",532,0,532,N,Y,N,Y,N,Y,N,N,N,Y,ASSET ALLOCATION,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109775,801-27200,"PELOTON WEALTH STRATEGISTS, INC.","PELOTON WEALTH STRATEGISTS, INC.",101 WEST KIRKWOOD,SUITE 239,BLOOMINGTON,IN,UNITED STATES,47404,812-332-5259,812-961-4424,P.O. BOX 727,,BLOOMINGTON,IN,UNITED STATES,47402,Approved,6/12/1986,6/16/2010,Y,WWW.PELOTONWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"137,905,971.00",0,"137,905,971.00",258,0,258,N,Y,N,Y,N,N,Y,N,N,Y,401(K) OR OTHER RETIREMENT PLAN INVESTMENT OR FUND SELECTION ADVICE; GENERAL ASSISTANCE WITH 529 COLLEGE SAVINGS PLANS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104648,801-3396,CHASE INVESTMENT COUNSEL CORPORATION,CHASE INVESTMENT COUNSEL CORPORATION,300 PRESTON AVE STE 500,,CHARLOTTESVILLE,VA,UNITED STATES,22902-5096,434-293-9104,434-293-9002,,,,,,,Approved,3/5/1964,6/16/2010,Y,WWW.CHASEINV.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,101-250,0,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,11-25 percent,0 percent,,Y,Y,N,N,N,N,Y,PERCENT OF CONSULTING AND MODEL PORTFOLIO,Y,"1,972,092,000.00","94,871,000.00","2,066,963,000.00",91,2,93,N,Y,Y,Y,N,N,N,N,N,Y,PERCENT OF CONSULTING AND MODEL PORTFOLIO,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,594,801-48726,"MOORS & CABOT, INC","MOORS & CABOT, INC.",111 DEVONSHIRE ST.,,BOSTON,MA,UNITED STATES,2109,800-426-0501,617-904-1889,,,,,,,Approved,3/30/1995,9/30/2009,Y,WWW.MOORSCABOT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"239,863,644.00","62,615,217.00","302,478,861.00",838,309,"1,147",Y,Y,N,Y,Y,Y,N,N,Y,N,,More than 500,1000,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
HQ,133662,801-63772,OLYMPIA CAPITAL MANAGEMENT S.A.,OLYMPIA CAPITAL MANAGEMENT S.A.,25 RUE BALZAC,,PARIS,,FRANCE,75008,331 49 53 90 38,331 42 56 70 09,,,,,,,Approved,12/16/2004,6/16/2010,Y,WWW.OLYMPIAGROUP.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,FRANCE,Nov-50,0,Nov-50,0,0,0,51-250,0,26-100,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,FRENCH MUTUAL FUNDS,Y,N,N,N,N,Y,N,,Y,"1,120,883,223.00","631,146,094.00","1,752,029,317.00",20,7,27,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,141634,801-67142,TWEDDELL GOLDBERG INVESTMENT MANAGEMENT,TWEDDELL GOLDBERG LLC,20320 MIDLAND DRIVE,,SONORA,CA,UNITED STATES,95370-9602,209-536-9734,209-536-9074,,,,,,,Approved,9/20/2006,6/16/2010,Y,WWW.TWEDDELLGOLDBERG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"18,960,596.00","26,593,149.00","45,553,745.00",133,129,262,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,154219,801-71596,MOELIS CAPITAL PARTNERS LLC,MOELIS CAPITAL PARTNERS LLC,399 PARK AVENUE 5TH FLOOR,,NEW YORK,NY,UNITED STATES,10022,212-883-3800,212-880-4260,,,,,,,Approved,7/2/2010,6/16/2010,Y,WWW.MOELIS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,200,000,000.00",0,"1,200,000,000.00",4,0,4,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,151365,801-70924,"BILTMORE WEALTH MANAGEMENT, LLC","BILTMORE WEALTH MANAGEMENT, LLC",6720 N. SCOTTSDALE ROAD,SUITE 155,SCOTTSDALE,AZ,UNITED STATES,85253,480-998-1819,,,,,,,,Approved,1/4/2010,6/16/2010,Y,WWW.BILTMOREWEALTHAZ.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"57,269,994.00","14,296,942.00","71,566,936.00",166,35,201,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108117,801-57532,BUEHLER CAPITAL MANAGEMENT LLC,BUEHLER CAPITAL MANAGEMENT LLC,"2810 NORTH SWAN ROAD, SUITE 160",,TUCSON,AZ,USA,85712,520-529-2200,520-529-1906,,,,,,,Approved,6/9/2000,2/8/2010,Y,BUEHLERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"86,000,000.00","10,000,000.00","96,000,000.00",415,182,597,Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,N,Y,N,N,Y,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,133873,801-67457,"TRINITY FIDUCIARY PARTNERS, LLC","TRINITY FIDUCIARY PARTNERS, LLC",2214 MICHIGAN AVE.,SUITE E,ARLINGTON,TX,UNITED STATES,76013,877-334-1283,817-549-0091,,,,,,,Approved,1/5/2007,6/16/2010,Y,WWW.TRINITYFIDUCIARY.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,51-75 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"14,210,000.00","590,000.00","14,800,000.00",48,5,53,Y,Y,Y,Y,N,Y,N,N,N,Y,STOCK SCREENING,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,133563,801-63848,"MERRITHEW & THORSTEN, INC.","MERRITHEW & THORSTEN, INC.",9820 WILLOW CREEK ROAD,SUITE 200,SAN DIEGO,CA,UNITED STATES,92131,858-547-1845,858-547-4691,,,,,,,Approved,8/16/2005,6/16/2010,Y,WWW.FEE-ONLY-PLANNER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"48,000,000.00","10,000,000.00","58,000,000.00",100,20,120,Y,Y,N,Y,Y,N,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,108240,801-60008,"UNION INVESTMENT ADVISORS, INC","UNION INVESTMENT ADVISORS, INC",6801 S 27TH,,LINCOLN,NE,USA,68512,402-323-1184,402-323-1713,6801 S. 27TH ST,PO BOX 82535,LINCOLN,NE,USA,68501,Approved,1/26/2001,2/8/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"111,578,592.00",0,"111,578,592.00",2,0,2,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115384,801-62026,LEGACY FINANCIAL ADVISORS CORPORATION,LEGACY FINANCIAL ADVISORS CORPORATION,3500 AMERICAN BLVD W,SUITE 675,BLOOMINGTON,MN,USA,55431,952-893-5555,952-893-5560,,,,,,,Approved,5/5/2003,2/8/2010,Y,WWW.LFAMN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"110,750,186.00","1,947,969.00","112,698,155.00",168,4,172,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105404,801-24896,"BRANDES INVESTMENT PARTNERS, LP","BRANDES INVESTMENT PARTNERS, LP","11988 EL CAMINO REAL, SUITE 500",,SAN DIEGO,CA,UNITED STATES,92130,858-755-0239,858-314-1023,,,,,,,Approved,8/8/1985,6/16/2010,Y,WWW.BRANDES.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,251-500,0,51-250,0,Nov-50,0,251-500,0,More than 500,"48,000",Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,"SEPARATELY MANAGED ACCOUNTS (WRAP), TAXABLE, AND TAX EXEMPT OTHER",Y,N,N,Y,N,Y,N,,Y,"53,100,947,328.00","10,828,799.00","53,111,776,127.00","47,843",2,"47,845",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,136028,801-65461,"RADCLIFFE CAPITAL MANAGEMENT, L.P.","RADCLIFFE CAPITAL MANAGEMENT, L.P.",50 MONUMENT ROAD,SUITE 300,BALA CYNWYD,PA,UNITED STATES,19004,610-617-5900,610-617-0570,,,,,,,Approved,1/24/2006,2/8/2010,Y,WWW.RADCLIFFEFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,"FAMILY OFFICES, UNIVERSITIES",Y,N,N,N,N,Y,N,,Y,"338,802,456.00",0,"338,802,456.00",11,0,11,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,21274,801-32004,UAS ASSET MANAGEMENT,"UNITED AMERICAN SECURITIES, INC.",441 LEXINGTON AVE,SUITE 1220,NEW YORK,NY,UNITED STATES,10017,212-983-5822,212-983-5842,,,,,,,Approved,4/22/1988,9/30/2009,Y,WWW.UASASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,10-Jun,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"79,900,000.00","61,800.00","79,961,800.00",279,2,281,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,109119,801-56342,"INVESTMENT & ASSET PLANNING, LLC","GARY, JORDAN CHICK",2110 KEMP BLVD,,WICHITA FALLS,TX,UNITED STATES,76309,940-761-2527,940-322-2710,,,,,,,Approved,3/17/1999,2/8/2010,Y,WWW.INVESTMENTPLANNER.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"38,672,223.00","2,007,646.00","40,679,869.00",313,48,361,Y,Y,N,N,N,Y,Y,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,Y,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,146011,801-68678,"QUOTIENT INVESTORS, LLC","QUOTIENT INVESTORS, LLC",,,,,,,212 685-4811,212 685-4707,,,,,,,Approved,2/4/2008,2/8/2010,Y,WWW.QUOTIENTINVESTORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"125,291,594.00",0,"125,291,594.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107914,801-55396,PALADIN INVESTMENT LLC,PALADIN INVESTMENT LLC,,,,,,,425-747-8301,425-641-9832,,,,,,,Approved,3/31/1998,6/16/2010,Y,HTTP://WWW.PALADINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"61,585,793.00",0,"61,585,793.00",275,0,275,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,7344,801-63247,DOMINICK & DOMINICK LLC,DOMINICK & DOMINICK LLC,150 EAST 52ND STREET,3RD FLOOR,NEW YORK,NY,UNITED STATES,10022,212-558-8800,212-750-6475,,,,,,,Approved,7/12/2004,2/8/2010,Y,WWW.DOMINICKANDDOMINICK.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"252,001,449.00","15,766,873.00","267,768,322.00",233,41,274,N,Y,N,N,N,Y,Y,N,N,N,,,,Y,Y,Y,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
PLRO,152956,801-71121,"CAMPBELL WEALTH MANAGEMENT, INC.","CAMPBELL WEALTH MANAGEMENT, INC.",3055 PROSPERITY AVENUE,,FAIRFAX,VA,UNITED STATES,22031,703-207-6911,703-752-1980,,,,,,,Approved,2/23/2010,6/16/2010,Y,WWW.CAMPBELLWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SOLICITOR/REFERRAL FEES; WORKSHOP FEES,Y,"73,419,877.00",0,"73,419,877.00",319,0,319,Y,Y,N,Y,Y,Y,Y,N,N,Y,INFORMATIONAL/EDUCATIONAL/MOTIVATIONAL WORKSHOPS,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,29087,801-56328,"WORLD EQUITY GROUP, INC.","WORLD EQUITY GROUP, INC.",1650 N. ARLINGTON HEIGHTS RD.,SUITE 100,ARLINGTON HEIGHTS,IL,UNITED STATES,60004,847-342-1700,847-342-5056,,,,,,,Approved,3/26/1999,6/16/2010,Y,WWW.WORLDEQUITYGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,51-250,0,51-250,0,51-250,0,Nov-50,0,More than 500,"2,500",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"116,162,063.00","71,274,152.00","187,436,215.00",922,727,"1,649",Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,107533,801-44062,SHIKIAR ASSET MANAGEMENT INC,SHIKIAR ASSET MANAGEMENT INC,1633 BROADWAY,9TH FLOOR,NEW YORK,NY,USA,10019,212-888-6565,212-888-6596,,,,,,,Approved,6/3/1993,6/16/2010,Y,WWW.SHIKIAR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"219,000,000.00","1,200,000.00","220,200,000.00",157,10,167,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,150382,801-70220,DANIEL WEALTH ADVISORS,DW ADVISORS LLC,,,,,,,949-706-1874,949-706-6771,,,,,,,Approved,5/26/2009,9/30/2009,Y,WWW.DANIELWA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"14,000,000.00","16,700,000.00","30,700,000.00",38,50,88,Y,Y,N,N,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107686,801-57636,DIMENSIONS FINANCIAL GROUP,"DIMENSIONS FINANCIAL GROUP, INC.",1625 N. WATERFRONT PARKWAY,SUITE 150,WICHITA,KS,USA,67206,316-689-8333,316-689-8650,,,,,,,Approved,6/2/2000,2/8/2010,Y,WWW.DIMVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"99,234,036.00",0,"99,234,036.00","1,065",0,"1,065",Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,146607,801-69179,"ZEKE CAPITAL ADVISORS, LLC","ZEKE CAPITAL ADVISORS, LLC",1235 WESTLAKES DRIVE,SUITE 402,BERWYN,PA,UNITED STATES,19312,610-407-4848,,,,,,,,Approved,5/21/2008,6/16/2010,Y,WWW.ZEKECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"662,139,678.00","642,406,101.00","1,304,545,779.00",12,12,24,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,142926,801-67949,"VESTURA, LLC","VESTURA, LLC","10579 COUNTRY WALK LN, UNIT #22",,SISTER BAY,WI,UNITED STATES,54234,920-854-3034,920-854-3036,,,,,,,Approved,5/29/2007,6/16/2010,Y,WWW.VESTURA.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,A PERCENTAGE OF NET WORTH,Y,"42,722,329.00","929,509.00","43,651,838.00",142,7,149,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104572,801-55590,"PREFERRED FINANCIAL ADVISORS, LLC","PREFERRED FINANCIAL ADVISORS, LLC",401 E. JEFFERSON STREET,SUITE 207,ROCKVILLE,MD,UNITED STATES,20850-2627,301-838-1940,301-838-1944,,,,,,,Approved,5/27/1998,1/25/2010,Y,WWW.PREFERREDFIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"31,317,435.00","173,514.00","31,490,949.00",193,5,198,Y,Y,N,Y,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105497,801-36438,KELLER INVESTMENT MANAGEMENT INC,KELLER INVESTMENT MANAGEMENT INC,,,,,,,828-743-9929,828-743-9929,PO BOX 3267,,CASHIERS,NC,UNITED STATES,28717-3267,Approved,5/17/1990,1/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,NEGOTIATED ANNUAL FEE,Y,"51,340,368.00","1,851,464.00","53,191,832.00",116,2,118,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107161,801-49120,SUMMIT STRATEGIES GROUP,SUMMIT STRATEGIES INC,"8182 MARYLAND AVE, 6TH FLOOR",,ST LOUIS,MO,UNITED STATES,63105-3771,314-727-7211,314-727-6068,,,,,,,Approved,5/11/1995,6/1/2010,Y,WWW.SUMMITSTRATEGIES.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,11-25 percent,26-50 percent,26-50 percent,Up to 10 percent,SEE SCHEDULE D PAGE 5 OF 5,Y,Y,N,Y,N,Y,Y,SEE SCHEDULE D ITEM 5E(7),Y,"108,430,000.00",0,"108,430,000.00",3,0,3,N,N,N,Y,Y,Y,N,N,N,Y,SEE SCHEDULE D ITEM 5D(10),,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110117,801-58004,AMERICAN NORTHWEST ADVISORY SERVICES L.L.C.,AMERICAN NORTHWEST ADVISORY SERVICES L.L.C.,1010 S. 336TH ST.,SUITE 215,FEDERAL WAY,WA,UNITED STATES,98003,253-815-6564,253-874-4979,P.O. BOX 24831,,FEDERAL WAY,WA,UNITED STATES,98023,Approved,9/29/2000,6/1/2010,N,,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"11,002,000.00","168,100,000.00","179,102,000.00",39,70,109,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109013,801-56822,"NAVIGATOR INVESTMENTS, LLC","NAVIGATOR INVESTMENTS, LLC","10 WEYBOSSET STREET, SUITE 403",,PROVIDENCE,RI,UNITED STATES,2903,401-455-1230,401-455-1221,,,,,,,Approved,9/10/1999,6/1/2010,Y,WWW.NAVIGATORINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,RI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"96,041,436.00",0,"96,041,436.00",329,0,329,N,Y,N,Y,N,N,N,N,N,Y,GENERAL CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106102,801-44808,WFA ASSET MANAGEMENT CORP,WFA ASSET MANAGEMENT CORP,5129 W FRANKLIN DR,P.O. BOX 320400,FRANKLIN,WI,USA,53132,414-421-8282,414-421-3303,,,,,,,Approved,10/27/1993,1/25/2010,Y,WFA-ASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"34,274,484.00","93,796,154.00","128,070,638.00",93,348,441,Y,Y,N,N,N,N,N,N,N,Y,FINANCIAL PLANNING FOR DIVORCE LITIGATION,251-500,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105271,801-23853,VINTAGE FINANCIAL SERVICES LLC,VINTAGE FINANCIAL SERVICES LLC,101 NORTH MAIN ST. SUITE 800,,ANN ARBOR,MI,USA,48104,734-668-4040,734-668-4890,,,,,,,Approved,4/8/1985,6/1/2010,Y,WWW.VINTAGEFS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"149,356,000.00",0,"149,356,000.00",250,0,250,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,15029,801-71535,"CP CAPITAL SECURITIES, INC.","CP CAPITAL SECURITIES, INC.",2121 SW 3RD AVE,SUITE 701,MIAMI,FL,UNITED STATES,33129,305-702-5500,305-702-5569,,,,,,,Approved,6/25/2010,6/1/2010,Y,WWW.CPCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,0,0,0,0,26-50 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"60,000,000.00","60,000,000.00",0,15,15,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
BRO,123499,801-67793,DOVER INVESTMENT ADVISORY CORPORATION,DOVER INVESTMENT ADVISORY CORPORATION,5 BARLOW LANE,,WESTWOOD,MA,UNITED STATES,2090,508-954-9745,508-319-3600,,,,,,,Approved,4/17/2007,6/1/2010,Y,WWW.DOVERINVESTMENTADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"36,607,531.00",0,"36,607,531.00",40,0,40,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,116418,801-60751,"CARDINAL INVESTMENT ADVISORS, L.L.C.","CARDINAL INVESTMENT ADVISORS, L.L.C.",150 NORTH WACKER DRIVE SUITE 2660,,CHICAGO,IL,UNITED STATES,60606,312-212-4000,312-212-4001,231 S. BEMISTON,#200,CLAYTON,MO,UNITED STATES,63105,Approved,12/6/2001,6/1/2010,Y,WWW.CARDINALINVADV.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,N,Y,N,Y,N,N,Y,AS A PERCENTAGE OF ASSETS UNDER ADVISEMENT,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,Y,COUNSELING SERVICES FOR INSURANCE COMPANIES' INVESTMENT STRATEGY,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106316,801-43702,RETIREMENT INVESTMENT ADVISORS INC,RETIREMENT INVESTMENT ADVISORS INC,3001 UNITED FOUNDERS BLVD,SUITE A,OKLAHOMA CITY,OK,UNITED STATES,73112,405-842-3443,405-842-3471,,,,,,,Approved,4/13/1993,6/1/2010,Y,WWW.WEALTHTRAC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,More than 500,800,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"52,079,000.00","266,361,000.00","318,440,000.00",72,710,782,Y,Y,N,Y,N,Y,N,N,N,N,,More than 500,800,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,3978,801-42530,LINCOLN FINANCIAL ADVISORS CORPORATION,LINCOLN FINANCIAL ADVISORS CORPORATION,1300 SOUTH CLINTON STREET,SUITE 150,FORT WAYNE,IN,UNITED STATES,46802,800-237-3813,260-455-6535,P.O. BOX 2239,,FORT WAYNE,IN,UNITED STATES,46801-2239,Approved,10/15/1992,6/1/2010,Y,WWW.LFA-SAGEMARK.COM,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,Corporation,,IN,UNITED STATES,More than 1000,"2,000",More than 1000,"2,000",More than 1000,"2,000",51-250,0,More than 500,"31,500",11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"6,674,435,931.00","6,674,435,931.00",0,"31,830","31,830",Y,Y,N,Y,Y,Y,N,N,N,N,,More than 500,4500,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,,N,N,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,Y,N,Y,N,Y,N,N,N,Y
PLRO,128699,801-62555,"WILLIAMS FINANCIAL GROUP, INC.","WILLIAMS FINANCIAL GROUP, INC.",18 CHASE DRIVE,CHASE PARK,HURRICANE,WV,UNITED STATES,25526,304-760-6000,304-760-6156,,,,,,,Approved,1/2/2004,6/1/2010,Y,WWW.WMSFG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WV,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"67,099,567.00","1,017,906.00","68,117,473.00",341,22,363,Y,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO ACCOUNTING AND PERFORMANCE MEASUREMENT SERVICES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,4095,801-13613,METROPOLITAN LIFE INSURANCE COMPANY,METROPOLITAN LIFE INSURANCE COMPANY,200 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10166,212-578-7531,212-578-8978,1095 AVENUE OF THE AMERICAS,,NEW YORK,NY,UNITED STATES,10036,Approved,12/14/1977,6/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,More than 1000,"6,000",Nov-50,0,More than 1000,"6,000",0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,SUBADVISER TO THREE INTERNATIONAL SUBSIDIARY PORTFOLIOS,Y,N,N,N,N,N,N,,Y,"1,441,888,363.00",0,"1,441,888,363.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y
CHRO,145006,801-71049,"ROYAL ADVISORS, LLC","ROYAL ADVISORS, LLC",4095 CHICAGO DRIVE,SUITE 120,GRANDVILLE,MI,USA,49418-1288,616-538-2550,616-538-3360,,,,,,,Approved,1/28/2010,1/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"32,000,000.00","32,000,000.00",0,250,250,Y,Y,N,N,N,N,N,N,N,Y,INVESTMENT ADVICE TO A PRIVATE EQUITY FUND,0,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,132400,801-63412,KINGWEST ADVISORS INC.,KINGWEST ADVISORS INC.,86 AVENUE ROAD,,"TORONTO, ONTARIO",,CANADA,M5R 2H2,416-927-7740,416-927-9264,,,,,,,Approved,8/13/2004,6/1/2010,Y,WWW.KINGWESTADVISORS.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"8,161,666.00",0,"8,161,666.00",5,0,5,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,126145,801-61959,PATTON ALBERTSON & MILLER LLC,PATTON ALBERTSON & MILLER LLC,231 RIVERSIDE DRIVE,SUITE 105,MACON,GA,UNITED STATES,31201,478-742-5554,478-742-5542,,,,,,,Approved,4/23/2003,1/25/2010,Y,WWW.PATTONALBERTSONMILLER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"325,945,000.00","4,222,000.00","330,167,000.00",641,88,729,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110901,801-17958,TRILLIUM ASSET MANAGEMENT CORP.,TRILLIUM ASSET MANAGEMENT CORP.,711 ATLANTIC AVENUE,4TH FLOOR,BOSTON,MA,UNITED STATES,02111-2809,617-423-6655,617-482-6179,,,,,,,Approved,12/3/1982,1/25/2010,Y,WWW.TRILLIUMINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,"1,000",26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,LTD PARTNERSHIPS,Y,N,N,Y,N,N,Y,LICENSING FEES,Y,"883,175,165.00","5,868,690.00","889,043,855.00",862,5,867,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,149574,801-69984,"VOLOMITE MANAGEMENT, LLC","VOLOMITE MANAGEMENT, LLC",250 W. MAIN STREET,SUITE 1910,LEXINGTON,KY,UNITED STATES,40507,859-255-0860,859-255-0863,,,,,,,Approved,5/13/2009,6/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"105,847,968.00","105,847,968.00",0,15,15,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110897,801-40592,"ZACKS INVESTMENT MANAGEMENT, INC.","ZACKS INVESTMENT MANAGEMENT, INC.",100 N. RIVERSIDE PLAZA,SUITE 2200,CHICAGO,IL,UNITED STATES,60606,312-265-9266,312-265-9538,100 N. RIVERSIDE PLAZA,SUITE 2200,CHICAGO,IL,UNITED STATES,60606,Approved,1/17/1992,6/1/2010,Y,HTTP://WWW.ZACKSWMG.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,51-250,0,51-250,0,Nov-50,0,0,0,More than 500,"2,500",More than 75 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"1,783,000,000.00","17,000,000.00","1,800,000,000.00","3,810",162,"3,972",Y,Y,Y,Y,N,N,N,N,N,Y,PROVIDES INVESTMENT ADVICE TO POOLED INVESTMENT VEHICLES,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105897,801-34212,MEYER CAPITAL GROUP,FINANCIAL ARCHITECTS INC,FIVE GREENTREE CENTRE,"525 LINCOLN DRIVE WEST, SUITE 312",MARLTON,NJ,UNITED STATES,8053,856-985-8400,856-985-8151,,,,,,,Approved,5/11/1989,6/1/2010,Y,WWW.MEYERCG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"431,892,442.00","78,877,918.00","510,770,360.00","1,855",394,"2,249",Y,Y,N,Y,N,N,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
LARO,131692,801-63192,"VERSANT CAPITAL MANAGEMENT, INC.","VERSANT CAPITAL MANAGEMENT, INC.",2390 EAST CAMELBACK ROAD,SUITE 425,PHOENIX,AZ,UNITED STATES,85016-9260,602-635-3760,602-926-2633,,,,,,,Approved,5/21/2004,6/1/2010,Y,WWW.VERSANTCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"204,356,000.00","24,930,000.00","229,286,000.00",53,1,54,N,Y,N,Y,N,N,N,N,N,Y,CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107577,801-43575,KINGSTON INVESTMENT COUNSEL INC,KINGSTON INVESTMENT COUNSEL INC,,,,,,,859-586-6662,859-586-6662,,,,,,,Approved,3/23/1993,1/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"179,932,000.00",0,"179,932,000.00",31,0,31,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110666,801-20857,PRIVATE OCEAN,PRIVATE OCEAN,750 LINDARO STREET,SUITE 130,SAN RAFAEL,CA,UNITED STATES,94901,415-526-2900,415-459-3956,,,,,,,Approved,3/27/1984,1/25/2010,Y,WWW.SALIENTFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"599,139,687.00","58,803,420.00","657,943,107.00","1,396",108,"1,504",Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106619,801-49136,"THE FINANCIAL NETWORK GROUP, LTD","THE FINANCIAL NETWORK GROUP, LTD","7890 E KEMPER ROAD, SUITE 200",,CINCINNATI,OH,UNITED STATES,45249,513-469-7500,513-469-1234,,,,,,,Approved,4/20/1995,1/25/2010,Y,WWW.THEFINANCIALNETWORKGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"1,495",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"449,578,508.00","6,813,999.00","456,392,507.00","3,353",84,"3,437",Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,152396,801-71073,"RJL WEALTH MANAGEMENT, LLC","RJL WEALTH MANAGEMENT, LLC","13520 EVENING CREEK DRIVE, N.",SUITE 300,SAN DIEGO,CA,UNITED STATES,92128,619-497-5555,858-726-1049,,,,,,,Approved,2/8/2010,6/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"1,000",51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,FEES RECEIVED FROM THIRD PARTY MONEY MANAGERS,Y,"303,740,663.00",0,"303,740,663.00","4,881",0,"4,881",Y,Y,N,Y,N,Y,N,N,N,N,,0,,Y,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,107964,801-55344,CUMBERLAND ADVISORS,CUMBERLAND ADVISORS INC,ONE SARASOTA TOWER,"2 N. TAMIAMI TRAIL, SUITE 303",SARASOTA,FL,UNITED STATES,34236,800-257-7013,N/A,,,,,,,Approved,2/27/1998,1/25/2010,Y,WWW.CUMBER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",11-25 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,345,888,234.00","15,430,844.00","1,361,319,078.00","1,267",8,"1,275",N,Y,N,Y,Y,N,Y,N,N,Y,CONSULTING SERVICES FOR GOVERNMENTAL CLIENTS,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,127795,801-66543,"ASSABET ADVISORS, LLC","ASSABET ADVISORS, LLC",,,,,,,508-351-9666,508-351-9689,,,,,,,Approved,5/1/2006,1/25/2010,Y,WWW.ASSABETADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"36,944,312.00","4,584,503.00","41,528,815.00",56,5,61,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,117050,801-60699,MORGAN STANLEY AIP GP LP,MORGAN STANLEY AIP GP LP,100 FRONT STREET,SUITE 400,WEST CONSHOHOCKEN,PA,UNITED STATES,19428,610-260-7600,610-260-1890,,,,,,,Approved,12/17/2001,6/1/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"10,722,477,258.00",0,"10,722,477,258.00",35,0,35,N,N,Y,Y,N,N,N,N,N,Y,INVESTMENT ADVICE TO POOLED INVESTMENT VEHICLES; NON-DISCRETIONARY PORTFOLIO CONSTRUCTION ADVICE,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111299,801-66644,MORGAN STANLEY ALTERNATIVE INVESTMENT PARTNERS LP,MORGAN STANLEY ALTERNATIVE INVESTMENT PARTNERS LP,100 FRONT STREET,SUITE 400,WEST CONSHOHOCKEN,PA,UNITED STATES,19428,610-260-7600,610-260-1890,,,,,,,Approved,6/9/2006,6/1/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"7,351,117,997.00",0,"7,351,117,997.00",23,0,23,N,N,Y,N,N,N,N,N,N,Y,SERVE AS GENERAL PARTNER TO LIMITED PARTNERSHIPS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,29433,801-19074,"HEARTLAND ADVISORS, INC.","HEARTLAND ADVISORS, INC.",789 N WATER STREET SUITE 500,,MILWAUKEE,WI,UNITED STATES,53202,414-347-7777,414-977-8948,,,,,,,Approved,6/23/1983,6/1/2010,Y,HTTP://WWW.HEARTLANDFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,156,127,019.00",0,"3,156,127,019.00",398,0,398,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N
PLRO,137806,801-64995,PRIVATE INVESTMENT PARTNERS INC.,PRIVATE INVESTMENT PARTNERS INC.,100 FRONT STREET,SUITE 400,WEST CONSHOHOCKEN,PA,UNITED STATES,19428,610-260-7600,610-260-8190,,,,,,,Approved,12/16/2005,6/1/2010,Y,WWW.MORGANSTANLEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"336,980,786.00",0,"336,980,786.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PROVIDE INVESTMENT ADVICE TO LIMITED PARTNERSHIP FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,141220,801-67003,"HAYES ASSET MANAGEMENT, LLC","HAYES ASSET MANAGEMENT, LLC","400 ANDREWS STREET, SUITE 600",,ROCHESTER,NY,UNITED STATES,14604,585-730-6951,585-730-6944,,,,,,,Approved,7/19/2006,3/29/2010,Y,WWW.HAYESASSETMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"67,287,000.00","2,811,000.00","70,098,000.00",121,3,124,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
CHRO,108830,801-56414,VAWTER FINANCIAL LTD,VAWTER FINANCIAL LTD,1161 BETHEL ROAD,SUITE 304,COLUMBUS,OH,UNITED STATES,43220,614-451-1002,614-538-2812,,,,,,,Approved,4/9/1999,3/29/2010,Y,WWW.VAWTERFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"30,000,000.00","10,000,000.00","40,000,000.00",300,200,500,Y,Y,N,N,Y,N,Y,N,N,N,,101-250,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109391,801-56370,NATIONWIDE FUND ADVISORS,NATIONWIDE FUND ADVISORS,1000 CONTINENTAL DRIVE,SUITE 400,KING OF PRUSSIA,PA,UNITED STATES,19406,610-230-2800,610-230-2777,,,,,,,Approved,3/18/1999,3/29/2010,Y,WWW.NATIONWIDE.COM/MUTUALFUNDS,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),BUSINESS TRUST,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"44,670,734,615.00",0,"44,670,734,615.00",92,0,92,N,N,Y,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,118059,801-60773,ALKEON CAPITAL MANAGEMENT,"ALKEON CAPITAL MANAGEMENT, LLC",350 MADISON AVENUE,9TH FLOOR,NEW YORK,NY,USA,10017,212-389-8710,212-389-8750,,,,,,,Approved,12/13/2001,3/29/2010,Y,WWW.ALKEONCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,Nov-50,0,25-Nov,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,667,544,626.00",0,"1,667,544,626.00",18,0,18,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106613,801-50107,HARVEST CAPITAL MANAGEMENT INC,HARVEST CAPITAL MANAGEMENT INC,114 N MAIN ST STE 301,,CONCORD,NH,USA,3301,603-224-6994,603-224-7713,,,,,,,Approved,9/15/1995,3/29/2010,Y,WWW.HARVESTCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"149,291,756.00",0,"149,291,756.00",351,0,351,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,113836,801-67433,CONTRYMAN WEALTH ADVISORS,"WEALTH ADVISORS NETWORK, INC.",2215 W. 12TH STREET,,HASTINGS,NE,UNITED STATES,68902-2026,402-463-6769,402-463-6713,PO BOX 2026,,HASTINGS,NE,UNITED STATES,68902-2026,Approved,1/9/2007,12/22/2009,Y,HTTP://WWW.CAPC.COM/WAN/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"3,075,062.00","47,057,969.00","50,133,031.00",10,225,235,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
FWRO,107701,801-39205,FINANCIAL HOUSE CORP,FINANCIAL HOUSE CORP,7800 IH 10 WEST,STE 612,SAN ANTONIO,TX,UNITED STATES,78230,210-349-1251,210-308-0559,,,,,,,Approved,6/26/1991,3/29/2010,Y,WWW.FINHSE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"90,366,106.00",0,"90,366,106.00",85,0,85,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,Y,N,N,Y,ALTERNATIVE INSURANCE PRODUCTS,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
PLRO,132669,801-67570,"GREENSPRING WEALTH MANAGEMENT, INC.","GREENSPRING WEALTH MANAGEMENT, INC.",501 FAIRMOUNT AVENUE,SUITE 201,TOWSON,MD,UNITED STATES,21286,443-564-4600,866-591-9306,,,,,,,Approved,2/22/2007,3/29/2010,Y,WWW.JPC-ASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"72,623,174.00","14,571,501.00","87,194,675.00",139,4,143,Y,Y,N,Y,Y,Y,N,N,N,Y,INVESTMENT CONSULTING AND EDUCATIONAL SERVICES,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,126396,801-61972,PORTLAND INVESTMENT COUNSEL INC.,PORTLAND INVESTMENT COUNSEL INC.,1375 KERNS ROAD,SUITE 100,"BURLINGTON, ONTARIO",,CANADA,L7P 4V7,905-331-4250 EXT 4634,905-319-4939,,,,,,,Approved,4/21/2003,12/22/2009,Y,WWW.PORTLANDIC.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,101-250,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,More than 75 percent,CANADIAN MUTUAL FUNDS,Y,N,N,N,N,Y,N,,Y,"2,025,028,383.00",0,"2,025,028,383.00",161,0,161,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR CANADIAN MUTUAL FUNDS,,,N,N,N,N,N,N,N,N,Y,MUTUAL FUND DEALER,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y
BRO,116184,801-65131,EMG,ESSEX ASSET MANAGEMENT GROUP INC.,63 MAIN STREET,,ESSEX JUNCTION,VT,USA,5452,802-879-1881,802-879-1209,,,,,,,Approved,1/13/2006,3/29/2010,Y,WWW.EMGVT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"30,000,000.00","2,000,000.00","32,000,000.00",500,25,525,Y,Y,N,Y,Y,Y,Y,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106165,801-41896,THOMAS WHITE ASSET MANAGEMENT,THOMAS WHITE INTERNATIONAL LTD,"440 S LASALLE STREET, SUITE 3900",,CHICAGO,IL,UNITED STATES,60605,312-663-8300,312-663-8323,,,,,,,Approved,7/24/1992,3/29/2010,Y,WWW.THOMASWHITE.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,More than 500,500,Up to 10 percent,Up to 10 percent,0 percent,51-75 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,,Y,N,Y,N,N,Y,N,,Y,"1,083,143,506.00",0,"1,083,143,506.00",670,0,670,N,Y,Y,Y,N,N,Y,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110532,801-60208,SILVEROAK WEALTH MANAGEMENT LLC,SILVEROAK WEALTH MANAGEMENT LLC,7650 EDINBOROUGH WAY,SUITE 250,EDINA,MN,UNITED STATES,55435,952-896-5700,952-896-5719,,,,,,,Approved,4/27/2001,3/29/2010,Y,WWW.SILVEROAKWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,"TRUSTS, CORPORATE EMPLOYEES",Y,Y,N,Y,N,N,N,,Y,"192,149,709.00","3,922,940.00","196,072,649.00",432,8,440,Y,Y,N,N,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,Y,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146494,801-68904,"NEW CENTURY CAPITAL MANAGEMENT, LLC","NEW CENTURY CAPITAL MANAGEMENT, LLC",17 BROAD STREET,SUITE 100,FREEHOLD,NJ,UNITED STATES,7728,732-845-1333,732-845-1350,,,,,,,Approved,3/6/2008,3/29/2010,Y,WWW.NEWCENTURYCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"39,818,000.00","39,818,000.00",0,250,250,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,143456,801-67681,"CLARKSTON CAPITAL PARTNERS, LLC","CLARKSTON CAPITAL PARTNERS, LLC",260 E. BROWN ST,SUITE 330,BIRMINGHAM,MI,UNITED STATES,48009,248-723-8000,248-723-8090,,,,,,,Approved,3/22/2007,3/29/2010,Y,WWW.CLARKSTONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"52,000,000.00",0,"52,000,000.00",186,0,186,N,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT ANALYSIS AND CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106998,801-32361,ALLIANCEBERNSTEIN HOLDING L.P.,ALLIANCEBERNSTEIN HOLDING L.P.,1345 AVENUE OF THE AMERICAS,,NEW YORK,NY,UNITED STATES,10105,212-969-1000,212-969-2293,,,,,,,Approved,4/21/1988,3/29/2010,Y,WWW.ALLIANCEBERNSTEIN.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,"SEE SCHEDULE D, PAGE 5",0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
LARO,112127,801-66565,"KEMP FINANCIAL MANAGEMENT, LLC","KEMP FINANCIAL MANAGEMENT, LLC",2286 N. STATE COLLEGE BLVD.,,FULLERTON,CA,USA,92831,714-257-0800,714-257-0807,,,,,,,Approved,5/15/2006,3/29/2010,Y,WWW.KEMPFM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"83,131,212.00","83,131,212.00",0,405,405,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,Y,N,Y,Y,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104684,801-46685,"BOLTON PARTNERS INVESTMENT CONSULTING GROUP, INC.","BOLTON PARTNERS INVESTMENT CONSULTING GROUP, INC.",575 SOUTH CHARLES STREET,SUITE 410,BALTIMORE,MD,UNITED STATES,21201,410 547-0500,410 547-1152,,,,,,,Approved,7/6/1994,3/29/2010,Y,WWW.BOLTONPARTNERS.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,Y,N,N,,Y,0,"1,806,209,861.00","1,806,209,861.00",0,39,39,N,N,N,N,Y,Y,Y,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,130640,801-62943,GIVERNY CAPITAL,GIVERNY CAPITAL INC.,118 RUE ST-PIERRE,,MONTREAL,,CANADA,H2Y 2L7,514-842-5589,514-842-3532,,,,,,,Approved,4/6/2004,12/22/2009,Y,WWW.GIVERNYCAPITAL.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"QUEBEC, CANADA",5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"800,000.00",0,"800,000.00",4,0,4,N,Y,N,N,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107445,801-39910,ALLIANCEBERNSTEIN CORPORATION,ALLIANCEBERNSTEIN CORPORATION,1345 AVENUE OF THE AMERICAS,,NEW YORK,NY,UNITED STATES,10105,212-969-1000,212-969-2293,,,,,,,Approved,11/4/1991,3/29/2010,Y,WWW.ALLIANCEBERNSTEIN.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,"SEE SCHEDULE D, ITEM 6.B",0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
NYRO,105599,801-36116,WRIGHT ASSET MANAGEMENT INC,WRIGHT ASSET MANAGEMENT INC,147 D UNION AVENUE,,MANASQUAN,NJ,USA,8736,732-223-4223,732-528-8686,PO BOX 808,,MANASQUAN,NJ,USA,08736-0808,Approved,2/15/1990,3/29/2010,Y,WWW.WRIGHTASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"52,786,000.00","52,786,000.00",0,61,61,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106256,801-49083,ING CLARION REAL ESTATE SECURITIES LLC,ING CLARION REAL ESTATE SECURITIES LLC,"201 KING OF PRUSSIA ROAD, STE. 600",,RADNOR,PA,UNITED STATES,19087,610-995-2500,610-964-0410,,,,,,,Approved,3/31/1995,3/29/2010,Y,WWW.INGCLARIONRES.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,0 percent,Up to 10 percent,0 percent,11-25 percent,26-50 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"17,238,600,000.00",0,"17,238,600,000.00",114,0,114,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111643,801-60157,"LINDA A. BARLOW, CFP",LINDA A. BARLOW,2700 N. MAIN STREET,STE 850,SANTA ANA,CA,UNITED STATES,92705-6638,714-953-1232,714-973-6314,,,,,,,Approved,4/12/2001,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,0,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"77,001,352.00","12,373,960.00","89,375,312.00",227,15,242,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107177,801-39348,"MERITAGE PORTFOLIO MANAGEMENT, INC.","MERITAGE PORTFOLIO MANAGEMENT, INC.",7500 COLLEGE BLVD,SUITE 1212,OVERLAND PARK,KS,UNITED STATES,66210,913-345-7000,913-345-2213,,,,,,,Approved,6/28/1991,3/29/2010,Y,WWW.MERITAGEPORTFOLIO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"882,947,111.00",0,"882,947,111.00","1,049",0,"1,049",N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110787,801-16476,MUHLENKAMP & CO INC,MUHLENKAMP & CO INC,5000 STONEWOOD DRIVE,STE 300,WEXFORD,PA,UNITED STATES,15090-8395,724-935-5520,724-935-4720,,,,,,,Approved,10/8/1981,12/22/2009,Y,WWW.MUHLENKAMP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,Nov-50,0,101-250,0,11-25 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"878,293,328.00",0,"878,293,328.00",138,0,138,N,Y,Y,Y,Y,Y,Y,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107544,801-17662,"GUERIN FINANCIAL SERVICES,LTD.","GUERIN FINANCIAL SERVICES,LTD.",2755 S LOCUST ST. STE 206,,DENVER,CO,USA,80222-7132,303-758-4866,303-758-5768,,,,,,,Approved,9/17/1982,3/29/2010,Y,WWW.GUERINFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,500,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"199,479,464.00",0,"199,479,464.00","1,305",0,"1,305",Y,Y,N,N,N,N,N,N,N,N,,More than 500,500,N,N,N,N,N,Y,N,N,N,,N,N,Y,N,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107911,801-55244,CRAMER ROSENTHAL MCGLYNN LLC,CRAMER ROSENTHAL MCGLYNN LLC,520 MADISON AVENUE,20TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-326-5300,212-415-0585,,,,,,,Approved,6/13/1983,3/29/2010,Y,WWW.CRMLLC.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,10-Jun,0,10-Jun,0,251-500,0,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"11,852,763,907.00",0,"11,852,763,907.00",304,0,304,N,Y,Y,Y,N,Y,N,N,N,Y,ADMINISTRATIVE SERVICES FOR AFFILIATED LIMITED PARTNERSHIPS,0,,N,Y,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,135238,801-64613,NEWHAVEN ASSET MANAGEMENT INC.,NEWHAVEN ASSET MANAGEMENT INC.,155 UNIVERSITY AVENUE,SUITE 1900,"TORONTO, ONTARIO",,CANADA,M5H 3B7,416-815-2277,416-815-2273,,,,,,,Approved,8/25/2005,3/29/2010,Y,WWW.NEWHAVENAM.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"84,578,721.00","3,376,901.00","87,955,622.00",160,17,177,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109367,801-56369,NATIONWIDE SA CAPITAL TRUST,NATIONWIDE SA CAPITAL TRUST,1000 CONTINENTAL DRIVE,SUITE 400,KING OF PRUSSIA,PA,UNITED STATES,19406,610-230-2800,610-230-2777,,,,,,,Approved,3/18/1999,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),BUSINESS TRUST,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"76,871,599.00",0,"76,871,599.00",6,0,6,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106789,801-43351,KESTREL INVESTMENT MANAGEMENT CORP,KESTREL INVESTMENT MANAGEMENT CORP,"411 BOREL AVENUE, STE 403",,SAN MATEO,CA,UNITED STATES,94402,650-572-9450,650-572-8689,,,,,,,Approved,2/17/1993,3/29/2010,Y,HTTP://WWW.KESTRELINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,26-50 percent,0 percent,0 percent,11-25 percent,11-25 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"622,615,762.00",0,"622,615,762.00",53,0,53,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,7995,801-69266,"AUSDAL FINANCIAL PARTNERS, INC.","AUSDAL FINANCIAL PARTNERS, INC.",220 NORTH MAIN STREET,SUITE 400,DAVENPORT,IA,UNITED STATES,52801,563-326-2064,563-326-2159,,,,,,,Approved,6/5/2008,12/22/2009,Y,WWW.AUSDAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,500",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"89,167,500.00","84,010,725.00","173,178,225.00",771,420,"1,191",Y,Y,N,N,N,Y,N,N,Y,N,,25-Nov,,N,N,Y,N,N,N,Y,N,N,,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,132517,801-63509,"CAPSOUTH PARTNERS, INC.","CAPSOUTH PARTNERS, INC.",2216 W. MAIN STREET,,DOTHAN,AL,UNITED STATES,36301,334.673.8600,334.673.8625,,,,,,,Approved,9/10/2004,3/29/2010,Y,WWW.CAPSOUTHPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"41,344,471.00","5,098,081.00","46,442,552.00",190,65,255,Y,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING,25-Nov,,N,Y,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,135431,801-65641,LINDEN ADVISORS LP,LINDEN ADVISORS LP,590 MADISON AVENUE,15TH FLOOR,NEW YORK,NY,UNITED STATES,10022,646-840-3500,646-840-3625,,,,,,,Approved,1/26/2006,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"922,000,000.00",0,"922,000,000.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES AND OTHER MANAGED ACCOUNTS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,136245,801-64518,"LAPIDES ASSET MANAGEMENT, LLC","LAPIDES ASSET MANAGEMENT, LLC",500 WEST PUTNAM AVENUE,4TH FLOOR,GREENWICH,CT,UNITED STATES,6830,203-422-7202,203-422-7205,,,,,,,Approved,8/15/2005,3/29/2010,Y,WWW.LAPIDES-AM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,26-50 percent,11-25 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"383,686,000.00",0,"383,686,000.00",13,0,13,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,109934,801-38676,RTW FINANCIAL ADVISORS INC,RTW FINANCIAL ADVISORS INC,14114 DALLAS PARKWAY,SUITE 530,DALLAS,TX,UNITED STATES,75254,972-960-1212,972-960-1211,,,,,,,Approved,4/12/1991,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"120,000,000.00","140,000,000.00","260,000,000.00",98,3,101,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N
FWRO,107634,801-45621,SCM ADVISORS LP,SCM ADVISORS LP,5440 HARVEST HILL ROAD,SUITE 201,DALLAS,TX,UNITED STATES,75230-1659,972-763-1920,972-763-1912,,,,,,,Approved,12/14/1993,3/29/2010,Y,WWW.SCMADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"288,108,369.00","52,424,863.00","340,533,232.00",402,80,482,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,152569,801-70943,"LLBH PRIVATE WEALTH MANAGEMENT, LLC","LLBH PRIVATE WEALTH MANAGEMENT, LLC",RIVERSIDE PLAZA,33 RIVERSIDE AVENUE,WESTPORT,CT,UNITED STATES,6880,203-683-1530,888-778-3892,,,,,,,Approved,12/1/2009,3/29/2010,Y,WWW.LLBHPRIVATEWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"567,389,924.00",0,"567,389,924.00",164,0,164,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,Y,Y,N,N,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,109446,801-57516,"REDW STANLEY FINANCIAL ADVISORS, LLC","REDW STANLEY FINANCIAL ADVISORS, LLC",6401 JEFFERSON NE,,ALBUQUERQUE,NM,USA,87109,505-998-3200,505-998-3333,P.O. BOX 93656,,ALBUQUERQUE,NM,USA,87199,Approved,5/10/2000,3/29/2010,Y,WWW.REDWSTANLEY.COM  (AFFILIATE),N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NM,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,11-25 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,NATIVE AMERICAN TRIBES,Y,Y,N,Y,N,N,Y,NEGOTIATED FEES FOR BUNDLED SERVICES,Y,"304,601,389.00","1,592,373.00","306,193,762.00",774,5,779,Y,Y,N,Y,N,Y,Y,N,N,Y,"TAX PREPARATION , TRUSTEESHIP, AND EXPERT WITNESS IN INVESTMENT AND FINANCIAL PLANNING MATTERS",101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,109822,801-31935,COMPREHENSIVE FINANCIAL PLANNING INC,COMPREHENSIVE FINANCIAL PLANNING INC,2919 UNITED FOUNDERS BLVD.,,OKLAHOMA CITY,OK,UNITED STATES,73112,405-879-1117,405-848-2079,,,,,,,Approved,5/19/1988,3/29/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"88,585,927.00","88,585,927.00",0,448,448,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108382,801-56612,METZ CAPITAL MANAGEMENT LLC,METZ CAPITAL MANAGEMENT LLC,439 KINGS HWY,,LEWES,DE,USA,19958,302-644-1193,302-644-1195,,,,,,,Approved,7/2/1999,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"30,000,000.00",0,"30,000,000.00",357,0,357,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,148751,801-69832,"EMERGING GLOBAL ADVISORS, LLC","EMERGING GLOBAL ADVISORS, LLC",171 EAST RIDGEWOOD AVENUE,,RIDGEWOOD,NJ,UNITED STATES,7450,201-389-6872,201-389-6876,,,,,,,Approved,1/7/2008,3/26/2010,Y,WWW.EGSHARES.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"90,000,000.00",0,"90,000,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107400,801-50346,SPOOR BEHRINS CAMPBELL & YOUNG SECURITIES CORP,SPOOR BEHRINS CAMPBELL & YOUNG SECURITIES CORP,42 MAIN STREET,,CLINTON,NJ,UNITED STATES,08809-2634,908-735-0448,908-735-6764,,,,,,,Approved,10/6/1995,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"126,089,277.00","126,089,277.00",0,130,130,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,Y,"SEE SCHEDULE D PAGE 4, 7B",Y,N,Y,N,N,Y,N,N,N,Y,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,136621,801-64680,"INTEGER WEALTH ADVISORS GROUP, LLC","INTEGER WEALTH ADVISORS GROUP, LLC",3440 BLUE SPRINGS ROAD,SUITE 403,KENNESAW,GA,UNITED STATES,30144,770-420-6363,1-866-653-1317,,,,,,,Approved,9/2/2005,1/7/2010,Y,WWW.INTEGERWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"111,456,518.00","59,153,914.00","170,610,432.00",73,42,115,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150858,801-70443,CHICHESTER CAPITAL MANAGEMENT LP,CHICHESTER CAPITAL MANAGEMENT LP,711 FIFTH AVENUE,16TH FLOOR,NEW YORK,NY,UNITED STATES,10022,646-274-3983,646-274-3993,,,,,,,Approved,8/5/2009,3/26/2010,Y,WWW.CHICHESTERCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"39,225,925.00",0,"39,225,925.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,147379,801-69363,TRUST ASSET MANAGEMENT LLC,TRUST ASSET MANAGEMENT LLC,3600 N CAPITAL OF TEXAS HWY,BLDG B SUITE 230,AUSTIN,TX,UNITED STATES,78746,512-275-1723,512-275-1721,,,,,,,Approved,7/2/2008,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,TRUST FUNDS,Y,N,N,N,N,N,N,,Y,"111,793,833.00","32,306,698.00","144,100,531.00",91,38,129,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,138936,801-65988,"HIGHVIEW ADVISORS, L.P.","HIGHVIEW ADVISORS, L.P.",41 LEOPARD ROAD,SUITE #104,PAOLI,PA,UNITED STATES,19301-1549,610-889-3224,610-889-3230,,,,,,,Approved,1/27/2006,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"98,862,449.00",0,"98,862,449.00",14,0,14,N,Y,N,N,N,N,N,N,N,Y,INVESTMENT PARTNERSHIPS,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106008,801-38579,IVES ASSET MANAGEMENT INC,IVES ASSET MANAGEMENT INC,8800 N. GAINEY CENTER DRIVE,SUITE 176,SCOTTSDALE,AZ,UNITED STATES,85258,602-971-7545,480-596-2165,,,,,,,Approved,4/25/1991,3/26/2010,Y,WWW.IVESASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"32,510,009.00","36,093,669.00","68,603,678.00",65,422,487,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,147990,801-69468,"MONARCH CAPITAL, INC.","MONARCH CAPITAL, INC.",8350 WILSHIRE BOULEVARD,STE. 200,BEVERLY HILLS,CA,UNITED STATES,90211,310-626-9817,310-626-9818,,,,,,,Approved,8/12/2008,3/26/2010,Y,WWW.MONARCHCAPITALINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"43,592,063.00",0,"43,592,063.00",269,0,269,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,Y,Y,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,131123,801-63202,NIEMANN ANALYTICS,"NIEMANN ANALYTICS, INC",,,,,,,775-588-3187,775-588-6746,P.O. BOX 256,,ZEPHER COVE,NV,UNITED STATES,89448,Approved,5/28/2004,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,525,985,377.00",0,"1,525,985,377.00",2,0,2,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,127902,801-62249,"BLUE CREEK INVESTMENT PARTNERS, LLC","BLUE CREEK INVESTMENT PARTNERS, LLC",100 CHURCH STREET,SUITE 500,HUNTSVILLE,AL,USA,35801,256-704-0505,256-704-5110,,,,,,,Approved,8/1/2003,3/26/2010,Y,WWW.BLUECREEKIP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"135,206,567.00","4,447,627.00","139,654,194.00",413,30,443,Y,Y,N,Y,N,Y,Y,N,N,N,,101-250,,N,Y,N,Y,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,3875,801-62276,BRIGHTON FINANCIAL PLANNING,BRIGHTON SECURITIES CORP.,1703 MONROE AVENUE,,ROCHESTER,NY,USA,14618,585-473-3590,585-473-9835,,,,,,,Approved,9/8/2003,3/26/2010,Y,WWW.BRIGHTONSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"42,275,761.00","42,275,761.00",0,200,200,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
PLRO,119910,801-63779,"PROFESSIONAL FINANCIAL ADVISORS, INC.","PROFESSIONAL FINANCIAL ADVISORS, INC.","704 LISBURN ROAD, SUITE 102",,CAMP HILL,PA,USA,17011,717-761-4646,717-730-0749,"704 LISBURN ROAD, SUITE 102",,CAMP HILL,PA,USA,17011,Approved,1/14/2005,1/7/2010,Y,WWW.PROFINADVINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"47,669,694.00","5,398,677.00","53,068,371.00",499,85,584,Y,Y,N,N,N,N,N,N,N,Y,TRUST CONSULTING,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,144719,801-68219,"OPTIMAL CAPITAL ADVISORS, LLC","OPTIMAL CAPITAL ADVISORS, LLC",12935 SW BAYSHORE DR,SUITE 305,TRAVERSE CITY,MI,USA,49684,231-933-4677,231-933-4676,,,,,,,Approved,8/20/2007,3/26/2010,Y,WWW.OPTIMALCAPITALFWA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"35,217,413.00",0,"35,217,413.00",185,0,185,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,120106,801-69410,DEMMING FINANCIAL SERVICES CORP.,DEMMING FINANCIAL SERVICES CORP.,13 NEW HUDSON RD.,,AURORA,OH,USA,44202,330-562-2122,330-562-6086,,,,,,,Approved,7/23/2008,10/5/2009,Y,WWW.DEMMINGFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"30,000,000.00",0,"30,000,000.00",10,0,10,Y,Y,N,N,N,N,N,N,N,Y,INSURANCE ADVICE,More than 500,500,N,N,N,N,N,N,N,N,Y,MORTGAGE LOAN BROKER,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106650,801-3956,ARTHUR E SPELLISSY & ASSOCIATES INC,SPELLISSY ARTHUR E & ASSOCIATES INC,175 STRAFFORD AVE,SUITE 210,WAYNE,PA,USA,19087,610-293-0700,610-293-0744,,,,,,,Approved,3/23/1966,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,275,887.00","109,602,439.00","110,878,326.00",4,66,70,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,126315,801-68458,"CBC CAPITAL PARTNERS, LTD.","CBC CAPITAL PARTNERS, LTD.",5956 SHERRY LANE SUITE 1200,,DALLAS,TX,UNITED STATES,75225,214-369-6974,214-362-7842,,,,,,,Approved,10/18/2007,10/5/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,Y,N,,Y,"3,000,000.00","25,000,000.00","28,000,000.00",1,10,11,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,146509,801-68868,"YANNI PARTNERS, A DIVISION OF GBS INVESTMENT CONSULTING, LLC","GBS INVESTMENT CONSULTING, LLC","310 GRANT STREET, SUITE 3000",,PITTSBURGH,PA,UNITED STATES,15219-2302,412-232-1000,412-232-1027,,,,,,,Approved,3/17/2008,3/26/2010,Y,WWW.YANNIPARTNERS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,11-25 percent,Up to 10 percent,26-50 percent,"HEALTH CARE, ETC.",Y,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,136021,801-64557,"SUTTER CAPITAL MANAGEMENT, LLC","SUTTER CAPITAL MANAGEMENT, LLC",1640 SCHOOL STREET,,MORAGA,CA,UNITED STATES,94556,925-631-9100,925-631-9119,,,,,,,Approved,7/21/2005,3/26/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"22,547,230.00",0,"22,547,230.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,128450,801-62371,"CHANNING CAPITAL MANAGEMENT, LLC","CHANNING CAPITAL MANAGEMENT, LLC",10 SOUTH LASALLE STREET,SUITE 2650,CHICAGO,IL,USA,60603,312-223-0211,312-223-0212,,,,,,,Approved,9/26/2003,3/26/2010,Y,WWW.CHANNINGCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,26-50 percent,"MANAGER-OF-MANAGERS, ENDOWMENTS, AND PRIVATE INVESTMENT PARTNERSHIP (NON-HEDGE FUND)",Y,N,N,N,N,Y,N,,Y,"721,309,000.00",0,"721,309,000.00",37,0,37,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,148122,801-69706,"PARTNERS FOR PROSPERITY, INC.","PARTNERS FOR PROSPERITY, INC.",,,,,,,(903) 822-4144,(602) 532-7913,,,,,,,Approved,10/27/2008,1/7/2010,Y,WWW.PARTNERS4PROSPERITY.COM,N,N,N,N,N,N,N,N,N,Y,N,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,THE PROSPERITY PATHWAY,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108052,801-57727,CAPITAL PERFORMANCE ADVISORS LLP,CAPITAL PERFORMANCE ADVISORS LLP,165 LENNON LANE,SUITE 200,WALNUT CREEK,CA,UNITED STATES,94598,925.938.5188,925.945.8371,P.O. BOX 30307,,WALNUT CREEK,CA,UNITED STATES,94598,Approved,7/10/2000,3/26/2010,Y,WWW.CPACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,More than 500,"1,000",51-75 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"666,584,115.00","1,290,472.00","667,874,587.00","2,371",2,"2,373",Y,Y,N,N,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,135656,801-64324,CALVERT INVESTMENT COUNSEL,"CALVERT INVESTMENT COUNSEL, LLC",20 WIGHT AVENUE,SUITE 155,HUNT VALLEY,MD,UNITED STATES,21030,410-435-3270,443-589-0124,,,,,,,Approved,6/2/2005,3/26/2010,Y,WWW.CALVERTINVESTMENTCOUNSEL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,SEE SCHEDULE D MISCELLANEOUS,Y,"197,629,308.00","25,378,991.00","223,008,299.00",360,74,434,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,124298,801-62374,YOSEMITE CAPITAL MANAGEMENT,"YOSEMITE CAPITAL MANAGEMENT, LLC",17501 EAST 17TH STREET,SUITE 100,TUSTIN,CA,UNITED STATES,92780,714-730-3310,714-730-3311,,,,,,,Approved,9/26/2003,3/26/2010,Y,WWW.YOSEMITECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISORY FEES,Y,"187,512,502.00","18,333,462.00","205,845,964.00",582,260,842,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105716,801-26708,"BROOKS, MOORE & ASSOCIATES, INC.","BROOKS, MOORE & ASSOCIATES, INC.",3905 ST. ELMO AVENUE,,CHATTANOOGA,TN,UNITED STATES,37409,423-756-8628,423-265-9436,,,,,,,Approved,4/10/1986,3/26/2010,Y,WWW.BROOKSMOORE.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"127,563,787.00","19,395,373.00","146,959,160.00",156,14,170,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,17962,801-35456,"HOLBEIN ASSOCIATES, INC.","HOLBEIN ASSOCIATES, INC.","15770 DALLAS PARKWAY, STE 901",,DALLAS,TX,UNITED STATES,75248-6617,972-934-9333,972-934-9389,,,,,,,Approved,12/7/1989,3/26/2010,Y,HTTP://WWW.HOLBEIN.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"759,651,284.00","759,651,284.00",0,9,9,N,N,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,150473,801-70300,JCJ CAPITAL PARTNERS LLC,JCJ CAPITAL PARTNERS LLC,4204 NORTH BROWN AVENUE,,SCOTTSDALE,AZ,UNITED STATES,85251,480-994-8888,480-947-2663,,,,,,,Approved,6/30/2009,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"50,000,000.00",0,"50,000,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,INTELLECTUAL PROPERTY LITIGATION ANALYSIS,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,124859,801-61753,PALACE CAPITAL MANAGEMENT LLC,PALACE CAPITAL MANAGEMENT LLC,504 E. PALACE AVENUE,,SANTA FE,NM,USA,87501,505-984-9143,505-986-8427,P.O. BOX 2322,,SANTA FE,NM,USA,87504,Approved,1/27/2003,3/26/2010,Y,WWW.PALACECAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"18,986,222.00","33,949,184.00","52,935,406.00",1,1,2,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,131618,801-63156,"SENESCHAL ADVISORS, LLC","SENESCHAL ADVISORS, LLC","7350 CIRQUE DRIVE W., SUITE 101",,UNIVERSITY PLACE,WA,UNITED STATES,98467,253-460-3430,253-565-0464,,,,,,,Approved,5/14/2004,3/26/2010,Y,WWW.SENESCHALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"63,880,708.00","3,176,696.00","67,057,404.00",144,24,168,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107995,801-55473,LEHRER MANAGEMENT CO INC,LEHRER MANAGEMENT CO INC,"20400 STEVENS CREEK BLVD., SUITE 230",,CUPERTINO,CA,USA,95014,408-996-3390,408-996-9374,,,,,,,Approved,4/1/1998,3/26/2010,Y,WWW.LEHRERMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,FEES ARE OCCASIONALLY NEGOTIATED.,Y,"268,410,860.00","8,358,670.00","276,769,530.00",682,29,711,Y,Y,N,Y,N,N,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,146023,801-68739,CEREDEX VALUE ADVISORS LLC,CEREDEX VALUE ADVISORS LLC,300 SOUTH ORANGE AVENUE,SUITE 1600,ORLANDO,FL,UNITED STATES,32801,407-237-4472,407-237-4972,,,,,,,Approved,1/15/2008,3/26/2010,Y,WWW.CEREDEXVALUE.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,081,504,213.00",0,"3,081,504,213.00",28,0,28,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108874,801-23632,OAK ASSOCIATES LTD,OAK ASSOCIATES LTD,3875 EMBASSY PARKWAY,SUITE 250,AKRON,OH,UNITED STATES,44333,330-668-1234,330-668-2901,,,,,,,Approved,3/13/1985,3/26/2010,Y,WWW.OAKASSOCIATES.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"951,500,000.00",0,"951,500,000.00",118,0,118,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,146024,801-68740,IRONOAK ADVISORS LLC,IRONOAK ADVISORS LLC,919 EAST MAIN STREET,15TH FLOOR,RICHMOND,VA,UNITED STATES,23219,804-782-7464,804-782-5356,,,,,,,Approved,2/11/2008,3/26/2010,Y,WWW.IRONOAKADVISORS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,26-50 percent,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"980,071,302.00",0,"980,071,302.00",67,0,67,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,146028,801-68742,CERTIUM ASSET MANAGEMENT LLC,CERTIUM ASSET MANAGEMENT LLC,"50 HURT PLAZA, SUITE 1400",,ATLANTA,GA,USA,30303,404-581-1589,404-575-2978,,,,,,,Approved,1/15/2008,3/26/2010,Y,WWW.CERTIUMLLC.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,11-25 percent,11-25 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,838,940,345.00",0,"1,838,940,345.00",16,0,16,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,133312,801-67331,"WEALTH DESIGN CONSULTING, LLC","WEALTH DESIGN CONSULTING, LLC","505 S. 3RD STREET, SUITE 200",,LARAMIE,WY,UNITED STATES,82070,307-745-6257,307-745-6120,P.O. BOX 1345,,LARAMIE,WY,UNITED STATES,82073-1345,Approved,12/6/2006,2/2/2010,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"5,000,000.00","5,000,000.00",0,15,15,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,146544,801-69002,KEYHAVEN CAPITAL PARTNERS LIMITED,KEYHAVEN CAPITAL PARTNERS LIMITED,1 RICHMOND MEWS,,LONDON,,UNITED KINGDOM,W1D 3DA,+44 20 7432 6200,+44 20 7432 6201,,,,,,,Approved,4/15/2008,5/14/2010,Y,WWW.KEYHAVENCAPITAL.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),PRIVATE LIMITED COMPANY,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,TRANSACTION BASED FEES,Y,"742,779,181.00",0,"742,779,181.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,FURNISHES PORTFOLIO MANAGEMENT SERVICES TO POOLED INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,125121,801-61782,BERTOLET CAPITAL LLC,BERTOLET CAPITAL LLC,745 FIFTH AVE.,2400,NEW YORK,NY,UNITED STATES,10019,212-605-7100,212-486-8224,,,,,,,Approved,2/3/2003,2/2/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,FOUNDATION,Y,N,N,N,N,N,N,,Y,"71,000,000.00",0,"71,000,000.00",2,0,2,N,N,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT-PRIVATE INVESTMENT LPS AND LLCS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106135,801-52600,PORTFOLIO MANAGEMENT TECHNOLOGY,TANG ERIC M P INC,4630 GEARY BLVD #304,,SAN FRANCISCO,CA,USA,94118,415-752-6981,,,,,,,,Approved,8/5/1996,2/2/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,11-25 percent,0 percent,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,Y,Y,Y,Y,Y,Y,N,Y,N,,,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119106,801-62835,THE MUTUAL FUND STORE,"TMFS - SPRINGFIELD, LLC","1835 E. REPUBLIC ROAD, STE. 104",,SPRINGFIELD,MO,UNITED STATES,65804,417-889-9997,417-889-7550,,,,,,,Approved,2/27/2004,2/2/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,600,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"92,235,898.00",0,"92,235,898.00","1,363",0,"1,363",Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,110650,801-50052,"CLARK FINANCIAL SERVICES GROUP, INC.",CLARK FINANCIAL SERVICES GROUP INC,14310 OLIVE BLVD,,CHESTERFIELD,MO,UNITED STATES,63017,314-469-5000,314-469-5525,,,,,,,Approved,9/18/1995,2/2/2010,Y,WWW.CLARKFIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"100,000,000.00",0,"100,000,000.00","1,530",0,"1,530",Y,Y,N,Y,Y,Y,Y,N,Y,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,112938,801-57065,"NOBLE CAPITAL MANAGEMENT, INC.","NOBLE CAPITAL MANAGEMENT, INC.",6501 CONGRESS AVENUE,SUITE 100,BOCA RATON,FL,UNITED STATES,33487,561-994-1191,561-994-5741,,,,,,,Approved,12/20/1999,10/20/2009,Y,NOBLEFINANCIALGROUP.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,FL,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"15,455,613.00",0,"15,455,613.00",73,0,73,N,Y,N,N,N,N,N,N,N,N,,51-100,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,Y
CHRO,152845,801-71095,"K.C. CAPITAL MANAGEMENT, INC.","K.C. CAPITAL MANAGEMENT, INC.",209 E 36TH ST.,UNIT#4,KANSAS CITY,MO,UNITED STATES,64111,859-583-9016,,,,,,,,Approved,2/23/2010,2/2/2010,Y,WWW.WEALTH-LAB.COM,N,N,N,N,Y,N,N,Y,N,Y,Y,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,Nov-50,0,10-Jan,0,More than 75 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,11-25 percent,0 percent,51-75 percent,0 percent,More than 75 percent,INTERNATIONAL AND DOMESTIC EQUITIES MARKET MAKING,Y,N,Y,Y,N,Y,N,,Y,"300,000.00","1,700,000.00","2,000,000.00",4,3,7,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,MUTUAL FUNDS,10-Jan,,N,Y,N,N,N,N,N,N,Y,COLLECTIVE2.COM VENDOR,Y,N,N,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106429,801-42331,KOCH ASSET MANAGEMENT,KOCH ASSET MANAGEMENT LLC,,,,,,,314-878-8774,314-878-1227,,,,,,,Approved,9/29/1992,2/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"41,415,620.00",0,"41,415,620.00",43,0,43,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,123021,801-61518,ALADDIN CAPITAL MANAGEMENT LLC,ALADDIN CAPITAL MANAGEMENT LLC,SIX LANDMARK SQUARE,,STAMFORD,CT,UNITED STATES,6901,203-487-6700,203-487-0907,,,,,,,Approved,10/9/2002,2/2/2010,Y,WWW.ALADDINCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,INVESTMENT OF ASSETS INTO SPONSORED PRODUCTS,Y,"11,012,790,887.00",0,"11,012,790,887.00",21,0,21,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED AND STRUCTURED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,153747,801-71465,"HUBER FINANCIAL ADVISORS, INC.","HUBER FINANCIAL ADVISORS, INC.",,,,,,,847-971-6961,847-541-6984,,,,,,,120-Day Approval,6/15/2010,5/14/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,104558,801-19737,SUMMIT GLOBAL MANAGEMENT INC.,SUMMIT GLOBAL MANAGEMENT INC.,9171 TOWNE CENTRE DRIVE,SUITE 465,SAN DIEGO,CA,UNITED STATES,92122,858-546-1777,858-546-8756,,,,,,,Approved,9/6/1983,2/2/2010,Y,WWW.SUMMITGLOBAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,10-Jun,0,0,0,10-Jun,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"615,216,358.00",0,"615,216,358.00",36,0,36,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT OF WATER ASSETS,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108048,801-57626,INTELLIGENT FINANCIAL STRATEGIES,"INTELLIGENT FINANCIAL STRATEGIES, LLC",7900 WEST 78TH STREET,SUITE 250,EDINA,MN,UNITED STATES,55439,952-941-2795,952-513-2048,,,,,,,Approved,5/31/2000,5/14/2010,Y,WWW.IFS-ADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"94,507,798.00","94,507,798.00",0,182,182,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,134231,801-64151,AUDA PRIVATE EQUITY LLC,AUDA PRIVATE EQUITY LLC,"888 7TH AVENUE, 41ST FLOOR",,NEW YORK,NY,UNITED STATES,10106,212-863-2300,212-593-2974,,,,,,,Approved,4/12/2005,5/14/2010,Y,WWW.AUDA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,MANAGED ACCOUNTS,Y,N,N,N,N,Y,Y,PERCENTAGE OF COMMITTED CAPITAL UNDER MANAGEMENT,Y,"3,618,666,151.00","531,808,400.00","4,150,474,551.00",26,7,33,N,Y,N,Y,N,Y,N,N,N,Y,PROVIDE PORTFOLIO MANAGEMENT SERVICES TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,143267,801-67746,STATE CAPITAL WEALTH MANAGEMENT INC,STATE CAPITAL WEALTH MANAGEMENT INC,"777 BRICKELL AVENUE, SUITE 1150",,MIAMI,FL,UNITED STATES,33131,305-392-0782,305-329-2538,,,,,,,Approved,4/11/2007,10/20/2009,Y,WWW.STATECAPITALONLINE.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,FL,UNITED STATES,5-Jan,0,0,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,NO ASSETS UNDER MANAGEMENT,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,NO ASSETS UNDER MANAGEMENT,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106643,801-27858,FINANCIAL ASSET MANAGEMENT CORP,FINANCIAL ASSET MANAGEMENT CORP,192 LEXINGTON AVE.,SUITE 902,NEW YORK,NY,USA,10016,212-239-7777,212-239-2020,,,,,,,Approved,8/22/1986,5/14/2010,Y,WWW.FAMCORPORATION.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"69,392,180.00","27,824,502.00","97,216,682.00",85,32,117,Y,Y,N,N,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,139363,801-66187,"MIDDLETON DICKINSON CAPITAL MANAGEMENT, LLC","MIDDLETON DICKINSON CAPITAL MANAGEMENT, LLC",200 SOUTH THIRD STREET,,GENEVA,IL,UNITED STATES,60134,630-232-2755,630-232-4199,,,,,,,Approved,2/21/2006,2/2/2010,Y,WWW.MDCAP.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"713,000,000.00",0,"713,000,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,137611,801-66331,"LONG-TERM SOLUTIONS, LLC","LONG-TERM SOLUTIONS, LLC",ONE EMBARCADERO CENTER,SUITE 2320,SAN FRANCISCO,CA,UNITED STATES,94111,415-321-2950,415-321-2960,268 BUSH STREET,NO. 2818,SAN FRANCISCO,CA,UNITED STATES,94104,Approved,4/14/2006,2/2/2010,Y,WWW.LONGTERMSOLUTIONS.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"109,330,000.00","71,500,000.00","180,830,000.00",150,101,251,Y,Y,N,N,N,Y,N,N,N,Y,POOLED INVESTMENT VEHICLES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,153558,801-71387,"ACCESS CAPITAL MANAGEMENT, LLC","ACCESS CAPITAL MANAGEMENT, LLC",6632 NW 39TH EXPRESSWAY,,BETHANY,OK,UNITED STATES,73008,405-491-0235,405-491-0400,,,,,,,Approved,4/29/2010,5/14/2010,Y,ACMOK.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,Y,Y,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,Y,Y,PROVIDES THIRD PARTY MONEY MANAGEMENT SERVICES TO OTHER INVESTMENT ADVISERS,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,150978,801-70495,"FUSION INVESTMENT GROUP, LLC","FUSION INVESTMENT GROUP, LLC",1001 CORPORATE DRIVE,SUITE 255,CANONSBURG,PA,UNITED STATES,15317,800-516-1165,866-728-1798,,,,,,,Approved,8/21/2009,5/14/2010,Y,WWW.FUSIONINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"14,709,968.00","10,491,311.00","25,201,279.00",35,1,36,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT PARTNERSHIPS.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111257,801-56362,NORTH POINT PORTFOLIO MANAGERS CORPORATION,NORTH POINT PORTFOLIO MANAGERS CORPORATION,5910 LANDERBROOK DR,SUITE 160,MAYFIELD HEIGHTS,OH,UNITED STATES,44124-6500,440-720-1100,440-720-1101,,,,,,,Approved,3/29/1999,2/3/2010,Y,NPPMCORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,ENDOWMENT FUND(S),Y,N,N,N,N,N,N,,Y,"374,620,929.00","2,267,672.00","376,888,601.00",457,24,481,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,114733,801-64600,"CHERRY HILLS INVESTMENT ADVISORS, LLC","CHERRY HILLS INVESTMENT ADVISORS, LLC",8400 EAST PRENTICE AVENUE,SUITE 1010,GREENWOOD VILLAGE,CO,UNITED STATES,80111,303-703-4560,303-703-4562,,,,,,,Approved,8/18/2005,5/14/2010,Y,WWW.CHERRYHILLSADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"83,000,000.00","527,000.00","83,527,000.00",822,5,827,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,120270,801-61122,"CURIAN CAPITAL, LLC","CURIAN CAPITAL, LLC",7601 TECHNOLOGY WAY,,DENVER,CO,UNITED STATES,80237,720-489-6400,720-489-6597,,,,,,,Approved,5/21/2002,5/14/2010,Y,WWW.CURIAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,51-250,0,10-Jun,0,5-Jan,0,501-1000,0,More than 500,"32,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,639,342,422.00",0,"3,639,342,422.00","35,614",0,"35,614",N,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,39056,801-67010,JESUP & LAMONT SECURITIES CORP.,JESUP & LAMONT SECURITIES CORP.,"623 5TH AVENUE, 17TH FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-307-2660,212-757-7478,,,,,,,Approved,7/26/2006,5/14/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,251-500,0,51-75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"26,000,000.00",0,"26,000,000.00",250,0,250,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,Y,Y,Y,N,N,N,Y,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
CHRO,137442,801-65300,"STARK & ROTH, INC.","STARK & ROTH, INC.",3600 SOUTH LAKE DRIVE,,ST. FRANCIS,WI,USA,53235-3716,414-294-7000,414-294-7700,,,,,,,Approved,1/23/2006,5/14/2010,Y,WWW.STARKINVESTMENTS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,51-250,0,51-250,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"4,927,235,228.00",0,"4,927,235,228.00",34,0,34,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
SFRO,119490,801-62632,"PGR SOLUTIONS, LLC","PGR SOLUTIONS, LLC",51 E. CAMPBELL AVE.,SUITE 124,CAMPBELL,CA,UNITED STATES,95008,(408) 871-1590,866-294-7650,,,,,,,Approved,1/2/2004,5/14/2010,Y,WWW.PGRSOLUTIONS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"225,247,247.00","225,247,247.00",0,"1,119","1,119",Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,149040,801-69915,SOVEREIGN INVESTMENT ADVISORS LLC,SOVEREIGN INVESTMENT ADVISORS LLC,"4505 E. CHANDLER BLVD, STE 100",,PHOENIX,AZ,UNITED STATES,85048,480-385-2850,480-385-2855,,,,,,,Approved,2/19/2009,5/14/2010,Y,WWW.SOVEREIGNFINANCE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,NATIVE AMERICAN INDIAN TRIBES AND TRIBAL ENTITIES AND TAFT-HARTLEY PLANS,Y,Y,N,Y,N,N,N,,Y,"60,247,484.00","345,131,898.00","405,379,382.00",128,51,179,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,144244,801-68067,"NAVY FEDERAL ASSET MANAGEMENT, LLC","NAVY FEDERAL ASSET MANAGEMENT, LLC",12851 WORLDGATE DRIVE,,HERNDON,VA,UNITED STATES,20170,877-221-8108,703-332-0424,,,,,,,Approved,6/21/2007,2/22/2010,Y,WWW.NAVYFEDERAL.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,More than 500,665,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"65,232,956.00",0,"65,232,956.00",665,0,665,Y,Y,N,Y,N,Y,N,N,N,N,,More than 500,550,Y,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,132136,801-63553,CURRAN INVESTMENT MANAGEMENT,"CIM, LLC","30 S. PEARL STREET, 9TH FLOOR",,ALBANY,NY,UNITED STATES,12207,518-391-4200,518-391-4242,,,,,,,Approved,10/13/2004,8/30/2010,Y,WWW.CURRANLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,Y,WRAP FEE,Y,"188,922,060.00","22,241,474.00","211,163,534.00",584,79,663,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,51-100,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
CHRO,108654,801-54965,"GROSVENOR CAPITAL MANAGEMENT, L.P.","GROSVENOR CAPITAL MANAGEMENT, L.P.","900 NORTH MICHIGAN AVENUE, SUITE 1100",,CHICAGO,IL,USA,60611,312-506-6500,312-506-6888,,,,,,,Approved,10/17/1997,8/30/2010,Y,WWW.GROSVENORCAPITALMANAGEMENT.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,IL,UNITED STATES,51-250,0,Nov-50,0,51-250,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,Y,PERCENTAGE OF AMOUNT OF INVESTMENT,Y,"21,364,781,046.00","1,240,979,062.00","22,605,760,108.00",77,4,81,N,N,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR UNREGISTERED INVESTMENT COMPANIES,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,134911,801-64533,COOK PINE CAPITAL LLC,COOK PINE CAPITAL LLC,73 ARCH STREET,SECOND FLOOR,GREENWICH,CT,UNITED STATES,6830,203-861-2930,203-861-2931,,,,,,,Approved,7/25/2005,2/22/2010,Y,WWW.COOKPINECAPITAL.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"61,283,225.00","81,507,208.00","142,790,433.00",3,3,6,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,131645,801-68658,"ALPHA INVESTMENT ADVISORS, INC.","ALPHA INVESTMENT ADVISORS, INC.",,,,,,,508-668-2664,508-668-2663,,,,,,,Approved,1/2/2008,2/22/2010,Y,WWW.ALPHAADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"41,858,791.00",0,"41,858,791.00",27,0,27,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110913,801-47317,"WILLIAM H. EDWARDS, PROPRIETORSHIP",EDWARDS WILLIAM HENRY,,,,,,,905-278-0718,,,,,,,,Approved,10/7/1994,8/30/2010,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,,CANADA,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,000,000.00",0,"3,000,000.00",6,0,6,N,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,148615,801-70744,NATIONAL REAL ESTATE ADVISORS,NATIONAL REAL ESTATE ADVISORS LLC,"900 SEVENTH STREET, N.W.",9TH FLOOR; SUITE 900,WASHINGTON,DC,UNITED STATES,20001-4090,202-496-3370,202-467-0903,,,,,,,Approved,10/26/2009,2/22/2010,Y,WWW.NATADVISORS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DC,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,N,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,112100,801-56954,"CMG ADVISORS, INC.","CMG ADVISORS, INC.",150 N. RADNOR CHESTER ROAD,SUITE A150,RADNOR,PA,UNITED STATES,19087,610-989-9090,610-989-9092,,,,,,,Approved,11/5/1999,2/22/2010,Y,WWW.CMGFUNDS.NET,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,864,574.00",0,"3,864,574.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,136246,801-65297,"PACIFIC EDGE INVESTMENT MANAGEMENT, LLC","PACIFIC EDGE INVESTMENT MANAGEMENT, LLC",800 W EL CAMINO REAL,SUITE 180,MOUNTAIN VIEW,CA,UNITED STATES,94040,650-325-3343,650-325-3398,,,,,,,Approved,1/13/2006,8/30/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,PERFORMANCE BASED ALLOCATIONS FROM LIMITED PARTNERSHIP CLIENTS,Y,"6,900,000.00",0,"6,900,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,153269,801-71332,STRATEGIC CAPITAL ALTERNATIVES,"STRATEGIC CAPITAL ALTERNATIVES, LLC",7191 WAGNER WAY NW,SUITE 302,GIG HARBOR,WA,UNITED STATES,98335,253-853-4900,253-851-8819,,,,,,,Approved,5/5/2010,8/30/2010,Y,SCA-3.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"30,156,107.00",0,"30,156,107.00",40,0,40,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
HQ,128221,801-62340,VAN BERKOM AND ASSOCIATES INC.,VAN BERKOM AND ASSOCIATES INC.,1130 SHERBROOKE STREET WEST,SUITE 1005,"MONTREAL, QUEBEC",,CANADA,H3A 2M8,514-985-5759,514-985-2430,,,,,,,Approved,9/4/2003,8/30/2010,Y,WWW.VBASSOCIATES.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110263,801-42861,"EVART, YOUNG & HOBBS INVESTMENT MANAGEMENT",EVART LEO H INC,3 LAGOON DRIVE,SUITE 155,REDWOOD CITY,CA,UNITED STATES,94065,650-802-0342,650-802-0357,,,,,,,Approved,12/9/1992,8/30/2010,Y,WWW.EYHADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"65,783,329.00",0,"65,783,329.00",235,0,235,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110709,801-20784,"ASSET & FINANCIAL PLANNING, LTD","ASSET & FINANCIAL PLANNING, LTD",11 RAYMOND AVENUE,,POUGHKEEPSIE,NY,UNITED STATES,12603,845-485-3338,845-485-2683,,,,,,,Approved,3/6/1984,8/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,"4,230",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"461,801,345.00","461,801,345.00",0,"4,221","4,221",Y,Y,N,N,N,Y,N,N,Y,N,,25-Nov,,Y,N,N,Y,N,N,Y,N,N,,N,,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,N,N,N,N
SFRO,6082,801-10299,PROTECTED INVESTORS OF AMERICA,PROTECTED INVESTORS OF AMERICA,235 MONTGOMERY STREET,SUITE 1050,SAN FRANCISCO,CA,UNITED STATES,94104,415-398-4363,415-398-6789,,,,,,,Approved,11/20/1974,8/30/2010,Y,WWW.PROTECTEDINVESTORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"7,812,709.00","269,377,748.00","277,190,457.00",24,861,885,Y,Y,N,N,N,Y,N,N,N,N,,251-500,,N,N,Y,N,N,N,Y,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,112506,801-60571,"FOX FINANCIAL SERVICES, INC.","FOX FINANCIAL SERVICES, INC.","5 WALLER AVENUE, SUITE 305",,WHITE PLAINS,NY,USA,10601,914-761-1639,914-761-1659,,,,,,,Approved,9/12/2001,2/22/2010,Y,WWW.FOXFINANCIALSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"47,444,221.00",0,"47,444,221.00",247,0,247,Y,Y,N,N,N,N,N,N,N,Y,CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,133543,801-64050,RAIFFEISEN KAPITALANLAGE-GESELLSCHAFT M.B.H.,RAIFFEISEN KAPITALANLAGE-GESELLSCHAFT M.B.H.,"3, SCHWARZENBERGPLATZ",,VIENNA,,AUSTRIA,1030,+43 1 71170 1306,+43 171170 76 1306,,,,,,,Approved,8/12/2005,8/30/2010,Y,WWW.RCM.AT,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,,AUSTRIA,51-250,0,Nov-50,0,0,0,0,0,101-250,0,0 percent,Up to 10 percent,11-25 percent,26-50 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,Y,N,N,Y,N,,Y,"36,928,453,400.00",0,"36,928,453,400.00",381,0,381,N,Y,Y,Y,Y,N,N,N,N,Y,"MANAGEMENT OF MUTUAL FUNDS, CONSULTATION OVER THE INVESTMENT OF ASSETS",0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,130138,801-62888,"GENWORTH FINANCIAL INVESTMENT MANAGEMENT, LLC","GENWORTH FINANCIAL INVESTMENT MANAGEMENT, LLC",3001 SUMMER STREET,2ND FLOOR,STAMFORD,CT,USA,6905,203-708-3511,866-745-4476,,,,,,,Approved,3/15/2004,8/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,299,015,131.00",0,"2,299,015,131.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,131567,801-63449,"CMG INVESTMENT ADVISORS,LLC","CMG INVESTMENT ADVISORS,LLC",150 N. RADNOR-CHESTER ROAD,SUITE A150,RADNOR,PA,UNITED STATES,19087,610-989-9090,610-989-9092,,,,,,,Approved,8/23/2004,2/22/2010,Y,WWW.CMGFUNDS.NET,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"971,559.00",0,"971,559.00",1,0,1,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108131,801-56034,MERIDIAN CAPITAL MANAGEMENT INC,MERIDIAN CAPITAL MANAGEMENT INC,3010 OLD RANCH PARKWAY,SUITE 460,SEAL BEACH,CA,UNITED STATES,90740,562-594-5670,562-684-0857,,,,,,,Approved,11/18/1998,8/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"69,839,000.00","10,242,000.00","80,081,000.00",265,126,391,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106951,801-10188,HOWARD CAPITAL MANAGEMENT,"HOWARD CAPITAL MANAGEMENT, INC.",11601 WILSHIRE BLVD,STE 2080,LOS ANGELES,CA,UNITED STATES,90025-1766,310 473-9100,310 473-7200,,,,,,,Approved,8/27/1974,8/30/2010,Y,WWW.HOWARDCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"629,439,000.00","56,000.00","629,495,000.00",909,5,914,N,Y,N,N,N,N,N,N,N,Y,401K ADVISORY SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,129051,801-67372,"FIDUCIARY SERVICES, INC.","FIDUCIARY SERVICES, INC.",,,,,,,415-482-9513,415-276-1736,369-B THIRD STREET,#543,SAN RAFAEL,CA,USA,94901,Approved,1/5/2007,2/22/2010,Y,WWW.FISERVINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"122,866,250.00",0,"122,866,250.00",16,0,16,Y,Y,N,Y,Y,N,N,N,N,Y,INDEPENDENT FIDUCIARY SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,144875,801-68289,GINSBURG FINANCIAL ADVISORS,"GINSBURG FINANCIAL ADVISORS, INC.",6201 MEDAU PLACE,SUITE 101,OAKLAND,CA,UNITED STATES,94611,(510) 339-3933,(510) 339-1611,,,,,,,Approved,8/30/2007,2/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"144,000,000.00","144,000,000.00",0,758,758,Y,Y,N,Y,N,N,Y,N,N,Y,EXPERT WITNESS SERVICE,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,5685,801-52208,PRUDENTIAL FINANCIAL PLANNING SERVICES,"PRUCO SECURITIES, LLC",751 BROAD STREET,,NEWARK,NJ,USA,07102-3777,973-802-2204,973-367-8508,,,,,,,Approved,6/28/1996,8/30/2010,Y,WWW.PRUDENTIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,More than 1000,"1,000",More than 1000,"1,000",More than 1000,"1,000",0,0,More than 500,"27,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"398,456,000.00","1,963,754,000.00","2,362,210,000.00","1,240","25,244","26,484",Y,Y,N,Y,N,Y,N,N,N,N,,More than 500,1000,Y,N,Y,N,N,N,N,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,,N,N,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,N,Y,Y
DRO,115755,801-60589,"RYAN INVESTMENT MANAGEMENT, INC.","RYAN INVESTMENT MANAGEMENT, INC.",720 E. HYMAN AVE.,SUITE 201,ASPEN,CO,UNITED STATES,81611,970-429-1100,970-925-6388,,,,,,,Approved,3/14/2003,2/22/2010,Y,WWW.RYANINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"102,005,471.00",0,"102,005,471.00",148,0,148,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,116303,801-69101,"MAIN STREET ADVISORS, LLC","MAIN STREET ADVISORS, LLC",1407 MAIN STREET,,HAYS,KS,UNITED STATES,67601,785-625-5601,785-625-8408,1407 MAIN STREET,P.O. BOX 835,HAYS,KS,UNITED STATES,67601,Approved,5/5/2008,8/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,Y,Y,N,N,N,,Y,"31,585,060.00",0,"31,585,060.00",589,0,589,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N
SFRO,135682,801-64366,"ELM ADVISORS, LLC","ELM ADVISORS, LLC",1860 EL CAMINO REAL,SUITE 200,BURLINGAME,CA,UNITED STATES,94010,650-697-3013,650-697-3003,,,,,,,Approved,6/3/2005,2/22/2010,Y,WWW.ELMADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"138,991,726.00","44,707,995.00","183,699,721.00",304,109,413,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153968,801-71515,MCC ADVISORS LLC,MCC ADVISORS LLC,375 PARK AVENUE,SUITE 3304,NEW YORK,NY,UNITED STATES,10152,212-759-0777,212-759-0091,,,,,,,120-Day Approval,6/9/2010,8/30/2010,Y,WWW.MEDLEYCAPITAL.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,"UPON REGISTRATION, ADVISER WILL PROVIDE ADVISORY SERVICES TO A REGISTERED INVESTMENT COMPANY.",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110180,801-57459,EXECUTIVE FINANCIAL SERVICES INC,EXECUTIVE FINANCIAL SERVICES INC,33133 SCHOOLCRAFT RD,,LIVONIA,MI,UNITED STATES,48150,734-427-2030,734-427-3004,,,,,,,Approved,4/10/2000,2/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"62,318,816.00","2,877,422.00","65,196,238.00",140,10,150,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106279,801-45623,TREND DYNAMICS INC,TREND DYNAMICS INC,,,,,,,216-292-8144,216-595-1503,"2000 AUBURN DRIVE, SUITE 200",,BEACHWOOD,OH,UNITED STATES,44122-5413,Approved,2/1/1994,2/22/2010,Y,WWW.TRENDDYNAMICS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,Y,N,N,N,N,,Y,"29,470,087.00","2,654,784.00","32,124,871.00",56,7,63,N,Y,N,N,Y,N,N,N,N,Y,PROPRIETARY SOFTWARE SERVICE,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110964,801-15612,MAYFIELD ASSOCIATES,MAYFIELD ASSOCIATES,444 S. FLOWER STREET,SUITE 2340,LOS ANGELES,CA,UNITED STATES,90071,213-362-0900,213-623-8661,,,,,,,Approved,11/10/1980,8/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"17,772,262.00","23,560,334.00","41,332,596.00",18,2,20,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143588,801-67966,"VERIS WEALTH PARTNERS, LLC","VERIS WEALTH PARTNERS, LLC",90 BROAD STREET,24TH FLOOR,NEW YORK,NY,UNITED STATES,10004,(212) 349-4172,(212) 346-0084,,,,,,,Approved,6/8/2007,8/30/2010,Y,WWW.VERISWP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"272,181,245.00","197,958,439.00","470,139,684.00","1,128",58,"1,186",Y,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT CONSULTING,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,114802,801-64110,GNI CAPITAL INC.,GNI CAPITAL INC.,124 VERDAE BLVD,SUITE 504,GREENVILLE,SC,UNITED STATES,29607,864-288-4221,864-288-5218,,,,,,,Approved,4/29/2005,8/30/2010,Y,WWW.GNICAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,SC,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"68,715,042.00","542,957.00","69,257,999.00",132,8,140,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106029,801-40244,SULLIVAN & SERWITZ,SULLIVAN & SERWITZ INVESTMENT ADVISORS INC,779 ALTOS OAKS DRIVE,,LOS ALTOS,CA,USA,94024,650-949-2221,650-949-1333,,,,,,,Approved,12/4/1991,2/22/2010,Y,WWW.SULLIVANSERWITZ.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,Y,Y,N,Y,N,,Y,0,"463,276,827.00","463,276,827.00",0,616,616,Y,Y,N,N,N,Y,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,147160,801-69166,"LEGACY FAMILY OFFICE, LLC","LEGACY FAMILY OFFICE, LLC",8890 SALROSE LANE,SUITE 218,FT MYERS,FL,UNITED STATES,33912,239-261-9612,239-261-9613,780 5TH AVE. SOUTH,SUITE 200,NAPLES,FL,UNITED STATES,34102,Approved,5/22/2008,8/30/2010,Y,WWW.LEGACYFAMILYOFFICE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,"39,181,076.00","39,181,076.00",0,75,75,Y,Y,N,Y,N,Y,N,N,N,Y,FAMILY OFFICE SERVICES;EDUCATIONAL SERVICES TO PLAN PARTICIPANTS,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146118,801-70557,"MAIN STREET FINANCIAL SOLUTIONS, LLC","MAIN STREET FINANCIAL SOLUTIONS, LLC",21 ROUTE 31 NORTH,SUITE A7,PENNINGTON,NJ,UNITED STATES,8534,609-730-9222,609-730-9330,,,,,,,Approved,9/3/2009,8/30/2010,Y,MSFSOLUTIONS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"30,441,063.00","30,441,063.00",0,151,151,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,148457,801-69628,"BRIGHTON WEALTH MANAGEMENT, INC.","BRIGHTON WEALTH MANAGEMENT, INC.",480 E. 6400 S.,SUITE #130,MURRAY,UT,UNITED STATES,84107,801-261-1611,801-261-3707,,,,,,,Approved,9/25/2008,2/22/2010,Y,WWW.BRIGHTONWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"30,727,123.00","4,075,290.00","34,802,413.00",99,14,113,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153588,801-71609,"PRAIRIE CAPITAL MANAGEMENT, LLC","PRAIRIE CAPITAL MANAGEMENT, LLC",4801 MAIN STREET,SUITE 520,KANSAS CITY,MO,UNITED STATES,64112,816-531-1101,816-283-5386,,,,,,,Approved,7/9/2010,8/30/2010,Y,WWW.PRAIRIECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,10-Jun,0,251-500,0,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"559,961,926.00","1,771,721,972.00","2,331,683,898.00",110,"1,308","1,418",N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,121527,801-61704,COPELAND WEALTH MANAGEMENT,COPELAND WEALTH MANAGEMENT,25809 BUSINESS CENTER DRIVE,SUITE F,REDLANDS,CA,UNITED STATES,92374,909-799-8565,909-799-8566,,,,,,,Approved,1/13/2003,8/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"140,800,000.00","100,000.00","140,900,000.00",623,2,625,Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,Y,N,N,Y,Y,Y,N,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
SFRO,108383,801-56417,BELL INVESTMENT ADVISORS INC,BELL INVESTMENT ADVISORS INC,1111 BROADWAY,SUITE 1630,OAKLAND,CA,UNITED STATES,94607-4007,510-433-1066,510-433-1067,,,,,,,Approved,4/12/1999,2/22/2010,Y,WWW.BELLINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,More than 500,500,26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,INVESTMENT COMPANY MANAGEMENT FEES,Y,"390,884,637.00","3,943,418.00","394,828,055.00","1,079",7,"1,086",Y,Y,Y,Y,N,N,N,N,N,Y,CAREER COUNSELING,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153329,801-71703,"360 GLOBAL CAPITAL, LLC","360 GLOBAL CAPITAL, LLC",529 FIFTH AVE,8TH FL,NEW YORK,NY,UNITED STATES,10017,212-946-3540,212-946-3541,,,,,,,Approved,7/29/2010,8/30/2010,Y,WWW.360GLOBALCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"166,121,619.00",0,"166,121,619.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT OF PRIVATE INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105570,801-34586,INSIGHT CAPITAL RESEARCH & MANAGEMENT INC,INSIGHT CAPITAL RESEARCH & MANAGEMENT INC,2121 NORTH CALIFORNIA BLVD,SUITE 560,WALNUT CREEK,CA,UNITED STATES,94596,925-948-2000,925-946-4038,,,,,,,Approved,6/8/1989,8/30/2010,Y,WWW.ICRM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,More than 500,"1,000",51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,WRAP FEE PROGRAMS,Y,N,N,N,N,N,N,,Y,"579,034,766.00","20,071,694.00","599,106,460.00",836,37,873,N,Y,N,Y,N,N,N,N,N,Y,WRAP FEE PROGRAMS,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,149508,801-69972,KLEIN FINANCIAL CORP.,KLEIN FINANCIAL CORP.,27 EAST MERRICK ROAD,,VALLEY STREAM,NY,UNITED STATES,11580,516-256-2000,516-256-2001,,,,,,,Approved,3/10/2009,8/30/2010,Y,WWW.KLEINFS.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"45,100,000.00",0,"45,100,000.00",300,0,300,Y,Y,N,Y,N,Y,N,N,N,Y,BUSINESS CONSULTING,10-Jan,,Y,Y,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,115753,801-63693,"BONDSTREET WEALTH MANAGEMENT, LLC","BONDSTREET WEALTH MANAGEMENT, LLC","2911 BOND ST, SUITE 105",,EVERETT,WA,UNITED STATES,98201,425-212-3777,425-252-4779,,,,,,,Approved,1/3/2005,8/30/2010,Y,WWW.BONDSTREETWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"125,736,830.00",0,"125,736,830.00",950,0,950,Y,Y,N,Y,Y,N,N,N,N,Y,INVESTMENT ADVISORY MANAGEMENT OF PRIVATE PLACEMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,132043,801-64939,"PREMIER FINANCIAL PARTNERS, LLC","PREMIER FINANCIAL PARTNERS, LLC",12655 OLIVE BLVD.,SUITE 300,ST. LOUIS,MO,UNITED STATES,63141-6343,314-576-1166,314-576-7291,,,,,,,Approved,11/25/2005,8/30/2010,Y,WWW.PREMIERFN.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,MO,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,25-Nov,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,Y,CONSULTING SERVICES,25-Nov,,N,N,N,Y,N,N,Y,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,116265,801-60778,MERIDIAN,"MERIDIAN MANAGEMENT, INC.",13520 CALIFORNIA STREET,SUITE 200,OMAHA,NE,UNITED STATES,68154,402-342- 1400,402-342-0444,,,,,,,Approved,12/17/2001,8/30/2010,Y,WWW.MERIDIANMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"75,429,643.00",0,"75,429,643.00",261,0,261,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,110198,801-56776,"TRUENORTH, INC.","TRUENORTH, INC.",8200 EAST 32ND STREET NORTH,SUITE 100,WICHITA,KS,UNITED STATES,67226,316-266-6574,316-266-6570,,,,,,,Approved,9/13/1999,8/30/2010,Y,HTTP://WWW.TRUENORTHCORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,KS,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"270,157,516.00","27,926,682.00","298,084,198.00",292,6,298,Y,Y,N,Y,Y,Y,N,N,N,Y,INVESTMENT CONSULTING SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,123560,801-62505,CONRAD SIEGEL INVESTMENT ADVISORS,"CONRAD SIEGEL INVESTMENT ADVISORS, INC.",501 CORPORATE CIRCLE,,HARRISBURG,PA,UNITED STATES,17110,(717)652-5633,(717)540-9106,,,,,,,Approved,11/14/2003,8/30/2010,Y,WWW.CONRADSIEGEL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,11-25 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"24,282,850.00","471,196,544.00","495,479,394.00",29,93,122,Y,Y,N,Y,Y,N,Y,N,N,Y,401(K) PARTICIPANT CONSULTING AND EDUCATIONAL SERVICES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,16986,801-58015,THE HUNTINGTON INVESTMENT COMPANY,THE HUNTINGTON INVESTMENT COMPANY,41 SOUTH HIGH STREET,,COLUMBUS,OH,UNITED STATES,43215,800.322.4600,877-369-0618,,,,,,,Approved,10/6/2000,8/30/2010,Y,HTTPS://WWW.HUNTINGTON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,251-500,0,51-250,0,51-250,0,0,0,More than 500,"1,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,0,"224,954,585.00","224,954,585.00",0,"1,573","1,573",Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,Y,N,Y,N,N,N,Y,N,N,,N,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N
BRO,117480,801-68635,"BRADWAY FINANCIAL, LLC","BRADWAY FINANCIAL, LLC",,,,,,,800-725-1622,800-734-8320,,,,,,,Approved,1/2/2008,2/22/2010,Y,WWW.BRADWAYFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"99,755,638.00",0,"99,755,638.00",768,0,768,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105292,801-25400,DITZLER & COMPANY,DITZLER HUGH WICKHAM JR,,,,,,,510-548-5903,510-548-5903,6114 LASALLE AVE PMB 443,,OAKLAND,CA,UNITED STATES,94611-2802,Approved,10/3/1985,2/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"34,100,000.00","15,100,000.00","49,200,000.00",28,5,33,N,Y,N,N,N,N,N,N,N,Y,OCCASIONAL CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,131658,801-63295,"NEW CAPITAL MANAGEMENT, LP","NEW CAPITAL MANAGEMENT, LP",,,,,,,713-874-1444,888-220-8580,,,,,,,Approved,7/9/2004,2/22/2010,Y,WWW.NEWCAPITALMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,AGREED UPON OUT OF POCKET EXPENSES,Y,"50,000,000.00","50,000,000.00","100,000,000.00",100,100,200,Y,Y,N,Y,N,Y,Y,N,N,Y,LIFE PLANNING SERVICES,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138390,801-70569,"METROPOLITAN CAPITAL PARTNERS III, L.P.","METROPOLITAN CAPITAL PARTNERS III, L.P.",660 MADISON AVENUE,18TH FLOOR,NEW YORK,NY,UNITED STATES,10065,212-486-8100,212-486-8141,,,,,,,Approved,9/25/2009,10/21/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"34,973,805.00",0,"34,973,805.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES TO A PRIVATE INVESTMENT FUND,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119902,801-67163,"SPRENG CAPITAL MANAGEMENT, INC.","SPRENG CAPITAL MANAGEMENT, INC.",201 SOUTH SANDUSKY AVENUE,,BUCYRUS,OH,UNITED STATES,44820,419-563-0084,419-563-0234,BOX 47,,BUCYRUS,OH,UNITED STATES,44820-0047,Approved,9/20/2006,8/30/2010,Y,WWW.SPRENGCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"43,597,925.00",0,"43,597,925.00",702,0,702,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,7754,801-30987,"BENJAMIN SECURITIES, INC.","BENJAMIN SECURITIES, INC.",378 SOUTH OYSTER BAY ROAD,,HICKSVILLE,NY,USA,11801,516-931-1090,516-931-2153,,,,,,,Approved,12/24/1987,10/21/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,TRUSTEE FOR TRUSTS,Y,N,N,N,Y,N,N,,Y,0,"42,415,206.00","42,415,206.00",0,"2,682","2,682",Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
NYRO,138389,801-70568,"METROPOLITAN CAPITAL PARTNERS II, L.P.","METROPOLITAN CAPITAL PARTNERS II, L.P.",660 MADISON AVENUE,18TH FLOOR,NEW YORK,NY,UNITED STATES,10065,212-486-8100,212-486-8141,,,,,,,Approved,9/25/2009,10/21/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,TWO MANAGED ACCOUNT,Y,N,N,N,N,Y,N,,Y,"42,960,874.00",0,"42,960,874.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES TO PRIVATE INVESTMENT FUNDS AND A MANAGED ACCOUNT,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107660,801-50387,WOODLEY FARRA,WOODLEY FARRA MANION PORTFOLIO MANAGEMENT INC,ONE INDIANA SQUARE STE 2254,,INDIANAPOLIS,IN,UNITED STATES,46204,317-269-0224,317-269-0227,,,,,,,Approved,10/18/1995,8/30/2010,Y,WWW.WOODLEYFARRA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,More than 500,500,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"362,526,807.00","16,144,223.00","378,671,030.00",499,4,503,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138387,801-70570,"METROPOLITAN CAPITAL PARTNERS IV, LP","METROPOLITAN CAPITAL PARTNERS IV, LP",660 MADISON AVENUE,18TH FLOOR,NEW YORK,NY,UNITED STATES,10065,212-486-8100,212-486-8141,,,,,,,Approved,9/25/2009,10/21/2009,Y,WWW.METROCAP.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,"57,083,315.00",0,"57,083,315.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES TO A PRIVATE INVESTMENT FUND,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151093,801-70561,METROPOLITAN CAPITAL ADVISORS,"METROPOLITAN CAPITAL SELECT, LLC",660 MADISON AVENUE,18TH FLOOR,NEW YORK,NY,UNITED STATES,10065,212-486-8100,212-486-8141,,,,,,,Approved,9/16/2009,10/21/2009,Y,WWW.METROCAP.NET,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,"8,668,428.00",0,"8,668,428.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISORY SERVICES TO A PRIVATE INVETSMENT FUND,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,127618,801-68524,LEXINGTON INVESTMENT COUNSEL,"LEXINGTON INVESTMENT COUNSEL, LLC",1651 N. CLYDE MORRIS BLVD.,SUITE 1,DAYTONA BEACH,FL,UNITED STATES,32117,386-274-2533,866-698-5945,,,,,,,Approved,11/20/2007,8/30/2010,Y,WWW.INVESTLIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"32,203,704.00","6,541,959.00","38,745,663.00",98,19,117,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTING SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106350,801-43489,RYDEX INVESTMENTS,"RYDEX ADVISORS, LLC",9601 BLACKWELL ROAD,STE 500,ROCKVILLE,MD,UNITED STATES,20850,301-296-5100,301-296-5108,,,,,,,Approved,2/10/1993,8/30/2010,Y,WWW.RYDEXFUNDSFP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"8,759,491,352.00",0,"8,759,491,352.00",63,0,63,N,N,Y,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105003,801-34803,FIERSTON FINANCIAL GROUP INC,FIERSTON FINANCIAL GROUP INC,29 SOUTH MAIN ST,SUITE 302,WEST HARTFORD,CT,USA,6107,860-521-2100,860-521-0585,,,,,,,Approved,7/14/1989,7/1/2010,Y,WWW.FIERSTON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"389,435,539.00",0,"389,435,539.00",746,0,746,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110729,801-21341,COOKSONPEIRCE,COOKSON PEIRCE & CO INC,"555 GRANT STREET, SUITE 380",,PITTSBURGH,PA,UNITED STATES,15219-4421,412-471-5320,412-471-4563,,,,,,,Approved,5/23/1984,7/1/2010,Y,WWW.COOKSONPEIRCE.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"380,261,141.00",0,"380,261,141.00",557,0,557,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,117869,801-60747,GFTA ANALYTICS LTD.,GFTA ANALYTICS LTD.,"208 LAGOON COURT, OLDE TOWNE SANDYPORT",PO BOX N4927,NASSAU,,BAHAMAS,,242-327-4235,242-327-4237,P.O. BOX N-4927,,NASSAU,,BAHAMAS,,Approved,12/12/2001,1/25/2010,Y,WWW.GFTA-ANALYTICS.COM,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"BAHAMAS, THE",5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,N,N,N,N,N,Y,N,,Y,"250,000,000.00",0,"250,000,000.00",2,0,2,N,N,N,Y,N,N,N,N,Y,N,,0,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,125910,801-62035,"COBIZ INVESTMENT MANAGEMENT, LLC.","COBIZ INVESTMENT MANAGEMENT, LLC.",1099 18TH STREET,SUITE 2810,DENVER,CO,UNITED STATES,80202-1942,303-298-1858,303-292-2966,,,,,,,Approved,4/1/2003,7/1/2010,Y,WWW.COBIZWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,TAFT-HARTLEY PLAN,Y,Y,N,N,N,N,N,,Y,"601,701,232.00","633,067,184.00","1,234,768,416.00",888,43,931,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,Y,N,N,Y,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,138238,801-65172,"CENTAUR INTERNATIONAL MANAGEMENT COMPANY, LLC","CENTAUR INTERNATIONAL MANAGEMENT COMPANY, LLC",500 WEST PUTNAM AVENUE,,GREENWICH,CT,UNITED STATES,06830-6086,203-618-3400,203-618-3402,,,,,,,Approved,1/18/2006,7/1/2010,Y,WWW.CENTAURFUNDS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,0,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,143788,801-67887,MILLER FINANCIAL SERVICES LLC,MILLER FINANCIAL SERVICES LLC,801 W. MICHIGAN AVENUE,,MARSHALL,MI,USA,49068,269-781-5129,269-781-9040,,,,,,,Approved,5/3/2007,7/1/2010,Y,WWW.MILLERFINANCIALPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"33,191,432.00",0,"33,191,432.00",365,0,365,Y,Y,N,Y,Y,N,N,N,N,Y,INSURANCE-RELATED SERVICES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,154178,801-71663,"JOSEPH FINANCIAL OF SMITHTOWN, LLC","JOSEPH FINANCIAL OF SMITHTOWN, LLC",2450 NORTH CITRUS HILLS BOULEVARD,,HERNANDO,FL,UNITED STATES,34442,352-746-4460,352-746-0816,,,,,,,Approved,7/20/2010,7/1/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,140389,801-67849,"PATRICIA A. HEATH & ASSOCIATES, INC.","P.A. HEATH & ASSOCIATES, INC.",400 CENTRAL AVENUE,SUITE 100/120,NORTHFIELD,IL,USA,60093,847-446-9920,847-446-9980,,,,,,,Approved,5/1/2007,1/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"39,630,014.00","3,726,206.00","43,356,220.00",230,5,235,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,8361,801-70276,"EURO PACIFIC CAPITAL, INC.","EURO PACIFIC CAPITAL, INC.","88 POST ROAD WEST, 3RD FLOOR",,WESTPORT,CT,UNITED STATES,6880,203-662-9700,203-662-9771,1201 DOVE STREET #200,,NEWPORT BEACH,CA,UNITED STATES,92660,Approved,6/15/2009,7/1/2010,Y,WWW.EUROPAC.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,101-250,0,11-25 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"58,849,485.00","10,295,000.00","69,144,485.00",152,1,153,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,Y,N,N,N,N,N,Y,PERTH MINT CERTIFICATE PROGRAM,N,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
CHRO,131804,801-63242,R.T. JONES CAPITAL EQUITIES MANAGEMENT INC.,R.T. JONES CAPITAL EQUITIES MANAGEMENT INC.,8151 CLAYTON ROAD,SUITE 300,ST. LOUIS,MO,UNITED STATES,63117,314-783-5000,314-783-5015,,,,,,,Approved,7/9/2004,7/1/2010,Y,WWW.ARTESYSONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,Nov-50,0,More than 500,500,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,ENDOWMENT ACCOUNTS,Y,N,N,N,N,N,N,,Y,"77,276,187.00",0,"77,276,187.00",537,0,537,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,118884,801-60864,"KDC INVESTMENT MANAGEMENT, LP","KDC INVESTMENT MANAGEMENT, LP",900 3RD AVE STE 1000,,NEW YORK,NY,MANHATTAN,10022,212 350-0200,212-350-0300,,,,,,,Approved,1/22/2002,7/1/2010,Y,WWW.KELLNERDILEO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,INSTITUTIONAL MANAGED ACCOUNT,Y,N,N,N,N,N,Y,PERFORMANCE BASED ALLOCATION OF PROFITS,Y,"47,400,000.00",0,"47,400,000.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MGT FOR PRIVATE INVESTMENT CO.'S AND INSTITUTIONAL MANAGED ACCT.,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,109846,801-53287,"HARBOURVEST PARTNERS, LLC","HARBOURVEST PARTNERS, LLC","ONE FINANCIAL CENTER, 44TH FLOOR",,BOSTON,MA,UNITED STATES,2111,617-348-3707,617-350-0305,,,,,,,Approved,11/25/1996,7/1/2010,Y,WWW.HARBOURVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,LIMITED PARTNERSHIPS,Y,N,N,N,N,Y,Y,PERCENTAGE OF PARTNERSHIPS' COMMITTED CAPITAL OR DRAWN CAPITAL,Y,"16,343,091,745.00",0,"16,343,091,745.00",52,0,52,N,N,N,Y,N,N,N,N,N,Y,"PORTFOLIO MANAGEMENT FOR LIMITED PARTNERSHIPS, AND AN OFFSHORE LISTED FUND, WHERE THE LPS ARE PRIMARILY INSTITUTIONAL INVESTORS",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,145322,801-68459,"FULCRUM CAPITAL, LLC","FULCRUM CAPITAL, LLC",1420 FIFTH AVE,SUITE 2200,SEATTLE,WA,UNITED STATES,98101,206-223-9790,206-274-5148,,,,,,,Approved,10/23/2007,1/25/2010,Y,WWW.FULCRUMCAPLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"125,955,348.00","652,263.00","126,607,611.00",82,2,84,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,149523,801-69956,"STAMBERGER CAPITAL MANAGEMENT, LLC","STAMBERGER CAPITAL MANAGEMENT, LLC",,,,,,,973-379-4592,973-379-3046,,,,,,,Approved,3/2/2009,1/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"54,000,000.00",0,"54,000,000.00",71,0,71,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,130949,801-63018,"GENESIS INVESTMENT MANAGEMENT, LLP","GENESIS INVESTMENT MANAGEMENT, LLP",21 KNIGHTSBRIDGE,,LONDON,,UNITED KINGDOM,SW1X 7LY,+44 (0) 20 7201 7200,+44 (0) 20 7201 7420,,,,,,,Approved,4/27/2004,7/1/2010,Y,HTTP://WWW.GIML.CO.UK,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,51-250,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,"NON-US GOVERNMENTAL ENTITY, WELFARE BENEFIT PLANS",Y,N,N,N,N,N,N,,Y,"21,848,278,439.00",0,"21,848,278,439.00",34,0,34,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,131106,801-63020,"GENESIS ASSET MANAGERS, LLP","GENESIS ASSET MANAGERS, LLP","HERITAGE HALL, LE MARCHANT STREET",ST. PETER PORT,"GUERNSEY, CHANNEL ISLANDS",,UNITED KINGDOM,GY1 4HY,01481 716000,01481 730617,P.O. BOX 225,ST. PETER PORT,"GUERNSEY, CHANNEL ISLANDS",,UNITED KINGDOM,GY1 4HY,Approved,4/27/2004,7/1/2010,Y,WWW.GIML.CO.UK,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,51-75 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,"NON-US GOVERNMENTAL ENTITY, WELFARE BENEFIT PLANS",Y,N,N,N,N,Y,N,,Y,"21,770,391,445.00",0,"21,770,391,445.00",33,0,33,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,150460,801-70332,THREE BRIDGE WEALTH ADVISORS,"THREE BRIDGE WEALTH ADVISORS, LLC",2180 SAND HILL ROAD,SUITE 400,MENLO PARK,CA,UNITED STATES,94025,650-433-3500,650-433-3501,,,,,,,Approved,7/9/2009,1/25/2010,Y,WWW.THREEBRIDGEWA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"144,226,543.00","32,324,621.00","176,551,164.00",314,12,326,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,153464,801-71363,"CASTLE INVESTMENT MANAGEMENT, LLC","CASTLE INVESTMENT MANAGEMENT, LLC",7105 MARINE DRIVE,,ALEXANDRIA,VA,UNITED STATES,22307,703-260-1921,617-607-9179,,,,,,,Approved,5/20/2010,7/1/2010,Y,WWW.CASTLEIM.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"381,000.00",0,"381,000.00",1,0,1,N,Y,Y,N,N,Y,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,122587,801-61443,"COVENANT WEALTH ADVISORS, LLC","COVENANT WEALTH ADVISORS, LLC",351 MCLAWS CIRCLE,SUITE 1,WILLIAMSBURG,VA,UNITED STATES,23185,757 259-0111,757 259-9022,,,,,,,Approved,9/17/2002,1/25/2010,Y,WWW.COVENANTWEALTHADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"83,464,948.00",0,"83,464,948.00",98,0,98,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,153324,801-71239,"MERIT INVESTMENT SOLUTIONS, INC.","MERIT INVESTMENT SOLUTIONS, INC.",45  ST. ANDREWS DRIVE,,BELLEAIR,FL,UNITED STATES,33756,727-647-2942,,,,,,,,120-Day Approval,4/8/2010,7/1/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,118107,801-66216,"ALPHA ADVISORS, LLC","ALPHA ADVISORS, LLC",3951 WESTERRE PARKWAY,SUITE 130,RICHMOND,VA,UNITED STATES,23233,804-754-8532,804-754-8533,,,,,,,Approved,2/1/2006,1/25/2010,Y,ALPHA-ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,51-250,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"60,439,447.00",0,"60,439,447.00",260,0,260,Y,Y,N,N,N,N,N,N,N,Y,ASSET ALLOCATION SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112997,801-61043,SCHENCK INVESTMENT SOLUTIONS LLC,SCHENCK INVESTMENT SOLUTIONS LLC,200 EAST WASHINGTON STREET,,APPLETON,WI,UNITED STATES,54912-1739,920-996-1338,920-996-1304,,,,,,,Approved,4/12/2002,10/22/2009,Y,WWW.SCHENCKSC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"89,539,355.00","105,183,182.00","194,722,537.00",279,305,584,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109243,801-58151,"EDWARD S. GREEN & ASSOCIATES, LLC","EDWARD S. GREEN & ASSOCIATES, LLC",110 W. FAYETTE STREET,SUITE 900,SYRACUSE,NY,UNITED STATES,13202,315-422-1391,315-422-3549,,,,,,,Approved,11/22/2000,7/1/2010,Y,WWW.GREENSEIFTERINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"85,680,000.00","1,240,000.00","86,920,000.00",216,8,224,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,Y,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
NYRO,107291,801-38219,CONCORD ADVISORY GROUP LTD,CONCORD ADVISORY GROUP LTD,700 ALEXANDER PARK,SUITE 203,PRINCETON,NJ,UNITED STATES,8540,609-987-9000,609-987-9997,,,,,,,Approved,2/1/1991,1/25/2010,Y,WWW.CONCORDADVISORY.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,% OF ASSESTS UNDER CONSULTATION,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,128000,801-62373,"O'SULLIVAN CREEL WEALTH ADVISORS, LLP","O'SULLIVAN CREEL WEALTH ADVISORS, LLP",316 SOUTH BAYLEN STREET,SUITE 300,PENSACOLA,FL,USA,32501,850-435-7400,850-470-5545,P.O. BOX 12646,,PENSACOLA,FL,USA,32591-2646,Approved,9/26/2003,10/22/2009,Y,WWW.OSULLIVANCREEL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,FL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"135,453,873.00","402,435.00","135,856,308.00",171,19,190,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,152881,801-71053,"NORAM ASSET MANAGEMENT, INC.","NORAM ASSET MANAGEMENT, INC.",15303 NORTH DALLAS PARKWAY,SUITE 1030,ADDISON,TX,UNITED STATES,75001,214-708-4555,214-242-4100,,,,,,,120-Day Approval,2/12/2010,7/1/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
ARO,106174,801-51946,CHATHAM CAPITAL GROUP INC,CHATHAM CAPITAL GROUP INC,6602 ABERCORN STREET,SUITE 100,SAVANNAH,GA,UNITED STATES,31405,912-691-2320,912-691-0991,,,,,,,Approved,6/12/1996,7/1/2010,Y,WWW.CHATHAMCAPITALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"201,071,941.00","120,331,985.00","321,403,926.00",221,84,305,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,132188,801-66784,"EFFICIENT MARKET ADVISORS, LLC","EFFICIENT MARKET ADVISORS, LLC",1125 CAMINO DEL MAR,SUITE H,DEL MAR,CA,USA,92014,858-847-0690,858-630-2828,,,,,,,Approved,4/26/2006,7/1/2010,Y,WWW.EFFICIENT-PORTFOLIOS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,Nov-50,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"134,157,027.00",0,"134,157,027.00",789,0,789,Y,Y,N,Y,N,Y,N,N,Y,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,130459,801-62936,"COMPASS ANALYTICS, LLC","COMPASS ANALYTICS, LLC",4040 CIVIC CENTER DRIVE,SUITE 450,SAN RAFAEL,CA,UNITED STATES,94903,415-462-7500,415-462-7505,,,,,,,Approved,4/2/2004,1/25/2010,Y,WWW.COMPASS-ANALYTICS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,MORTGAGE BANKERS,N,N,N,Y,N,N,N,,Y,"5,931,820,402.00",0,"5,931,820,402.00",37,0,37,N,N,N,N,N,N,N,N,N,Y,MORTGAGE PIPELINE RISK MANAGEMENT SERVICES,,,N,N,N,N,N,N,N,N,Y,"MORTGAGE ANALYTICS, SOFTWARE",Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,119100,801-62830,"COMPASS FINANCIAL CONSULTING, LLC","COMPASS FINANCIAL CONSULTING, LLC",200 GALLERIA PARKWAY,SUITE 1950,ATLANTA,GA,UNITED STATES,30339,770-563-8895,770-563-8885,,,,,,,Approved,3/4/2004,1/25/2010,Y,WWW.FINANCIALDIRECTION.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"138,106,823.00",0,"138,106,823.00",427,0,427,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106793,801-48923,"OAKTREE CAPITAL MANAGEMENT, L.P.","OAKTREE CAPITAL MANAGEMENT, L.P.",333 SOUTH GRAND AVE,28TH FLOOR,LOS ANGELES,CA,UNITED STATES,90071,213-830-6300,213-830-6296,,,,,,,Approved,4/7/1995,7/1/2010,Y,WWW.OAKTREECAPITAL.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,251-500,0,51-250,0,Nov-50,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,"INSURANCE COMPANIES, FOUNDATIONS, OTHER NON-TAXABLE",Y,N,N,N,N,Y,Y,ACQUISITION FEES,Y,"71,529,653,605.00",0,"71,529,653,605.00",165,0,165,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,125005,801-68804,"CANADA CAPITAL, LLC","CANADA CAPITAL, LLC",2647 ROCKY RIDGE LANE,,BIRMINGHAM,AL,UNITED STATES,35216,205-985-8759,205-969-0104,,,,,,,Approved,1/28/2008,1/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,FEE ARRANGEMENTS WITH THIRD PARTY INVESTMENT MANAGERS,Y,0,"29,000,000.00","29,000,000.00",0,90,90,N,Y,N,N,N,N,N,N,N,Y,"REFERRALS OF QUALIFIED OR ACCREDITED INVESTORS TO CLOUGH CAPITAL PARTNERS, L.P., AN SEC REGISTERED INVESTMENT ADVISOR.",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,139607,801-66727,"GLASGOW PARTNERS, LLC","GLASGOW PARTNERS, LLC",,,,,,,610-494-1322,866-765-6496,P.O. BOX 2283,,BOOTHWYN,PA,USA,19061-2283,Approved,6/6/2006,7/2/2010,Y,WWW.GLASGOWPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,CREDIT UNIONS,Y,Y,N,Y,Y,N,N,,Y,0,"100,000,000.00","100,000,000.00",0,7,7,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,150568,801-70597,"PILLAR CAPITAL MANAGEMENT, LLC","PILLAR CAPITAL MANAGEMENT, LLC",5429 LBJ FREEWAY,SUITE 400,DALLAS,TX,UNITED STATES,75240,972-581-3077,972-581-3001,,,,,,,120-Day Approval,9/24/2009,7/2/2010,Y,WWW.PILLARCAPITALMGMT.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,120039,801-68731,"GERBER FINANCIAL ADVISORS, LLC","GERBER FINANCIAL ADVISORS, LLC",450 WEST WILSON BRIDGE RD,SUITE 100,WORTHINGTON,OH,UNITED STATES,43085,614-431-4343,614-785-9195,,,,,,,Approved,1/25/2008,7/2/2010,Y,WWW.GERBERFINANCIALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,401(K) PLANS AND IRA'S,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISER/MANAGER FEES,Y,0,"64,596,365.00","64,596,365.00",0,290,290,Y,Y,N,Y,Y,Y,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,105205,801-15143,PICTET ASSET MANAGEMENT LIMITED,PICTET ASSET MANAGEMENT LIMITED,120 LONDON WALL,MOOR HOUSE - LEVEL 11,LONDON,,UNITED KINGDOM,EC2Y 5ET,4420-7847-5000,4420-7847-5300,,,,,,,Approved,4/17/1980,7/2/2010,Y,WWW.PICTET.COM/PAM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,51-250,0,Nov-50,0,0,0,10-Jun,0,26-100,0,0 percent,0 percent,0 percent,51-75 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"20,958,375,866.00",0,"20,958,375,866.00",110,0,110,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
BRO,109641,801-57981,"HANCOCK NATURAL RESOURCE GROUP, INC","HANCOCK NATURAL RESOURCE GROUP, INC",99 HIGH STREET,26TH FLOOR,BOSTON,MA,UNITED STATES,2110,617-747-1600,617-747-1617,99 HIGH STREET,26TH FLOOR,BOSTON,MA,UNITED STATES,2110,Approved,10/23/2000,7/2/2010,Y,WWW.HTRG.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,251-500,0,Nov-50,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,51-75 percent,0 percent,11-25 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,Y,UP FRONT FEES,Y,"2,024,435,096.00","1,696,983,611.00","3,721,418,707.00",27,11,38,N,N,N,Y,N,Y,N,N,N,Y,REAL ESTATE INVESTMENT ADVISORY SERVICES,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,Y
SFRO,108798,801-41518,AMERICAN BLUE CHIP INVESTMENT MANAGEMENT,MAZZON JUSTIN SPENCER,700 LARKSPUR LANDING CIRCLE,SUITE 199,LARKSPUR,CA,UNITED STATES,94939,(415) 464-4822,(415) 461-6486,,,,,,,Approved,5/19/1992,8/5/2010,Y,WWW.JABCIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,TAX-FREE ORGANIZATION,Y,Y,N,Y,N,N,N,,Y,"39,343,544.00",0,"39,343,544.00",155,0,155,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124947,801-61799,"CORNERSTONE WEALTH ADVISORS, INC.","CORNERSTONE WEALTH ADVISORS, INC.",240 GRANDVIEW SQUARE,5201 EDEN AVENUE SOUTH,EDINA,MN,USA,55436,952-920-3900,952 920-9567,,,,,,,Approved,2/20/2003,2/8/2010,Y,WWW.CORNERSTONEWEALTHADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"108,500,000.00","9,000,000.00","117,500,000.00",767,60,827,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,148610,801-69784,SHEARER AND GRAY INVESTMENT MANAGEMENT LLC,SHEARER AND GRAY INVESTMENT MANAGEMENT LLC,,,,,,,610-724-3185,215-656-4359,,,,,,,Approved,1/2/2009,2/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"4,746,952.00","33,609,440.00","38,356,392.00",18,3,21,Y,Y,N,Y,N,N,Y,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,144230,801-68349,"POWELL FINANCIAL, INC.","POWELL FINANCIAL, INC.",17818 STATESVILLE RD,SUITE 221,CORNELIUS,NC,UNITED STATES,28031,(704) 439-0027,,,,,,,,Approved,9/19/2007,2/8/2010,Y,WWW.POWELLWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"37,704,656.00",0,"37,704,656.00",177,0,177,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTING SERVICES,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,20999,801-70036,"CALTON & ASSOCIATES, INC.","CALTON & ASSOCIATES, INC.",14497 N. DALE MABRY HWY,SUITE 215,TAMPA,FL,USA,33618,813-264-0440,813-968-1130,,,,,,,Approved,4/7/2009,2/8/2010,Y,WWW.CALTON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,More than 500,954,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"45,963,486.00","2,948,668.00","48,912,154.00",852,1,853,Y,Y,N,Y,Y,Y,N,N,Y,N,,25-Nov,,Y,N,Y,N,N,N,Y,N,N,,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
SFRO,14377,801-41346,WEALTH ASSET MANAGERS,"NELSON SECURITIES,INC.",601 W MAIN AVE.,STE 1118,SPOKANE,WA,UNITED STATES,99201,509-838-1313,509-458-5578,,,,,,,Approved,5/7/1992,8/5/2010,Y,NELSON-SECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"38,000,000.00",0,"38,000,000.00",791,0,791,N,Y,N,N,N,N,Y,N,N,N,,0,,N,N,Y,N,N,N,Y,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107674,801-12012,JACOBS & CO,JACOBS & CO,595 MARKET STREET,SUITE 1140,SAN FRANCISCO,CA,UNITED STATES,94105,415-777-1617,415-777-1619,,,,,,,Approved,9/1/1976,2/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"236,110,699.00",0,"236,110,699.00",111,0,111,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106339,801-47703,"SCHNALL ADVISORY SERVICES, INC","SCHNALL ADVISORY SERVICES, INC","350 FIFTH AVENUE, SUITE 3505",,NEW YORK,NY,UNITED STATES,10118,212-967-6155,815-301-3979,,,,,,,Approved,11/16/1994,2/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,TRUSTS,Y,Y,N,Y,N,N,N,,Y,"74,000,000.00",0,"74,000,000.00",224,0,224,Y,Y,N,N,N,N,N,N,N,Y,TAX  PLANNING,51-100,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,147890,801-69446,SAGENT WEALTH MANAGEMENT,"SAGENT CAPITAL, LLC",4675 MACARTHUR COURT,SUITE 1270,NEWPORT BEACH,CA,UNITED STATES,92660,(949) 756-2229,(949) 756-2233,,,,,,,Approved,8/5/2008,2/8/2010,Y,WWW.SAGENTWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"90,000,000.00","9,000,000.00","99,000,000.00",400,25,425,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,120222,801-71475,"PRIVATE CLIENT SERVICES, LLC","PRIVATE CLIENT SERVICES, LLC",2225 LEXINGTON ROAD,,LOUISVILLE,KY,USA,40206,502-451-0600,502-473-1721,,,,,,,Approved,5/25/2010,8/5/2010,Y,WWW.KFG.COM,N,N,N,N,N,N,N,N,N,Y,N,N,N,Limited Liability Company,,KY,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,26-100,0,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,Y,N,Y,N,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,Y,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,7461,801-42017,FSC SECURITIES CORPORATION,FSC SECURITIES CORPORATION,"2300 WINDY RIDGE PKWY, STE 1100",,ATLANTA,GA,UNITED STATES,30339,770-916-6500,770-916-6575,,,,,,,Approved,8/3/1992,8/5/2010,Y,WWW.FSCORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,501-1000,0,501-1000,0,501-1000,0,0,0,More than 500,"12,250",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"835,668,450.00","2,887,957,984.00","3,723,626,434.00","5,752","10,644","16,396",Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,Y,Y,Y,Y,Y,Y,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,N
FWRO,36956,801-50510,"ST. BERNARD FINANCIAL SERVICES, INC.","ST. BERNARD FINANCIAL SERVICES, INC.",2621 W. MAIN STREET,SUITE 6,RUSSELLVILLE,AR,UNITED STATES,72801,479-967-1200,479-967-9344,,,,,,,Approved,11/14/1995,2/8/2010,Y,STBERNARDFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AR,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,More than 500,"1,000",More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,0,"53,829,916.00","53,829,916.00",0,832,832,Y,Y,N,Y,Y,N,N,N,Y,N,,0,,N,N,Y,N,N,N,Y,N,N,,Y,Y,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
SFRO,111072,801-57201,CAPITAL FINANCIAL ADVISORY SERVICES,"SPRINGER INVESTMENT MANAGEMENT, INC.",1383 GARDEN HWY  SUITE 200,,SACRAMENTO,CA,UNITED STATES,95833,916-925-8900,916-925-8914,,,,,,,Approved,2/1/2000,8/5/2010,Y,WWW.KEITHSPRINGER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"59,284,784.00",0,"59,284,784.00",516,0,516,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N
LARO,108724,801-18297,SCHULTZ FINANCIAL GROUP INCORPORATED,SCHULTZ FINANCIAL GROUP INCORPORATED,10765 DOUBLE R BLVD,SUITE 200,RENO,NV,UNITED STATES,89521,775-850-5620,775-850-5639,,,,,,,Approved,1/27/1983,2/8/2010,Y,WWW.SFGINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"17,144,432.00","109,544,795.00","126,689,227.00",2,85,87,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,120376,801-61822,"BEDROCK CAPITAL MANAGEMENT, INC.","BEDROCK CAPITAL MANAGEMENT, INC.",5050 EL CAMINO REAL,SUITE 204,LOS ALTOS,CA,UNITED STATES,94022,650-964-7024,650-964-7037,,,,,,,Approved,2/14/2003,2/8/2010,Y,BEDROCKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"132,360,344.00",0,"132,360,344.00",519,0,519,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,141398,801-67092,"BANYAN PARTNERS, LLC","BANYAN PARTNERS, LLC",4540 PGA BLVD.,SUITE 216,PALM BEACH GARDENS,FL,UNITED STATES,33418,561-630-4600,561-630-9788,,,,,,,Approved,8/16/2006,8/5/2010,Y,WWW.BANYANPARTNERS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"313,158,826.00","122,750,897.00","435,909,723.00",461,19,480,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,109260,801-57279,CENTURION HINDS INVESTMENT MANAGEMENT INC.,CENTURION-HINDS INVESTMENT MANAGEMENT CORPORATION,"141 UNION BLVD., SUITE 350",,LAKEWOOD,CO,UNITED STATES,80228,303-985-9889,303-985-0146,,,,,,,Approved,3/9/2000,8/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"55,761,279.00",0,"55,761,279.00",97,0,97,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,151188,801-70497,THIRD SIGMA INVESTMENT ADVISORS LLC,THIRD SIGMA INVESTMENT ADVISORS LLC,"1000 NORTH WEST STREET, SUITE 1200",,WILMINGTON,DE,UNITED STATES,19801,302-295-4990,302-504-6000,,,,,,,Approved,8/25/2009,8/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"6,481,018.00","22,026,513.00","28,507,531.00",12,3,15,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,154683,801-71752,"SONTERRA CAPITAL, LLC","SONTERRA CAPITAL, LLC",900 THIRD AVENUE,,NEW YORK,NY,UNITED STATES,10022-4728,212-605-6000,212-605-6024,,,,,,,Approved,8/12/2010,8/5/2010,Y,WWW.SONTERRACAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"202,000,000.00",0,"202,000,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110450,801-20786,"EQUIUS PARTNERS, INC.","EQUIUS PARTNERS, INC.",3 HAMILTON LANDING,SUITE 130,NOVATO,CA,UNITED STATES,94949,415-382-2500,415-382-2005,,,,,,,Approved,3/5/1984,8/5/2010,Y,HTTP://EQUIUSPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"432,465,985.00","14,041,708.00","446,507,693.00",839,10,849,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152038,801-70763,WATERMARK ALTERNATIVE INVESTMENT MANAGEMENT,"WATERMARK INVESTMENT ADVISORS, LLC",1350 AVE OF THE AMERICAS,3 FLOOR,NEW YORK,NY,UNITED STATES,10019,212-572-6495,917-591-8393,244 FIFTH AVENUE,SUITE 2804,NEW YORK,NY,UNITED STATES,10001,Approved,11/12/2009,8/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,FEDERAL GOVERNMENT ENTITIES,Y,Y,N,N,N,N,N,,Y,0,"25,064,759.00","25,064,759.00",0,1,1,Y,N,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,3994,801-5678,"RUANE, CUNNIFF & GOLDFARB INC.","RUANE, CUNNIFF & GOLDFARB INC.",767 FIFTH AVE,SUITE 4701,NEW YORK,NY,USA,10153-4798,212-832-5280,212-832-5298,,,,,,,Approved,5/16/1969,2/9/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"2,000",26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"9,868,564,000.00",0,"9,868,564,000.00","1,887",0,"1,887",N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108994,801-55211,CHESAPEAKE ASSET MANAGEMENT LLC,CHESAPEAKE ASSET MANAGEMENT LLC,ONE ROCKEFELLER PLAZA,SUITE 2321,NEW YORK,NY,UNITED STATES,10020,212-218-4040,212-218-4064,,,,,,,Approved,2/5/1998,8/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"227,754,608.00","485,926,626.00","713,681,234.00",222,43,265,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
NYRO,104928,801-17685,NOTTINGHAM ADVISORS INC.,NOTTINGHAM ADVISORS INC.,"500 ESSJAY RD., STE 220",,WILLIAMSVILLE,NY,USA,14221,716-633-3800,716-633-3810,,,,,,,Approved,9/22/1982,8/5/2010,Y,WWW.NOTTINGHAMADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,10-Jun,0,More than 500,"1,000",51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"402,865,541.00","200,000,000.00","602,865,541.00",860,1,861,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,Y,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,148479,801-70202,"ROCKY MOUNTAIN ADVISERS, LLC","ROCKY MOUNTAIN ADVISERS, LLC",2344 SPRUCE STREET,SUITE A,BOULDER,CO,UNITED STATES,80302,303-444-5483,303-245-0420,,,,,,,Approved,6/3/2009,8/5/2010,Y,WWW.FIRSTOPPORTUNITYFUND.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,AK,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"247,800,000.00",0,"247,800,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110474,801-56522,STEWART INVESTMENT ADVISERS,STEWART WEST INDIES TRADING CO LTD,BELLERIVE HOUSE,QUEEN STREET,ST PETER BARBADOS,,BARBADOS,,246-422-3975,303-245-0420,,,,,,,Approved,5/24/1999,8/5/2010,Y,WWW.BOULDERFUNDS.NET,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,Other (specify),BARBADOS IBC,,BARBADOS,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"850,815,065.00",0,"850,815,065.00",4,0,4,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108248,801-28774,FIDELITY RESEARCH & ANALYSIS COMPANY,FIDELITY RESEARCH & ANALYSIS COMPANY,82 DEVONSHIRE STREET V10G,,BOSTON,MA,UNITED STATES,2109,617-563-7000,617-692-1784,,,,,,,Approved,5/11/1987,8/5/2010,Y,WWW.FIDELITY.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,MA,UNITED STATES,251-500,0,251-500,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,OTHER INVESTMENT ADVISERS,N,N,N,N,N,N,Y,110% OF COSTS INCURRED WHILE PROVIDING SERVICES,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,"INVESTMENT CONSULTATION, RESEARCH & PORTFOLIO MANAGEMENT ADVICE",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
PLRO,121193,801-62985,"FUHRMAN MANAGEMENT ASSOCIATES, INC.","FUHRMAN MANAGEMENT ASSOCIATES, INC.","602 OFFICE CENTER DRIVE, SUITE 115",,FORT WASHINGTON,PA,USA,19034,215-619-4000,215-619-3611,,,,,,,Approved,4/14/2004,2/9/2010,Y,HTTP://WWW.INVESTAB.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"193,110,000.00","7,750,000.00","200,860,000.00",750,50,800,Y,Y,N,N,N,N,N,N,N,Y,ADVISORY SERVICES FOR RETIREMENT PLANS,25-Nov,,N,N,N,Y,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108281,801-7884,FIDELITY MANAGEMENT & RESEARCH COMPANY,FIDELITY MANAGEMENT & RESEARCH COMPANY,82 DEVONSHIRE STREET V10G,,BOSTON,MA,UNITED STATES,2109,617-563-7000,617-692-1784,,,,,,,Approved,11/29/1971,8/5/2010,Y,HTTP://WWW.FIDELITY.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,51-250,0,5-Jan,0,0,0,0,0,251-500,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,319,183,749.00",0,"1,319,183,749.00",14,0,14,N,N,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR LIMITED PARTNERSHIPS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
BRO,108617,801-3447,"FMR CO., INC.","FMR CO., INC.",82 DEVONSHIRE STREET V10G,,BOSTON,MA,UNITED STATES,2109,617-563-7000,617-692-1784,,,,,,,Approved,4/29/1964,8/5/2010,Y,WWW.FIDELITY.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,More than 1000,"1,000",51-250,0,0,0,0,0,101-250,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"582,311,688,055.00",0,"582,311,688,055.00",244,0,244,N,N,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR LIMITED PARTNERSHIPS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
BRO,108252,801-34590,FIDELITY INVESTMENTS MONEY MANAGEMENT INC.,FIDELITY INVESTMENTS MONEY MANAGEMENT INC.,82 DEVONSHIRE STREET V10G,,BOSTON,MA,UNITED STATES,2109,617-563-7000,617-692-1784,,,,,,,Approved,6/9/1989,8/5/2010,Y,HTTP//:WWW.FIDELITY.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,51-250,0,51-250,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,INSTITUTIONAL AND PROPRIETARY ACCOUNTS,Y,N,N,N,N,N,Y,CERTAIN MONEY MARKET FUNDS MAY HAVE FEES BASED ON ACCOUNT INCOME,Y,"639,179,966,703.00",0,"639,179,966,703.00",96,0,96,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
BRO,115324,801-60583,BALLYROCK INVESTMENT ADVISORS LLC,BALLYROCK INVESTMENT ADVISORS LLC,82 DEVONSHIRE STREET V10G,,BOSTON,MA,UNITED STATES,2109,617-563-7000,617-692-1784,,,,,,,Approved,9/20/2001,8/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,0,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,899,721,731.00",0,"1,899,721,731.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,154715,801-71734,BLACK'S LINK CAPITAL LIMITED,BLACK'S LINK CAPITAL LIMITED,18/F CLUB LUSITANO BUILDING,16 ICE HOUSE CENTRAL,HONG KONG,,CHINA,,852-3622-0100,852-3622-0199,,,,,,,Approved,8/9/2010,8/5/2010,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,HONG KONG,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,COMPENSATION RELATED TO COSTS,Y,"82,787,031.00",0,"82,787,031.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104555,801-13243,"STRATEGIC ADVISERS, INC.","STRATEGIC ADVISERS, INC.","82 DEVONSHIRE STREET, V10G",,BOSTON,MA,UNITED STATES,2109,617-563-7000,617-692-1784,,,,,,,Approved,8/11/1977,8/5/2010,Y,WWW.FIDELITY.COM/PAS,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,More than 1000,"3,000",More than 1000,"3,000",More than 1000,"3,000",5-Jan,0,More than 500,"392,000",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"191,982,023,600.00","4,069,757,927.00","196,051,781,527.00","263,254",17,"263,271",Y,Y,Y,Y,N,Y,N,N,N,Y,DEVELOPMENT OF INTERACTION ANALYSIS TOOLS AND CONSULTATION ON ASSET ALLOCATION AND MODELING TECHNIQUES.,More than 500,137000,Y,Y,N,Y,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N
DRO,108745,801-56515,BOULDER INVESTMENT ADVISERS LLC,BOULDER INVESTMENT ADVISERS LLC,2344 SPRUCE STREET,SUITE A,BOULDER,CO,UNITED STATES,80302-4672,303-444-5483,303-245-0420,,,,,,,Approved,5/17/1999,8/5/2010,Y,WWW.BOULDERFUNDS.NET,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"603,015,065.00",0,"603,015,065.00",3,0,3,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,114898,801-60477,FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITED,FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITED,"17TH FLOOR, CHATER HOUSE, 8 CONNAUGHT ROAD CENTRAL",,HONG KONG,,HONG KONG,,852-2877-7733,852-2877-5401,,,,,,,Approved,8/17/2001,8/5/2010,Y,WWW.FRANKLINTEMPLETON.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Other (specify),COMPANY LIMITED BY SHARES,,HONG KONG,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,0 percent,Up to 10 percent,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"8,084,000,000.00",0,"8,084,000,000.00",37,0,37,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
SFRO,135422,801-70639,"SAN FRANCISCO CAPITAL MANAGEMENT, LLC","SAN FRANCISCO CAPITAL MANAGEMENT, LLC",100 PINE STREET,27TH FLOOR,SAN FRANCISCO,CA,UNITED STATES,94111,(415) 229-9002,(415) 434-8043,,,,,,,Approved,10/1/2009,8/5/2010,Y,WWW.SF-CM.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,336,659.00",0,"3,336,659.00",1,0,1,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
SFRO,110101,801-31962,R. ELIOT KING & ASSOCIATES INC.,R. ELIOT KING & ASSOCIATES INC.,830 MENLO AVENUE,SUITE 201,MENLO PARK,CA,UNITED STATES,94025,650-854-2882,650-854-8122,,,,,,,Approved,5/5/1988,10/23/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"51,633,812.00",0,"51,633,812.00",19,0,19,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146366,801-69597,"IFM (US) INVESTMENT ADVISOR, LLC","IFM (US) INVESTMENT ADVISOR, LLC",LEVEL 19,99 PARK AVENUE,NEW YORK,NY,UNITED STATES,10011,212-575-1055,212-575-8738,,,,,,,Approved,10/8/2008,8/5/2010,Y,WWW.INDUSTRYFUNDSMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,A PERCENTAGE OF THE EXPENSES INCURRED IN PROVIDING SERVICES,Y,"358,321,070.00","2,616,748,745.00","2,975,069,815.00",1,1,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,Y,Y,N,Y,N,Y,Y,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,153530,801-71378,"ARKENSTONE FINANCIAL, LLC","ARKENSTONE FINANCIAL, LLC",1840 WOODMOOR DR.,SUITE 160,MONUMENT,CO,UNITED STATES,80132,719-481-6148,866-897-9540,,,,,,,120-Day Approval,5/5/2010,8/5/2010,Y,WWW.ARKFI.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"5,000,000.00",0,"5,000,000.00",66,0,66,Y,Y,N,Y,N,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,150818,801-70773,FORUM SECURITIES LIMITED,FORUM SECURITIES LIMITED,"C/O FORUM SECURITIES SERVICES, INC.",1700 E. PUTNAM AVENUE,OLD GREENWICH,CT,UNITED STATES,06870-1366,203-983-5207,203-302-3319,,,,,,,Approved,11/6/2009,10/23/2009,Y,WWW.FORUMSECURITIESLTD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),EXEMPTED LIMITED COMPANY (CAYMAN ISLANDS),,CAYMAN ISLANDS,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"368,000,000.00",0,"368,000,000.00",7,0,7,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,141329,801-67177,LEGACY ADVISORY GROUP,LEGACY ADVISORY GROUP LLC,9200 INDIAN CREEK PARKWAY,SUITE 195,OVERLAND PARK,KS,UNITED STATES,66210,(913) 338-5000,913-338-5010,,,,,,,Approved,9/22/2006,2/9/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"40,000,000.00","40,000,000.00",0,35,35,Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,15296,801-45152,"SECURIAN FINANCIAL SERVICES, INC.","SECURIAN FINANCIAL SERVICES, INC.","400 ROBERT STREET, NORTH",,ST. PAUL,MN,UNITED STATES,55101-2098,651-665-3544,651-665-7367,,,,,,,Approved,11/17/1993,8/18/2010,Y,WWW.SECURIANFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,More than 1000,"1,000",501-1000,0,501-1000,0,10-Jun,0,More than 500,"20,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"86,722,906.00","3,121,014,876.00","3,207,737,782.00",576,"14,445","15,021",Y,Y,N,Y,Y,Y,N,N,N,N,,More than 500,2000,Y,N,Y,N,N,N,Y,N,N,,N,,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,Y,N,N,Y,N,Y,Y,N,N,N,N,Y,N,Y,N,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
CHRO,22589,801-62434,"CRI SECURITIES, LLC","CRI SECURITIES, LLC",400 ROBERT STREET NORTH,,ST.PAUL,MN,UNITED STATES,55101,651-665-5609,651-665-7367,,,,,,,Approved,11/7/2003,8/18/2010,Y,WWW.CRISECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,251-500,0,51-250,0,251-500,0,0,0,More than 500,"2,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"64,420,653.00","315,452,269.00","379,872,922.00",216,"1,648","1,864",Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,Y,N,Y,N,N,N,N,N,N,,N,,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N
CHRO,107146,801-50832,DEFINED CONTRIBUTION ADVISORS INC,DEFINED CONTRIBUTION ADVISORS INC,6385 OLD SHADY OAK ROAD,SUITE 280,MINNEAPOLIS,MN,UNITED STATES,55344-7736,952-358-3400,952-912-0229,,,,,,,Approved,12/13/1995,1/28/2010,Y,WWW.DCADVISORS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,Y,FURNISHES ADVICE TO CLIENTS ON MATTERS NOT INVOLVING SECURITIES.,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108163,801-56288,SEIA,SIGNATURE ESTATE & INVESTMENT ADVISORS LLC,2121 AVENUE OF THE STARS,SUITE 1600,LOS ANGELES,CA,USA,90067,310-712-2323,310-712-2345,,,,,,,Approved,2/23/1999,1/28/2010,Y,WWW.SEIA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,Nov-50,0,More than 500,"1,500",11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"110,687,907.00","1,411,050,807.00","1,521,738,714.00",301,"4,281","4,582",Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108712,801-56387,ASSET MANAGEMENT FOR PROFESSIONALS INC.,ASSET MANAGEMENT FOR PROFESSIONALS INC,421 E. SILVER SPRING DRIVE,SUITE 3,WHITEFISH BAY,WI,UNITED STATES,53217,414-332-1011,414-332-1014,,,,,,,Approved,4/6/1999,1/28/2010,Y,WWW.AMPINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,OTHER INVESTMENT ADVISERS,Y,N,N,N,N,N,N,,Y,"78,000,000.00",0,"78,000,000.00",145,0,145,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111725,801-10846,CCI FINANCIAL GROUP INC,CCI FINANCIAL GROUP INC,1653 MERRIMAN ROAD,SUITE 210,AKRON,OH,USA,44313,330-864-7030,330-864-7219,,,,,,,Approved,6/18/1975,10/26/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"83,041,015.00","9,654,223.00","92,695,238.00",60,12,72,Y,Y,N,N,N,N,N,N,N,Y,"ACCOUNTING/TAX PLANNING, ESTATE PLANNING, BUSINESS ADVISORY",51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,27240,801-42453,"SANDALWOOD SECURITIES, INC.","SANDALWOOD SECURITIES, INC.",101 EISENHOWER PARKWAY,,ROSELAND,NJ,UNITED STATES,7068,973-233-8800,973-233-8801,,,,,,,Approved,10/1/1992,1/28/2010,Y,WWW.SANDALWOODSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,028,000,000.00",0,"1,028,000,000.00",14,0,14,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,141600,801-71786,"CAMBRIA INVESTMENT MANAGEMENT, INC","CAMBRIA INVESTMENT MANAGEMENT, INC",2321 ROSECRANS AVE SUITE 4210,,EL SEGUNDO,CA,UNITED STATES,90245,310-606-5555,310-606-5556,2321 ROSECRANS AVE SUITE 4210,,EL SEGUNDO,CA,UNITED STATES,90245,120-Day Approval,8/24/2010,8/18/2010,Y,WWW.CAMBRIAINVESTMENTS.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"24,000,000.00","450,000.00","24,450,000.00",74,3,77,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111333,801-60259,HAVENS ADVISORS,HAVENS ADVISORS LLC,600 LEXINGTON AVENUE,29TH FLOOR,NEW YORK,NY,USA,10022,212-355-0050,212-355-0599,,,,,,,Approved,5/21/2001,1/28/2010,Y,HTTPS://WWW.HAVENSPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"258,000,000.00",0,"258,000,000.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,145520,801-68486,"JRJ MANAGEMENT, L.L.C.","JRJ MANAGEMENT, L.L.C.",33717 N. SCOTTSDALE ROAD,STE. 120,SCOTTSDALE,AZ,UNITED STATES,85266,(480) 621-7382,(480)621-7687,,,,,,,Approved,11/6/2007,8/18/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"15,611,975.00",0,"15,611,975.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER/MANAGER OF POOLED INVESTMENT VEHICLE,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108025,801-58022,"FINANCIAL PLANNING SERVICES, INC.","FINANCIAL PLANNING SERVICES, INC",700 EXPOSITION PLACE,SUITE 131,RALEIGH,NC,USA,27615,919-676-2806,919-848-4310,,,,,,,Approved,4/27/2006,1/28/2010,Y,WWW.ASKHOLLY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"61,635,604.00",0,"61,635,604.00",335,0,335,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,150707,801-70459,"RANDY MEYER INVESTMENT MANAGEMENT, LLC","RANDY MEYER INVESTMENT MANAGEMENT, LLC",1512 STARR DRIVE,SUITE A,YUBA CITY,CA,UNITED STATES,95993,530-674-1156,530-674-7242,,,,,,,Approved,8/13/2009,8/18/2010,Y,WWW.MEYERSHAW.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"28,697,244.00",0,"28,697,244.00",219,0,219,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107615,801-53638,"BEACH INVESTMENT COUNSEL, INC",BEACH INVESTMENT COUNSEL INC,300 BARR HARBOR DRIVE,SUITE 220,WEST CONSHOHOCKEN,PA,USA,19428,610-940-1111,610-940-1118,,,,,,,Approved,1/28/1997,8/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"876,980,982.00","28,298,215.00","905,279,197.00",106,1,107,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,149144,801-69848,"OXFORD CREEK CAPITAL MANAGEMENT, LLC","OXFORD CREEK CAPITAL MANAGEMENT, LLC",ONE WARD PARKWAY,SUITE 350,KANSAS CITY,MO,UNITED STATES,64112-2169,816-303-2365,816-303-2366,,,,,,,Approved,1/15/2009,1/28/2010,Y,WWW.OXFORDCREEKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,INSTITUTIONS,Y,N,N,N,N,N,N,,Y,"46,675,210.00",39,"46,675,249.00",4,1,5,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,127411,801-64641,"SAILER FINANCIAL, INC.","SAILER FINANCIAL, INC.",320 SEVEN SPRINGS WAY,SUITE 130,BRENTWOOD,TN,UNITED STATES,37027-4536,615-370-1253,615-370-2810,,,,,,,Approved,9/2/2005,8/18/2010,Y,WWW.SAILERFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"97,970,160.00","17,140,280.00","115,110,440.00",506,116,622,Y,Y,N,N,N,Y,N,N,N,Y,ACTIVE INVESTMENT MANAGEMENT/PORTFOLIO ALLOCATION SERVICES,51-100,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,142769,801-67516,"FINANCIAL INNOVATIONS, LLC","FINANCIAL INNOVATIONS, LLC",5555 GLENRIDGE CONNECTOR,SUITE 200,ATLANTA,GA,USA,30342,404-459-2828,404-459-2829,,,,,,,Approved,1/26/2007,1/28/2010,Y,WWW.FINANCIALINNOVATIONS.BIZ,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"67,400,442.00","67,400,442.00",0,480,480,Y,Y,N,N,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,132057,801-63284,EACM ADVISORS LLC,EACM ADVISORS LLC,200 CONNECTICUT AVENUE,6TH FLOOR,NORWALK,CT,UNITED STATES,6854,203-854-7000,203-854-7001,,,,,,,Approved,6/24/2004,8/18/2010,Y,WWW.EACM.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,26-50 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"4,231,291,086.00","346,712,335.00","4,578,003,421.00",30,12,42,N,Y,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,Y,OFFSHORE COMMINGLED FUNDS & SEPARATE MANAGED ACCTS,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,131631,801-63969,"CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC","CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC",420 PARK STREET,SUITE 100,BELMONT,NC,UNITED STATES,28012,704-865-2900,704-861-8835,,,,,,,Approved,4/11/2006,8/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,500,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"255,000,000.00","18,100,000.00","273,100,000.00","1,200",100,"1,300",Y,Y,N,N,N,Y,N,N,N,N,,0,,Y,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,144901,801-68268,"EMERSON WEALTH MANAGEMENT, LLC","EMERSON WEALTH MANAGEMENT, LLC",38710 WOODWARD AVE.,SUITE 230,BLOOMFIELD HILLS,MI,UNITED STATES,48304,248-244-8900,248-244-8990,,,,,,,Approved,8/28/2007,8/18/2010,Y,WWW.EMERSONWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"116,077,560.00","5,126,740.00","121,204,300.00",149,6,155,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,104643,801-14050,"CAPITAL ADVISORS, INC.","CAPITAL ADVISORS, INC.",2200 SOUTH UTICA PLACE,SUITE 150,TULSA,OK,UNITED STATES,74114,918-599-0045,918-584-8866,,,,,,,Approved,9/18/1978,8/18/2010,Y,WWW.CAPITALADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,More than 500,500,26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"787,093,310.00","31,035,842.00","818,129,152.00",891,129,"1,020",N,Y,Y,Y,N,Y,N,N,N,N,,0,,N,N,Y,Y,N,N,Y,N,N,,N,N,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,149760,801-70769,"TRI-STAR ADVISORS, INC.",TRI-STAR ADVISORS INC.,5718 WESTHEIMER,SUITE 950,HOUSTON,TX,UNITED STATES,77057,713-735-9200,713-735-9229,,,,,,,Approved,11/17/2009,8/18/2010,Y,WWW.TRISTARADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"51,162,438.00","10,000,000.00","61,162,438.00",100,25,125,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N
NYRO,152611,801-70966,"MILLER TABAK ADVISORS, LLC","MILLER TABAK ADVISORS, LLC",331 MADISON AVENUE,,NEW YORK,NY,UNITED STATES,10017,212-370-0040,212-692-0120,,,,,,,Approved,1/21/2010,1/28/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,8209,801-11727,MORGAN STANLEY & CO. INCORPORATED,MORGAN STANLEY & CO. INCORPORATED,1585 BROADWAY,,NEW YORK,NY,UNITED STATES,10036-8293,212-761-4000,212-761-0086,NORTH AMERICAN REGISTRATION,"1300 THAMES STREET WHARF, 6TH FLOOR",BALTIMORE,MD,UNITED STATES,21231,Approved,6/17/1976,8/18/2010,N,,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,More than 1000,"8,000",5-Jan,0,5-Jan,0,0,0,More than 500,"546,500",0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,Y,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,MAY PERFORM TRANSITION MANAGEMENT SERVICES AS AN ADVISER WITH LIMITED TIME AND PRICE DISCRETION,,,N,N,Y,N,Y,N,N,N,N,,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,N,Y,Y,Y,N,N
BRO,108156,801-56267,"JACKSON, GRANT INVESTMENT ADVISERS, INC.","JACKSON, GRANT INVESTMENT ADVISERS, INC.",TWO HIGH RIDGE PARK,,STAMFORD,CT,UNITED STATES,6905,203-322-1198,203-322-3741,,,,,,,Approved,2/12/1999,8/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"66,417,854.00",0,"66,417,854.00",37,0,37,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,111360,801-55170,FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED,FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED,"THE ADELPHI, 1-11 JOHN ADAM STREET",,LONDON,,ENGLAND,WC2N 6HT,00 44 20 7073 8500,00 44 20 7073 8700,,,,,,,Approved,1/20/1998,8/18/2010,Y,WWW.FRANKLINTEMPLETON.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Other (specify),COMPANY LIMITED BY SHARES,,UNITED KINGDOM,51-250,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"22,019,031,565.00",0,"22,019,031,565.00",132,0,132,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
BRO,145640,801-68712,"YHB PENSION INVESTMENT SERVICES, LLC","YHB PENSION INVESTMENT SERVICES, LLC",231 FARMINGTON AVENUE,,FARMINGTON,CT,UNITED STATES,6032,860-284-6880,860-284-6887,,,,,,,Approved,1/16/2008,8/18/2010,Y,WWW.YHBPS.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,PERCENTAGE OF PLAN ASSETS,Y,0,"82,610,711.00","82,610,711.00",0,91,91,N,N,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,1464,801-71639,"ASSOCIATED INVESTMENT SERVICES, INC.","ASSOCIATED INVESTMENT SERVICES, INC.","2985 SOUTH RIDGE ROAD, SUITE C",,GREEN BAY,WI,UNITED STATES,54304,920-327-5600,920-327-5674,P.O. BOX 640,,GREEN BAY,WI,UNITED STATES,54305-0640,Approved,7/1/2010,8/18/2010,Y,CORPORATE HOME PAGE IS WWW.ASSOCIATEDBANK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,51-250,0,Nov-50,0,51-250,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"35,273,277.00","35,273,277.00",0,311,311,Y,Y,N,N,N,Y,N,N,N,Y,MUTUAL FUND WRAP,0,,Y,N,Y,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N
MIRO,107629,801-38791,AEGIS FINANCIAL ADVISORS INC,AEGIS FINANCIAL ADVISORS INC,300 MAITLAND AVENUE,,ALTAMONTE SPRINGS,FL,UNITED STATES,32701,407-831-3660,407-831-5651,,,,,,,Approved,5/13/1991,1/28/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"84,776.00","77,871,932.00","77,956,708.00",10,220,230,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,147144,801-69170,"EAST END ADVISORS, LLC","EAST END ADVISORS, LLC",610 FIFTH AVENUE 5TH FLOOR,,NEW YORK,NY,UNITED STATES,10020,212-218-8841,212-218-8844,,,,,,,Approved,5/23/2008,8/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"735,595,667.00","2,524,944,170.00","3,260,539,837.00",9,10,19,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,150530,801-70252,"RANGEMARK INVESTMENT MANAGEMENT, INC.","RANGEMARK INVESTMENT MANAGEMENT, INC.",328 PEMBERWICK ROAD,,GREENWICH,CT,UNITED STATES,6831,203-861-7080,203-531-9090,,,,,,,Approved,6/1/2009,8/18/2010,Y,WWW.RANGEMARK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,26-50 percent,Up to 10 percent,11-25 percent,FEDERAL GOVERNMENT BRANCHES,Y,N,N,Y,N,Y,N,,Y,0,"25,000,000.00","25,000,000.00",0,1,1,N,N,N,Y,N,N,N,Y,N,Y,"VALUATION AND RESEARCH SERVICES AND ADVICE REGARDING MUNICIPAL, CORPORATE AND ASSET-BACKED SECURITIES",,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,124272,801-61642,"THE CAPROCK GROUP, INC.","THE CAPROCK GROUP, INC.",805 WEST IDAHO STREET,SUITE 200,BOISE,ID,UNITED STATES,83702,(208) 368-9600,(208) 368-9602,,,,,,,Approved,12/17/2002,8/18/2010,Y,WWW.THECAPROCKGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,ID,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"598,324,931.00","14,522,473.00","612,847,404.00","1,806",40,"1,846",N,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N
LARO,28937,801-67196,"GREEN STREET ADVISORS, INC.","GREEN STREET ADVISORS, INC.",660 NEWPORT CENTER DRIVE,SUITE 800,NEWPORT BEACH,CA,UNITED STATES,92660,949-640-8780,949-640-1773,,,,,,,Approved,10/16/2006,1/28/2010,Y,WWW.GREENSTREETADVISORS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,Up to 10 percent,11-25 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,51-75 percent,Up to 10 percent,0 percent,,N,N,Y,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,Y,Y,N,N,,0,,N,N,Y,N,N,Y,N,N,N,,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
PLRO,120522,801-61238,"WHARTON ADVISORY GROUP, LLC","THE WHARTON ADVISORY GROUP, LLC",148 EAST LANCASTER AVENUE,,WAYNE,PA,UNITED STATES,19087,610-293-9000,610-293-9930,,,,,,,Approved,6/7/2002,8/18/2010,Y,WWW.WHARTONCG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"155,989,280.00","155,989,280.00",0,396,396,Y,Y,N,N,Y,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108893,801-45536,LOGAN CAPITAL MANAGEMENT INC,LOGAN CAPITAL MANAGEMENT INC,"SIX COULTER AVENUE, SUITE 2000",SUBURBAN SQUARE,ARDMORE,PA,UNITED STATES,19003,610-642-7000,610-642-7100,,,,,,,Approved,1/4/1994,8/18/2010,Y,WWW.LOGANCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,Nov-50,0,More than 500,"1,000",26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,081,575,958.00","456,514,257.00","1,538,090,215.00",873,12,885,N,Y,Y,Y,N,Y,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,142919,801-67508,"RCL ADVISORS, LLC","RCL ADVISORS, LLC",40 WALL STREET,63RD FLOOR,NEW YORK,NY,UNITED STATES,10005,212-452-5900,212-452-5910,,,,,,,Approved,1/31/2007,1/28/2010,Y,WWW.RCLADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"1,023,563,096.00","1,023,563,096.00",0,568,568,Y,Y,N,Y,N,N,N,N,N,Y,CONSULTING,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,118153,801-61119,"HABERLING FINANCIAL GROUP, INC.","HABERLING FINANCIAL GROUP, INC.",1141 NORTH EDISON,SUITE A,KENNEWICK,WA,USA,99336,509-735-7507,509-783-5066,,,,,,,Approved,5/9/2002,3/12/2010,Y,WWW.HFGINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"221,876,369.00",0,"221,876,369.00","2,036",0,"2,036",Y,Y,N,Y,Y,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,116021,801-60628,PFG FINANCIAL ADVISORS NETWORK,PFG FINANCIAL ADVISORS,"366 WALKER DRIVE, SUITE 100",,STATE COLLEGE,PA,UNITED STATES,16801,814-238-0544,814-235-3500,,,,,,,Approved,10/5/2001,3/12/2010,Y,WWW.PFGINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,"1,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"333,541,365.00","345,251,187.00","678,792,552.00","1,105","1,517","2,622",Y,Y,N,N,Y,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,Y,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,133824,801-67524,"SG FINANCIAL ADVISORS, LLC","SG FINANCIAL ADVISORS, LLC","333 SANDY SPRINGS CIRCLE, N.E.",SUITE 121,SANDY SPRINGS,GA,UNITED STATES,30328,404-459-0027,404-978-0113,,,,,,,Approved,2/9/2007,3/12/2010,Y,WWW.SGFINANCIALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"116,758,931.00",0,"116,758,931.00",100,0,100,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105409,801-27115,POLLOCK PLANNING ASSOCIATES INC,"POLLOCK PLANNING ASSOCIATES, INC.",,,,,,,856-854-3319,856-854-1555,20 HILLCREST AVENUE,,COLLINGSWOOD,NJ,UNITED STATES,8108,Approved,5/30/1986,3/12/2010,Y,POLLOCKPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"84,334,000.00",0,"84,334,000.00",81,0,81,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111368,801-44823,DELTA WEALTH MANAGEMENT,DELTA WEALTH MANAGEMENT,,,,,,,(209) 224-8534,(209) 367-4464,"PMB 143, 1040 W.KETTLEMAN LANE, 1B",,LODI,CA,UNITED STATES,95240,Approved,9/23/1993,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"174,107,887.00","93,458,185.00","267,566,072.00",191,45,236,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,129812,801-67858,"WEALTH STRATEGIES BY BAYLISS & MCANINCH, INC.","WEALTH STRATEGIES BY BAYLISS & MCANINCH, INC.","1830 COLLEGE PARKWAY,",SUITE 200,CARSON CITY,NV,USA,89706,775-883-9555,775-883-3621,,,,,,,Approved,5/4/2007,3/12/2010,Y,WWW.WEALTHSTRATEGIESINC.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,Y,FEES FROM THE SALE AND MANAGEMENT OF INVESTMENT FUND,Y,"58,512,711.00",0,"58,512,711.00",268,0,268,Y,Y,N,N,Y,Y,N,N,N,Y,"MANAGING MEMBER & INVESTMENT MANAGER TO WEALTH STRATEGIES INVESTMENT FUND, LLC",51-100,,N,N,N,N,N,N,N,N,Y,SELL AND  MANAGEMENT OF INVESTMENT FUNDS,Y,Y,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,132045,801-66918,"CLEAR BROOK ADVISORS, INC.","CLEAR BROOK ADVISORS, INC.","75 ROCKEFELLER PLAZA, 14TH FLOOR",,NEW YORK,NY,USA,10019,212-350-8210,212-350-8299,,,,,,,Approved,6/20/2006,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,11-25 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"17,870,000.00","900,000,000.00","917,870,000.00",8,11,19,N,Y,N,Y,N,N,N,N,N,Y,"ASSET ALLOCATION , INVESTMENT ADVICE AND MANAGER SELECTION",0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106500,801-46022,CHARTWELL CONSULTING USA LLC,CHARTWELL CONSULTING USA LLC,34 PARK STREET,,MONTCLAIR,NJ,UNITED STATES,07042-3440,973-783-2900,973-783-2998,,,,,,,Approved,3/11/1994,3/12/2010,Y,WWW.CHARTWELLUSA.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,11-25 percent,0 percent,11-25 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110288,801-57672,"JUST PLANS, ETC",JUST PLANS ETC A CALIFORNIA CORPORATION,1399 YGNACIO VALLEY ROAD,SUITE 24,WALNUT CREEK,CA,UNITED STATES,94598,925-988-0330,925-988-0329,,,,,,,Approved,6/16/2000,3/12/2010,Y,WWW.JUSTPLANS-ETC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"53,529,313.00","6,219,224.00","59,748,537.00",364,77,441,Y,Y,N,N,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107908,801-48099,BENSON L K & CO P C,BENSON L K & CO P C,1107 KENILWORTH DRIVE,SUITE 302,TOWSON,MD,UNITED STATES,21204-2186,410-494-6680,410-494-6682,,,,,,,Approved,12/23/1994,3/12/2010,Y,WWW.LKBENSON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"30,354,758.00","30,354,758.00",0,36,36,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,114011,801-60868,COLORADO CAPITAL MANAGEMENT,"COLORADO CAPITAL MANAGEMENT, INC.","4430 ARAPAHOE AVENUE, SUITE 120",,BOULDER,CO,UNITED STATES,80303-1100,303-444-9300,303-444-2027,,,,,,,Approved,2/1/2002,3/12/2010,Y,WWW.COLORADOCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,"FOUNDATIONS, NON-PROFITS",Y,N,N,N,N,N,N,,Y,"100,000,000.00",0,"100,000,000.00",421,0,421,Y,Y,N,N,N,N,Y,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138142,801-65531,LANDMARK VALUE INVESTMENTS,"LANDMARK ADVISORS, LLC","408 W. 14TH STREET, 2ND FLOOR",,NEW YORK,NY,USA,10014,212-243-1600,212-243-1620,,,,,,,Approved,1/27/2006,3/12/2010,Y,WWW.LANDMARKVALUE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,PERFORMANCED BASED CAPITAL ALLOCATIONS,Y,"291,998,632.00","535,340.00","292,533,972.00",14,1,15,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISORY AND PORTFOLIO MANAGEMENT FOR FUNDS OF HEDGE FUNDS AND HEDGE FUNDS.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137091,801-64795,"S3 PARTNERS, LLC.","S3 PARTNERS, LLC.",590 MADISON AVENUE,32ND FLOOR,NEW YORK,NY,UNITED STATES,10022-2524,212-715-4300,212-715-4301,,,,,,,Approved,11/16/2005,3/12/2010,Y,WWW.S3PARTNERS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"136,803,417.00",0,"136,803,417.00",9,0,9,N,N,N,N,N,N,N,N,N,Y,"ASSET LIABILITY MANAGEMENT, DATA ANALYTICS",0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,138660,801-65887,"VALUED INVESTMENT PARTNERS, LLC","VALUED INVESTMENT PARTNERS, LLC",1777 S. HARRISON ST #1040,,DENVER,CO,UNITED STATES,80210,303-759-4414,303-753-6496,,,,,,,Approved,2/1/2006,3/12/2010,Y,VALUEDINVESTMENTPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"136,460,863.00",0,"136,460,863.00",247,0,247,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107788,801-28801,"DIAMANT ASSET MANAGEMENT, INC.","DIAMANT ASSET MANAGEMENT, INC.",170 MASON STREET,,GREENWICH,CT,UNITED STATES,6830,203-661-6410,203-661-8676,,,,,,,Approved,1/23/1987,3/12/2010,Y,WWW.PORTFOLIOADVISOR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"29,084,027.00","100,383,021.00","129,467,048.00",32,19,51,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,140870,801-71147,"SECURUS INVESTMENT MANAGEMENT, LLC","SECURUS INVESTMENT MANAGEMENT, LLC",72 S. LAGRANGE RD,SUITE # 1,LAGRANGE,IL,USA,60525,708-579-1585,708-579-1745,,,,,,,Approved,3/1/2010,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,FOUNDATIONS,Y,N,N,N,N,N,Y,INVESTMENT ADVICE VIA CONSULTATION,Y,"15,500,000.00","17,000,000.00","32,500,000.00",63,20,83,N,Y,N,N,N,N,N,N,N,Y,ADVICE VIA PERIODIC CONSULTATION,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106114,801-41357,GARDNER RUSSO & GARDNER,GARDNER RUSSO & GARDNER,223 EAST CHESTNUT STREET,,LANCASTER,PA,UNITED STATES,17602,717.299.1385,717.399.3170,,,,,,,Approved,4/1/1992,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,PA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,More than 500,"1,000",Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,764,527,319.00",0,"3,764,527,319.00","1,231",0,"1,231",N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,126317,801-63117,VINING FINANCIAL,"VINING FINANCIAL SERVICES, INC.",4994 LOWER ROSWELL ROAD,SUITE 4,MARIETTA,GA,USA,30068,770-971-9141,770-971-4224,,,,,,,Approved,4/29/2004,3/12/2010,Y,WWW.VININGFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"47,327,710.00","47,327,710.00",0,307,307,Y,Y,N,N,N,Y,Y,N,N,N,,101-250,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,120557,801-61143,"GLOBAL CAPITAL MANAGEMENT, INC.","GLOBAL CAPITAL MANAGEMENT, INC.",ONE WEST FIRST AVENUE,,CONSHOHOCKEN,PA,UNITED STATES,19428,610.567.0320,610.567.0322,,,,,,,Approved,5/10/2002,3/12/2010,Y,WWW.GCMONLINE.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,"1,000",Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,CO-MINGLED TRUSTS,Y,Y,N,Y,N,Y,N,,Y,"177,094,985.00",0,"177,094,985.00",754,0,754,N,Y,N,Y,N,N,N,N,N,Y,CONSULTING,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,131029,801-63172,"BERKSON ASSET MANAGEMENT, INC.","BERKSON ASSET MANAGEMENT, INC.",20501 VENTURA BLVD.,SUITE 225,WOODLAND HILLS,CA,USA,91364,818-713-8060,818-713-8061,,,,,,,Approved,5/18/2004,3/12/2010,Y,WWW.BERKSON.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,"CHARITABLE REMAINER TRUSTS, TRUSTS, LLC",Y,Y,N,Y,N,N,N,,Y,0,"73,538,745.00","73,538,745.00",0,93,93,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,117908,801-60783,"QUANTITATIVE STRATEGIES, INC.","QUANTITATIVE STRATEGIES, INC.","26135 MUREAU ROAD, #201",,CALABASAS,CA,UNITED STATES,91302,818-708-6888,818-444-8866,,,,,,,Approved,12/17/2001,6/10/2010,Y,WWW.QSTRATEGIESINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"56,700,000.00",0,"56,700,000.00",110,0,110,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,143425,801-67656,"STEWART WEALTH MANAGEMENT, INC.","STEWART WEALTH MANAGEMENT, INC.",1050 NORTHGATE DRIVE,SUITE 50,SAN RAFAEL,CA,UNITED STATES,94903,415-499-1544,800-588-6099,,,,,,,Approved,3/20/2007,2/10/2010,Y,WWW.STEWARTWEALTHMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,SOLICITATION FEES FROM THIRD PARTY MONEY MANAGERS,Y,"55,262,799.00",0,"55,262,799.00",411,0,411,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110421,801-18770,KILLEN GROUP INC,KILLEN GROUP INC,1189 LANCASTER AVE,,BERWYN,PA,UNITED STATES,19312,610-296-7222,610-296-3168,,,,,,,Approved,4/21/1983,11/4/2009,Y,WWW.THEKILLENGROUP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"803,155,383.00",0,"803,155,383.00",260,0,260,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N
NYRO,150254,801-70197,NEXAR CAPITAL LLC,NEXAR CAPITAL LLC,767 FIFTH AVENUE,19TH FLOOR,NEW YORK,NY,UNITED STATES,10153,212-317-6700,212-317-1121,,,,,,,Approved,5/20/2009,6/10/2010,Y,WWW.NEXARCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"42,700,000.00","33,900,000.00","76,600,000.00",1,1,2,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,153452,801-71360,"MARTIN CAPITAL PARTNERS, LLC","MARTIN CAPITAL PARTNERS, LLC",2911 TENNYSON AVENUE,"THE INKWELL BUILDING, SECOND FLOOR",EUGENE,OR,UNITED STATES,97408,541-636-4170,541-636-4815,,,,,,,120-Day Approval,4/20/2010,6/10/2010,Y,WWW.MARTINCP.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,115580,801-68591,"PROFESSIONAL INVESTMENT MANAGEMENT SERVICES, PLLC","PROFESSIONAL INVESTMENT MANAGEMENT SERVICES, PLLC",7103 W. CLEARWATER,SUITE B,KENNEWICK,WA,UNITED STATES,99336,509-735-3000,509-735-3013,,,,,,,Approved,12/3/2007,6/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,0,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,000,000.00",0,"34,000,000.00",726,0,726,Y,Y,N,N,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,125839,801-66969,"ELEVEN O'CLOCK ASSOCIATES, LLC","ELEVEN O'CLOCK ASSOCIATES, LLC",16723 PHEASANT COURT,,FT MYERS,FL,UNITED STATES,33908,239-676-5311,239-676-5312,,,,,,,Approved,7/12/2006,6/10/2010,Y,WWW.ELEVENOCLOCK.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"58,437,505.00",0,"58,437,505.00",251,0,251,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106066,801-40750,LYSTER WATSON & COMPANY,"LYSTER WATSON MANAGEMENT, INC.",888 SEVENTH AVENUE,40TH FLOOR,NEW YORK,NY,UNITED STATES,10019,(212) 841-6800,(212) 841-6930,,,,,,,Approved,3/13/1992,6/10/2010,Y,WWW.LYSTERWATSON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),S-CORPORATION,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,100,410,307.00",0,"1,100,410,307.00",312,0,312,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES AND THE SELECTION OF OTHER MANAGERS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,133720,801-65336,PINE RIVER CAPITAL MANAGEMENT L.P.,PINE RIVER CAPITAL MANAGEMENT L.P.,601 CARLSON PARKWAY,SUITE 330,MINNETONKA,MN,UNITED STATES,55305,612-238-3300,612-238-3301,,,,,,,Approved,1/19/2006,6/10/2010,Y,WWW.PINERIVERCAPITAL.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,772,100,000.00",0,"5,772,100,000.00",24,0,24,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,152231,801-70984,"SILVER SPRING INVESTMENT ADVISORS, LLC","SILVER SPRING INVESTMENT ADVISORS, LLC",38C GROVE STREET,,RIDGEFIELD,CT,UNITED STATES,6877,203-431-0330 EXT 863,203-702-5380,,,,,,,Approved,2/10/2010,6/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,0,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"270,000,000.00","270,000,000.00",0,1,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,118914,801-64115,"SUN VALLEY ADVISORS, INC.","SUN VALLEY ADVISORS, INC.",,,,,,,775-461-0600,775-461-0602,PO BOX 22389,,CARSON CITY,NV,UNITED STATES,89721,Approved,5/19/2005,6/10/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,ID,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"42,510,709.00",0,"42,510,709.00",95,0,95,N,Y,N,N,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,122520,801-68492,"HANCOCK CAPITAL MANAGEMENT, INC.","HANCOCK CAPITAL MANAGEMENT, INC.",1618 E. PLEASANT VALLEY BLVD.,,ALTOONA,PA,USA,16602,814-944-8849,814-942-7185,,,,,,,Approved,11/20/2007,2/16/2010,Y,WWW.HANCOCK-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"31,365,051.00","31,365,051.00",0,465,465,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,132950,801-70958,"GLENWOOD INVESTMENT GROUP, LLC","GLENWOOD INVESTMENT GROUP, LLC",62 LOWELL STREET,SUITE 4,MANCHESTER,NH,UNITED STATES,3101,603-606-3391,603-626-6066,,,,,,,Approved,1/7/2010,2/16/2010,Y,WWW.GLENWOODINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,0,"32,947,278.00","32,947,278.00",0,178,178,Y,Y,N,Y,N,N,Y,N,N,Y,CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,128368,801-71086,"ROTH ASSET MANAGEMENT, INC.","ROTH ASSET MANAGEMENT, INC.",,,,,,,206-780-5550,206-855-9729,,,,,,,Approved,2/9/2010,6/10/2010,Y,WWW.ROTHASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"46,000,000.00",0,"46,000,000.00",27,0,27,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,14869,801-55153,AMERITAS INVESTMENT CORP,AMERITAS INVESTMENT CORP,"5900 ""O"" STREET",,LINCOLN,NE,UNITED STATES,68510,800-335-9858,402-467-7726,,,,,,,Approved,1/13/1998,6/10/2010,Y,WWW.AICINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,501-1000,0,501-1000,0,501-1000,0,Nov-50,0,More than 500,"6,500",26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,"24,501,075.00","1,544,684,649.00","1,569,185,724.00",214,"6,231","6,445",Y,Y,N,Y,Y,Y,N,N,N,N,,251-500,,Y,Y,Y,N,N,N,Y,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,Y,N,Y,Y,Y
FWRO,152651,801-71043,"COVENANT MULTI-FAMILY OFFICES, LLC","COVENANT MULTI-FAMILY OFFICES, LLC",18756 STONE OAK PARKWAY; SUITE 102,,SAN ANTONIO,TX,UNITED STATES,78258,210-403-5350,210-403-8450,,,,,,,Approved,1/29/2010,6/10/2010,Y,WWW.CONVENANTMFO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"776,000,000.00",0,"776,000,000.00",510,0,510,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,Y,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,140169,801-66542,"CORNERSTONE CAPITAL ADVISORS, INC.","CORNERSTONE CAPITAL ADVISORS, INC.",2405 WADSWORTH BLVD.,,LAKEWOOD,CO,USA,80214,303-232-8550,303-232-8549,,,,,,,Approved,5/3/2006,2/16/2010,Y,WWW.CORNERSTONECAPITALADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"29,204,194.00","2,964,448.00","32,168,642.00",197,10,207,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107953,801-56301,NORTHWEST INVESTMENT COUNSELORS,NORTHWEST INVESTMENT COUNSELORS LLC,"340 OSWEGO POINTE DRIVE, SUITE 104",,LAKE OSWEGO,OR,UNITED STATES,97034,800-685-7884,971-404-0188,,,,,,,Approved,3/18/1999,2/16/2010,Y,HTTP://WWW.NWIC.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"185,352,981.00","1,189,607.00","186,542,588.00",499,1,500,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,118573,801-60859,KYLE FINANCIAL SERVICES,KYLE COMPANY,"10850 WEST PARK PLACE, SUITE 500",,MILWAUKEE,WI,USA,53224,414-359-2020,414-359-2120,,,,,,,Approved,1/22/2002,2/16/2010,Y,WWW.KYLEFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"123,935,148.00",0,"123,935,148.00",100,0,100,Y,Y,N,Y,N,Y,Y,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,116592,801-62424,"UHY CAPITAL ADVISORS, LLC","UHY CAPITAL ADVISORS, LLC",12 GREENWAY PLAZA,SUITE 200,HOUSTON,TX,UNITED STATES,77046-1291,713-407-3900,713-968-7144,,,,,,,Approved,10/16/2003,6/10/2010,Y,WWW.UHYADVISORS-US.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,Y,% OF ASSETS,N,0,0,0,0,0,0,Y,N,N,N,Y,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,N,N,N,,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,149777,801-70103,MORGAN STANLEY SMITH BARNEY LLC,MORGAN STANLEY SMITH BARNEY LLC,2000 WESTCHESTER AVENUE,,PURCHASE,NY,UNITED STATES,10577-2530,914-225-1000,201-633-7886,NORTH AMERICAN REGISTRATION,HARBOR SIDE PLAZA 2,JERSEY CITY,NJ,UNITED STATES,7302,Approved,5/11/2009,6/10/2010,Y,WWW.MORGANSTANLEYSMITHBARNEY.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,More than 1000,"25,000",More than 1000,"18,000",More than 1000,"2,000",More than 1000,"1,000",More than 500,"1,445,000",51-75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,"INVESTMENT CLUBS, USUFRUCT",Y,N,N,Y,Y,N,Y,SEE SCHEDULE D MISCELLANEOUS,Y,"199,680,222,451.00","110,233,835,654.00","309,914,058,105.00","662,591","782,673","1,445,264",Y,Y,N,Y,Y,Y,N,N,N,Y,ASSET ALLOCATION ADVICE,More than 500,104000,Y,Y,Y,N,Y,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,N,Y
NYRO,108907,801-55637,"WPS ADVISORS, INC.","WPS ADVISORS, INC.",527 MADISON AVE,,NEW YORK,NY,UNITED STATES,10022,212-750-8585,212-980-8039,,,,,,,Approved,6/18/1998,6/10/2010,Y,WWW.WPSTEWART.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,Nov-50,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"22,132,082.00",0,"22,132,082.00",1,0,1,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105279,801-28534,WINDSOR GROUP LTD,WINDSOR GROUP LTD,"500 E. 96TH STREET, SUITE 450",,INDIANAPOLIS,IN,UNITED STATES,46240,317-848-3005,317-844-9614,,,,,,,Approved,12/12/1986,2/16/2010,Y,WWW.WINDSOR-GROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"483,861,691.00",0,"483,861,691.00","1,717",0,"1,717",Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,Y,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,7727,801-14033,"SULLIVAN, MORRISSEY & MICKLE CAPITAL MANAGEMENT CORP","SULLIVAN,MORRISSEY & MICKLE CAPITAL MANAGEMENT CORP.",450 PARK AVENUE,,NEW YORK,NY,USA,10022,212-832-7440,212-826-8897,,,,,,,Approved,7/9/1978,11/5/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,ELEEMOSYNARY,Y,N,N,N,N,N,N,,Y,"64,729,040.00",0,"64,729,040.00",12,0,12,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105655,801-13895,"W.P. STEWART & CO., LTD.","W.P. STEWART & CO., LTD.",527 MADISON AVENUE,,NEW YORK,NY,UNITED STATES,10022,212-750-8585,212-980-8039,,,,,,,Approved,6/23/1978,6/10/2010,Y,WWW.WPSTEWART.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,Nov-50,0,More than 500,600,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,ENDOWMENTS AND FOUNDATIONS,Y,N,N,N,N,Y,N,,Y,"1,541,502,492.00",0,"1,541,502,492.00",581,0,581,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,122046,801-61428,W.P. STEWART ASSET MANAGEMENT LTD.,W.P. STEWART ASSET MANAGEMENT LTD.,527 MADISON AVENUE,,NEW YORK,NY,UNITED STATES,10022,212-750-8585,212-980-8039,,,,,,,Approved,8/30/2002,6/10/2010,Y,WWW.WPSTEWART.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,51-250,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"479,429,066.00",0,"479,429,066.00",45,0,45,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,148933,801-69794,"BLUE WATER CAPITAL ADVISORS, LLC","BLUE WATER CAPITAL ADVISORS, LLC",1314 E. SUPERIOR ST.,,DULUTH,MN,UNITED STATES,55805-2428,218-464-4399,218-464-4397,,,,,,,Approved,1/2/2009,6/10/2010,Y,WWW.BLUEWATERCAPITALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"33,250,000.00","1,500,000.00","34,750,000.00",270,6,276,Y,Y,N,Y,N,N,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,104695,801-10139,"ELIOT FINKEL INVESTMENT COUNSEL, LLC",FINKEL ELIOT MICHELOW,9100 WILSHIRE BOULEVARD,SUITE 503E,BEVERLY HILLS,CA,UNITED STATES,90212,310-271-2521,310-385-0624,,,,,,,Approved,8/28/1974,2/16/2010,Y,WWW.EFINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"74,974,141.00",0,"74,974,141.00",137,0,137,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,107335,801-20076,OCTAGON FINANCIAL SERVICES INC,OCTAGON FINANCIAL SERVICES INC,"1751 PINNACLE DRIVE, SUITE 1500",,MCLEAN,VA,UNITED STATES,22102,703-905-3300,703-905-4495,,,,,,,Approved,11/18/1983,6/10/2010,Y,WWW.OCTAGONFINANCIALSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DC,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"230,282,592.00",0,"230,282,592.00",569,0,569,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,121024,801-61289,TRADERISKS LTD.,TRADERISKS LIMITED,21 GREAT WINCHESTER STREET,,LONDON,,UNITED KINGDOM,EC2N 2JA,4.42074E+11,0044207382 0901,,,,,,,Approved,6/27/2002,11/5/2009,Y,WWW.TRADERISKS.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Company,,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,,N,N,N,Y,Y,Y,N,,Y,0,"67,774,360.00","67,774,360.00",0,3,3,N,N,N,Y,N,Y,N,N,N,Y,LIABILITY PORTFOLIO MANAGEMENT ADVISORY AND MANAGEMENT SERVICES,0,,N,N,N,N,N,N,N,N,Y,FINANCIAL RISK MANAGEMENT SOFTWARE AND SERVICES,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112187,801-60227,"QUAD CITY INVESTMENT ADVISORS, LLC","QUAD CITY INVESTMENT ADVISORS, LLC",3551 7TH STREET,SUITE 104,MOLINE,IL,UNITED STATES,61265,309-743-3580,309-736-7635,,,,,,,Approved,5/22/2001,6/10/2010,Y,WWW.QCBT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"85,613,358.00","85,613,358.00",0,330,330,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,126942,801-62047,"ABLES, IANNONE, MOORE & ASSOCIATES, INC.","ABLES, IANNONE, MOORE & ASSOCIATES, INC.",10 PLANTATION PARK DR.,SUITE 200,BLUFFTON,SC,UNITED STATES,29910,843-815-6004,843-815-6104,PO BOX 870,,BLUFFTON,SC,UNITED STATES,29910,Approved,5/9/2003,6/10/2010,Y,WWW.AIMAINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,SC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"48,772,059.00","5,008,812.00","53,780,871.00",418,26,444,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,150510,801-70630,ELLINGTON FINANCIAL MANAGEMENT LLC,ELLINGTON FINANCIAL MANAGEMENT LLC,53 FOREST AVE,,OLD GREENWICH,CT,UNITED STATES,6870,203-698-1200,203-698-0869,,,,,,,Approved,10/9/2009,6/10/2010,Y,WWW.ELLINGTON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,SPECIALTY FINANCE COMPANY,Y,N,N,N,N,Y,N,,Y,"299,794,013.00",0,"299,794,013.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,ADVISE AND MANAGE SPECIALTY FINANCE COMPANY,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
MIRO,150570,801-70256,AGW CAPITAL ADVISORS,ANNIS GARDNER WHITING CAPITAL ADVISORS LLC,511 W. BAY STREET,SUITE 310,TAMPA,FL,UNITED STATES,33606,813-254-4700,813-254-4717,,,,,,,Approved,6/1/2009,2/16/2010,Y,WWW.AGWCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"57,921,957.00","28,872,091.00","86,794,048.00",126,36,162,N,Y,N,Y,Y,Y,N,N,N,N,,,,Y,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,135304,801-64231,"ROYAL PALMS CAPITAL, LLC","ROYAL PALMS CAPITAL, LLC",501 DEEP VALLEY DRIVE,STE. 305,ROLLING HILLS  EST.,CA,USA,90274,310 265-5939,310 544-5156,,,,,,,Approved,5/17/2005,2/16/2010,Y,WWW.ROYALPALMSCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"55,712,220.00","637,738.00","56,349,958.00",204,11,215,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N
ARO,107460,801-60000,AURORA INVESTMENT COUNSEL,AURORA INVESTMENT COUNSEL,3350 RIVERWOOD PKWY,SUITE #1770,ATLANTA,GA,UNITED STATES,30339,770-226-5323,678-202-0484,,,,,,,Approved,1/4/2001,2/16/2010,Y,WWW.AURORA-INVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"172,671,163.00",0,"172,671,163.00",216,0,216,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,109522,801-36738,KEELER THOMAS INC,KEELER THOMAS INC,1327 SOUTH 800 EAST SUITE 100,,OREM,UT,UNITED STATES,84097,801-226-0800,801-226-6152,,,,,,,Approved,6/7/1990,2/16/2010,Y,WWW.KEELERTHOMAS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,26-50 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"19,500,000.00","27,200,000.00","46,700,000.00",62,128,190,Y,Y,N,Y,Y,N,N,N,N,Y,1) WEALTH MANAGEMENT 2) PORTFOLIO MONITORING AND REVIEW,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,150138,801-70154,"CMH WEALTH MANAGEMENT, LLC","CMH WEALTH MANAGEMENT, LLC",155 LAFAYETTE ROAD,"3RD FLOOR, SUITE 7",NORTH HAMPTON,NH,UNITED STATES,3862,(603) 379-8161,(603) 379-8165,,,,,,,Approved,4/30/2009,2/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"81,997,271.00",0,"81,997,271.00",68,0,68,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107457,801-60012,HARBOR ISLAND CAPITAL LLC,HARBOR ISLAND CAPITAL LLC,7 GROVE STREET,UNIT 302,TOPSFIELD,MA,USA,1983,978-887-3174,978-887-3176,,,,,,,Approved,2/9/2001,2/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,FAMILY LIMITED PARTNERSHIPS,Y,N,N,N,N,N,N,,Y,"63,627,810.00",0,"63,627,810.00",21,0,21,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105438,801-4249,SCHWARTZ & HOFFLICH LLP CPA,SCHWARTZ & HOFFLICH LLP CPA,"37 NORTH AVE, STE. 3",,NORWALK,CT,USA,06851-3827,203-847-4068,203-849-0624,,,,,,,Approved,3/18/1967,2/16/2010,Y,HTTP://WWW.SHCPA.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Partnership,,CT,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,25-Nov,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,137164,801-64740,"EVERGREEN WEALTH MANAGEMENT SERVICES, INC.","EVERGREEN WEALTH MANAGEMENT SERVICES, INC.",,,,,,,206-393-0639,800-851-0047,"46 VILLAGE WAY, PMB 110",,PORT LUDLOW,WA,USA,98365,Approved,9/28/2005,2/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"28,770,854.00",0,"28,770,854.00",138,0,138,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,110870,801-17207,SMEDLEY FINANCIAL SERVICES INC,SMEDLEY FINANCIAL SERVICES INC,420 E SOUTH TEMPLE,SUITE 420,SALT LAKE CITY,UT,USA,84111,801-355-8888,801-355-1912,P.O. BOX 4133,,SALT LAKE CITY,UT,USA,84110-4133,Approved,6/4/1982,11/6/2009,Y,WWW.SMEDLEYFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,More than 500,"1,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,REGISTERED INVESTMENT ADVISORS,Y,Y,N,Y,Y,N,Y,SUB-ADVISORY FEES,Y,"144,332,949.00",0,"144,332,949.00","2,591",0,"2,591",Y,Y,N,Y,N,N,Y,N,N,Y,ADVICE TO OTHER REGISTERED INVESTMENT ADVISORS,51-100,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106448,801-37597,JOHN BOWEN INVESTMENT MANAGEMENT,BOWEN JOHN CHARLES,1330 ORANGE AVENUE STE 305,,CORONADO,CA,USA,92118,619-437-7224,619-437-7224,,,,,,,Approved,9/28/1990,2/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"47,611,000.00",0,"47,611,000.00",100,0,100,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,127162,801-68544,GOLDSTONE PORTFOLIOS INCORPORATED,GOLDSTONE PORTFOLIOS INCORPORATED,,,,,,,845-698-1806,845-266-8188,,,,,,,Approved,11/29/2007,2/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,760,748.00","1,976,117.00","36,736,865.00",93,6,99,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108103,801-55377,"BEACON INVESTMENT MANAGEMENT, INC.",BEACON INVESTMENT MANAGEMENT INC,4001 BARRETT DRIVE,SUITE # 103,RALEIGH,NC,UNITED STATES,27609,919-821-5225,919-821-1033,,,,,,,Approved,3/24/1998,2/16/2010,Y,WWW.BEACONINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"30,740,795.00","2,391,479.00","33,132,274.00",154,82,236,N,Y,N,N,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,151986,801-70807,"INSTITUTIONAL BULLION INVESTMENT ADVISORS, LLC","INSTITUTIONAL BULLION INVESTMENT ADVISORS, LLC","224 DATURA STREET, #1002",,WEST PALM BEACH,FL,UNITED STATES,33401,561-346-1212,561-835-1440,,,,,,,120-Day Approval,12/4/2009,11/6/2009,Y,IBIA.US,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,A PERCENTAGE OF ASSETS IN MODEL PORTFOLIO,Y,0,0,0,0,0,0,Y,Y,N,Y,N,N,N,N,N,Y,"THE SALE OF GOLD, SILVER & PLATINUM",10-Jan,,N,N,N,N,Y,N,N,N,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106394,801-11253,D.P. HILL & CO.,D.P. HILL & CO.,"600 CALIFORNIA STREET, 18TH FLOOR",,SAN FRANCISCO,CA,UNITED STATES,94108,415-421-1990,415-956-3231,,,,,,,Approved,1/2/1976,2/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,0,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"97,745,409.00","43,744,577.00","141,489,986.00",23,16,39,N,Y,N,N,N,N,N,N,N,Y,CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,133043,801-67912,"PROXIMA CAPITAL MANAGEMENT, LLC","PROXIMA CAPITAL MANAGEMENT, LLC",900 THIRD AVENUE,SUITE 1001,NEW YORK CITY,NY,UNITED STATES,10022,212-897-5711,212-897-5715,,,,,,,Approved,5/8/2007,2/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"294,380,034.00",0,"294,380,034.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105974,801-34323,MENDEL MONEY MANAGEMENT INC,MENDEL MONEY MANAGEMENT INC,1200 SHERMER RD STE 312,,NORTHBROOK,IL,UNITED STATES,60062,847-564-0970,847-291-9924,,,,,,,Approved,4/24/1989,2/16/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"81,000,000.00","6,000,000.00","87,000,000.00",117,2,119,Y,Y,Y,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150888,801-70384,"LANIER ASSET MANAGEMENT, LLC","LANIER ASSET MANAGEMENT, LLC",10200 FOREST GREEN BLVD.,SUITE 401,LOUISVILLE,KY,UNITED STATES,40223,502-618-3580,502-618-3597,,,,,,,Approved,7/14/2009,11/6/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"33,909,261.00","33,909,261.00",0,65,65,Y,Y,N,Y,N,Y,N,N,N,N,,0,,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,110996,801-14470,"PAUL MANNERS & ASSOCIATES, INC.","MANNERS PAUL & ASSOCIATES, INC.",3414 PEACHTREE ROAD NE,SUITE 1250,ATLANTA,GA,USA,30326,404-231-8611,404-231-8588,,,,,,,Approved,3/22/1979,11/6/2009,Y,WWW.PAULMANNERS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"189,833,358.00","20,279,113.00","210,112,471.00",408,91,499,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,147982,801-69549,"ASSET STRATEGY RETIREMENT PLAN CONSULTANTS, LLC","ASSET STRATEGY RETIREMENT PLAN CONSULTANTS, LLC",17 SOUTH 2ND STREET SUITE 3A,,HARRISBURG,PA,USA,17101,717 497 4375,717 602 1011,,,,,,,Approved,8/27/2008,11/6/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE OF ADVISORY FEES CHARGED TO CLIENTS BY NFP SECURITIES,Y,0,"66,000,000.00","66,000,000.00",0,80,80,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,130537,801-63121,"BERMAN, STEVEN M.","BERMAN, STEVEN MALLIN",,,,,,,415-388-8938,415-381-8229,P.O. BOX 2229,,MILL VALLEY,CA,,94942,Approved,4/30/2004,2/16/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"97,622,476.00",0,"97,622,476.00",121,0,121,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,114125,801-45978,STRATEGIC INVESTMENT SOLUTIONS INC.,STRATEGIC INVESTMENT SOLUTIONS INC.,333 BUSH STREET,SUITE 2000,SAN FRANCISCO,CA,UNITED STATES,94104,415-362-3484,415-362-2752,,,,,,,Approved,2/28/1994,2/16/2010,Y,WWW.SIS-SF.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,2016,801-9661,GLICKENHAUS & CO.,GLICKENHAUS & CO.,546 FIFTH AVENUE,7TH FLOOR,NEW YORK,NY,UNITED STATES,10036-5000,212-953-7800,212-867-9779,,,,,,,Approved,12/5/1973,11/6/2009,Y,WWW.GLICKENHAUS.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,NY,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,500,Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"999,910,516.00","219,144,868.00","1,219,055,384.00",541,28,569,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,Y,Y,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,122895,801-71773,"KADISAK FINANCIAL SERVICES, INC.","KADISAK FINANCIAL SERVICES, INC.",710 E. OGDEN AVE,SUITE 670,NAPERVILLE,IL,UNITED STATES,60563,630-369-3336,630-369-3337,,,,,,,Approved,8/27/2010,8/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"28,926,372.00",0,"28,926,372.00",325,0,325,Y,N,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137028,801-64710,"CLEARBRIDGE ADVISORS, LLC","CLEARBRIDGE ADVISORS, LLC",620 8TH AVENUE,,NEW YORK,NY,UNITED STATES,10018,212-805-2000,877-638-5508,,,,,,,Approved,9/30/2005,8/13/2010,Y,WWW.CLEARBRIDGEADVISORS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,51-250,0,5-Jan,0,More than 500,"130,000",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,Y,ASSET-BASED FEES FOR NON-DISCRETIONARY ADVICE,Y,"53,902,558,920.00","195,658,485.00","54,098,217,405.00","100,362",2,"100,364",N,Y,Y,Y,N,N,N,N,N,Y,NON-DISCRETIONARY ADVICE,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,112410,801-51254,SCEPTRE INVESTMENT COUNSEL LIMITED,SCEPTRE INVESTMENT COUNSEL LIMITED,26 WELLINGTON ST EAST STE 1200,,TORONTO ONTARIO,,CANADA,M5E1W4,416-360-4805,416-367-8716,,,,,,,Approved,3/12/1996,2/18/2010,Y,WWW.SCEPTRE.CA,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",51-250,0,Nov-50,0,0,0,0,0,More than 500,"22,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"6,511,000,000.00","515,000,000.00","7,026,000,000.00",600,"21,600","22,200",N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106070,801-32046,CLEARBRIDGE ASSET MANAGEMENT INC,CLEARBRIDGE ASSET MANAGEMENT INC,620 8TH AVENUE,,NEW YORK,NY,UNITED STATES,10018,212-805-2000,877-638-5508,,,,,,,Approved,5/13/1988,8/13/2010,Y,WWW.CLEARBRIDGEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"285,364,462.00",0,"285,364,462.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111593,801-60913,"CREDITSIGHTS, INC.","CREDITSIGHTS, INC.",470 PARK AVENUE SOUTH,12TH FLOOR,NEW YORK,NY,UNITED STATES,10016,212.340.3813,212.213.6168,,,,,,,Approved,2/21/2002,2/18/2010,Y,WWW.CREDITSIGHTS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,51-250,0,0,0,10-Jun,0,More than 500,"1,000",0 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,N,N,Y,Y,N,N,N,,N,0,0,0,0,0,0,N,N,Y,Y,N,N,Y,Y,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,145923,801-68663,"GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC","GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC",DELAWARE CORPORATE CENTER II,"SUITE 100, 2 RIGHTER PARKWAY",WILMINGTON,DE,UNITED STATES,19803,302-476-3800,302-476-3838,,,,,,,Approved,1/21/2008,8/13/2010,Y,WWW.GLOBALCURRENTS.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,More than 500,"4,500",Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,SEPARATELY MANAGED WRAP FEE ACCOUNTS,Y,N,N,N,N,Y,Y,ASSET-BASED FEES FOR NON-DISCRETIONARY ADVICE,Y,"4,506,353,156.00",0,"4,506,353,156.00","4,093",0,"4,093",N,Y,Y,Y,N,N,N,N,N,Y,NON-DISCRETIONARY ADVICE,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,142333,801-67287,"LEGG MASON GLOBAL ASSET ALLOCATION, LLC","LEGG MASON GLOBAL ASSET ALLOCATION, LLC",620 EIGHTH AVENUE,,NEW YORK,NY,UNITED STATES,10018,212-805-6000,877-241-9484,,,,,,,Approved,11/17/2006,8/13/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,SEE SCHEDULE D-MISCELLANEOUS,Y,"2,315,303,918.00","2,424,604,267.00","4,739,908,185.00",48,13,61,N,N,Y,Y,N,Y,N,N,N,Y,NON-DISCRETIONARY ADVICE;PORTFOLIO IMPLEMENTATION AND TRADE PLACEMENT SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107598,801-43675,LOEB PARTNERS MANAGEMENT INC,LOEB PARTNERS MANAGEMENT INC,61 BROADWAY,,NEW YORK,NY,UNITED STATES,10006,212-483-7039,212-574-2001,,,,,,,Approved,4/19/1993,8/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"38,831,700.00",0,"38,831,700.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,HEDGE FUND MANAGEMENT,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,110372,801-57370,ASSET STRATEGY CONSULTANTS OF MINNESOTA LLC,ASSET STRATEGY CONSULTANTS OF MINNESOTA LLC,7218 FOREST VIEW LANE,,MAPLE GROVE,MN,USA,55369,763-201-1025,763-201-1026,,,,,,,Approved,3/10/2000,2/18/2010,Y,WWW.ASSETSTRATEGYCONSULTANTS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"71,606,256.00","1,390,296.00","72,996,552.00",152,12,164,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115849,801-64307,TABER ASSET MANAGEMENT L.L.C.,TABER ASSET MANAGEMENT L.L.C.,,,,,,,515-557-1860,515-883-1564,,,,,,,Approved,5/12/2005,2/18/2010,Y,WWW.TABERASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"23,651,969.00","9,485,628.00","33,137,597.00",97,47,144,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,Y,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,453,801-23120,"J.J.B. HILLIARD, W.L. LYONS, LLC","J.J.B. HILLIARD, W.L. LYONS, LLC",500 WEST JEFFERSON STREET,,LOUISVILLE,KY,UNITED STATES,40202,502-588-8400,502-588-9194,,,,,,,Approved,12/3/1984,2/18/2010,Y,WWW.HILLIARD.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,KY,UNITED STATES,More than 1000,"1,000",251-500,0,501-1000,0,5-Jan,0,More than 500,"8,000",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"3,373,111,065.00","976,814,829.00","4,349,925,894.00","4,785","2,738","7,523",Y,Y,Y,Y,N,Y,N,N,N,N,,101-250,,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,N,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N
PLRO,142219,801-67411,"LEGG MASON PRIVATE PORTFOLIO GROUP, LLC","LEGG MASON PRIVATE PORTFOLIO GROUP, LLC",100 INTERNATIONAL DRIVE,,BALTIMORE,MD,UNITED STATES,21202,410-539-0000,410-454-5645,,,,,,,Approved,1/19/2007,8/13/2010,Y,HTTP://INVESTORSERVICES.LEGGMASON.COM/PUB/PAGESERV/SMA,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,0,0,More than 500,"137,000",More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,Y,ASSET-BASED FEES FOR NON-DISCRETIONARY ADVICE,Y,"31,112,055,286.00",0,"31,112,055,286.00","100,008",0,"100,008",N,Y,N,Y,N,Y,N,N,N,Y,NON-DISCRETIONARY ADVICE,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,153808,801-71739,DETWILER FENTON INVESTMENT MANAGEMENT LLC,DETWILER FENTON INVESTMENT MANAGEMENT LLC,100 HIGH STREET,SUITE 2800,BOSTON,MA,UNITED STATES,2110,617-451-0100,617-747-0800,,,,,,,Approved,8/24/2010,8/13/2010,Y,WWW.DMCOS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,0,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,SUBADVISORY FEES FROM WAINRIGHT INVESTMENT COUNSEL,Y,"162,612,416.00",0,"162,612,416.00",548,0,548,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,120086,801-67059,NCA FINANCIAL PLANNERS,"FINANCIAL PLANNERS OF CLEVELAND, INC.","6095 PARKLAND BLVD., SUITE 210",,MAYFIELD HEIGHTS,OH,UNITED STATES,44124,440-473-1115,440-473-0186,,,,,,,Approved,8/10/2006,8/13/2010,Y,WWW.NCAFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,173",51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,% OF MARKET VALUE FOR PORTFOLIO MONITORING/ASSET ALLOCATION,Y,"465,814,001.00",0,"465,814,001.00","2,362",0,"2,362",Y,Y,N,N,N,N,N,N,N,Y,PERIODIC PORTFOLIO MONITORING/ASSET ALLOCATION,51-100,,N,Y,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,142430,801-67336,"C5 WEALTH MANAGEMENT, LLC","C5 WEALTH MANAGEMENT, LLC",746 WALKER ROAD,SUITE 26,GREAT FALLS,VA,USA,22066,703-759-7007,703-759-5508,,,,,,,Approved,11/20/2006,8/13/2010,Y,WWW.C5WM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"142,422,850.00",0,"142,422,850.00",983,0,983,Y,Y,N,Y,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,145243,801-68496,"VERMILLION ASSET MANAGEMENT, LLC","VERMILLION ASSET MANAGEMENT, LLC",267 FIFTH AVENUE,7TH FLOOR,NEW YORK,NY,UNITED STATES,10016,212-683-8816,212-669-3986,,,,,,,Approved,11/20/2007,2/18/2010,Y,WWW.VERMILLIONLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,172,691,507.00",0,"1,172,691,507.00",14,0,14,N,N,N,N,N,N,N,N,N,Y,ADVISE PRIVATE INVESTMENT FUNDS AND ONE SEPARATE ACCOUNT,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
LARO,146689,801-70681,INTERWEALTH MANAGEMENT ADVISORS LLC,INTERWEALTH MANAGEMENT ADVISORS LLC,14201 N. 87TH ST. STE A101,,SCOTTSDALE,AZ,UNITED STATES,85260,480-471-5456,480-471-5470,,,,,,,Approved,10/16/2009,2/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"26,582,185.00","17,721,457.00","44,303,642.00",100,68,168,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,132295,801-63394,"CHATTERTON & ASSOCIATES, THE WEALTH MANAGEMENT TEAM, INC.","CHATTERTON & ASSOCIATES, THE WEALTH MANAGEMENT TEAM, INC.","3111 NORTH TUSTIN STREET, SUITE 105",,ORANGE,CA,UNITED STATES,92865,714 572-2050,714-572-2056,,,,,,,Approved,8/6/2004,2/18/2010,Y,WWW.CHATTERTONINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"240,000,000.00","240,000,000.00",0,600,600,Y,Y,N,N,Y,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,0,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,148520,801-69732,"POLARIS FINANCIAL SERVICES, INC.","POLARIS FINANCIAL SERVICES, INC.","300 TAMAL PLAZA, SUITE 175",,CORTE MADERA,CA,UNITED STATES,94925,415-927-0722,415-927-4747,,,,,,,Approved,11/19/2008,2/18/2010,Y,WWW.POLARISMARIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,Y,ANNUAL RETAINER BASED ON RANGE OF ASSETS UNDER MANAGEMENT.,Y,0,"137,000,000.00","137,000,000.00",0,839,839,Y,Y,N,N,N,N,N,N,N,Y,TAX CONSULTING AND PREPARATION,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,152790,801-71082,WEYLAND CAPITAL MANAGEMENT LLC,WEYLAND CAPITAL MANAGEMENT LLC,22 DEER STREET,SUITE 200,PORTSMOUTH,NH,UNITED STATES,3801,603-433-8994,603-427-1669,PO BOX 1246,,PORTSMOUTH,NH,UNITED STATES,3802,Approved,2/25/2010,2/18/2010,Y,WWW.WEYLAND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"161,087,257.00","2,220,987.00","163,308,244.00",139,4,143,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,154560,801-71698,NUKUNU CAPITAL LLC,"HABADAH, FRANCIS DELLA",1228 BERKELEY STREET,,SANTA MONICA,CA,UNITED STATES,90404,305-205-3064,305-535-8962,,,,,,,120-Day Approval,8/10/2010,8/13/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,Y,Y,N,,Y,"6,000,000.00","7,000,000.00","13,000,000.00",15,12,27,Y,Y,Y,Y,Y,Y,N,Y,Y,N,,10-Jan,,N,N,N,N,Y,N,N,N,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,146224,801-69258,ATHENAINVEST ADVISORS LLC,ATHENAINVEST ADVISORS LLC,7730 EAST BELLEVIEW,SUITE AG-12,GREENWOOD VILLAGE,CO,UNITED STATES,80111,(877) 430-5675,(303) 721-6294,,,,,,,Approved,6/16/2008,8/13/2010,Y,WWW.ATHENAINVEST.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"9,300,000.00",0,"9,300,000.00",19,0,19,N,Y,N,Y,N,N,N,Y,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,115060,801-60509,MCMORGAN & COMPANY LLC,MCMORGAN & COMPANY LLC,"ONE FRONT STREET, SUITE 500",,SAN FRANCISCO,CA,UNITED STATES,94111,415-788-9300,415-616-9398,,,,,,,Approved,10/11/2001,8/13/2010,Y,MCMORGAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,HEALTH & WELFARE AND OTHER EMPLOYEE BENEFIT FUNDS,Y,N,N,N,N,Y,Y,SERVICE FEES,Y,"7,167,052,537.00",0,"7,167,052,537.00",246,0,246,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N
CHRO,111176,801-58047,MAN INVESTMENTS (USA) LLC,MAN INVESTMENTS (USA) LLC,123 NORTH WACKER DRIVE,SUITE 2800,CHICAGO,IL,UNITED STATES,60606,312-881-6500,312-881-6501,,,,,,,Approved,11/1/2000,8/13/2010,Y,HTTP://WWW.MANINVESTMENTSUSA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"677,465,364.00","3,477,633,499.00","4,155,098,863.00",8,5,13,N,N,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HEDGE FUNDS,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,144228,801-69929,"ELITE CAPITAL MANAGEMENT GROUP, LLC","ELITE CAPITAL MANAGEMENT GROUP, LLC",CENTERPOINT EXECUTIVE PARK,"306 INDUSTRIAL PARK ROAD, SUITE 108",MIDDLETOWN,CT,UNITED STATES,6457,860-635-6634,866-449-4630,,,,,,,Approved,2/20/2009,8/13/2010,Y,WWW.ELITECAPGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,CREDIT UNIONS,Y,N,N,N,N,N,N,,Y,"82,429,280.00",0,"82,429,280.00",13,0,13,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,117861,801-67526,"LINDER FINANCIAL SERVICES, INC.","LINDER FINANCIAL SERVICES, INC.",,,,,,,828-692-0061,828-692-6132,,,,,,,Approved,1/31/2007,2/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"30,000,000.00","30,000,000.00",0,60,60,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,115700,801-60640,TOWER BRIDGE ADVISORS,"TOWER BRIDGE ADVISORS, INC.","4 TOWER BRIDGE, SUITE 222",200 BARR HARBOR DRIVE,W. CONSHOHOCKEN,PA,USA,19428-2979,610-260-2200,610-260-2239,,,,,,,Approved,10/5/2001,8/13/2010,Y,HTTP://WWW.TOWERBRIDGEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,10-Jun,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"762,955,408.00","36,495,670.00","799,451,078.00",757,15,772,N,Y,N,Y,N,N,Y,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109171,801-58166,"PALO ALTO INVESTORS, LLC","PALO ALTO INVESTORS, LLC",470 UNIVERSITY AVENUE,,PALO ALTO,CA,UNITED STATES,94301,650-325-0772,650-325-5028,,,,,,,Approved,12/5/2000,8/13/2010,Y,WWW.PA-INVESTORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,209,218,773.00",0,"1,209,218,773.00",20,0,20,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N
LARO,154870,801-71776,EQUITY LOGIC,EQUITY LOGIC,4155 EXECUTIVE DRIVE,SUITE E-412,LA JOLLA,CA,UNITED STATES,92037,415-999-9033,866-213-2067,PO BOX 922,,LA JOLLA`,CA,UNITED STATES,92038,120-Day Approval,8/25/2010,8/13/2010,Y,WWW.EQUITYLOGIC.NET,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,150859,801-70397,WELLFIELD PARTNERS LLP,WELLFIELD PARTNERS LLP,,,,,,,44-1252-845691,,,,,,,,Approved,7/30/2009,11/9/2009,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,150910,801-70451,BREITHORN CAPITAL MANAGEMENT LLC,BREITHORN CAPITAL MANAGEMENT LLC,509 MADISON AVENUE,16TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-487-4960,212-207-8872,509 MADISON AVENUE,16TH FLOOR,NEW YORK,NY,UNITED STATES,10022,Approved,8/12/2009,8/13/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"101,436,090.00",0,"101,436,090.00",15,0,15,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,123359,801-66446,"DRUM HILL CAPITAL, LLC","DRUM HILL CAPITAL, LLC",,,,,,,203-834-0534,203-834-1720,,,,,,,Approved,3/27/2006,2/18/2010,Y,WWW.DRUMHILL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"69,145,532.00",0,"69,145,532.00",134,0,134,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151883,801-70726,"RICH INVESTMENT SOLUTIONS, LLC","RICH INVESTMENT SOLUTIONS, LLC",845 THIRD AVENUE,6TH FLOOR,NEW YORK,NY,UNITED STATES,10022,646-435-4872,646-290-5001,,,,,,,Approved,10/27/2009,8/13/2010,Y,WWW.RICHINVESTMENTSOLUTIONS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,1845,801-12411,FIRST MANHATTAN CO,FIRST MANHATTAN CO,437 MADISON AVENUE,,NEW YORK,NY,USA,10022,212-756-3300,212-751-0497,,,,,,,Approved,1/13/1977,8/13/2010,Y,WWW.FIRSTMANHATTAN.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,NY,UNITED STATES,51-250,0,Nov-50,0,51-250,0,0,0,More than 500,"5,700",11-25 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,Y,N,,Y,"13,254,305,344.00","100,516,705.00","13,354,822,049.00","5,814",34,"5,848",N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N
MIRO,134303,801-64298,COUTURE FINANCIAL INC.,COUTURE FINANCIAL INC.,3293 FRUITVILLE ROAD,SUITE 108,SARASOTA,FL,UNITED STATES,34237-6453,941-366-3551,941-366-3439,,,,,,,Approved,5/26/2005,8/13/2010,Y,WWW.COUTUREFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"27,300,000.00",0,"27,300,000.00",190,0,190,Y,Y,N,N,Y,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,N,Y,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151879,801-70702,"ARIEL WEALTH ADVISORS, LLC","ARIEL WEALTH ADVISORS, LLC",1700 GALLOPING HILL ROAD,,KENILWORTH,NJ,UNITED STATES,7033,908-298-7700,908-298-7701,,,,,,,Approved,10/20/2009,8/13/2010,Y,WWW.ARIELWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"19,466,104.00","6,757,459.00","26,223,563.00",53,25,78,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,130985,801-63149,"RICHARDSON CAPITAL MANAGEMENT, LLC","RICHARDSON CAPITAL MANAGEMENT, LLC",W134 N8688 EXECUTIVE PARKWAY,,MENOMONEE FALLS,WI,USA,53051,262-255-4100,262-255-4410,PO BOX 535,,MENOMONEE FALLS,WI,USA,53052,Approved,5/18/2004,8/13/2010,Y,WWW.RICHARDSON-FINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"193,230,063.00","31,437,811.00","224,667,874.00",72,8,80,Y,Y,N,Y,N,N,N,N,N,Y,ANALYSIS OF EXISTING PORTFOLIOS AND ADVICE,10-Jan,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,110531,801-60181,"WESBAN FINANCIAL CONSULTANTS, P.C.","WESBAN FINANCIAL CONSULTANTS, P.C.","1800 PROVIDENCE PARK, SUITE 200",,BIRMINGHAM,AL,UNITED STATES,35242,(205) 995-7778,(205) 995-7781,,,,,,,Approved,4/6/2001,2/18/2010,Y,WWW.WESBAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"32,743,662.00",0,"32,743,662.00",362,0,362,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,128935,801-62476,"IRONMAN CAPITAL MANAGEMENT, LLC","IRONMAN CAPITAL MANAGEMENT, LLC",2211 NORFOLK,SUITE 611,HOUSTON,TX,USA,77098,713-218-6945,713-218-6946,,,,,,,Approved,10/31/2003,2/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"118,000,000.00",0,"118,000,000.00",2,0,2,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE POOLED INVESTMENT VEHICLES.,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,113925,801-64059,"NEW PERSPECTIVES, INC.","NEW PERSPECTIVES, INC.",303 HIGHLAND PARK COVE,SUITE B,RIDGELAND,MS,UNITED STATES,39157,601-991-3158,601-991-3168,303 HIGHLAND PARK COVE,SUITE B,RIDGELAND,MS,UNITED STATES,39157,Approved,4/20/2005,8/13/2010,Y,WWW.NEWPER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"36,000,000.00","2,000,000.00","38,000,000.00",125,5,130,Y,Y,N,Y,Y,N,Y,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112895,801-71726,"ENDURANCE CAPITAL, LLC","ENDURANCE CAPITAL, LLC",33 FLYING POINT RD,SUITE 114,SOUTHAMPTON,NY,UNITED STATES,11968-5275,631-283-9852,631-283-9854,,,,,,,Approved,8/4/2010,8/13/2010,Y,WWW.ENDURANCECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,CANADIAN INVESTMENT ADVISER,Y,N,N,Y,N,N,N,,Y,0,"2,053,000,000.00","2,053,000,000.00",0,2,2,N,Y,N,Y,N,N,N,N,N,Y,RESEARCH SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,124388,801-61830,"GRAF FINANCIAL ADVISORS, LLC","GRAF FINANCIAL ADVISORS, LLC","1680 ROUTE 23, SUITE 110",,WAYNE,NJ,USA,7470,973-633-9199,973-305-8213,,,,,,,Approved,2/25/2003,2/18/2010,Y,WWW.GFAPLAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"40,311,000.00","40,311,000.00",0,261,261,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105926,801-18759,PINEBRIDGE INVESTMENTS LLC,PINEBRIDGE INVESTMENTS LLC,70 PINE STREET,,NEW YORK,NY,UNITED STATES,10270,1-800-706-6661,212-770-9091,,,,,,,Approved,5/2/1983,8/13/2010,Y,WWW.PINEBRIDGE.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,251-500,0,51-250,0,51-250,0,0,0,101-250,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,51-75 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,"COLLATERALIZED BOND OBLIGATIONS, COLLATERALIZED LOAN OBLIGATIONS",Y,N,N,N,N,Y,N,,Y,"32,304,460,865.00","12,046,773,804.00","44,351,234,669.00",360,80,440,N,Y,Y,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N
LARO,154340,801-71666,LJL FUNDING LLC,LJL FUNDING LLC,8880 RIO SAN DIEGO DRIVE,SUITE 500,SAN DIEGO,CA,UNITED STATES,92108,619-704-0155,619-704-1194,,,,,,,Approved,7/22/2010,8/13/2010,Y,WWW.LJLFUNDING.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,MANAGEMENT OF A RESIDENTIAL MORTGAGE POOL,,,N,N,N,N,N,N,N,N,Y,REGISTERED MORTGAGE POOL,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107625,801-41655,SILVER LAKE ADVISORY,COHEN RONNA SUE,,,,,,,801-733-9470,801-733-5016,,,,,,,Approved,6/4/1992,2/24/2010,Y,WWW.RONNACOHEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,UT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"87,874,746.00",0,"87,874,746.00",85,0,85,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105004,801-35156,"SCHWERIN BOYLE CAPITAL MANAGEMENT, INC",SCHWERIN BOYLE CAPITAL MANAGEMENT INC,"ONE MONARCH PLACE, SUITE 700",1414 MAIN STREET,SPRINGFIELD,MA,UNITED STATES,01144-0700,413-784-0990,413-785-5982,,,,,,,Approved,9/8/1989,2/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"506,153,708.00",0,"506,153,708.00",197,0,197,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110350,801-34369,NEW CENTURY PARTNERS,NEW CENTURY PARTNERS,,,,,,,415-345-1430,415-346-8856,,,,,,,Approved,5/4/1989,11/9/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,11-25 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"243,141,523.00",0,"243,141,523.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106661,801-53609,RENAISSANCE TECHNOLOGIES LLC,RENAISSANCE TECHNOLOGIES LLC,800 THIRD AVENUE,,NEW YORK,NY,UNITED STATES,10022,212-486-6780,212-758-7136,,,,,,,Approved,1/12/1998,2/24/2010,Y,WWW.RENTEC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,251-500,0,51-250,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"15,856,184,993.00",0,"15,856,184,993.00",21,0,21,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR AFFILIATED POOLED INVESTMENT VEHICLES,,,N,N,N,N,Y,N,N,N,N,,Y,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,129067,801-64017,"J.W. COONS ADVISORS, LLC","J.W. COONS ADVISORS, LLC","1151 BETHEL ROAD, SUITE 204-B",,COLUMBUS,OH,USA,43220,614-459-4001,614-459-3254,,,,,,,Approved,3/15/2005,2/24/2010,Y,WWW.COONSADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"104,102,608.00","9,968,974.00","114,071,582.00",52,1,53,Y,Y,N,Y,N,N,Y,N,N,Y,"ECONOMIC, INTEREST RATE, AND OTHER FORECASTING; STRATEGY DEVELOPMENT AND ASSET-LIABILITY MANAGEMENT FOR FINANCIAL INSTITUTIONS",26-50,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114455,801-67611,"INCOMAR INVESTMENTS, L.P.","INCOMAR INVESTMENTS, L.P.",10101 SOUTHWEST FREEWAY,SUITE 615,HOUSTON,TX,USA,77074,713-776-1860,713-484-8265,,,,,,,Approved,3/2/2007,2/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"60,516,868.00","680,000.00","61,196,868.00",103,8,111,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,126341,801-61956,"BIRMIWAL ASSET MANAGEMENT, INC.","BIRMIWAL ASSET MANAGEMENT, INC.",,,,,,,206-542-7652,206-542-7625,,,,,,,Approved,4/1/2003,2/24/2010,Y,WWW.BIRMIWAL.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"17,532,856.00",0,"17,532,856.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,136114,801-64525,"MARSHALL WHITE, INVESTMENT ADVISOR","WHITE, MARSHALL LEE",,,,,,,510-528-9484,510-528-1573,,,,,,,Approved,7/21/2005,2/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"90,000,000.00",0,"90,000,000.00",170,0,170,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110023,801-54782,SPIRIT OF AMERICA MANAGEMENT CORP,SPIRIT OF AMERICA MANAGEMENT CORP,477 JERICHO TURNPIKE,P.O. BOX 9006,SYOSSET,NY,UNITED STATES,11791-9006,516-390-5572,516-921-1546,,,,,,,Approved,8/6/1997,2/24/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"323,200,000.00",0,"323,200,000.00",4,0,4,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N
NYRO,113499,801-60436,"PEGASUS GROUP, LLC","PEGASUS GROUP, LLC",400 RELLA BLVD.,SUITE 157,MONTEBELLO,NY,USA,10901,845-369-9422,845-369-9420,,,,,,,Approved,7/31/2001,2/24/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"8,956,616.00",0,"8,956,616.00",24,0,24,Y,Y,N,Y,N,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,132996,801-64768,"OPES ADVISORS, INC.","OPES ADVISORS, INC.",555 COLLEGE AVENUE,,PALO ALTO,CA,UNITED STATES,94306,650-319-1600,650-319-1610,,,,,,,Approved,10/7/2005,2/24/2010,Y,WWW.OPESADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"92,723,917.00",0,"92,723,917.00",459,0,459,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,Y,MORTGAGE,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126340,801-69807,"CAPITAL PRESERVATION PARTNERS, INC.",CAPITAL PRESERVATION PARTNERS INC.,,,,,,,914-337-2272,914-798-6672,55 PONDFIELD ROAD,,BRONXVILLE,NY,UNITED STATES,10708,Approved,1/2/2009,2/24/2010,Y,WWW.CPP.BZ,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"39,000,000.00",0,"39,000,000.00",342,0,342,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110817,801-29708,"CHRISTOPHER D. CROFT, INC.","CHRISTOPHER D. CROFT, INC.",,,,,,,650-326-9160,650-329-9163,,,,,,,Approved,6/4/1987,2/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"97,307,300.00",0,"97,307,300.00",79,0,79,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108188,801-55371,IWAMOTO KONG WEALTH MANAGEMENT GROUP,"IWAMOTO, KONG & CO., INC.",19200 VON KARMAN AVENUE,SUITE. 1030,IRVINE,CA,UNITED STATES,92612,(949) 253-8888,(949) 253-8891,,,,,,,Approved,3/20/1998,2/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,"279,541,046.00","92,658,556.00","372,199,602.00","1,222",123,"1,345",Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,152903,801-71170,"LP CAPITAL ADVISORS, LLC","LP CAPITAL ADVISORS, LLC",520 CAPITOL MALL,SUITE 750,SACRAMENTO,CA,UNITED STATES,95814,916-231-3900,916-244-0428,,,,,,,Approved,3/2/2010,2/24/2010,Y,WWW.LPCAPITALADVISORS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,11-25 percent,0 percent,11-25 percent,11-25 percent,0 percent,,N,Y,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,Y,CONSULTING SERVICES TO INSTITUTIONAL CLIENTS,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,151779,801-70697,E360 POWER,E360 POWER LLC,300 WEST 6TH STREET,SUITE 1910,AUSTIN,TX,UNITED STATES,78701,512-472-4343,512-472-4341,,,,,,,Approved,11/19/2009,2/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"50,000,000.00",0,"50,000,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,138196,801-64989,NEA'S MEMBER BENEFITS CORPORATION,NEA'S MEMBER BENEFITS CORPORATION,900 CLOPPER ROAD,SUITE 300,GAITHERSBURG,MD,UNITED STATES,20878,301-251-9600,301-527-8210,,,,,,,Approved,11/10/2005,11/10/2009,Y,WWW.NEAMB.COM,N,N,N,N,N,N,N,N,N,Y,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,0,0,More than 500,"61,100",More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,SEE SCHEDULE D MISCELLANEOUS,N,N,N,Y,N,N,Y,SEE SCHEDULE D MISCELLANEOUS,N,0,0,0,0,0,0,N,N,N,N,N,N,Y,N,N,Y,SEE SCHEDULE D MISCELLANEOUS,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,133658,801-63960,"RAWDIN-BARON FINANCIAL, INC.","RAWDIN-BARON FINANCIAL, INC.","4747 MORENA BLVD., SUITE 102",,SAN DIEGO,CA,UNITED STATES,92117-3466,858-483-7500,858-483-7679,P.O. BOX 90487,,SAN DIEGO,CA,UNITED STATES,92169-2487,Approved,3/14/2005,2/24/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"33,210,895.00",0,"33,210,895.00",111,0,111,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,Y,N,Y,Y,N,N,,Y,N,Y,Y,N,Y,N,N,N,N,Y,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,137577,801-68532,"ARTHA CAPITAL MANAGEMENT, INC.","ARTHA CAPITAL MANAGEMENT, INC",300 FIRST STAMFORD PLACE,SUITE 440,STAMFORD,CT,UNITED STATES,6902,203.653.5300,203.328.7510,,,,,,,Approved,11/13/2007,2/25/2010,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,231,477,142.00",0,"1,231,477,142.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,FIRM OFFERS INVESTMENT ADVISORY SERVICES TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,122959,801-63806,"PHASE III ADVISORY SERVICES, LTD","PHASE III ADVISORY SERVICES, LTD",1110 W.LAKE COOK RD,SUITE #265,BUFFALO GROVE,IL,UNITED STATES,60089,847-520-5545,847-589-3308,,,,,,,Approved,2/11/2005,2/25/2010,Y,WWW.PHASE3ADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"59,440,932.00","862,940.00","60,303,872.00",578,2,580,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110401,801-21826,POWERS INVESTMENT ADVISORY CORP,POWERS INVESTMENT ADVISORY CORP,,,,,,,440-442-4483,440-442-4485,,,,,,,Approved,9/7/1984,11/12/2009,Y,WWW.POWERSIAC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"21,004,716.00","6,573,676.00","27,578,392.00",94,83,177,Y,Y,N,N,N,N,N,N,N,Y,"ESTATE PLANNING, RETIREMENT PLANNING, AND TAX MANAGEMENT",10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,154277,801-71700,"DORR ASSET MANAGEMENT, LLC","DORR ASSET MANAGEMENT, LLC",,,,,,,888-710-9855,,,,,,,,120-Day Approval,8/2/2010,8/19/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,140599,801-71543,"LARSON FINANCIAL GROUP, LLC","LARSON FINANCIAL GROUP, LLC",ONE CITY PLACE DRIVE,SUITE 100,SAINT LOUIS,MO,UNITED STATES,63141,314-569-2400,314-373-6078,,,,,,,Approved,6/23/2010,8/19/2010,Y,HTTP://WWW.LARSONFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"36,000,000.00","36,000,000.00",0,"1,200","1,200",Y,Y,N,N,N,N,N,N,N,N,,101-250,,Y,Y,N,N,N,N,Y,N,N,,Y,N,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,104861,801-36025,"STRATEGIS FINANCIAL GROUP, INC","STRATEGIS FINANCIAL GROUP, INC","2230 N UNIVERSITY PKWY., STE 9C",,PROVO,UT,USA,84604,801-373-1100,801-373-1155,,,,,,,Approved,2/16/1990,11/12/2009,Y,WWW.STRATEGISFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"32,614,011.00","19,849,013.00","52,463,024.00",576,266,842,Y,Y,N,Y,Y,N,N,N,Y,Y,MATTERS NOT INVOLVING SECURITIES,0,,N,N,N,Y,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104832,801-15442,RICH ADVISORY CORP,RICH ADVISORY CORP,,,,,,,516-433-0828,[516]433-1362,,,,,,,Approved,8/28/1980,3/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"57,790,882.00",0,"57,790,882.00",294,0,294,N,Y,N,N,N,N,N,N,N,Y,TAX PREPARATION,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,144069,801-67988,"SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC","SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC",2601 MAIN STREET,SUITE 700,IRVINE,CA,UNITED STATES,92614,949-794-0800,949-794-0831,,,,,,,Approved,6/8/2007,8/19/2010,Y,WWW.SRCAPITALMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,Nov-50,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"56,663,073.00",0,"56,663,073.00",158,0,158,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,152021,801-70787,"BERYLIAN CAPITAL, LLC","BERYLIAN CAPITAL, LLC",175 SW 7TH STREET,SUITE 1615,MIAMI,FL,UNITED STATES,33130,305-735-1015,786-513-2745,,,,,,,Approved,11/12/2009,8/19/2010,Y,WWW.BERYLIAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"32,163,850.00",0,"32,163,850.00",5,0,5,N,Y,N,Y,N,Y,N,N,N,Y,FINANCIAL CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111716,801-67575,CYPRESS ASSET MANAGEMENT,"CYPRESS PRAXIS, LLC",,,,,,,415-888-3300,415-888-3301,P.O. BOX 968,,MILL VALLEY,CA,UNITED STATES,94942,Approved,3/2/2007,3/2/2010,Y,WWW.CYPRESSASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,FINANCIAL CONSULTING,Y,Y,N,N,N,N,N,,Y,"36,752,719.00",0,"36,752,719.00",141,0,141,Y,Y,N,N,N,N,N,N,N,Y,FINANCIAL CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105044,801-23547,AMERICAN SUPERIOR COMPANY,AMERICAN SUPERIOR CO,,,,,,,847-657-6800,847-657-6644,,,,,,,Approved,2/22/1985,8/19/2010,Y,WWW.AMERICANSUPERIOR.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"42,014,000.00",0,"42,014,000.00",21,0,21,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,2525,801-9638,DEUTSCHE BANK SECURITIES INC.,DEUTSCHE BANK SECURITIES INC.,60 WALL STREET,,NEW YORK,NY,UNITED STATES,10005,212-250-2500,N/A,,,,,,,Approved,11/12/1973,8/19/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,More than 1000,"5,000",251-500,0,251-500,0,Nov-50,0,More than 500,"4,500",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"4,297,074,935.00","1,028,767,920.00","5,325,842,855.00","2,439","1,622","4,061",N,Y,N,Y,Y,Y,Y,Y,N,N,,0,,Y,Y,Y,N,Y,N,N,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,Y,N,Y,Y,N,N
BRO,116176,801-61288,"WELLESLEY INVESTMENT ADVISORS, INC.","WELLESLEY INVESTMENT ADVISORS, INC.",20 WILLIAM STREET,SUITE G5,WELLESLEY,MA,UNITED STATES,2481,781-416-4000,781-237-6163,,,,,,,Approved,6/27/2002,8/20/2010,Y,WWW.WELLESLEYINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"419,356,920.00",0,"419,356,920.00",278,0,278,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,134631,801-68768,BREWER INVESTMENT ADVISORS LLC,"BREWER INVESTMENT ADVISORS, LLC",303 EAST WACKER DRIVE,25TH FLOOR,CHICAGO,IL,UNITED STATES,60601,312-896-3930,312-896-3920,,,,,,,Approved,1/31/2008,8/20/2010,Y,HTTP://WWW.BREWERSERVICES.COM/INVESTMENTADVISORS/INVESTMENTADVISORS.HTM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"1,000",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"223,388,488.00","154,171,931.00","377,560,419.00","1,768","1,707","3,475",Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,Y,N,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N
BRO,112580,801-57879,"DC NELSON ASSET MANAGEMENT, LLC","DC NELSON ASSET MANAGEMENT, LLC",90 POST ROAD WEST,,WESTPORT,CT,UNITED STATES,6880,212-931-5185,212-202-6348,,,,,,,Approved,8/21/2000,8/20/2010,Y,WWW.DCNELSON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"38,000,000.00",0,"38,000,000.00",262,0,262,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153070,801-71129,"GREENWAY FAMILY OFFICE, LLC","GREENWAY FAMILY OFFICE, LLC","130 SOUTH BEMISTON, SUITE 302",,ST LOUIS,MO,UNITED STATES,63105,(314) 400-5000,(314) 400-5099,,,,,,,Approved,3/11/2010,8/20/2010,Y,WWW.GREENWAYFAMILYOFFICE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"53,400,000.00","15,000,000.00","68,400,000.00",20,1,21,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,142214,801-67465,"SAMALIN INVESTMENT COUNSEL, LLC","SAMALIN INVESTMENT COUNSEL, LLC",100 SOUTH BEDFORD ROAD,,MT. KISCO,NY,USA,10549,914-666-6600,914-666-6602,,,,,,,Approved,2/15/2007,8/20/2010,Y,WWW.SICOUNSEL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"32,830,452.00","55,084,687.00","87,915,139.00",126,188,314,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,361,801-16048,"GOLDMAN, SACHS & CO.","GOLDMAN, SACHS & CO.",200 WEST STREET,,NEW YORK,NY,UNITED STATES,10282,212-902-1000,212-902-3876,,,,,,,Approved,5/13/1981,8/20/2010,Y,WWW.GS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,NY,UNITED STATES,More than 1000,"11,000",501-1000,0,501-1000,0,10-Jun,0,More than 500,"61,000",Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,"LIMITED PARTNERSHIPS, LIMITED LIABILITY COMPANIES AND FAMILY RELATED LIMITED PARTNERSHIPS AND LIMITED LIABILITY COMPANIES",Y,N,N,Y,Y,Y,N,,Y,"146,048,906,257.00","1,355,923,386.00","147,404,829,643.00","60,601",103,"60,704",N,Y,N,Y,N,Y,N,N,N,N,,0,,Y,N,Y,N,Y,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N
HQ,136017,801-64484,GSI (BERMUDA) LTD.,GSI (BERMUDA) LTD.,CLARENDON HOUSE,2 CHURCH STREET,BERMUDA,,BERMUDA,HM11,441-299-4625,441-299-4985,C/O GSI MANAGEMENT LTD.,909 LIPPO CENTER; TOWER II,ADMIRALTY,,HONG KONG,,Approved,7/25/2005,3/2/2010,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,BERMUDA,Nov-50,0,10-Jun,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,26-50 percent,11-25 percent,0 percent,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"250,000,000.00",0,"250,000,000.00",6,0,6,N,Y,Y,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,106287,801-45494,CAPITAL CITIES ASSET MANAGEMENT INC,CAPITAL CITIES ASSET MANAGEMENT INC,11651 JOLLYVILLE ROAD,SUITE 200,AUSTIN,TX,UNITED STATES,78759,512-219-7566,512-331-9833,PO BOX 203427,,AUSTIN,TX,UNITED STATES,78720-3427,Approved,1/5/1994,8/20/2010,Y,WWW.CCAM.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,PERCENTAGE OF ASSETS BEING MANAGED VIA INVESTMENT CONSULTATIONS,Y,"19,897,960.00","1,295,200.00","21,193,160.00",171,16,187,Y,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT VIA INVESTMENT CONSULTATIONS,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N
MIRO,123303,801-61582,"FPC SERVICES, INC.","FPC SERVICES, INCORPORATED",5709 JOHNS RD. SUITE 1200,,TAMPA,FL,USA,33634,813-290-0820,813-290-0674,,,,,,,Approved,7/25/2005,8/20/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"40,451,320.00","40,451,320.00",0,33,33,N,Y,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N
LARO,110367,801-55848,LIGHTHOUSE FINANCIAL SERVICES INC,LIGHTHOUSE FINANCIAL SERVICES INC,3000 EAST BIRCH STREET,SUITE 107,BREA,CA,UNITED STATES,92821,714-572-8900,714-572-4489,,,,,,,Approved,9/2/1988,8/20/2010,Y,WWW.LIGHTHOUSELINK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"48,136,494.00",0,"48,136,494.00",341,0,341,Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,114669,801-70881,"SWAN CONSULTING, INC.","SWAN CONSULTING, INC.",277 E 3RD AVE,BUILDING A,DURANGO,CO,UNITED STATES,81301,970-382-8901,970-382-9055,,,,,,,Approved,1/4/2010,8/20/2010,Y,WWW.SWANCONSULTINGINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"55,895,800.00",0,"55,895,800.00",24,0,24,N,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,129113,801-68134,"CSA FINANCIAL ADVISORS, LTD.","CSA FINANCIAL ADVISORS, LTD.",4705 LAKE FOREST DRIVE,,CINCINNATI,OH,UNITED STATES,45242,513-483-6655,513-483-6690,,,,,,,Approved,7/16/2007,8/20/2010,Y,WWW.CSA-CPA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"49,341,187.00",0,"49,341,187.00",280,0,280,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109552,801-57316,HORIZON INVESTMENTS LLC,HORIZON INVESTMENTS LLC,13024 BALLANTYNE CORPORATE PLACE,STE 225,CHARLOTTE,NC,UNITED STATES,28277,704-544-2399,704-544-2883,,,,,,,Approved,2/24/2000,8/20/2010,Y,WWW.HORIZONINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,Nov-50,0,Nov-50,0,0,0,51-250,0,More than 500,"1,500",51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,528,803,198.00","34,178,513.00","1,562,981,711.00","2,227",154,"2,381",N,Y,Y,Y,Y,N,N,N,N,Y,CONSULT FOR OTHER FINANCIAL PROFESSIONALS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N
NYRO,142897,801-67835,"SHULMAN DEMEO ASSET MANAGEMENT, LLC","SHULMAN DEMEO ASSET MANAGEMENT, LLC",3000 MARCUS AVENUE,SUITE 3W1,LAKE SUCCESS,NY,UNITED STATES,11042,516.708.9955,516.708.9951,,,,,,,Approved,4/26/2007,8/20/2010,Y,WWW.SD-ASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,WRAP FEE,Y,"183,772,600.00","12,334,005.00","196,106,605.00",702,36,738,Y,Y,N,Y,N,N,N,N,N,Y,ONGOING PORTFOLIO PLANNING AND CONSULTING,101-250,,Y,Y,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,152590,801-71174,AVONDALE WEALTH MANAGEMENT LLC,AVONDALE WEALTH MANAGEMENT LLC,300 CRESCENT COURT,SUITE 1111,DALLAS,TX,UNITED STATES,75201,214-871-1144,,,,,,,,Approved,3/5/2010,8/20/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,0,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"23,683,246.00","3,649,269.00","27,332,515.00",39,16,55,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,134781,801-69904,CONTEXT FINANCIAL GROUP,"CONTEXT FINANCIAL GROUP, LLC",400 VILLAGE CENTER DRIVE,STE 600,NORTH OAKS,MN,UNITED STATES,55127,651-634-8817,651-634-8819,,,,,,,Approved,1/28/2009,8/20/2010,Y,WWW.CONTEXTFINANCIALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"58,603,691.00","58,603,691.00",0,534,534,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105810,801-16139,PARKER CAPITAL MANAGEMENT INC,PARKER CAPITAL MANAGEMENT INC,100 CITY HALL PLAZA,,BOSTON,MA,USA,2108,617-227-1704,617-227-1875,,,,,,,Approved,6/11/1981,3/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"71,500,000.00",0,"71,500,000.00",42,0,42,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,116296,801-60763,BREEN FINANCIAL CORPORATION,BREEN FINANCIAL CORPORATION,13024 BALLANTYNE CORPORATE PLACE,SUITE 225,CHARLOTTE,NC,UNITED STATES,28277,704-544-2399,704-544-2883,,,,,,,Approved,12/11/2001,8/20/2010,Y,WWW.BREENFINCORP.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"7,183,477.00",0,"7,183,477.00",12,0,12,N,Y,N,N,N,N,N,N,N,Y,MODEL PORTFOLIO CONSTRUCTION,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N
ARO,113670,801-60394,"ROBYN HARI & ASSOC., PC","ROBYN HARI & ASSOC., PC","229 WARD CIRCLE, STE. B-23",,BRENTWOOD,TN,UNITED STATES,37027,615-377-5080,615-377-5081,,,,,,,Approved,7/3/2001,3/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"71,055,862.00","3,920,528.00","74,976,390.00",332,26,358,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,39011,801-68264,LEERINK SWANN LLC,LEERINK SWANN LLC,ONE FEDERAL ST.,37TH FL,BOSTON,MA,UNITED STATES,2110,617-248-1601,617-918-4900,,,,,,,Approved,8/29/2007,8/20/2010,Y,WWW.LEERINK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"33,216,000.00","3,728,000.00","36,944,000.00",68,19,87,N,Y,N,Y,Y,N,N,N,N,N,,,,Y,N,Y,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,Y,N,N,N,N,N,N,N,N
CHRO,120110,801-68608,"BERNARDI ASSET MANAGEMENT, LLC","BERNARDI ASSET MANAGEMENT, LLC",105 W. ADAMS ST. SUITE 1900,,CHICAGO,IL,USA,60603,312-281-2000,312-726-1431,,,,,,,Approved,1/2/2008,11/12/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,5-Jan,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"103,690,196.00","12,703,568.00","116,393,764.00",47,8,55,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
PLRO,109636,801-56962,ARIBA ASSET MANAGEMENT INC,ARIBA ASSET MANAGEMENT INC,2101 WILSON BLVD SUITE 525,,ARLINGTON,VA,UNITED STATES,22201,7036838488,7036831496,,,,,,,Approved,11/9/1999,8/20/2010,Y,WWW.ARIBAASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,UNION MEMBER RELIEF FUND,Y,N,N,N,N,N,N,,Y,"58,046,394.00",0,"58,046,394.00",271,0,271,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151503,801-71188,"CENTINELA CAPITAL PARTNERS, LLC","CENTINELA CAPITAL PARTNERS, LLC",152 WEST 57TH STREET,33RD FLOOR,NEW YORK,NY,UNITED STATES,10019,212-823-0280,646-514-1094,,,,,,,Approved,3/17/2010,3/2/2010,Y,WWW.CENTINELACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"800,000,000.00","200,000,000.00","1,000,000,000.00",2,2,4,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,138117,801-66707,"THREE ZERO THREE CAPITAL PARTNERS, LLC","THREE ZERO THREE CAPITAL PARTNERS, LLC",318 WEST ADAMS STREET,SUITE 1000,CHICAGO,IL,UNITED STATES,60606,312-432-6551,312-432-4498,,,,,,,Approved,5/23/2006,8/20/2010,Y,WWW.303CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,10-Jun,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"221,653,602.00",0,"221,653,602.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,Y,N,Y,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,135247,801-64205,"EQUITAS PARTNERS, LLC","EQUITAS PARTNERS, LLC",909 POYDRAS STREET,SUITE 1850,NEW ORLEANS,LA,USA,70112,504-569-9600,504-569-9650,,,,,,,Approved,3/23/2006,3/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"110,000,000.00",0,"110,000,000.00",57,0,57,N,N,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,116740,801-60766,"EUCLID INVESTMENT ADVISORY, LLC","EUCLID INVESTMENT ADVISORY, LLC",4701 SANGAMORE ROAD  #205,,BETHESDA,MD,USA,20816,301-320-0619,301-320-6854,,,,,,,Approved,12/21/2001,8/20/2010,Y,WWW.EUCLIDADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,Up to 10 percent,11-25 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"10,000,000.00","84,000,000.00","94,000,000.00",15,1,16,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,153427,801-71385,CRENSHAW CAPITAL MANAGEMENT,CRENSHAW CAPITAL MANAGEMENT,1330 POST OAK BLVD SUITE 1600,,HOUSTON,TX,UNITED STATES,77056,713-963-3643,,P.O. BOX 27041,,HOUSTON,TX,UNITED STATES,77227,120-Day Approval,5/7/2010,8/20/2010,Y,WWW.CRENSHAWCAPITAL.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145706,801-69970,"FORUM FINANCIAL MANAGEMENT, LLC","FORUM FINANCIAL MANAGEMENT, LLC",1900 S. HIGHLAND AVENUE,SUITE 100,LOMBARD,IL,UNITED STATES,60148,630-873-8520,630-873-8536,,,,,,,Approved,3/9/2009,8/20/2010,Y,WWW.FORUMFINANCIALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,500,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,Y,% ASSETS UNDER CONSULTATION,Y,"341,764,784.00",0,"341,764,784.00","1,372",0,"1,372",Y,Y,N,Y,Y,N,N,N,N,Y,CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
FWRO,110216,801-13452,MERIDIAN INVESTMENT ADVISORS,MERIDIAN MANAGEMENT CO,11300 CANTRELL ROAD,SUITE 200,LITTLE ROCK,AR,USA,72212,501-663-7055,501-663-2405,,,,,,,Approved,10/14/1977,8/20/2010,Y,WWW.MERIDIANIA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"276,264,329.00",0,"276,264,329.00",174,0,174,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,117962,801-61205,"PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC.","PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC.",3601 W. 76TH STREET,#225,EDINA,MN,USA,55435,(952) 224-4350,(952) 224-4351,,,,,,,Approved,5/31/2002,3/2/2010,Y,WWW.PUNCHINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"331,988,200.00","8,492,443.00","340,480,643.00","1,332",185,"1,517",Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,154522,801-71762,"WESTSIDE INVESTMENT MANAGEMENT, LLC","WESTSIDE INVESTMENT MANAGEMENT, LLC",2444 WILSHIRE BLVD,SUITE 303,SANTA MONICA,CA,UNITED STATES,90403,310-315-9400,310-315-9401,,,,,,,120-Day Approval,8/30/2010,8/20/2010,Y,WWW.WESTSIDEIM.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE OF ASSETS MONITORED,Y,0,0,0,0,0,0,Y,Y,N,Y,N,Y,N,N,N,Y,FINANCIAL CONSULTING,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105301,801-27922,"PRI INVESTMENTS, INC.","PRI INVESTMENTS, INC.",5900 BIG WOODS ROAD,,CHAPEL HILL,NC,UNITED STATES,27517,919-968-2977,919-929-5760,PO BOX 5190,,CHAPEL HILL,NC,UNITED STATES,27514-5002,Approved,9/12/1986,3/2/2010,Y,WWW.PRI-INVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"166,912,891.00",0,"166,912,891.00",55,0,55,Y,Y,N,Y,N,N,N,N,Y,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110261,801-58020,"HARBOUR FINANCIAL RESOURCES, LTD","HARBOUR FINANCIAL RESOURCES, LTD","9933 LAWLER AVE., SUITE 500",,SKOKIE,IL,UNITED STATES,60077,847-675-6836,847-675-4465,,,,,,,Approved,10/17/2000,3/2/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"88,940,561.00","88,940,561.00",0,544,544,Y,Y,N,N,Y,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,116355,801-64527,"ABARIS FINANCIAL GROUP, LLC","ABARIS FINANCIAL GROUP, LLC",1150 MAIN STREET,SUITE 10,CONCORD,MA,USA,1742,978-371-9649,978-371-9758,,,,,,,Approved,7/15/2005,3/2/2010,Y,WWW.ABARISFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"54,535,700.00",0,"54,535,700.00",345,0,345,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,143008,801-67529,"GIERL AUGUSTINE INVESTMENT  MANAGEMENT, INC.","GIERL AUGUSTINE INVESTMENT  MANAGEMENT, INC.",344 NORTH PIKE ROAD,,SARVER,PA,UNITED STATES,16055,724-353-1800,724-353-1832,,,,,,,Approved,2/21/2007,8/20/2010,Y,WWW.GIERLAUGUSTINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,Y,Y,N,N,Y,PERCENTAGE OF ASSETS MANAGED BY OUTSIDE ADVISOR FIRMS,Y,"56,999,539.00",0,"56,999,539.00",284,0,284,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,124819,801-66534,"HOVAN CAPITAL MANAGEMENT, LLC","HOVAN CAPITAL MANAGEMENT, LLC",81 BEACH ROAD,,BELVEDERE,CA,USA,94920-2388,(415) 435-1971,(415) 435-2382,,,,,,,Approved,4/3/2006,8/20/2010,Y,WWW.HOVANCAPITAL.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,921,027.00",0,"2,921,027.00",3,0,3,N,N,N,N,N,Y,N,N,N,Y,MANAGEMENT OF HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,104810,801-31834,SEACAP INVESTMENT ADVISORS,SEATTLE CAPITAL MANAGEMENT CO,"701 5TH AVE, STE 6710",,SEATTLE,WA,UNITED STATES,98104,206-654-0480,206-654-0499,,,,,,,Approved,4/14/1988,3/2/2010,Y,WWW.SEACAPINVESTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"714,463,914.00",0,"714,463,914.00",632,0,632,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106654,801-46604,LONDON CO OF VIRGINIA,LONDON CO OF VIRGINIA,"1801 BAYBERRY COURT, SUITE 301",,RICHMOND,VA,UNITED STATES,23226,804-775-0317,804-649-9447,,,,,,,Approved,6/13/1994,3/2/2010,Y,WWW.TLCADVISORY.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,More than 500,"1,500",51-75 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,079,749,867.00",0,"1,079,749,867.00","1,285",0,"1,285",N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,134411,801-69470,"FIRST EMPIRE ASSET MANAGEMENT, INC","FIRST EMPIRE ASSET MANAGEMENT, INC",100 MOTOR PARK WAY,2ND FLOOR,HAUPPAUGE,NY,UNITED STATES,11788,631-630-2500,631-622-0168,,,,,,,Approved,8/19/2008,3/2/2010,Y,WWW.1EMPIREAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,5-Jan,0,26-100,0,Up to 10 percent,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"12,992,416.00","3,571,913,075.00","3,584,905,491.00",38,3,41,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104747,801-26501,"BRAVER WEALTH MANAGEMENT, LLC","BRAVER WEALTH MANAGEMENT, LLC",25 CHRISTINA STREET,,NEWTON,MA,UNITED STATES,2461,617-969-0223,617-969-0224,,,,,,,Approved,3/10/1986,3/2/2010,Y,WWW.THEBRAVERGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"432,379,107.00",0,"432,379,107.00",326,0,326,Y,Y,N,Y,N,Y,N,N,N,Y,ACCOUNTING AND TAX COMPLIANCE SERVICES,101-250,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106028,801-46328,STOCKLIN CAPITAL MANAGEMENT,STOCKLIN WILLIAM JAMES,2180 SAND HILL ROAD,SUITE 100,MENLO PARK,CA,USA,94025,650-234-1345,650-854-5685,,,,,,,Approved,6/3/1994,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"92,640,295.00",0,"92,640,295.00",72,0,72,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109224,801-55933,TRICAPITAL ADVISORS INC,TRICAPITAL ADVISORS INC,11140 ROCKVILLE PIKE,STE 600,NORTH BETHESDA,MD,UNITED STATES,20852,301-231-8181,301-231-7227,,,,,,,Approved,10/9/1998,3/5/2010,Y,WWW.TRICAPITALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"142,648,695.00","4,208,742.00","146,857,437.00",789,1,790,Y,Y,N,Y,Y,N,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,139940,801-66611,"TORREY GROWTH & INCOME ADVISORS, LLC","TORREY GROWTH & INCOME ADVISORS, LLC",1233 CAMINO DEL MAR,,DEL MAR,CA,UNITED STATES,92014,760-274-2744,760-274-2734,,,,,,,Approved,5/2/2006,3/5/2010,Y,WWW.TORREYGROWTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"125,000,000.00",0,"125,000,000.00",218,0,218,N,Y,N,N,N,N,N,N,N,Y,INVESTMENT CONSULTING,,,Y,Y,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,110559,801-39737,PEAK FINANCIAL MANAGEMENT INC,PEAK FINANCIAL MANAGEMENT INC,281 WINTER STREET,SUITE 160,WALTHAM,MA,UNITED STATES,2451,781-487-9500,781-487-9501,,,,,,,Approved,8/30/1991,3/5/2010,Y,WWW.PEAK-FINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"236,659,452.00",0,"236,659,452.00",969,0,969,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,116127,801-69368,"HEARTLAND CAPITAL ADVISORS, L.C.","HEARTLAND CAPITAL ADVISORS, L.C.",4200 LITTLE BLUE PARKWAY,SUITE 610,INDEPENDENCE,MO,UNITED STATES,64057,816-478-1818,816-478-9067,,,,,,,Approved,7/29/2008,11/13/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"26,214,508.00","26,214,508.00",0,225,225,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,117824,801-62416,"JRA FINANCIAL ADVISORS, INC.","JRA FINANCIAL ADVISORS, INC.",7373 KIRKWOOD COURT,SUITE 300,MAPLE GROVE,MN,UNITED STATES,55369,763-315-8000,763-315-8040,,,,,,,Approved,11/10/2003,3/5/2010,Y,WWW.JRAFINANCIAL.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,25-Nov,0,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105434,801-35916,YHB INVESTMENT ADVISORS INC,YHB INVESTMENT ADVISORS INC,29 SOUTH MAIN STREET,SUITE 306,WEST HARTFORD,CT,UNITED STATES,06107-2417,860-561-7050,860-561-7055,,,,,,,Approved,1/26/1990,3/5/2010,Y,HTTP://YHBIA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"653,042,063.00","264,744.00","653,306,807.00","1,348",5,"1,353",N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,121546,801-61651,"MERCADIEN ASSET MANAGEMENT, LLC","MERCADIEN ASSET MANAGEMENT, LLC",3625 QUAKERBRIDGE ROAD,,HAMILTON,NJ,UNITED STATES,8619,609-689-9700,609-838-3331,P.O. BOX 7648,,PRINCETON,NJ,UNITED STATES,8543,Approved,12/18/2002,3/5/2010,Y,WWW.MERCADIEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"140,000,000.00","10,000,000.00","150,000,000.00",425,50,475,Y,Y,N,Y,N,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,26-50,,Y,Y,Y,N,N,N,N,N,N,,Y,Y,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105777,801-18352,FIDUCIARY INTERNATIONAL INC,FIDUCIARY INTERNATIONAL INC,600 FIFTH AVENUE,,NEW YORK,NY,UNITED STATES,10020,212-632-3000,212-632-3002,,,,,,,Approved,2/10/1983,3/5/2010,Y,WWW.FRANKLINTEMPLETON.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,0,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"170,743,810.00",0,"170,743,810.00",12,0,12,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,107420,801-52123,FRONTEGRA ASSET MANAGEMENT INC,FRONTEGRA ASSET MANAGEMENT INC,"400 SKOKIE BLVD, SUITE 500",,NORTHBROOK,IL,USA,60062,847-509-9860,847-509-9845,,,,,,,Approved,6/7/1996,3/5/2010,Y,HTTP://WWW.FRONTEGRA.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,560,830,554.00",0,"1,560,830,554.00",6,0,6,N,N,Y,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106097,801-50526,SHINE INVESTMENT ADVISORY SERVICES INC,"SHINE INVESTMENT ADVISORY SERVICES, INC.",9892 ROSEMONT AVE. SUITE #100,,LONE TREE,CO,UNITED STATES,80124-4101,303-740-8600,303-290-0237,,,,,,,Approved,11/20/1995,3/5/2010,Y,WWW.SHINEINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,FEES FOR FINANCIAL PLANS,Y,"346,211,685.00","6,513,816.00","352,725,501.00",813,91,904,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,144748,801-68214,"BOYER & CORPORON WEALTH MANAGEMENT, LLC","BOYER & CORPORON WEALTH MANAGEMENT, LLC",14221 METCALF AVE,SUITE 201,OVERLAND PARK,KS,USA,66223,913-685-2300,913-685-2311,,,,,,,Approved,8/2/2007,3/5/2010,Y,WWW.BOYERCORPORON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"194,582,971.00",0,"194,582,971.00",709,0,709,Y,Y,N,Y,N,N,Y,N,N,Y,GENERAL FAMILY OFFICE SERVICES,251-500,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,128974,801-62446,"RUNNYMEDE CAPITAL ADVISORS, INC.","RUNNYMEDE CAPITAL ADVISORS, INC.",,,,,,,614-799-9120,614-408-3035,,,,,,,Approved,10/23/2003,3/5/2010,Y,WWW.RUNCAPADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"40,188,158.00","6,000,000.00","46,188,158.00",165,1,166,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105246,801-31953,RODMAN CAPITAL MANAGEMENT,RODMAN DAVID LAWRENCE,1630 S. UNION AVE,,ALLIANCE,OH,UNITED STATES,44601,330-821-4530,330-821-7846,,,,,,,Approved,5/2/1988,3/5/2010,Y,WWW.RODMANCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"49,361,445.00",0,"49,361,445.00",37,0,37,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,152164,801-70835,SEER CAPITAL MANAGEMENT LP,SEER CAPITAL MANAGEMENT LP,489 FIFTH AVENUE,17TH FLOOR,NEW YORK,NY,UNITED STATES,10017-6128,212 850 9000,212 850 9011,,,,,,,Approved,11/30/2009,11/13/2009,Y,WWW.SEERCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,26-50 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"869,717,086.00",2,"869,717,088.00",5,1,6,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111376,801-53068,"FRANKLIN MUTUAL ADVISERS, LLC","FRANKLIN MUTUAL ADVISERS, LLC",101 JOHN F. KENNEDY PARKWAY,,SHORT HILLS,NJ,UNITED STATES,7078,973-912-2000,973-912-0148,,,,,,,Approved,10/10/1996,3/5/2010,Y,WWW.FRANKLINTEMPLETON.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"59,219,328,695.00",0,"59,219,328,695.00",28,0,28,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,N
PLRO,107054,801-56986,NICHOLSON DONALD W & ASSOCIATES LTD,NICHOLSON DONALD W & ASSOCIATES LTD,1403 SILVERSIDE RD,STE B,WILMINGTON,DE,USA,19810,302-529-1500,302-529-0474,,,,,,,Approved,11/26/1999,3/5/2010,Y,WWW.NICHOLSON-ASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,RETAINER FEES,Y,0,"78,776,043.00","78,776,043.00",0,112,112,Y,Y,N,Y,N,N,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107292,801-47450,CRESCENT CAPITAL MANAGEMENT CO,CRESCENT CAPITAL MANAGEMENT CO,1581 BAKER AVE. SUITE B,,WHITEFISH,MT,UNITED STATES,59937,406-863-9593,406-862-6936,,,,,,,Approved,9/16/1994,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"48,481,036.00",0,"48,481,036.00",126,0,126,N,Y,N,N,N,N,N,N,N,Y,MISC. CONSULTING,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109625,801-56086,"FIDUCIARY INVESTMENT MANAGEMENT INTERNATIONAL, INC.","FIDUCIARY INVESTMENT MANAGEMENT INTERNATIONAL, INC.","1133 CONNECTICUT AVENUE, NW",SUITE 410,WASHINGTON,DC,UNITED STATES,20036,202-822-2110,202-822-2118,,,,,,,Approved,12/3/1998,3/5/2010,Y,WWW.FTCI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,0 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"621,543,965.00",0,"621,543,965.00",341,0,341,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
ARO,133557,801-66551,"FLEMING WEALTH MANAGEMENT, LLC","FLEMING WEALTH MANAGEMENT, LLC",1200 ABERNATHY ROAD,SUITE 1700,ATLANTA,GA,USA,30325,770-350-2607,678-383-4502,,,,,,,Approved,5/4/2006,3/5/2010,Y,WWW.FLEMINGWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"63,515,865.00",0,"63,515,865.00",21,0,21,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,145355,801-68467,"CORNELL POCHILY INVESTMENT ADVISORS, INC.","CORNELL POCHILY INVESTMENT ADVISORS, INC.",2415 NORTH TRIPHAMMER ROAD,SUITE 1,ITHACA,NY,USA,14850,607-391-7080,607-697-0147,,,,,,,Approved,10/24/2007,3/5/2010,Y,WWW.CORNELLPOCHILY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"80,587,472.00","33,813,338.00","114,400,810.00",245,253,498,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,128391,801-67706,"MUGARIAN INVESTMENT GROUP, LLC","MUGARIAN INVESTMENT GROUP, LLC",,,,,,,850-484-2472,850-484-7579,,,,,,,Approved,3/30/2007,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"28,601,490.00","13,466,020.00","42,067,510.00",41,31,72,N,Y,N,Y,N,Y,N,N,N,Y,GENERAL CONSULTING SERVICES,,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,152581,801-71197,"PEAR TREE PARTNERS, LP","PEAR TREE PARTNERS, LP",55 OLD BEDFORD ROAD,SUITE 202,LINCOLN,MA,UNITED STATES,1773,781 259 0249,781 259 1166,,,,,,,Approved,3/9/2010,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP (LP),DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,FIXED PORTION OF DISTRIBUTIONS,Y,"71,325,000.00",0,"71,325,000.00",12,0,12,N,N,N,N,N,N,N,N,N,Y,MANAGEMENT OF PRIVATE INVESTMENT VEHICLES,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,139879,801-66549,"ASSET STRATEGY RETIREMENT CONSULTANTS, LLC","ASSET STRATEGY RETIREMENT CONSULTANTS, LLC","5 COMMONWEALTH RD., SUITE 3A",,NATICK,MA,UNITED STATES,01760-1526,781-235-4426,781-222-3002,,,,,,,Approved,5/15/2006,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE OF ADVISORY FEES CHARGED TO CLIENTS BY NFP SECURITIES,Y,0,"121,013,133.00","121,013,133.00",0,254,254,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,108916,801-54982,GOODPASTURE GRAY,"GRAY, WILLIAM, LOYD, JR.",2001 KIRBY,SUITE 715,HOUSTON,TX,USA,77019,713-522-9554,713-522-9559,,,,,,,Approved,11/7/1997,3/5/2010,Y,GPGINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"53,681,618.00","116,517.00","53,798,135.00",78,3,81,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,Y,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150313,801-70176,"SAMSON CAPITAL MANAGEMENT, LLC","SAMSON CAPITAL MANAGEMENT, LLC",444 WEST 47TH STREET,SUITE 415,KANSAS CITY,MO,UNITED STATES,64112,816-968-5300,816-968-5355,,,,,,,Approved,5/12/2009,3/5/2010,Y,WWW.SAMSONCAPMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,264,210.00",0,"34,264,210.00",16,0,16,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,116314,801-63508,"HAMRICK INVESTMENT COUNSEL, LLC","HAMRICK INVESTMENT COUNSEL, LLC",2033 SIXTH AVENUE,SUITE 820,SEATTLE,WA,USA,98121-2567,206-441-9911,206-441-9922,,,,,,,Approved,12/16/2004,3/5/2010,Y,WWW.HAMRICKINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"68,100,997.00",0,"68,100,997.00",101,0,101,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT CONSULTATIONS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,140584,801-66695,COASTAL PARTNERS LTD.,COASTAL PARTNERS LTD.,"STE.205A, SAFFREY SQUARE",SHIRLEY& EAST STREET,NASSAU,,"BAHAMAS, THE",N-9934,242-322-5444,242-325-8445,,,,,,,Approved,5/3/2006,3/5/2010,Y,WWW.LHPLTD.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"BAHAMAS, THE",5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,51-75 percent,ENDOWMENTS AND FOUNDATIONS,Y,N,N,N,N,N,Y,SOLICITORS FEES PAID BY 3RD PARTY ADVISERS,N,0,0,0,0,0,0,N,N,N,N,N,Y,N,N,N,N,,,,N,N,N,Y,Y,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,150034,801-70064,"SPRINGWATER ADVISORS, LLC","SPRINGWATER ADVISORS, LLC",800 NORTH SHORELINE BLVD.,SUITE 2200 SOUTH,CORPUS CHRISTI,TX,UNITED STATES,78401,800-888-4894,361-888-9342,,,,,,,Approved,4/23/2009,3/5/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,N,Y,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
PLRO,148901,801-70000,POINTOAK ADVISORS,"BROADOAK ASSET MANAGEMENT, LLC",7201 WISCONSIN AVENUE,SUITE 630,BETHESDA,MD,UNITED STATES,20814,301-358-2692,301-718-2442,,,,,,,Approved,3/9/2009,3/5/2010,Y,WWW.POINTOAK.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"29,500,000.00","29,500,000.00",0,4,4,N,N,N,N,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,193,801-67246,"CROWELL, WEEDON & CO.","CROWELL, WEEDON & CO.","624 SO. GRAND AVE., SUITE 2510",,LOS ANGELES,CA,UNITED STATES,90017,213-620-1850,213-622-6525,,,,,,,Approved,12/6/2006,7/29/2010,Y,WWW.CROWELLWEEDON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,CA,UNITED STATES,251-500,0,51-250,0,51-250,0,0,0,More than 500,"2,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"190,354,533.00","444,092,673.00","634,447,206.00",396,"1,733","2,129",N,Y,N,Y,Y,Y,N,N,N,N,,,,Y,N,Y,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,Y,Y,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N
LARO,106200,801-44751,RULAPAUGH STANLEY E CFA,RULAPAUGH STANLEY EUGENE,16435 N SCOTTSDALE ROAD,SUITE 105,SCOTTSDALE,AZ,UNITED STATES,85254,480-941-0820,480-941-1284,,,,,,,Approved,9/15/1993,2/22/2010,Y,HTTP://WWW.SERULAPAUGH-CFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"48,064,729.00","2,970,144.00","51,034,873.00",85,9,94,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,142983,801-67651,SNOW CREEK WEALTH MANAGEMENT,SNOW CREEK WEALTH MANAGEMENT LLC,905 HARPETH VALLEY PLACE,,NASHVILLE,TN,UNITED STATES,37221,615-673-7795,615-673-7796,,,,,,,Approved,4/4/2007,7/29/2010,Y,WWW.SNOWCREEKWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,Y,SOLICITOR/REFERRAL FEES; ASSET BASED FEE FOR REVIEWS/CONSULTING,Y,"85,357,548.00","4,615,987.00","89,973,535.00",209,30,239,Y,Y,N,N,N,Y,N,N,N,Y,ACCOUNT REVIEWS AND CONSULTATIONS,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,120572,801-69734,"HEPBURN CAPITAL MANAGEMENT, LLC","HEPBURN CAPITAL MANAGEMENT, LLC",2069 WILLOW CREEK ROAD,,PRESCOTT,AZ,UNITED STATES,86301,928-778-4000,866-819-7711,,,,,,,Approved,11/28/2008,2/22/2010,Y,WWW.HEPBURNCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"24,606,176.00","743,844.00","25,350,020.00",79,11,90,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146215,801-69227,COMMERCIAL INDUSTRIAL FINANCE CORP,COMMERCIAL INDUSTRIAL FINANCE CORP,250 PARK AVENUE,5TH FLOOR,NEW YORK,NY,UNITED STATES,10177,212-624-1200,212-624-1199,,,,,,,Approved,7/31/2008,2/22/2010,Y,WWW.CIFC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,577,420,000.00","33,000,000.00","3,610,420,000.00",7,1,8,N,N,N,N,N,N,N,N,N,Y,WE MANAGE COLLATERIZED LOAN OBLIGATION FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108531,801-55261,PRESIDIO WEALTH MANAGEMENT LLC,PRESIDIO WEALTH MANAGEMENT LLC,101 CALIFORNIA STREET 12TH FLOOR,,SAN FRANCISCO,CA,UNITED STATES,94111,415-449-1000,415-449-1058,,,,,,,Approved,3/19/1998,7/29/2010,Y,WWW.PRESIDIOFP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,101-250,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,CONSULTING SERVICES,Y,0,"3,080,000,000.00","3,080,000,000.00",0,178,178,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,148127,801-69555,"PHILIP A. HUSS, CPA, PLLC","PHILIP A. HUSS, CPA, PLLC",110 WYLDEROSE DRIVE,,MIDLOTHIAN,VA,UNITED STATES,23113,804-423-5694,804-423-5693,,,,,,,Approved,9/16/2008,2/22/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),PROFESSIONAL LIMITED LIABILITY COMPANY,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"92,197,762.00",0,"92,197,762.00",20,0,20,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,119661,801-61023,"ASSET STRATEGIES, INC.","ASSET STRATEGIES, INC.",111 W. 2ND STREET,SUITE 608,CASPER,WY,USA,82601,307.266.4525,307.234.8554,,,,,,,Approved,3/25/2002,2/22/2010,Y,WWW.ASSET-STRATEGIES-INC.COM,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Corporation,,WY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"175,344,571.00",0,"175,344,571.00","1,135",0,"1,135",Y,Y,N,N,N,N,N,N,N,Y,CONSULTING,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,114861,801-60483,"ONE CAPITAL MANAGEMENT, LLC","ONE CAPITAL MANAGEMENT, LLC",21600 OXNARD STREET,SUITE 1760,WOODLAND HILLS,CA,UNITED STATES,91367,818-348-0045,818-348-0049,,,,,,,Approved,11/5/2001,7/29/2010,Y,WWW.ONECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,10-Jun,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"344,367,822.00",0,"344,367,822.00","1,299",0,"1,299",Y,Y,N,Y,N,N,N,N,N,N,,101-250,,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107493,801-35176,SWEETWATER INVESTMENTS INC,SWEETWATER INVESTMENTS INC,16398 NE 85TH STREET,SUITE #201,REDMOND,WA,USA,98052,425.861.0112,425.285.3858,P. O. BOX 2740,,REDMOND,WA,USA,98073,Approved,9/14/1989,2/22/2010,Y,WWW.SWEETWATERINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,INDIAN TRIBES,Y,Y,N,Y,N,Y,Y,% OF ASSETS UNDER ADVISEMENT,Y,"347,659,875.00","965,558,987.00","1,313,218,862.00",115,27,142,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,152864,801-71074,LFA,LUGANO FINANCIAL ADVISORS S.A.,CONTRADA DI VERLA,,LUGANO - TICINO,,SWITZERLAND,6900,+41.91.921.3752,+41.91.921.3809,,,,,,,Approved,2/3/2010,7/30/2010,Y,WWW.LUGANOFA.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SWITZERLAND,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"80,000,000.00",0,"80,000,000.00",14,0,14,N,Y,N,N,N,N,N,N,N,Y,GLOBAL REPORTING & RISK ANALYSES OF CLIENT PORTFOLIOS INCLUDING ASSETS NOT UNDER MANAGEMENT,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,150232,801-70217,AUTONOMOUS RESEARCH LLP,AUTONOMOUS RESEARCH LLP,FLOOR 2,11 IRONMONGER LANE,LONDON,,UNITED KINGDOM,EC2V 8JN,+44 207 7763403,+44 207 7763401,FLOOR 2,11 IRONMONGER LANE,LONDON,,UNITED KINGDOM,EC2V 8JN,Approved,6/23/2009,7/30/2010,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,51-75 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,Y,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,Y,N,Y,EQUITY RESEARCH,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,17499,801-56443,"SUNTRUST INVESTMENT SERVICES, INC.","SUNTRUST INVESTMENT SERVICES, INC.",303 PEACHTREE CENTER AVENUE,SUNTRUST GARDEN OFFICES SUITE 140,ATLANTA,GA,USA,30303,404-724-3552,404-827-6522,P. O. BOX 4418  MC 107,,ATLANTA,GA,USA,30302,Approved,5/5/1999,7/30/2010,Y,WWW.SUNTRUST.COM/INVESTMENTSERVICES,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,More than 1000,"3,000",501-1000,0,501-1000,0,0,0,More than 500,"7,500",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"116,845,059.00","3,450,373,718.00","3,567,218,777.00",178,"9,794","9,972",Y,Y,N,Y,Y,Y,N,N,N,Y,WRAP FEE PRODUCT AND FINANCIAL PROFILING SERVICES USING DESKTOP SOFTWARE,More than 500,1000,Y,N,Y,N,N,N,Y,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N
CHRO,117734,801-66993,AMD FINANCIAL SERVICES LLC,AMD FINANCIAL SERVICES LLC,705 OLIVE STREET,SUITE 900,ST. LOUIS,MO,USA,63101,314-655-5504,314-655-5506,,,,,,,Approved,7/7/2006,2/22/2010,Y,WWW.AMDFS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"82,840,051.00",0,"82,840,051.00",272,0,272,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,134109,801-66998,"MASON ROAD WEALTH ADVISORS, L.L.C.","MASON ROAD WEALTH ADVISORS, L.L.C.",1067 N. MASON ROAD,SUITE 7,ST. LOUIS,MO,UNITED STATES,63141,314-590-0000,314-576-9650,,,,,,,Approved,7/10/2006,2/22/2010,Y,WWW.MRWALLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"80,093,875.00",0,"80,093,875.00",316,0,316,N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105675,801-36323,"EVERENCE CAPITAL MANAGEMENT, INC.","EVERENCE CAPITAL MANAGEMENT, INC.",1110 N MAIN ST,,GOSHEN,IN,UNITED STATES,46528,574-533-9511,574-533-5264,P.O. BOX 483,,GOSHEN,IN,UNITED STATES,46527,Approved,4/2/1990,7/30/2010,Y,WWW.MMA-ONLINE.ORG,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"647,098,757.00",0,"647,098,757.00",6,0,6,N,N,Y,Y,N,N,N,N,N,Y,DEVELOP FOLIO PORTFOLIO LISTS FOR OTHER INVESTMENT ADVISORS,0,,N,N,N,N,N,N,Y,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108461,801-56076,KNOTT CAPITAL MANAGEMENT,CAK CAPITAL MANAGEMENT INC,224 VALLEY CREEK BLVD.,SUITE 100,EXTON,PA,UNITED STATES,19341,610-854-6000,610-854-6101,,,,,,,Approved,12/8/1998,7/30/2010,Y,WWW.KNOTTCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,More than 500,"1,500",Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"482,000,000.00","12,000,000.00","494,000,000.00","1,137",4,"1,141",N,Y,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR A PRIVATE INVESTMENT FUND.,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,124171,801-64972,CAPITAL PROSPECTS LLC,CAPITAL PROSPECTS LLC,ONE DOCK STREET,SUITE 405,STAMFORD,CT,USA,6902,203-388-4220,203-388-4221,,,,,,,Approved,12/8/2005,2/22/2010,Y,WWW.CAPITAL-PROSPECTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"814,568,168.00",0,"814,568,168.00",8,0,8,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,132451,801-64810,"TACTICAL ALLOCATION GROUP, LLC","TACTICAL ALLOCATION GROUP, LLC",139 S. OLD WOODWARD,,BIRMINGHAM,MI,UNITED STATES,48009,248-283-2520,248-283-2524,,,,,,,Approved,10/24/2005,7/30/2010,Y,WWW.TAGLLC.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,More than 500,500,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,FOUNDATIONS,Y,N,N,N,N,Y,N,,Y,"335,239,241.00",0,"335,239,241.00","1,118",0,"1,118",N,Y,N,Y,N,N,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,125904,801-63220,"AVZ WEALTH MANAGEMENT, LLC","AVZ WEALTH MANAGEMENT, LLC",25 SUFFOLK COURT,,HAUPPAUGE,NY,UNITED STATES,11788,631-434-9500,631-434-9518,,,,,,,Approved,6/8/2004,2/22/2010,Y,WWW.AVZ.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"40,104,280.00","40,104,280.00",0,160,160,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,106841,801-22279,FUSCO FINANCIAL SERVICES INC,FUSCO FINANCIAL SERVICES INC,2402 NE 8TH AVE.,,WILTON MANORS,FL,USA,33305,954-524-0900,954-537-5212,,,,,,,Approved,11/5/1984,7/30/2010,Y,WWW.FUSCO-FINL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"51,963,646.00","51,963,646.00",0,252,252,Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,Y,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,140799,801-66907,ENERGY INCOME PARTNERS,ENERGY INCOME PARTNERS LLC,49 RIVERSIDE AVENUE,,WESTPORT,CT,UNITED STATES,6880,203-349-8235,203-286-1602,49 RIVERSIDE AVENUE,,WESTPORT,CT,UNITED STATES,6880,Approved,6/28/2006,7/30/2010,Y,WWW.ENERGYMLP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"265,100,000.00",0,"265,100,000.00",12,0,12,N,Y,Y,Y,N,N,N,N,N,Y,POOLED INVESTMENT VEHICLES (HEDGE FUNDS),0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,151848,801-70803,HERMES GPE LLP,HERMES GPE LLP,LLOYDS CHAMBERS,1 PORTSOKEN STREET,LONDON,,UNITED KINGDOM,E1 8HZ,44 (0)20 7702 0888,44 (0) 0 7702 9452,,,,,,,Approved,11/19/2009,7/30/2010,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,363,000,000.00",0,"3,363,000,000.00",17,0,17,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE EQUITY FUNDS OF FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107213,801-54850,"ENSEMBLE CAPITAL MANAGEMENT, LLC","ENSEMBLE CAPITAL MANAGEMENT, LLC",1350 OLD BAYSHORE HIGHWAY,SUITE 550,BURLINGAME,CA,USA,94010,650/696-1240,650/558-8373,,,,,,,Approved,8/28/1997,2/22/2010,Y,WWW.ENSEMBLECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"180,758,178.00","16,860,536.00","197,618,714.00",242,24,266,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107569,801-44189,"OPUS INVESTMENT MANAGEMENT, INC.","OPUS INVESTMENT MANAGEMENT, INC.",440 LINCOLN ST,,WORCESTER,MA,USA,01653-0002,508-855-3008,508-855-4846,,,,,,,Approved,6/22/1993,7/30/2010,Y,WWW.OPUSINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,Y,"FOR SOME AFFILIATED CLIENTS, SERVICES ARE PROVIDED AT COST",Y,"6,519,805,147.00",0,"6,519,805,147.00",65,0,65,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150826,801-71715,"SCOUT DISTRIBUTORS, LLC","SCOUT DISTRIBUTORS, LLC",1010 GRAND BOULEVARD,,KANSAS CITY,MO,UNITED STATES,64106,816-860-7000,816-842-1027,,,,,,,Approved,8/3/2010,7/30/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,Nov-50,0,0,0,Nov-50,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,"PROVIDE SALES AND MARKETING, CLIENT SERVICE, ADMINISTRATIVE AND SUPPORT SERVICES.",N,N,N,N,N,N,Y,AFFILIATED ADVISER PAYS REGISTRANT FOR SERVICES,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,MARKETING & INTRODUCING PROSPECTIVE CLIENTS TO AFFILIATED ADVISER,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,112323,801-21957,COMPASS CAPITAL CORPORATION,COMPASS CAPITAL CORPORATION,50 BRAINTREE HILL OFFICE PARK,SUITE 105,BRAINTREE,MA,UNITED STATES,02184-8734,781-535-6083,781-535-6084,,,,,,,Approved,7/31/1984,7/30/2010,Y,WWW.COMPASSSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"128,088,265.00","128,088,265.00",0,505,505,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,Y,N,N,N,Y,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138083,801-65631,TRG MANAGEMENT LP,TRG MANAGEMENT LP,280 PARK AVENUE,27TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-984-2900,917-591-9287,,,,,,,Approved,1/25/2006,7/30/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,10-Jun,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,577,201,940.00",0,"2,577,201,940.00",14,0,14,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,151745,801-70666,"MG SULLIVAN, LLC","MG SULLIVAN, LLC",,,,,,,630-767-0847,630-359-5519,214 KENMORE AVE,,ELMHURST,IL,UNITED STATES,60126,Approved,10/14/2009,11/16/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,"25,000,000.00","25,000,000.00",0,5,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,205,801-67588,DAVID A. NOYES & COMPANY,DAVID A. NOYES & COMPANY,209 S. LASALLE STREET,12TH FLOOR,CHICAGO,IL,USA,60604-1203,312-782-0400,312-782-4147,,,,,,,Approved,7/23/2007,7/30/2010,Y,WWW.DANOYES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,51-250,0,Nov-50,0,51-250,0,0,0,More than 500,861,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"11,781,701.00","231,967,283.00","243,748,984.00",13,848,861,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,Y,Y,Y,N,Y,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,N,N,Y,N,Y,N,Y,N,N,N,N
HQ,138956,801-65343,ELGIN CAPITAL LLP,ELGIN CAPITAL LLP,21 PALMER STREET,,LONDON,,UNITED KINGDOM,SW1H 0AD,44 (0) 207 340 9000,44 (0) 207 340 9001,,,,,,,Approved,2/1/2006,2/23/2010,Y,WWW.ELGINCAP.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,117,741,405.00",0,"2,117,741,405.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,107432,801-37702,MONDRIAN INVESTMENT PARTNERS LIMITED,MONDRIAN INVESTMENT PARTNERS LIMITED,"10 GRESHAM STREET, 5 FLOOR",,LONDON,,UNITED KINGDOM,EC2V7JD,011-44-207-477-7000,011-44-207-776-8500,,,,,,,Approved,11/30/1990,2/23/2010,Y,WWW.MONDRIAN.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,51-250,0,Nov-50,0,0,0,5-Jan,0,101-250,0,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,11-25 percent,26-50 percent,26-50 percent,Up to 10 percent,GOVERNMENT ENTITIES NON-US,Y,N,N,N,N,Y,Y,PERCENTAGE OF ASSETS UNDER CONSULTATION,Y,"64,375,366,634.00",0,"64,375,366,634.00",239,0,239,N,Y,Y,Y,N,N,N,N,N,Y,PORTFOLIO CONSULTING SERVICES,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,129288,801-62515,"CLAYMORE ADVISORS, LLC","CLAYMORE ADVISORS, LLC",2455 CORPORATE WEST DRIVE,,LISLE,IL,USA,60532,630-505-3700,630-799-3834,,,,,,,Approved,11/17/2003,7/30/2010,Y,HTTP://WWW.CLAYMORE.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"5,789,427,210.00",0,"5,789,427,210.00",41,0,41,N,N,Y,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,113735,801-60555,RESOURCES PLANNING GROUP INC,RESOURCES PLANNING GROUP INC,190 S LASALLE ST,1640,CHICAGO,IL,USA,60603-3597,312-781-2111,312-781-2777,,,,,,,Approved,9/7/2001,7/30/2010,Y,WWW.RPGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"141,000,000.00",0,"141,000,000.00",756,0,756,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,119962,801-61895,"TARPLEY & UNDERWOOD FINANCIAL ADVISORS, LLC","TARPLEY & UNDERWOOD FINANCIAL ADVISORS, LLC",THREE RAVINIA DRIVE,SUITE 1500,ATLANTA,GA,USA,30346,770-730-5010,770-730-5050,,,,,,,Approved,3/19/2003,2/23/2010,Y,WWW.T-U.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,REFERRAL FEES FOR INSURANCE REFERRALS,Y,"133,570,287.00","33,245,527.00","166,815,814.00",109,7,116,Y,Y,N,N,N,N,N,N,N,Y,REFERRAL OF INSURANCE BUSINESS TO OUTSIDE INSURANCE AGENCIES,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,18697,801-61470,"GIRARD SECURITIES, INC.","GIRARD SECURITIES, INC.",9560 WAPLES STREET,SUITE B,SAN DIEGO,CA,UNITED STATES,92121,858-622-2140,858-622-0649,9560 WAPLES STREET,SUITE B,SAN DIEGO,CA,UNITED STATES,92121,Approved,9/27/2002,7/30/2010,Y,WWW.GIRARDSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,5-Jan,0,Nov-50,0,0,0,More than 500,"2,000",51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"357,953,036.00","148,489,731.00","506,442,767.00","1,768",441,"2,209",Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,Y,N,Y,N,N,N,Y,N,N,,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,107672,801-29274,"DOWLING & YAHNKE, LLC","DOWLING & YAHNKE, LLC",12340 EL CAMINO REAL,SUITE 450,SAN DIEGO,CA,UNITED STATES,92130,858-509-9500,858-509-9520,,,,,,,Approved,4/3/1987,7/30/2010,Y,WWW.DYWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,More than 500,500,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"1,427,253,135.00",0,"1,427,253,135.00","2,401",0,"2,401",Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,141726,801-70812,"GRADIENT INVESTMENTS, LLC","GRADIENT INVESTMENTS, LLC",4570 CHURCHILL STREET,SUITE 200,SHOREVIEW,MN,UNITED STATES,55126,888-824-3525,651-925-0636,,,,,,,Approved,12/1/2009,7/30/2010,Y,WWW.GRADIENTINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,51-250,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"65,047,651.00",0,"65,047,651.00",651,0,651,Y,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N
PLRO,105840,801-20503,"AFFINITY WEALTH MANAGEMENT, INC.","AFFINITY WEALTH MANAGEMENT, INC.",1702 LOVERING AVENUE,,WILMINGTON,DE,UNITED STATES,19806,302-652-6767,302-295-9954,,,,,,,Approved,2/3/1984,7/30/2010,Y,WWW.AFFINITYWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"183,032,135.00","1,985,872.00","185,018,007.00",920,24,944,Y,Y,N,Y,N,N,Y,N,N,N,,25-Nov,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,145711,801-69073,"FREESTONE CAPITAL MANAGEMENT, LLC","FREESTONE CAPITAL MANAGEMENT, LLC",1918 EIGHTH AVE,SUITE 3400,SEATTLE,WA,UNITED STATES,98101,206-398-1100,206-398-0310,,,,,,,Approved,4/25/2008,3/1/2010,Y,WWW.FREESTONECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,5-Jan,0,More than 500,"1,000",11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"1,940,591,179.00",0,"1,940,591,179.00",860,0,860,Y,Y,N,Y,N,Y,Y,N,N,Y,FCM LLC IS THE GENERAL  PARTNER OF AN INVESTMENT RELATED LIMITED PARTNERSHIP.,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,142527,801-67379,"CALLAN CAPITAL, LLC","CALLAN CAPITAL, LLC",1250 PROSPECT STREET,SUITE 1,LA JOLLA,CA,UNITED STATES,92037,858-551-3800,858-551-3801,,,,,,,Approved,1/3/2007,3/4/2010,Y,WWW.CALLANCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"151,310,055.00","54,481,360.00","205,791,415.00",317,28,345,Y,Y,N,Y,N,Y,N,N,N,Y,INVESTMENT CONSULTING,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139002,801-66176,GOODWOOD INC.,GOODWOOD INC.,212 KING STREET WEST,SUITE 201,TORONTO,,CANADA,M5H 1K5,416-203-2022,416-203-0734,,,,,,,Approved,1/30/2006,3/4/2010,Y,WWW.GOODWOODFUNDS.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,Y,N,,Y,"197,711,531.00",0,"197,711,531.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,131000,801-67313,"KNOX CAPITAL ADVISORS, LLC","KNOX CAPITAL ADVISORS, LLC",13961 S. MINUTEMAN DRIVE,SUITE 300,DRAPER,UT,UNITED STATES,84020,801-984-8000,801-984-8008,,,,,,,Approved,12/20/2006,3/4/2010,Y,WWW.KNOXCAPITALGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,10-Jun,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"48,624,576.00",0,"48,624,576.00",500,0,500,Y,Y,N,N,Y,Y,N,N,N,N,,51-100,,N,N,N,Y,N,Y,Y,N,N,,N,,Y,Y,N,N,N,N,Y,N,Y,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,114263,801-63337,THE GARDNER GROUP,"GREGORY D. GARDNER, CFP",5910 NORTH CENTRAL EXPWY,SUITE 1090,DALLAS,TX,USA,75206,214-706-4369,214-706-4260,,,,,,,Approved,7/29/2004,3/4/2010,Y,WWW.GARDNERGRP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"53,000,000.00",0,"53,000,000.00",134,0,134,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,112663,801-68945,"KATHLEEN LENOVER, INC.","KATHLEEN LENOVER, INC.",1770 HIGH STREET,,DENVER,CO,UNITED STATES,80218-1306,303-388-2466,303-388-2467,,,,,,,Approved,3/12/2008,3/4/2010,Y,WWW.KATHLEENLENOVER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,0,"31,009,643.00","31,009,643.00",0,96,96,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,150632,801-70383,"GRANITE INVESTMENT PARTNERS, LLC","GRANITE INVESTMENT PARTNERS, LLC",2121 ROSECRANS AVENUE,SUITE 2330,EL SEGUNDO,CA,UNITED STATES,90245,310-933-3199,310-943-2247,,,,,,,Approved,7/23/2009,3/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"75,202,160.00",0,"75,202,160.00",36,0,36,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,141278,801-68577,"CTB FINANCIAL SERVICES, LTD.","CTB FINANCIAL SERVICES, LTD.",5811 SOUTH CEDAR LAKE ROAD,,SAINT LOUIS PARK,MN,UNITED STATES,55416,952-546-5456,952-546-7149,,,,,,,Approved,11/15/2007,11/17/2009,Y,WWW.CTBFIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SELECTION OF OTHER ADVISORS,Y,0,"50,000,000.00","50,000,000.00",0,400,400,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,132124,801-68920,"BLEECK FINANCIAL MANAGEMENT, INC.","BLEECK FINANCIAL MANAGEMENT, INC.",533 AIRPORT BLVD.,SUITE 400,BURLINGAME,CA,USA,94010,(650) 685-2425,(650) 685-2427,PO BOX 11370,,BURLINGAME,CA,,94011,Approved,4/2/2008,3/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"34,952,891.00",0,"34,952,891.00",29,0,29,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,143038,801-67536,KDV WEALTH MANAGEMENT LLC,KDV WEALTH MANAGEMENT LLC,3800 AMERICAN BLVD W,SUITE 1000,BLOOMINGTON,MN,UNITED STATES,55431,952-563-6800,952-563-6801,,,,,,,Approved,2/16/2007,11/17/2009,Y,WWW.KDV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"41,997,343.00",0,"41,997,343.00",238,0,238,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,152771,801-71208,KPDN INC.,KPDN INC.,,,,,,,646-415-0290,646-274-0005,,,,,,,Approved,3/11/2010,3/4/2010,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,Y,0,0,0,0,0,0,N,N,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,136482,801-64853,ASC TRUST CORPORATION,ASC TRUST CORPORATION,120 FATHER DUENAS AVE,CAPITOL PLAZA STE 110,HAGATNA,GU,USA,96910,671-477-2724,671-477-2729,,,,,,,Approved,4/20/2006,3/4/2010,Y,WWW.ASCPAC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GU,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"226,000,000.00","226,000,000.00",0,200,200,Y,N,N,N,N,N,N,N,N,Y,INVESTMENT & TRAINING SUPPORT FOR DEFINED CONTRIBUTION RETIREMENT PLANS,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,149685,801-70877,"INTEGRIS, LLC","INTEGRIS, LLC",,,,,,,858-459-4084,858-459-4084,7660 FAY AVENUE,#H-253,LA JOLLA,CA,UNITED STATES,92037,Approved,12/9/2009,3/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,"13,332,000.00","31,684,000.00","45,016,000.00",2,5,7,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,133114,801-63619,"TICKNOR, ATHERTON AND ASSOCIATES",ATHERTON CONSULTING INC.,12040 SOUTH LAKES DRIVE,SUITE 201,RESTON,VA,UNITED STATES,20191-1236,703-476-3521,703-991-9191,,,,,,,Approved,10/29/2004,3/5/2010,Y,WWW.TICKNORATHERTON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"97,653,669.00",0,"97,653,669.00",342,0,342,Y,Y,N,N,Y,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,113432,801-63972,MUELLER FINANCIAL SOLUTIONS CO.,MUELLER FINANCIAL SOLUTIONS CO.,303 N. 7TH ST.,,CANON CITY,CO,USA,81212,719-275-1651,719-269-1033,,,,,,,Approved,3/4/2005,3/5/2010,Y,WWW.THEMUELLERCOMPANIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"55,083,584.00","2,514,111.00","57,597,695.00",206,13,219,Y,Y,N,N,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,120038,801-68697,APPALACHIAN CAPITAL MANAGEMENT LTD.,APPALACHIAN CAPITAL MANAGEMENT LTD,51461 JENNIFER LANE,SUITE 215,ST. CLAIRSVILLE,OH,USA,43950,740-695-3434,740-695-4877,,,,,,,Approved,1/3/2008,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"32,185,369.00",0,"32,185,369.00",278,0,278,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,118996,801-69078,"DEW WEALTH STRATEGIES, LLC","DEW WEALTH STRATEGIES, LLC",101 SOUTH HANLEY RD.,SUITE 525,CLAYTON,MO,USA,63105,314-862-1500,314-862-1503,,,,,,,Approved,4/10/2008,3/5/2010,Y,WWW.DEWWEALTHSTRATEGIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"118,138,462.00",0,"118,138,462.00",181,0,181,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,128040,801-62315,"FOOTPRINTS ASSET MANAGEMENT & RESEARCH, INC.","FOOTPRINTS ASSET MANAGEMENT & RESEARCH, INC.",11422 MIRACLE HILLS DRIVE,SUITE 208,OMAHA,NE,UNITED STATES,68154,402-445-9333,402-445-0526,,,,,,,Approved,9/24/2003,3/5/2010,Y,WWW.FAMR.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"55,667,404.00",0,"55,667,404.00",232,0,232,N,Y,N,Y,N,N,N,N,N,Y,SOLICITOR ACTIVITIES FOR OTHER INVESTMENT ADVISERS,,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105553,801-34750,PETTEE INVESTORS INC,PETTEE INVESTORS INC,,,,,,,203-966-3199,203-966-3886,P.O. BOX 1650,,NEW CANAAN,CT,USA,6840,Approved,7/6/1989,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"62,395,013.00","3,332,617.00","65,727,630.00",14,3,17,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104694,801-25959,MONEY PLANS,"LEISH, DENISE JANICE","8701 GEORGIA AVE, STE 710",,SILVER SPRING,MD,UNITED STATES,20910,301-589-4250,301-589-0276,,,,,,,Approved,11/29/1985,3/5/2010,Y,WWW.MONEYPLANS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"40,355,000.00",0,"40,355,000.00",260,0,260,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,136105,801-70359,TMF CAPITAL MANAGEMENT LLC,TMF CAPITAL MANAGEMENT LLC,400 NORTH MICHIGAN AVENUE,SUITE 620,CHICAGO,IL,UNITED STATES,60611,312-840-9501,312-264-0104,,,,,,,Approved,7/2/2009,2/26/2010,Y,TMF.INVESTORBRIDGE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"65,000,000.00",0,"65,000,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,127010,801-62640,POOL CAPITAL PARTNERS,POOL CAPITAL PARTNERS LLC,600 TRAVIS STREET,SUITE 5800,HOUSTON,TX,UNITED STATES,77002,713-220-5151,713-220-5122,,,,,,,Approved,1/28/2004,2/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"40,500,000.00",0,"40,500,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,106436,801-53229,"HAMMERMAN & STRICKLAND, LLC","HAMMERMAN & STRICKLAND, LLC",18544 DALE MABRY HWY N,,LUTZ,FL,UNITED STATES,33548-7900,813-265-4433,813-265-3322,,,,,,,Approved,11/8/1996,2/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"74,084,000.00",0,"74,084,000.00",138,0,138,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110888,801-56769,ACKER FINLEY ASSET MANAGEMENT USA INC.,ACKER FINLEY ASSET MANAGEMENT USA INC.,181 UNIVERSITY AVENUE,SUITE 1400,TORONTO,,CANADA,M5H 3M7,416-777-9005,416-777-2096,,,,,,,Approved,8/13/1999,2/26/2010,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"3,400,845.00",0,"3,400,845.00",8,0,8,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISOR,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,130595,801-62921,"FAMILY WEALTH ADVISORY GROUP, LLC","FAMILY WEALTH ADVISORY GROUP, LLC",7359 EAST KEMPER ROAD,SUITE A,CINCINNATI,OH,UNITED STATES,45249,513-469-8100,800-295-6922,,,,,,,Approved,3/23/2004,2/26/2010,Y,WWW.FWAG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"30,290,309.00","45,651,944.00","75,942,253.00",176,233,409,Y,Y,N,N,N,N,N,N,N,Y,MATTERS NOT INVOLVING SECURITIES,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106120,801-40896,HEBERT ADVISORY SERVICES INC,HEBERT ADVISORY SERVICES INC,1501 WASHINGTON AVENUE,,GOLDEN,CO,UNITED STATES,80401,303-986-9110,303-988-9213,,,,,,,Approved,4/3/1992,2/26/2010,Y,WWW.HEBERTADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,Nov-50,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,Y,N,N,N,N,,Y,"25,883,914.00",0,"25,883,914.00",81,0,81,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,148884,801-69866,"KEATS, CONNELLY AND ASSOCIATES, LLC","KEATS, CONNELLY AND ASSOCIATES, LLC",3336 N. 32ND STREET,SUITE 100,PHOENIX,AZ,UNITED STATES,85018-6241,602-955-5007,602-224-5874,,,,,,,Approved,1/27/2009,2/26/2010,Y,WWW.KEATSCONNELLY.CA,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,Y,"191,804,582.00","5,491,879.00","197,296,461.00",281,40,321,Y,Y,N,Y,N,Y,N,N,N,Y,FAMILY OFFICE SERVICES,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,118645,801-68055,"DYER CAPITAL MANAGEMENT, INC.","DYER CAPITAL MANAGEMENT, INC.",9 COTTAGE STREET,,MARION,MA,USA,2738,508-748-3030,508-748-2791,P.O. BOX 388,,MARION,MA,USA,2738,Approved,6/21/2007,2/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"27,669,935.00","50,948.00","27,720,883.00",154,1,155,N,Y,N,Y,N,N,N,N,N,Y,PAY BILLS FOR CLIENT(S),0,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110874,801-67648,"CROSS BORDER TAX & ACCOUNTING, LLC","CROSS BORDER TAX & ACCOUNTING, LLC",3336 NORTH 32ND STREET,SUITE 113,PHOENIX,AZ,UNITED STATES,85018-6241,602.956.4661,602.956.4653,,,,,,,Approved,3/15/2007,2/26/2010,Y,WWW.CBTA.NET,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"11,017,267.00","87,825.00","11,105,092.00",61,3,64,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,152531,801-71175,SALLFORT ADVISORS LTD.,SALLFORT ADVISORS LTD.,GARTENSTRASSE 36,,"ZUERICH, ZUERICH",,SWITZERLAND,8002,011 41 43 343 95 66,011 41 43 343 95 67,,,,,,,Approved,3/8/2010,2/26/2010,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,SWITZERLAND,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,115253,801-66445,"T. ROSE & ASSOCIATES, INC.","T. ROSE & ASSOCIATES, INC.",,,,,,,612-371-4705,612-332-0884,,,,,,,Approved,3/31/2006,2/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,26-50 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"47,000,000.00",0,"47,000,000.00",11,0,11,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,144814,801-68253,CURLEY INVESTMENT SERVICES INC.,"CURLEY,JAMES, FRANCIS",46 BELLEVUE AVENUE,,RUMSON,NJ,UNITED STATES,7760,732-492-9557,732-842-1307,,,,,,,Approved,8/15/2007,2/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,0,0,0,0,0,0,0,0,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,"25,000,000.00","25,000,000.00",0,5,5,N,N,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,Y,N,N,N,Y,SALESPERSON FX EXECUTION SERVICES,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138781,801-65259,SOFAER CAPITAL INC.,SOFAER CAPITAL INC.,GRAIGMUIR CHAMBERS,ROAD TOWN,TORTOLA,,BRITISH VIRGIN ISLANDS,,852-2521-8882,852-2530-2913,"SOFAER ADMINISTRATION, 16TH FLOOR","16 ICE HOUSE STREET, CENTRAL",HONG KONG,,CHINA,,Approved,2/1/2006,2/26/2010,Y,WWW.SOFAER.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,BRITISH VIRGIN ISLANDS,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"554,596,000.00",0,"554,596,000.00",17,0,17,N,N,N,Y,N,N,N,N,N,Y,PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,138830,801-67197,"LONGBOAT KEY FINANCIAL GROUP, LLC","LONGBOAT KEY FINANCIAL GROUP, LLC",6350 GULF OF MEXICO DRIVE,SUITE 101,LONGBOAT KEY,FL,UNITED STATES,34228,941-383-2300,941-383-9466,,,,,,,Approved,9/29/2006,2/26/2010,Y,WWW.LONGBOATKEYFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"36,900,000.00",0,"36,900,000.00",571,0,571,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTATION SERVICES,251-500,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109532,801-56450,HIGHLAND CAPITAL MANAGEMENT LLC,HIGHLAND CAPITAL MANAGEMENT LLC,305 108TH AVE NE STE. 102,,BELLEVUE,WA,UNITED STATES,98004,425-739-6500,425-739-6590,,,,,,,Approved,4/29/1999,2/26/2010,Y,WWW.HIGHLANDCM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"241,715,596.00","48,427,410.00","290,143,006.00",295,59,354,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108045,801-55412,HANSON & DOREMUS INVESTMENT MANAGEMENT,HANSON & DOREMUS INVESTMENT MANAGEMENT,431 PINE STREET,,BURLINGTON,VT,UNITED STATES,5401,802-658-2668,802-658-1027,P.O. BOX 819,,BURLINGTON,VT,UNITED STATES,05402-0819,Approved,4/3/1998,2/26/2010,Y,WWW.HANSONDOREMUS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,More than 75 percent,11-25 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"176,568,502.00","26,257,784.00","202,826,286.00",628,29,657,N,Y,N,Y,N,Y,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,135517,801-64746,PI INVESTMENT MANAGEMENT LIMITED,PI INVESTMENT MANAGEMENT LIMITED,LEVEL 5 ALEXANDRA HOUSE,THE SWEEPSTAKES BALLSBRIDGE,DUBLIN,,IRELAND,4,353 1 669 9200,353 1 669 9299,,,,,,,Approved,9/30/2005,11/18/2009,Y,WWW.PERPETUAL.COM.AU,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,IRELAND ,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"971,062,300.00",0,"971,062,300.00",6,0,6,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,113330,801-58247,"ALPHA CAPITAL RESEARCH, LLC","ALPHA CAPITAL RESEARCH, LLC",701 HEBRON AVE.,,GLASTONBURY,CT,USA,6033,860-659-2363,860-659-4345,,,,,,,Approved,12/22/2000,2/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"23,000,000.00","688,000,000.00","711,000,000.00",1,1,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,125523,801-61878,"ALGERT COLDIRON INVESTORS, LLC","ALGERT COLDIRON INVESTORS, LLC",555 CALIFORNIA STREET,SUITE 3325,SAN FRANCISCO,CA,UNITED STATES,94104,415-675-7300,415-362-4972,,,,,,,Approved,3/11/2003,2/26/2010,Y,WWW.ACINVESTORS.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,Up to 10 percent,FOUNDATIONS,Y,N,N,N,N,Y,N,,Y,"385,000,000.00",0,"385,000,000.00",1,0,1,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,148129,801-70077,"ENDURANCE WEALTH MANAGEMENT, INC.","ENDURANCE WEALTH MANAGEMENT, INC.",121 SOUTH MAIN STREET,4TH FLOOR,PROVIDENCE,RI,UNITED STATES,02903-7104,401-854-0993,401-854-0994,,,,,,,Approved,4/28/2009,11/18/2009,Y,WWW.ENDURANCEWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,RI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"409,000,000.00",0,"409,000,000.00",638,0,638,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,119462,801-63315,"EDEN CAPITAL MANAGEMENT PARTNERS, L.P.","EDEN CAPITAL MANAGEMENT PARTNERS, L.P.",5051 WESTHEIMER,SUITE 725,HOUSTON,TX,UNITED STATES,77056-5729,713.807.1760,713.513.5177,,,,,,,Approved,7/12/2004,2/26/2010,Y,WWW.EDENCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,11-25 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"106,702,000.00",0,"106,702,000.00",4,0,4,N,Y,Y,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE POOLED INVESTMENT VEHICLES AND MANAGED ACCOUNTS.,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107961,801-47662,"KEENE & ASSOCIATES, INC.","KEENE & ASSOCIATES, INC.","306 WEST SEVENTH ST, SUITE 310",,FORT WORTH,TX,UNITED STATES,76102,817-336-4500,817-336-4544,,,,,,,Approved,9/19/1994,2/26/2010,Y,KEENEASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"97,495,697.00","210,742,328.00","308,238,025.00",268,19,287,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,134239,801-70682,"SANTA BARBARA ADVISORS, INC.","SANTA BARBARA ADVISORS, INC.","3891 STATE STREET, SUITE 103",,SANTA BARBARA,CA,UNITED STATES,93105,805-563-3333,805-687-0027,,,,,,,Approved,10/15/2009,3/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,PERCENTAGE FEE LESS CERTAIN COSTS,Y,"38,486,210.00",0,"38,486,210.00",122,0,122,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104751,801-34818,ZAZOVE ASSOCIATES LLC,ZAZOVE ASSOCIATES LLC,"1033 SKOKIE BLVD., SUITE 310",,NORTHBROOK,IL,USA,60062,(847)239-7100,(847)239-7101,,,,,,,Approved,8/18/1989,3/3/2010,Y,WWW.ZAZOVE.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,26-50 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,464,167,247.00",0,"5,464,167,247.00",117,0,117,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,148834,801-69785,PACIFICA PARTNERS CAPITAL MANAGEMENT,PACIFICA PARTNERS INC,5455 - 152ND STREET,SUITE #213,SOUTH SURREY,,CANADA,V3S 5A5,604-576-8908,604-574-2096,,,,,,,Approved,1/2/2009,11/27/2009,Y,WWW.PACIFICAPARTNERS.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"BRITISH COLUMBIA, CANADA",5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"22,000,000.00",0,"22,000,000.00",189,0,189,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109168,801-57974,MARKETOCRACY CAPITAL MANAGEMENT LLC,MARKETOCRACY CAPITAL MANAGEMENT LLC,1200 PARK PLACE,SUITE 100,SAN MATEO,CA,UNITED STATES,94403,650-948-1216,815-550-2852,,,,,,,Approved,9/29/2000,11/27/2009,Y,ADVISOR.MARKETOCRACY.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"35,000,000.00",0,"35,000,000.00",181,0,181,N,Y,Y,Y,N,N,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,111318,801-57221,MACKE FINANCIAL ADVISORY GROUP,MACKE FINANCIAL ADVISORY GROUP,12699 NEW BRITTANY BLVD.,,FORT MYERS,FL,USA,33907,239-275-1122,239-275-8912,,,,,,,Approved,2/7/2000,3/3/2010,Y,WWW.MACKEFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,N,,Y,"100,780,995.00","8,168,633.00","108,949,628.00",552,78,630,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105312,801-28196,NCM CAPITAL MANAGEMENT GROUP INC,NCM CAPITAL MANAGEMENT GROUP INC,2634 DURHAM-CHAPEL HILL BOULEVARD,SUITE 206,DURHAM,NC,UNITED STATES,27707,919-688-0620,919-688-5333,,,,,,,Approved,12/18/1986,3/3/2010,Y,WWW.NCMCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,11-25 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,356,162,475.00","658,546,337.00","2,014,708,812.00",25,3,28,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,132757,801-63518,EPOCH CONSULTING GROUP,EPOCH CONSULTING GROUP,"435 E STREET, SUITE B",,SANTA ROSA,CA,UNITED STATES,95404,707-524-5800,707-524-4621,,,,,,,Approved,10/4/2004,3/3/2010,Y,WWW.EPOCHCONSULTINGGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,401(K) PLANS,Y,Y,N,Y,N,N,N,,Y,0,"232,324,049.00","232,324,049.00",0,91,91,N,Y,N,Y,Y,Y,N,N,N,Y,401(K) CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y
SFRO,149683,801-70006,ADAMS ASHBY FINANCIAL ADVISORS,"AF ADVISORS, INC.",641 FULTON AVE,SUITE 200,SACRAMENTO,CA,UNITED STATES,95285,916-333-5989,916-333-5223,,,,,,,Approved,3/9/2009,3/3/2010,Y,WWW.ADAMSASHBY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"48,037,242.00","793,096.00","48,830,338.00",124,1,125,N,Y,N,Y,Y,Y,Y,N,N,Y,REALLOCATION PLAN,0,,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,109949,801-55160,BALTIMORE CAPITAL MANAGEMENT INC.,BALTIMORE CAPITAL MANAGEMENT INC.,575 S. CHARLES ST.,SUITE 506,BALTIMORE,MD,UNITED STATES,21201,410-727-4480,410-783-7917,,,,,,,Approved,2/2/1998,3/3/2010,Y,WWW.BALTIMORECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"73,110,628.00",0,"73,110,628.00",241,0,241,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110992,801-17900,FIRST STATE INVESTMENTS INTERNATIONAL LIMITED,FIRST STATE INVESTMENTS INTERNATIONAL LIMITED,23 ST. ANDREW SQUARE,,EDINBURGH SCOTLAND,,UNITED KINGDOM,EH2 1BB,44(0)131 473 2200,44(0)131 473 2222,,,,,,,Approved,11/4/1982,11/30/2009,Y,WWW.FIRSTSTATEINVESTMENTS.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,51-250,0,51-250,0,0,0,0,0,25-Nov,0,0 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,920,372,053.00",0,"5,920,372,053.00",20,0,20,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,132478,801-63484,"GOLDEN BUSINESS CONSULTANTS, INC.","GOLDEN BUSINESS CONSULTANTS, INC.",,,,,,,307-752-4075,307-672-3971,,,,,,,Approved,8/31/2004,3/3/2010,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,N,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,138009,801-66275,"UNIWEALTH ADVISORS, INC.","UNIWEALTH ADVISORS, INC.",15715 S. DIXIE HIGHWAY,#313,PALMETTO BAY,FL,USA,33157,305-969-2622,305-969-1099,,,,,,,Approved,2/28/2006,3/3/2010,Y,WWW.UNIWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"2,470,000.00","86,000,000.00","88,470,000.00",10,1,11,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107971,801-43295,AIS CAPITAL MANAGEMENT LLC,AIS CAPITAL MANAGEMENT LLC,187 DANBURY RD,SUITE 201,WILTON,CT,UNITED STATES,06897-0806,203-563-1180,203-563-1186,,,,,,,Approved,2/8/1993,3/3/2010,Y,AISGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"243,824,606.00",0,"243,824,606.00",96,0,96,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110946,801-10429,"FENIMORE ASSET MANAGEMENT, INC.","FENIMORE ASSET MANAGEMENT, INC.",384 N GRAND STREET,BOX 310,COBLESKILL,NY,USA,12043-0310,518-234-4393,518-234-4421,,,,,,,Approved,12/22/1974,11/30/2009,Y,WWW.FENIMOREASSET.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,10-Jun,0,More than 500,500,26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,263,141,274.00",0,"1,263,141,274.00",725,0,725,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,148602,801-69797,"INSTITUTIONAL EQUITY ASSOCIATES, LLC","INSTITUTIONAL EQUITY ASSOCIATES, LLC",301 NW 63RD STREET,SUITE 500,OKLAHOMA CITY,OK,UNITED STATES,73116,405-848-9456,405-842-6389,,,,,,,Approved,1/8/2009,3/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,N,N,N,Y,N,Y,Y,VARIABLE FEES BASED ON CLOSED COMMITMENTS.,Y,0,"52,746,455.00","52,746,455.00",0,1,1,N,N,N,N,N,N,N,N,N,Y,RECOMMEND INVESTMENT IN VENTURE CAPITAL FUNDS.,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,116823,801-65420,"THE FOUNDRY FINANCIAL GROUP, INC.","THE FOUNDRY FINANCIAL GROUP, INC.",67 WATER STREET,SUITE 101 A,LACONIA,NH,UNITED STATES,03246-3300,603-528-5171,603-524-0769,,,,,,,Approved,2/1/2006,11/30/2009,Y,WWW.FOUNDRYADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"46,945,455.00","9,269,407.00","56,214,862.00",136,35,171,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107694,801-50225,"MEDIQUS ASSET ADVISORS, INC.",MEDIQUS ASSET ADVISORS INC,200 N LASALLE ST,STE 1650,CHICAGO,IL,UNITED STATES,60601-1014,312-419-3733,312-332-4908,,,,,,,Approved,9/28/1995,3/3/2010,Y,WWW.MEDIQUS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,0,"307,524,394.00","307,524,394.00",0,796,796,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,136294,801-67644,"MENDOTA FINANCIAL GROUP, LLC","MENDOTA FINANCIAL GROUP, LLC",137 EAST WILSON STREET,SUITE 202,MADISON,WI,UNITED STATES,53703,(608) 223-9211,(608) 223-9231,,,,,,,Approved,3/13/2007,3/3/2010,Y,WWW.MENDOTAFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"72,000,000.00",0,"72,000,000.00",90,0,90,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,149108,801-69837,"TELOS CAPITAL MANAGEMENT, INC.","TELOS CAPITAL MANAGEMENT, INC.",12121 SCRIPPS SUMMIT DRIVE,SUITE 350,SAN DIEGO,CA,UNITED STATES,92131-4610,858-271-6350,858-271-6360,,,,,,,Approved,1/7/2009,3/3/2010,Y,WWW.TELOSINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"111,874,000.00",0,"111,874,000.00",455,0,455,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107463,801-57382,CUTLER CAPITAL MANAGEMENT LLC,CUTLER CAPITAL MANAGEMENT LLC,306 MAIN ST 2ND FL,,WORCESTER,MA,USA,01608-1518,508-757-4455,508-757-4466,,,,,,,Approved,3/1/2000,3/3/2010,Y,WWW.CUTLERCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"225,060,602.00",0,"225,060,602.00",160,0,160,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,122497,801-68947,"ELDER LAW MANAGEMENT, ELDER LAW PLANNING SERVICES","EASTERN FINANCIAL GROUP, INC",401 WOOD STREET,3RD FL.,PITTSBURGH,PA,USA,15222,412-456-1230,412-456-4701,,,,,,,Approved,4/3/2008,3/3/2010,Y,WWW.ELDERLAWMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"32,000,000.00",0,"32,000,000.00",293,0,293,N,Y,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110832,801-62332,MILLENIA FINANCIAL PARTNERS INC,MILLENIA FINANCIAL PARTNERS INC,,,,,,,908-470-0050,908-470-0052,,,,,,,Approved,9/2/2003,3/3/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"32,859,718.00","20,236,844.00","53,096,562.00",142,1,143,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,110177,801-57207,"EAGLE CAPITAL MANAGEMENT, LLC","EAGLE CAPITAL MANAGEMENT, LLC","HEARST PLAZA, 4937 HEARST ST., SUITE 2L",,METAIRIE,LA,UNITED STATES,70001,504-250-4049; 504-250-4040,504-872-9651,,,,,,,Approved,2/1/2000,3/3/2010,Y,WWW.EAGLE-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,11-25 percent,26-50 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"133,000,000.00","1,300,000.00","134,300,000.00",255,30,285,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108126,801-57081,RINCON PACIFIC MANAGEMENT INC,RINCON PACIFIC MANAGEMENT INC,"2340 SOUTH EL CAMINO REAL, SUITE 6",,SAN CLEMENTE,CA,UNITED STATES,92672,949-369-0393,949-369-0397,,,,,,,Approved,12/27/1999,3/3/2010,Y,WWW.RINCONPACIFIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"36,796,031.00",0,"36,796,031.00",168,0,168,N,Y,N,N,N,N,Y,N,Y,N,,,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105254,801-17130,NEW ENGLAND FINANCIAL PLANNING GROUP,WOJCIK RICHARD J,69 WINN STREET,,BURLINGTON,MA,UNITED STATES,1803,781-272-2200,781-273-4117,,,,,,,Approved,5/17/1982,3/3/2010,Y,WWW.NEFPG.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NH,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE OF ASSETS UNDER CONSULTATION,Y,"96,330,411.00","21,509,157.00","117,839,568.00",633,194,827,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,111749,801-50360,NICHOLS ASSET MANAGEMENT LLC,NICHOLS ASSET MANAGEMENT LLC,,,,,,,978-440-8741,978-440-8754,,,,,,,Approved,9/30/1995,3/3/2010,Y,NICHOLSASSETMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"92,410,950.00",0,"92,410,950.00",36,0,36,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,129443,801-69291,"MONK, STAN","MONK, STANLEY EARL",,,,,,,212-663-0724,212-663-0724,,,,,,,Approved,6/23/2008,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NY,UNITED STATES,5-Jan,0,0,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"30,572,301.00","30,572,301.00",0,41,41,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138502,801-65798,"NEXSTAR CAPITAL PARTNERS, LLC","NEXSTAR CAPITAL PARTNERS, LLC",780 THIRD AVENUE,14TH FLOOR,NEW YORK,NY,UNITED STATES,10017,(212) 994-7001,(212) 981-3920,,,,,,,Approved,1/27/2006,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"95,158,117.00","31,056,018.00","126,214,135.00",4,1,5,N,N,N,Y,N,N,N,N,N,Y,HEDGE FUND MANAGER,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,144336,801-69542,FREEDOMTREE ASSET MANAGEMENT,"FREEDOMTREE MUTUAL FUNDS AND ASSET MANAGEMENT, LLC",,,,,,,770-369-1889,404-601-7464,P.O. BOX 4421,,ATLANTA,GA,UNITED STATES,30302-4421,Approved,11/14/2008,11/30/2009,Y,WWW.FREEDOMTREEFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,Y,LICENSED INSURANCE COMMISSIONS,Y,"235,200,000.00",0,"235,200,000.00",2,0,2,Y,Y,Y,Y,N,Y,Y,Y,Y,N,,10-Jan,,Y,N,Y,Y,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,43793,801-56578,"USI SECURITIES, INC.","USI SECURITIES, INC.",95 GLASTONBURY BLVD.,,GLASTONBURY,CT,USA,6033,860-652-3239,860-368-2110,,,,,,,Approved,6/4/1999,3/5/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,Y,N,Y,REFERRAL ADVISORY FEES,N,0,0,0,0,0,0,Y,N,N,N,N,Y,N,N,N,Y,HOURLY CONSULTING AND SEMINARS,0,,N,N,Y,N,N,N,Y,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,Y,Y,N,N
CHRO,123602,801-63670,PLAN SPONSOR ADVISORS LLC,"PLAN SPONSOR ADVISORS, LLC",125 S WACKER DR.,SUITE 1220,CHICAGO,IL,UNITED STATES,60606-4430,312-214-1500,312-214-0803,,,,,,,Approved,1/12/2005,3/5/2010,Y,WWW.PSARETIRE.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,Y,PERCENTAGE OF ASSETS UNDER ADVISEMENT,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,111509,801-50972,"GRANT/GROSSMENDELSOHN, LLC","GRANT/GROSSMENDELSOHN, LLC",36 SOUTH CHARLES STREET,18TH FLOOR,BALTIMORE,MD,USA,21201,410-685-9685,410-752-1148,,,,,,,Approved,1/1/1996,3/5/2010,Y,WWW.GMA-CPA.COM WWW.GGMWEALTHADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"154,000,000.00","2,000,000.00","156,000,000.00",365,5,370,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119810,801-70866,"SALING, SIMMS, ASSOCIATES INC.","SALING, SIMMS, ASSOCIATES INC.",7965 N. HIGH ST.    SUITE 130,,COLUMBUS,OH,USA,43235,614-841-1881,614-841-1013,,,,,,,Approved,1/4/2010,12/1/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,THIRD PARTY ADVISOR/MANAGER FEES,Y,"18,472,480.00","10,759,825.00","29,232,305.00",146,106,252,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,108129,801-57623,ALLBRIGHT FINANCIAL ADVISORS INC,ALLBRIGHT FINANCIAL ADVISORS INC,4849 GREENVILLE AVE.,SUITE 1520,DALLAS,TX,UNITED STATES,75206-4130,214-691-5900,214-691-5903,,,,,,,Approved,5/18/2000,3/5/2010,N,,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE OF ASSETS CONSULTED/MONITORED,Y,0,"188,805,118.00","188,805,118.00",0,48,48,Y,Y,N,N,Y,Y,N,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,Y,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
ARO,125881,801-71192,"SICNER ASSET MANAGEMENT, L.L.C.","SICNER ASSET MANAGEMENT, L.L.C.",,,,,,,770-521-0055,770-521-0097,,,,,,,Approved,3/9/2010,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"37,767,115.00",0,"37,767,115.00",37,0,37,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109911,801-51865,M&K INVESTMENT ADVISERS LLC,M&K INVESTMENT ADVISERS LLC,10 MELVILLE PARK ROAD,,MELVILLE,NY,UNITED STATES,11747,631-414-4000,631-414-4001,,,,,,,Approved,5/15/1996,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,REFERRAL FEES,Y,"34,763,771.00",0,"34,763,771.00",86,0,86,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,136674,801-64723,"AUREUS ASSET MANAGEMENT, LLC","AUREUS ASSET MANAGEMENT, LLC",ONE WINTHROP SQUARE,,BOSTON,MA,USA,2110,617.728.8900,617.728.8901,,,,,,,Approved,10/3/2005,3/5/2010,Y,WWW.AUREUS-ASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"485,395,573.00",0,"485,395,573.00",168,0,168,N,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,132486,801-63467,RAINIER GROUP INVESTMENT ADVISORY LLC,RAINIER GROUP INVESTMENT ADVISORY LLC,"500 - 108TH AVENUE NE, SUITE 2000",,BELLEVUE,WA,UNITED STATES,98004-5538,425-463-3000,425-463-3044,,,,,,,Approved,9/15/2004,3/5/2010,Y,WWW.RGINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,"TRUSTS, CRTS, NON-ERISA PLANS",Y,Y,N,Y,N,N,N,,Y,"605,152,039.00",0,"605,152,039.00","1,012",0,"1,012",Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,130487,801-69252,"PINES WEALTH MANAGEMENT, LLC","PINES WEALTH MANAGEMENT, LLC",11475 OLDE CABIN ROAD,SUITE 220,ST.LOUIS,MO,UNITED STATES,63141-7129,314-576-6767,314-432-3667,,,,,,,Approved,6/24/2008,3/5/2010,Y,WWW.PINESWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"9,670,993.00","29,594,112.00","39,265,105.00",29,52,81,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,10-Jan,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,116896,801-67765,"ADVANCED FINANCIAL PLANNING, INC.","THE CADEZ GROUP, LTD.",17294 FARMINGTON RD.,,LIVONIA,MI,UNITED STATES,48152,734-524-9408,734-524-9437,,,,,,,Approved,5/10/2007,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"39,135,423.00","113,470.00","39,248,893.00",457,3,460,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,111309,801-56554,"ASSET MANAGEMENT ADVISORS, LLC","ASSET MANAGEMENT ADVISORS, LLC",6307 WATERFORD BLVD.,SUITE 200,OKLAHOMA CITY,OK,UNITED STATES,73118,405-842-1881,405-842-1413,,,,,,,Approved,5/26/1999,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"89,835,853.00",0,"89,835,853.00",103,0,103,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,110466,801-57677,"SCOTT INVESTMENT ADVISORS, L.P.",SCOTT INVESTMENT ADVISORS LIMITED PARTNERSHIP,349 EAST KELLY AVENUE,,JACKSON,WY,UNITED STATES,83001,562-438-2811,562-438-0411,P.O. BOX 1271,,JACKSON,WY,UNITED STATES,83001,Approved,6/29/2000,12/1/2009,Y,SCOTTADVISORS.COM,N,N,Y,N,N,N,N,N,N,N,N,N,N,Partnership,,WY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"3,000,000.00",0,"3,000,000.00",9,0,9,N,Y,N,Y,N,N,N,N,N,N,,0,,Y,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,127964,801-62272,"CRANE ASSET MANAGEMENT, LLC","CRANE ASSET MANAGEMENT, LLC","8383 WILSHIRE BOULEVARD,",SUITE 850,BEVERLY HILLS,CA,UNITED STATES,90211,323-852-9300,323-852-1916,,,,,,,Approved,8/21/2003,3/5/2010,Y,WWW.CRANEASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"58,325,791.00",0,"58,325,791.00",106,0,106,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,142452,801-67315,"SUMMIT INVESTMENT GROUP, LLC","SUMMIT INVESTMENT GROUP, LLC",2200 S. UTICA PL. #525,,TULSA,OK,UNITED STATES,74114,918-477-7227,918-477-9124,,,,,,,Approved,12/8/2006,3/5/2010,Y,WWW.SUMMITINVESTING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"18,000,000.00","12,000,000.00","30,000,000.00",90,6,96,Y,Y,N,N,N,Y,N,N,N,Y,CONSULTING,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,109843,801-31614,"C. F. PARKS & CO., INC.","C.F. PARKS & CO., INC.",1932 SOUTH MAIN STREET,,SALISBURY,NC,UNITED STATES,28144,704-637-6011,704-637-9673,POST OFFICE BOX 1216,,SALISBURY,NC,UNITED STATES,28145,Approved,4/22/1988,3/5/2010,Y,WWW.CFPARKS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NC,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"31,978,418.00",0,"31,978,418.00",444,0,444,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,116357,801-60776,"HILTON CAPITAL MANAGEMENT, LLC","HILTON CAPITAL MANAGEMENT, LLC",59 HILTON AVENUE,,GARDEN CITY,NY,USA,11530,516-535-3807,516-742-6935,,,,,,,Approved,1/2/2002,3/5/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"346,531,109.00",0,"346,531,109.00",267,0,267,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108338,801-45276,BARLOW PARTNERS INC,BARLOW PARTNERS INC,880 3RD AVE 3RD FLR,,NEW YORK,NY,UNITED STATES,10022-4730,212-355-3449,212-355-3593,,,,,,,Approved,11/30/1993,3/5/2010,Y,WWW.BARLOWPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,11-25 percent,26-50 percent,11-25 percent,0 percent,26-50 percent,FUNDS OF FUNDS,Y,N,N,N,N,Y,N,,Y,"1,736,000,000.00",0,"1,736,000,000.00",9,0,9,N,Y,N,Y,N,Y,N,N,N,Y,FUNDS OF FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,132415,801-63494,THE HUMPHREYS GROUP,"THE HUMPHREYS GROUP, LLC",3401 CLAY STREET,SUITE 703,SAN FRANCISCO,CA,USA,94118,415-928-0401,415-447-2936,,,,,,,Approved,9/10/2004,3/5/2010,Y,WWW.HUMPHREYSGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"113,500,000.00",0,"113,500,000.00",75,0,75,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,124468,801-66252,"RFM FINANCIAL SOLUTIONS, LLC","RFM FINANCIAL SOLUTIONS, LLC",805 N. BROWN ST.,,MT. PLEASANT,MI,UNITED STATES,48858,989-772-1209,989-772-3880,,,,,,,Approved,2/24/2006,12/1/2009,Y,WWW.RFMFINANCIALSOLUTIONS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"45,839,337.00",0,"45,839,337.00",481,0,481,Y,Y,N,N,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108767,801-11341,GKV CAPITAL MANAGEMENT CO INC,GKV CAPITAL MANAGEMENT CO INC,"125  AUBURN COURT, SUITE 200",,WESTLAKE VILLAGE,CA,USA,91362,805-497-2616,805-379-3216,,,,,,,Approved,3/12/1976,3/5/2010,Y,WWW.GKVCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"131,078,939.00","12,388,074.00","143,467,013.00",76,1,77,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,19537,801-70430,"FIRST WESTERN SECURITIES, INC.","FIRST WESTERN SECURITIES, INC.",669 AIRPORT FREEWAY,SUITE 409,HURST,TX,UNITED STATES,76053,817-553-1492,817-553-2695,,,,,,,Approved,8/7/2009,12/1/2009,Y,WWW.FIRSTWESTERNSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"38,164,445.00","5,112,279.00","43,276,724.00",296,13,309,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,Y,N,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,144731,801-68299,"IMPRINT CAPITAL ADVISORS, LLC","IMPRINT CAPITAL ADVISORS, LLC","353 SACRAMENTO ST,  SUITE 1760",,SAN FRANCISCO,CA,UNITED STATES,94111,415-982-5900,415-982-5045,,,,,,,Approved,9/29/2007,3/5/2010,Y,WWW.IMPRINTCAP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,11-25 percent,FINANCIAL ADVISORS,Y,Y,N,Y,N,N,Y,MONTHLY RETAINERS,Y,0,"181,000,000.00","181,000,000.00",0,6,6,N,N,N,Y,N,N,N,N,N,Y,MISSION INVESTING ADVISORY SERVICES,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108757,801-56007,REKOW MANAGEMENT LLC,REKOW MANAGEMENT LLC,"101 SOUTH 1ST STREET, SUITE 50",,MONTEVIDEO,MN,USA,56265,320-269-7889,320-269-3220,,,,,,,Approved,11/6/1998,3/5/2010,Y,WWW.REKOWMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"36,568,977.00",0,"36,568,977.00",299,0,299,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108755,801-70753,MACRO CONSULTING GROUP,MACRO CONSULTING GROUP LLC,1639 ROUTE 10 EAST,1ST FLOOR,PARSIPPANY,NJ,UNITED STATES,7054,973-451-9400,973-451-9401,,,,,,,Approved,11/30/2009,3/5/2010,Y,WWW.MACROCONSULTINGGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"70,000,000.00",0,"70,000,000.00",175,0,175,Y,Y,N,Y,Y,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,101-250,,N,N,N,Y,N,N,Y,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,127675,801-69710,STEELE LARSON ANDERSON WEALTH MANAGEMENT,"STEELE LARSON ANDERSON, LLLP",1760 E. PECOS RD.,SUITE 338,GILBERT,AZ,UNITED STATES,85295,480-699-5721,480-361-9626,,,,,,,Approved,9/11/2009,3/25/2010,Y,WWW.STEELELARSON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED LIABILITY LIMITED PARTNERSHIP (LLLP),AZ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"35,500,000.00",0,"35,500,000.00",127,0,127,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,113155,801-20900,"TAG VIRGIN ISLANDS, INC.","TAG VIRGIN ISLANDS, INC.",THE TUNICK BUILDING,"1336 BELTJEN ROAD, SUITE 202",ST. THOMAS,VI,UNITED STATES,00802-6347,340-779-8001,340-779-8002,,,,,,,Approved,4/2/1984,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,Y,Y,REFERRAL FEES,Y,"254,500,000.00","6,500,000.00","261,000,000.00",97,2,99,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,145184,801-70887,BETRO MILESZKO & COMPANY,"BETRO MILESZKO & COMPANY, LLC",30 MECHANIC STREET,,FOXBORO,MA,UNITED STATES,2035,508-698-4949,508-698-3601,,,,,,,Approved,1/4/2010,12/1/2009,Y,WWW.BETROMILESZKO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"30,851,216.00",0,"30,851,216.00",143,0,143,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,130004,801-64394,ALTSCHULER FINANCIAL SERVICES,"ALTSCHULER, JAMES STEPHEN","594 MARRETT ROAD, SUITE 13",,LEXINGTON,MA,UNITED STATES,2421,781-674-2297,781-674-2298,,,,,,,Approved,6/14/2005,3/25/2010,Y,WWW.ALTSCHULERFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"53,436,372.00",0,"53,436,372.00",95,0,95,Y,Y,N,N,N,N,N,N,Y,N,,26-50,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,133449,801-63730,"MERCER GLOBAL INVESTMENTS, INC.","MERCER GLOBAL INVESTMENTS, INC.",99 HIGH STREET,8TH FLOOR,BOSTON,MA,USA,2110,617-747-9500,617-747-9501,,,,,,,Approved,1/3/2005,3/25/2010,Y,WWW.MGIFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,0,0,26-100,0,0 percent,0 percent,Up to 10 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,TAX EXEMPT ORGANIZATIONS,Y,N,N,N,N,N,N,,Y,"5,953,351,901.00",0,"5,953,351,901.00",37,0,37,N,N,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,Y
LARO,148885,801-69765,BEACH POINT CAPITAL MANAGEMENT LP,BEACH POINT CAPITAL MANAGEMENT LP,1620 26TH STREET,SUITE 6000,SANTA MONICA,CA,UNITED STATES,90404,310-996-9700,310-996-9701,,,,,,,Approved,11/20/2008,3/25/2010,Y,WWW.BEACHPOINTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"5,265,031,962.00","62,670,607.00","5,327,702,569.00",38,2,40,N,N,N,Y,N,N,N,N,N,Y,BEACH POINT CAPITAL MANAGEMENT LP PROVIDES ADVISORY SERVICES TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,134601,801-64764,"HAWKEYE PARTNERS, LP","HAWKEYE PARTNERS, LP",3600 N. CAPITAL OF TEXAS HWY.,"BUILDING B, SUITE 200",AUSTIN,TX,UNITED STATES,78746,512-628-4000,512-628-4008,,,,,,,Approved,1/27/2006,3/25/2010,Y,WWW.HAWKEYE-PARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,PERCENTAGE OF CASH FLOWS,Y,"689,100,000.00",0,"689,100,000.00",1,0,1,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT OF PRIVATE REAL ESTATE FUND,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110656,801-50572,"MPF ADVISERS, LP","MPF ADVISERS, LP",1640 SCHOOL ST,,MORAGA,CA,USA,94556,925-631-9100,925-631-9119,,,,,,,Approved,11/28/1995,3/25/2010,N,,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,CA,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"180,033,372.00","12,387,144.00","192,420,516.00",61,7,68,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104705,801-60083,"COMMERCE INVESTMENT ADVISORS, INC.","COMMERCE INVESTMENT ADVISORS, INC.","922 WALNUT STREET, 4TH FL.",,KANSAS CITY,MO,UNITED STATES,64106,816-234-2000,816-234-2928,,,,,,,Approved,4/3/2001,3/25/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,460,160,436.00",0,"1,460,160,436.00",8,0,8,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,139784,801-66537,"BIGELOW MUNICIPAL BOND ADVISERS, LLC","BIGELOW MUNICIPAL BOND ADVISERS, LLC",700 17TH STREET,SUITE 2400,DENVER,CO,USA,80202,303-292-5900,303-454-8154,,,,,,,Approved,5/12/2006,3/25/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,5-Jan,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"7,400,000.00",0,"7,400,000.00",3,0,3,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110276,801-3364,SARGENT MANAGEMENT CO,SARGENT MANAGEMENT CO,601 CARLSON PARKWAY,SUITE 800,MINNETONKA,MN,UNITED STATES,55305,952-835-2577,952-835-8283,,,,,,,Approved,1/19/1964,12/2/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"37,252,582.00",0,"37,252,582.00",203,0,203,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,151172,801-70891,"BENCHMARK FINANCIAL SERVICES, INC.","BENCHMARK FINANCIAL SERVICES, INC.",411 FEDERAL HIGHWAY SOUTH,,LAKE WORTH,FL,UNITED STATES,33435,561-202-0919,561-202-0919,,,,,,,Approved,1/4/2010,12/2/2009,Y,WWW.BENCHMARKALERT.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"50,000,000.00","50,000,000.00",0,1,1,N,Y,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,131880,801-63587,"ASHFORD CONSULTING GROUP, INC.","ASHFORD CONSULTING GROUP, INC.",ONE WALKERS MILL ROAD,,WILMINGTON,DE,USA,19807-2317,302-655-1750,302-655-7348,,,,,,,Approved,10/19/2004,12/2/2009,N,,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"93,641,826.00","9,823,579,162.00","9,917,220,988.00",1,4,5,N,N,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,146082,801-69584,FINANCIAL SOUNDINGS,"FINANCIAL SOUNDINGS INVESTMENT ADVISOR, LLC",1055 POWERS PLACE,SUITE A,ALPHARETTA,GA,UNITED STATES,30004-8356,678-393-8222,678-393-8234,,,,,,,Approved,9/19/2008,3/25/2010,Y,HTTP://WWW.FINANCIALSOUNDINGS.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,10-Jun,0,More than 500,"25,000",More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,Y,NONDISCRETIONARY ADVICE,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,139771,801-67731,MASON CAPITAL,CT MASON INC,50 CONGRESS ST.,SUITE 843,BOSTON,MA,UNITED STATES,02109-4032,617-228-5190,617-812-2693,,,,,,,Approved,4/16/2007,3/25/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"5,259,943.00",0,"5,259,943.00",2,0,2,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,139368,801-66417,NEWPORT GLOBAL ADVISORS L.P.,NEWPORT GLOBAL ADVISORS L.P.,21 WATERWAY AVENUE,SUITE 150,THE WOODLANDS,TX,UNITED STATES,77380-3098,713-559-7400,713-559-7499,,,,,,,Approved,5/4/2006,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"370,468,066.00",0,"370,468,066.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,151136,801-70605,"BURKE-LESLIE PROFESSIONAL ASSET MANAGEMENT, LLC","BURKE-LESLIE PROFESSIONAL ASSET MANAGEMENT, LLC",801 INTERNATIONAL PARKWAY,5TH FLOOR,LAKE MARY,FL,UNITED STATES,32746,407-562-1861,NONE,,,,,,,Approved,9/25/2009,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"25,131,341.00",0,"25,131,341.00",32,0,32,N,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,108815,801-52507,PRIVATE ASSET MANAGEMENT INC,PRIVATE ASSET MANAGEMENT INC,411 108TH AVENUE NORTHEAST,SUITE 500,BELLEVUE,WA,USA,98004,425-213-1600,425-213-1610,,,,,,,Approved,7/26/1996,3/25/2010,Y,WWW.PRIVATEASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"78,313,803.00","78,313,803.00",0,205,205,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,6564,801-66533,SF INVESTMENT ADVISERS,"SF INVESTMENTS, INC.",799 CENTRAL AVENUE,SUITE 350,HIGHLAND PARK,IL,UNITED STATES,60035,847-926-5700,847-926-5701,,,,,,,Approved,4/28/2006,3/25/2010,Y,WWW.SFINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"458,182,543.00","31,176,147.00","489,358,690.00",400,88,488,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
ARO,122849,801-71265,"PINOAK ADVISORS, L.L.C","PINOAK ADVISORS, L.L.C.",,,,,,,205.871.0591,205.449.8712,P.O. BOX 530726,,BIRMINGHAM,AL,UNITED STATES,35253-0726,Approved,3/26/2010,3/25/2010,Y,WWW.PINOAKADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"20,307,795.00","12,192,512.00","32,500,307.00",20,5,25,Y,Y,N,N,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107306,801-53294,EAGLE GLOBAL ADVISORS LLC,EAGLE GLOBAL ADVISORS LLC,5847 SAN FELIPE,SUITE 930,HOUSTON,TX,USA,77057,713-952-3550,713-952-4175,,,,,,,Approved,11/14/1996,3/25/2010,Y,WWW.EAGLEGLOBAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,295,833,784.00",0,"2,295,833,784.00",951,0,951,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,109398,801-56475,BENHAM & GREEN CAPITAL MANAGEMENT LLC,BENHAM & GREEN CAPITAL MANAGEMENT LLC,"1299 PROSPECT STREET, STE 301",,LA JOLLA,CA,UNITED STATES,92037,858-551-3130,858-551-3135,,,,,,,Approved,5/14/1999,3/25/2010,Y,WWW.BENHAMGREEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"35,378,522.00","985,703.00","36,364,225.00",236,1,237,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,139921,801-66480,"LONGHORN CAPITAL PARTNERS, L.P.","LONGHORN CAPITAL PARTNERS, L.P.",1445 ROSS AVENUE,SUITE 5000,DALLAS,TX,UNITED STATES,75202,214-452-6260,214-594-5711,,,,,,,Approved,3/24/2006,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"312,282,065.00",0,"312,282,065.00",4,0,4,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,130912,801-70882,LOUIS BARAJAS & ASSOCIATES,"BARAJAS, LOUIS (NMN)",10330 PIONEER BLVD.,SUITE 250,SANTA FE SPRINGS,CA,UNITED STATES,90670,562-347-0070,562-347-0079,,,,,,,Approved,1/4/2010,12/2/2009,Y,WWW.LOUISBARAJAS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"35,000,000.00","35,000,000.00",0,250,250,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,113376,801-60404,"BOLTER & COMPANY, LLC","BOLTER & COMPANY, LLC",226 SEVENTH STREET,SUITE 202,GARDEN CITY,NY,UNITED STATES,11530,516-873-8650,516-873-8655,,,,,,,Approved,7/13/2001,3/25/2010,Y,WWW.BOLTERINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,FAMILY LIMITED PARTNERSHIP,Y,N,N,N,N,N,N,,Y,"77,908,421.00",0,"77,908,421.00",58,0,58,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,8517,801-17402,"ABNER HERRMAN & BROCK, LLC","ABNER HERRMAN & BROCK, LLC",HABORSIDE FINANCIAL CENTER,PLAZA 5 SUITE 1640,JERSEY CITY,NJ,USA,7311,201-484-2000,201-435-4603,,,,,,,Approved,7/9/1982,3/25/2010,Y,WWW.AHBI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,10-Jun,0,251-500,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"529,833,903.00","16,643,023.00","546,476,926.00",686,55,741,N,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,Y,N,N,N,N,N,N,,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
FWRO,109121,801-57022,BUTLER FREEMAN TALLY FINANCIAL GROUP,"BFT FINANCIAL GROUP, LLC",2312 SCHOOL LN,,BEDFORD,TX,USA,76021,817-354-1090,817-354-4477,,,,,,,Approved,11/24/1999,3/25/2010,Y,WWW.BFTFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,0,0,0,0,0,0,More than 500,"2,661",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,FINANCIAL PLANNING FEES,Y,"237,258,373.00",0,"237,258,373.00","2,882",0,"2,882",Y,Y,N,Y,N,Y,N,N,N,N,,51-100,,N,N,Y,Y,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
DRO,111033,801-49107,PITTENGER & ANDERSON INC,PITTENGER & ANDERSON INC,5533 S. 27TH STREET,SUITE 201,LINCOLN,NE,USA,68512,402-328-8800,402-328-8500,,,,,,,Approved,5/3/2000,12/2/2009,Y,WWW.PITTAND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,FLAT FEE FOR FINANCIAL PLANS,Y,"559,558,071.00",0,"559,558,071.00",601,0,601,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107920,801-56570,INSTITUTIONAL PROPERTY CONSULTANTS LLC,INSTITUTIONAL PROPERTY CONSULTANTS LLC,CENTRAL OFFICE BUILDING,"15 OREGON AVENUE, SUITE 307",TACOMA,WA,UNITED STATES,98409-1403,253-582-3424,253-582-3425,,,,,,,Approved,6/25/1999,3/25/2010,Y,WWW.IPCONLINE.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,11-25 percent,0 percent,26-50 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,139869,801-70892,SWIFT WEALTH MANAGEMENT,SWIFT CAPITAL MANAGEMENT CORPORATION,67 E. MADISON,SUITE 1310,CHICAGO,IL,UNITED STATES,60603,312-259-9595,312-704-0707,,,,,,,Approved,1/4/2010,12/2/2009,Y,WWW.SWIFTWEALTHMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE FEE OF ASSETS UNDER MANAGEMENT BY A 3RD PARTY MANAGER,Y,"25,000,000.00",0,"25,000,000.00",19,0,19,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,127258,801-62162,"BCOM INVESTMENT ADVISER, LLLP","TRADE STREET CAPITAL INVESTMENT ADVISER, LLLP",19950 W. COUNTRY CLUB DRIVE,SUITE 801,AVENTURA,FL,UNITED STATES,33180,786-248-5200,786-248-3679,,,,,,,Approved,7/21/2004,3/25/2010,Y,TRADESTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED LIABILITY LIMITED PARTNERSHIP,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,PRIVATE FUND,Y,N,N,N,N,Y,N,,Y,"299,305,000.00","3,000,000.00","302,305,000.00",2,1,3,N,N,N,N,N,N,N,N,N,Y,ADVISING CLIENTS ABOUT POTENTIAL AND ACTUAL INVESTMENTS IN REAL ESTATE,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,126295,801-67408,THAMES FINANCIAL MANAGEMENT,"CDM FINANCIAL COUNSELING SERVICES, INC.",457 WEST MAIN STREET,,NORWICH,CT,UNITED STATES,6360,860-886-5108,860-889-8683,,,,,,,Approved,1/3/2007,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"18,789,000.00","36,978,400.00","55,767,400.00",61,191,252,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110862,801-16622,TOWLE & CO,TOWLE & CO,1610 DES PERES ROAD,SUITE 250,ST LOUIS,MO,UNITED STATES,63131-1880,314-822-0204,314-822-1255,,,,,,,Approved,12/10/1981,3/25/2010,Y,WWW.TOWLECO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"257,168,660.00",0,"257,168,660.00",44,0,44,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106159,801-47009,CONIFER INVESTMENTS LTD,CONIFER INVESTMENTS LTD,100 PEARL STREET,,HARTFORD,CT,UNITED STATES,6103,860-761-1041,860-761-1042,,,,,,,Approved,7/21/1994,3/25/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"79,287,249.00","110,184,566.00","189,471,815.00",18,24,42,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147206,801-69215,"CEDAR HILL ASSOCIATES, LLC","CEDAR HILL ASSOCIATES, LLC",120 SOUTH LASALLE STREET,SUITE 1750,CHICAGO,IL,UNITED STATES,60603-3447,312-445-2900,312-445-2901,,,,,,,Approved,4/18/2008,3/25/2010,Y,WWW.CEDHILL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"889,641,850.00","42,387,683.00","932,029,533.00",732,232,964,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,,N,Y,N,Y,Y,Y,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,152155,801-70820,"FIC-BOISE, LLC","FIC-BOISE, LLC",3115 EAST LION LANE  #100,,SALT LAKE CITY,UT,UNITED STATES,84121-3526,(801) 944-7702,(801) 944-7708,,,,,,,Approved,1/4/2010,12/2/2009,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,UT,UNITED STATES,5-Jan,0,0,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,A PORTION OF THE ADVISORY FEE PAID TO ANOTHER INVESTMENT ADVISOR,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,PRODUCES AN AM RADIO PROGRAM FOR AN IA,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105981,801-46369,PORTFOLIO ADVISORS LLC,PORTFOLIO ADVISORS LLC,9 OLD KINGS HIGHWAY SOUTH,,DARIEN,CT,UNITED STATES,6820,203-662-3456,203-662-0013,,,,,,,Approved,4/25/1994,3/11/2010,Y,WWW.PORTFOLIOADVISORSLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,51-250,0,Nov-50,0,0,0,10-Jun,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,SPECIAL PURPOSE LIMITED PARTNERSHIP,Y,N,N,Y,N,Y,N,,Y,"6,235,100,000.00","18,270,200,000.00","24,505,300,000.00",34,24,58,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,Y,PORTFOLIO PERFORMANCE MEASUREMENT & REPORTING,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,107129,801-42052,PORTFOLIO MANAGEMENT,KRANZ RICHARD WINTHROP,,,,,,,281-494-1919,281-242-8219,,,,,,,Approved,8/3/1992,3/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"76,276,606.00",0,"76,276,606.00",234,0,234,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111990,801-62454,"EPSILON FINANCIAL GROUP, INC.","EPSILON FINANCIAL GROUP, INC.","2801 WATERMAN BLVD., SUITE 250",,FAIRFIELD,CA,USA,94533,707-428-5500,707-428-5519,,,,,,,Approved,10/24/2003,3/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"173,000,000.00",0,"173,000,000.00",326,0,326,Y,Y,N,Y,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,108833,801-64029,"INTELLIGENT INVESTMENT MANAGEMENT,LLP","INTELLIGENT INVESTMENT MANAGEMENT,LLP",150 EAST 9TH ST,STE 333,DURANGO,CO,UNITED STATES,81301,970-403-1234,970-259-8017,,,,,,,Approved,3/9/2005,3/11/2010,Y,WWW.INTELLIGENTIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"30,377,931.00",0,"30,377,931.00",152,0,152,Y,Y,N,N,N,N,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,111695,801-61363,"MIAI, INC.","MIAI, INC.",8750 N. CENTRAL EXPRESSWAY,SUITE 715,DALLAS,TX,UNITED STATES,75231,214-739-5677,214-739-0166,,,,,,,Approved,8/2/2002,12/2/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,More than 500,800,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"59,826,497.00","54,760,464.00","114,586,961.00",480,226,706,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,Y,N,N,Y,N,N,Y,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105180,801-33740,"MOSAIC FINANCIAL PARTNERS, INC.","MOSAIC FINANCIAL PARTNERS, INC.","140 GEARY STREET, 6TH FLOOR",,SAN FRANCISCO,CA,UNITED STATES,94108,415-788-1952,415-788-7105,,,,,,,Approved,1/23/1989,3/11/2010,Y,WWW.MOSAICFP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,10-Jun,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"349,996,257.00","1,623,390.00","351,619,647.00",743,10,753,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,115932,801-69486,THE WEALTH CONSERVATORY,"COMPREHENSIVE PLANNING ASSOCIATES, INC.",29 SCHOOL STREET,,LEBANON,NH,UNITED STATES,3766,800-472-1844,603-448-0276,P.O. BOX 1135,,LEBANON,NH,UNITED STATES,3766,Approved,8/5/2008,3/11/2010,Y,WWW.WEALTHCONSERVATORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"8,182,635.00","25,251,027.00","33,433,662.00",12,40,52,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123321,801-67075,"STRATEGIC WEALTH MANAGEMENT, LLC","STRATEGIC WEALTH MANAGEMENT, LLC","114 STATE STREET, SUITE 2E",,PEORIA,IL,UNITED STATES,61602,309-673-7526,309-673-6878,,,,,,,Approved,8/21/2006,3/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"33,475,936.00",0,"33,475,936.00",336,0,336,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,117328,801-67568,LIMOGES INVESTMENT MANAGEMENT PC,LIMOGES INVESTMENT MANAGEMENT PC,"1104 MAIN STREET, SUITE 320",,VANCOUVER,WA,UNITED STATES,98660-2955,360-694-2752,360-694-2802,,,,,,,Approved,2/20/2007,3/11/2010,Y,WWW.LIMOGESINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"44,014,050.00","3,628,179.00","47,642,229.00",156,42,198,Y,Y,N,N,Y,N,N,N,N,Y,INVESTMENT ANALYSIS AND ADVICE,26-50,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106719,801-42744,RUNNYMEDE CAPITAL MANAGEMENT INC,RUNNYMEDE CAPITAL MANAGEMENT INC,,,,,,,973-267-6886,973-267-5525,P.O. BOX 359,,MENDHAM,NJ,UNITED STATES,07945-0359,Approved,12/3/1992,3/11/2010,Y,WWW.RUNNYMEDE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"244,200,000.00",0,"244,200,000.00",131,0,131,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,139347,801-66159,"FOX, JOSS & YANKEE","FOX, JOSS & YANKEE, LLC",1925 ISAAC NEWTON SQUARE,SUITE 400,RESTON,VA,UNITED STATES,20190,703.889.1111,866.366.9233,,,,,,,Approved,1/30/2006,3/11/2010,Y,WWW.FJYFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"263,309,844.00","263,309,844.00",0,"1,244","1,244",Y,Y,N,Y,Y,Y,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,151749,801-70650,NEIMAN FUNDS MANAGEMENT LLC,NEIMAN FUNDS MANAGEMENT LLC,6631 MAIN STREET,,WILLIAMSVILLIE,NY,UNITED STATES,14221,716-633-1515,716-633-1333,,,,,,,Approved,10/8/2009,3/11/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,WY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"13,710,000.00",0,"13,710,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,122146,801-61395,"MALLARD ADVISORS, LLC","MALLARD ADVISORS, LLC",273 EAST MAIN STREET,SUITE E,NEWARK,DE,UNITED STATES,19711,302-737-4546,302-397-2675,,,,,,,Approved,8/27/2002,3/11/2010,Y,WWW.MALLARDADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"77,043,969.00","33,502,418.00","110,546,387.00",415,232,647,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,125205,801-68883,"RUSHWALD, MARK STEVEN","RUSHWALD, MARK STEVEN",700 HOOPER AVENUE,SUITE 201,TOMS RIVER,NJ,UNITED STATES,8753,732-505-4422,732-240-4797,,,,,,,Approved,3/3/2008,3/11/2010,Y,WWW.RUSHWALD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"27,000,000.00",0,"27,000,000.00",67,0,67,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,109419,801-55992,"MOISAND FITZGERALD TAMAYO, LLC","MOISAND FITZGERALD TAMAYO, LLC",601 SOUTH LAKE DESTINY ROAD,SUITE 165,MAITLAND,FL,UNITED STATES,32751-7482,407-869-6228,407-869-6558,,,,,,,Approved,10/27/1998,3/11/2010,Y,WWW.MOISANDFITZGERALD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"173,852,575.00","1,793,483.00","175,646,058.00","1,009",8,"1,017",Y,Y,N,Y,N,N,N,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,151719,801-70642,"INTEGRITY CAPITAL, LLC","INTEGRITY CAPITAL, LLC",,,,,,,512-779-3505,,,,,,,,Approved,10/14/2009,3/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,"7,200,000,000.00","7,200,000,000.00",0,1,1,N,N,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138079,801-65230,SECTOR OMEGA ASA,SECTOR OMEGA ASA,FILIPSTAD BRYGGE 2,,OSLO,,NORWAY,250,47 2301 2900,47 2301 2901,P.O.BOX 1994 VIKA,,OSLO,,NORWAY,125,Approved,1/20/2006,3/12/2010,Y,WWW.SECTOR.NO,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,NORWAY,Nov-50,0,Nov-50,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,489,211,402.00",0,"1,489,211,402.00",9,0,9,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,105649,801-34485,RESTRUCTURING CAPITAL ASSOCIATES LP,RESTRUCTURING CAPITAL ASSOCIATES LP,"2 STAMFORD PLZ, STE 1501",281 TRESSER BLVD,STAMFORD,CT,USA,6901,203-353-3101,203-353-3113,,,,,,,Approved,5/22/1989,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,509,823,547.00",0,"1,509,823,547.00",4,0,4,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,116604,801-60851,MARQUIS WEALTH MANAGEMENT GROUP,"MNS FINANCIAL  MANAGEMENT, L.L.C.",6216 WHISKEY CREEK DRIVE,SUITE A,FT. MYERS,FL,UNITED STATES,33919,239-454-1117,239-454-0249,,,,,,,Approved,1/15/2002,3/12/2010,Y,HTTPS://WWW.MARQUISWEALTHGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"19,632,649.00","70,422,649.00","90,055,298.00",44,410,454,Y,Y,N,Y,N,N,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES,25-Nov,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,105618,801-33311,SPECTRUM FINANCIAL INC,SPECTRUM FINANCIAL INC,"2940 N LYNNHAVEN ROAD, SUITE 200",,VIRGINIA BEACH,VA,UNITED STATES,23452,757-463-7600,757-463-1232,P.O. BOX 9178,,VIRGINIA BEACH,VA,UNITED STATES,23450,Approved,12/30/1988,3/12/2010,Y,WWW.SPECTRUMFIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,500,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,SERVICING FEE,Y,"203,661,127.00",0,"203,661,127.00","1,003",0,"1,003",N,Y,N,Y,N,N,N,N,N,Y,ASSET ALLOCATION SERVICES,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,Y,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,140710,801-66769,STERLING INVESTMENT ADVISORS LTD.,STERLING INVESTMENT ADVISORS LTD.,1055 WESTLAKES DRIVE,SUITE 150,BERWYN,PA,USA,19312,610-560-0400,610-560-0401,,,,,,,Approved,5/31/2006,3/12/2010,Y,WWW.STERLING-ADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"126,477,000.00",0,"126,477,000.00",184,0,184,Y,Y,N,N,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,127549,801-62242,"ESSEX FINANCIAL SERVICES, INC.","ESSEX FINANCIAL SERVICES, INC.",176 WESTBROOK ROAD,,ESSEX,CT,UNITED STATES,6426,860-767-4300,860-767-4310,,,,,,,Approved,8/7/2003,3/12/2010,Y,WWW.ESSEXFINANCIALSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,500,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"382,115,833.00","643,770,489.00","1,025,886,322.00",770,"1,686","2,456",Y,Y,N,Y,N,Y,N,N,N,N,,0,,Y,N,Y,N,N,N,Y,N,N,,N,,Y,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
MIRO,112083,801-38667,"DEIGHAN FINANCIAL ADVISORS, INC.","DEIGHAN FINANCIAL ADVISORS, INC.",47 W NEW HAVEN AVE STE 200,,MELBOURNE,FL,UNITED STATES,32901,321-728-3888,321-729-0201,,,,,,,Approved,4/19/1991,3/12/2010,Y,WWW.DEIGHANFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"56,171,348.00","66,043,145.00","122,214,493.00",223,81,304,Y,Y,N,Y,Y,N,N,N,N,N,,51-100,,N,N,Y,Y,N,N,Y,N,Y,MORTGAGE BROKER,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
NYRO,122161,801-61402,"SINGLETERRY MANSLEY ASSET MANAGEMENT COMPANY, LLC","SINGLETERRY MANSLEY ASSET MANAGEMENT COMPANY, LLC",57 UNION PLACE,SUITE 316,SUMMIT,NJ,UNITED STATES,7901,908-918-0023,908-918-0232,,,,,,,Approved,8/23/2002,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"230,000,000.00",0,"230,000,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,151932,801-70896,HNW INVESTMENTS INC.,HNW INVESTMENTS INC.,,,,,,,416-483-1938,,,,,,,,Approved,1/4/2010,12/3/2009,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CANADA,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"41,000,000.00",0,"41,000,000.00",5,0,5,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,147870,801-69911,"SJP FINANCIAL SERVICES, LLC","SJP FINANCIAL SERVICES, LLC",300 CRESCENT COURT,SUITE 270,DALLAS,TX,UNITED STATES,75201,214-624-1013,214-624-1010,,,,,,,Approved,3/12/2009,12/3/2009,Y,WWW.SJP401K.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,26-50 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"32,000,000.00","5,000,000.00","37,000,000.00",36,11,47,N,Y,N,Y,Y,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110052,801-21400,"PEREGRINE CAPITAL MANAGEMENT, INC.","PEREGRINE CAPITAL MANAGEMENT, INC.","800 LASALLE, SUITE 1850",,MINNEAPOLIS,MN,UNITED STATES,55402,612-343-7600,612-343-7615,,,,,,,Approved,6/15/1984,3/12/2010,Y,WWW.PEREGRINECAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,51-75 percent,0 percent,11-25 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,633,838,261.00",0,"3,633,838,261.00",46,0,46,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106372,801-27964,INVICTUS TIMING SERVICE LTD,INVICTUS TIMING SERVICE LTD,600 OLD COUNTRY ROAD,SUITE 337,GARDEN CITY,NY,UNITED STATES,11530,516-741-0500,516-741-0627,,,,,,,Approved,9/5/1986,3/12/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"137,692,585.00",0,"137,692,585.00",852,0,852,N,N,N,N,N,N,N,N,Y,N,,,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,Y,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,130405,801-67226,SUMMIT INVESTMENT GUIDANCE PARTNERS,"SUMMIT INVESTMENT GUIDANCE PARTNERS, LLC",826 PARCHMENT DRIVE SE SUITE 205,,GRAND RAPIDS,MI,UNITED STATES,49546,616-954-2501,,,,,,,,Approved,11/9/2006,3/12/2010,Y,WWW.SUMMITIGP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"65,131,000.00",0,"65,131,000.00",130,0,130,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,105088,801-18819,WALLACE R. WEITZ & COMPANY,WALLACE R. WEITZ & COMPANY,1125 SOUTH 103RD STREET,SUITE 200,OMAHA,NE,UNITED STATES,68124-1071,402-391-1980,402-391-2125,,,,,,,Approved,5/12/1983,3/12/2010,Y,WWW.WEITZFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,733,600,000.00",0,"2,733,600,000.00",14,0,14,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,110696,801-15054,ASHFORD CAPITAL MANAGEMENT INC,ASHFORD CAPITAL MANAGEMENT INC,ONE WALKERS MILL ROAD,,WILMINGTON,DE,UNITED STATES,19807-2317,302-655-1750,302-655-4641,ONE WALKERS MILL ROAD,,WILMINGTON,DE,UNITED STATES,19807-2317,Approved,2/15/1980,12/3/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"829,435,248.00",0,"829,435,248.00",87,0,87,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,134784,801-66852,THE MUTUAL FUND STORE,"TMFS-CLEVELAND, LLC",36040 DETROIT ROAD  STE. E,,AVON,OH,UNITED STATES,44011,440-934-6565,440-934-8025,,,,,,,Approved,6/12/2006,3/12/2010,Y,WWW.MUTUALFUNDSTORE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,More than 500,"1,107",51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"186,039,677.00",0,"186,039,677.00","2,379",0,"2,379",Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105741,801-31093,ALDEBARAN FINANCIAL INC,ALDEBARAN FINANCIAL INC,4105 FORT HENRY DRIVE,SUITE 305,KINGSPORT,TN,UNITED STATES,37663,423-239-7535,423-239-0157,,,,,,,Approved,12/4/1987,3/18/2010,Y,HTTP://WWW.ALDEBARANFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,More than 500,500,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"184,621,825.00",0,"184,621,825.00",636,0,636,Y,Y,N,Y,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,118131,801-69211,"LEGAL ADVANTAGE INVESTMENTS, INC.","LEGAL ADVANTAGE INVESTMENTS, INC.",,,,,,,650-949-4939,650-949-4936,,,,,,,Approved,6/12/2008,3/18/2010,Y,WWW.LEGALADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"35,131,337.00",0,"35,131,337.00",19,0,19,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110639,801-15052,CAPITAL INVESTMENT SERVICES OF AMERICA INC,CAPITAL INVESTMENT SERVICES OF AMERICA INC,700 N WATER ST STE 325,,MILWAUKEE,WI,UNITED STATES,53202,414-278-7744,414-278-8403,,,,,,,Approved,2/21/1980,12/3/2009,Y,WWW.CAPINV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,Nov-50,0,251-500,0,0 percent,More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"467,502,705.00",0,"467,502,705.00",603,0,603,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108109,801-57938,LYTLE INVESTMENTS,LYTLE INVESTMENT SERVICES CORP,101 LANG BLVD,,GRAND ISLAND,NY,UNITED STATES,14072,716-773-6626,716-773-6522,,,,,,,Approved,9/13/2000,3/18/2010,Y,WWW.LYTLEINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"33,601,849.00","27,131,398.00","60,733,247.00",178,22,200,Y,Y,N,Y,Y,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,103747,801-69038,HANSON MCCLAIN,"HANSON MCCLAIN RETIREMENT NETWORK, LLC",3620 FAIR OAKS BLVD.,SUITE 300,SACRAMENTO,CA,UNITED STATES,95864,916-608-1525,916-608-1570,,,,,,,Approved,4/17/2008,3/18/2010,Y,WWW.HANSONMCCLAIN.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,FEES BASED ON MARKETING SERVICES TO OTHER ADVISORS.,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,MARKETING SERVICES PROVIDED TO FINANCIAL ADVISORS.,,,N,N,Y,N,N,N,N,N,N,,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,147729,801-69372,"BT WEALTH MANAGEMENT, LLC","BT WEALTH MANAGEMENT, LLC",3625 CUMBERLAND BOULEVARD,SUITE 1075,ATLANTA,GA,USA,30339,770-396-2200,770-390-0394,,,,,,,Approved,7/1/2008,3/18/2010,Y,BTWEALTHLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,10-Jun,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"110,167,742.00",0,"110,167,742.00",53,0,53,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111167,801-68255,HANSON MCCLAIN ADVISORS,"HANSON MCCLAIN, INC.",3620 FAIR OAKS BLVD,SUITE 300,SACRAMENTO,CA,UNITED STATES,95864,916-482-2196,916-483-9661,,,,,,,Approved,8/27/2007,3/18/2010,Y,WWW.HANSONMCCLAIN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"1,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"521,345,249.00","5,061,788.00","526,407,037.00","1,849",9,"1,858",Y,Y,N,N,N,N,Y,N,N,Y,SEMINARS,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,111030,801-56975,CONLEY INVESTMENT COUNSEL INC,CONLEY INVESTMENT COUNSEL INC,9300 UNDERWOOD AVENUE,SUITE 100,OMAHA,NE,UNITED STATES,68114-2400,402-391-1840,402-391-1841,,,,,,,Approved,12/16/1999,3/18/2010,Y,WWW.CONLEYINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"66,905,312.00",0,"66,905,312.00",145,0,145,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106860,801-44142,"VOELLINGER, SIMPSON, DOLAN & ASSOCIATES, P.C.","VOELLINGER, SIMPSON, DOLAN & ASSOCIATES, P.C.","4010 N ILLINOIS STREET, SUITE 3",,BELLEVILLE,IL,UNITED STATES,62226,618-233-8515,618-233-4074,,,,,,,Approved,6/18/1993,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,N,N,N,N,,Y,0,"30,572,921.00","30,572,921.00",0,16,16,Y,Y,N,N,Y,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106328,801-42434,CS CAPITAL MANAGEMENT INC,CS CAPITAL MANAGEMENT INC,111 MONUMENT CIRCLE,SUITE 3550,INDIANAPOLIS,IN,UNITED STATES,46204,317-636-1000,317-636-1100,,,,,,,Approved,9/29/1992,3/18/2010,Y,WWW.CSCAPITALMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,More than 500,575,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"117,519,000.00","2,487,000.00","120,006,000.00",821,85,906,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
BRO,152145,801-70859,FIREMAN CAPITAL ADVISORS,"FIREMAN CAPITAL ADVISORS, LLC",PRUDENTIAL TOWER,"800 BOYLSTON STREET, 24TH FLOOR",BOSTON,MA,UNITED STATES,2199,617-421-1750,617-236-8111,,,,,,,Approved,12/18/2009,3/18/2010,Y,WWW.FIREMANADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,0,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"902,000,000.00","902,000,000.00",0,20,20,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,N,N,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,111102,801-31952,BARNETT INVESTMENTS INC,BARNETT INVESTMENTS INC,401 S DEWEY STE 204,,BARTLESVILLE,OK,UNITED STATES,74003,918-337-0299,918-338-8096,,,,,,,Approved,5/27/1988,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"76,860,960.00",0,"76,860,960.00",169,0,169,N,Y,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,140483,801-66897,"ROSENTHAL CAPITAL MANAGEMENT, LLC","ROSENTHAL CAPITAL MANAGEMENT, LLC",,,,,,,561-575-6832,561-277-2529,,,,,,,Approved,6/26/2006,3/18/2010,Y,WWW.ROSENTHALCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"47,360,995.00",0,"47,360,995.00",21,0,21,N,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLE AND SEPARATELY MANAGED ACCOUNTS,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,116449,801-60785,PHILADELPHIA INTERNATIONAL ADVISORS LP,PHILADELPHIA INTERNATIONAL ADVISORS LP,1650 MARKET STREET,SUITE 1400,PHILADELPHIA,PA,USA,19103-7391,215-419-6090,215-419-6674,,,,,,,Approved,12/14/2001,3/18/2010,Y,HTTP://WWW.PIADVISORS.NET,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,PA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,11-25 percent,WRAP PLATFORMS,Y,N,N,N,N,Y,N,,Y,"5,650,044,608.00","1,019,572,484.00","6,669,617,092.00","2,915",113,"3,028",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119695,801-64485,CONSOLIDATED FINANCIAL,"CONSOLIDATED FINANCIAL MANAGEMENT GROUP, LLC",5850 VENTURE DR.,SUITE A,DUBLIN,OH,UNITED STATES,43017,614-932-0000,614-932-0199,,,,,,,Approved,7/15/2005,3/18/2010,Y,WWW.INVESTCONSOLIDATED.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"37,409,451.00",0,"37,409,451.00",437,0,437,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,107135,801-43756,MOSBY LINCOLN LC,MOSBY LINCOLN LC,"7309 E. 21ST, SUITE 120",,WICHITA,KS,UNITED STATES,67206-1178,316-261-5301,316-261-5352,"7309 E. 21ST, SUITE 120",,WICHITA,KS,UNITED STATES,67206-1178,Approved,4/26/1993,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"312,158,064.00",0,"312,158,064.00",8,0,8,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,105284,801-33677,"BALLIETT FINANCIAL SERVICES, INC.","BALLIETT FINANCIAL SERVICES, INC.",631 SOUTH ORLANDO AVE,SUITE 400,WINTER PARK,FL,USA,32789-7121,407-740-5113,407-740-5228,,,,,,,Approved,4/10/2003,3/18/2010,Y,BALLIETTFS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"29,801,333.00",0,"29,801,333.00",96,0,96,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107191,801-27094,"PILLAR FINANCIAL ADVISORS, INC.",PILLAR FINANCIAL ADVISORS INC,404 WYMAN STREET,SUITE 210,WALTHAM,MA,UNITED STATES,2451,781-290-4900,781-290-4920,,,,,,,Approved,7/3/1986,3/18/2010,Y,WWW.PILLARFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"457,024,836.00","172,895,169.00","629,920,005.00",525,250,775,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,38474,801-49252,"OLSTEIN CAPITAL MANAGEMENT, L.P.","OLSTEIN CAPITAL MANAGEMENT, L.P.",4 MANHATTANVILLE ROAD,,PURCHASE,NY,UNITED STATES,10577-2119,914-269-6100,914-696-0737,,,,,,,Approved,6/5/1995,3/18/2010,Y,WWW.OLSTEINCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,NY,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"641,198,841.00",0,"641,198,841.00",2,0,2,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
BRO,123910,801-61636,"SIGNET INVESTMENT ADVISORY GROUP, INC.","SIGNET INVESTMENT ADVISORY GROUP, INC.","101 DYER STREET, SUITE 3C",,PROVIDENCE,RI,USA,2903,401-621-2221,401-621-2291,,,,,,,Approved,11/26/2002,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,RI,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"104,740,952.00",0,"104,740,952.00",439,0,439,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,111055,801-57165,"WINDHAM BRANNON FINANCIAL GROUP, INC.","WINDHAM BRANNON FINANCIAL GROUP, INC.",1355 PEACHTREE ST,STE 200,ATLANTA,GA,USA,30309,404-898-2000,404-898-2010,,,,,,,Approved,1/14/2000,12/4/2009,Y,WINDHAMBRANNON.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"354,299,919.00",0,"354,299,919.00",156,0,156,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,141516,801-67131,AXIOM INVESTMENT MANAGEMENT LLC,AXIOM INVESTMENT MANAGEMENT LLC,780 THIRD AVENUE,43RD FLOOR,NEW YORK,NY,USA,10017,212-521-3800,212-521-3869,,,,,,,Approved,8/24/2006,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,5-Jan,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"114,422,033.00",0,"114,422,033.00",434,0,434,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,Y,N,N,N,N,N,N
PLRO,107077,801-54083,"FARLAND CAPITAL,INC.",FARLAND CAPITAL INC,,,,,,,540-955-1532,540-955-1579,P. O. BOX 619,,WINCHESTER,VA,USA,22604,Approved,3/18/1997,3/18/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"58,182,355.00","9,787,787.00","67,970,142.00",59,4,63,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,152103,801-70778,"HOEY INVESTMENTS, INC.","HOEY INVESTMENTS, INC.",433 WEST MARKET STREET,,WEST CHESTER,PA,UNITED STATES,19382,610-738-4280,610-738-4290,,,,,,,Approved,11/20/2009,3/18/2010,Y,WWW.HOEYINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"42,000,000.00",0,"42,000,000.00",238,0,238,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,124602,801-70469,"PROFESSIONAL FINANCIAL ADVISORS, LLC","PROFESSIONAL FINANCIAL ADVISORS, LLC",501 SOUTH JEFFERS,,NORTH PLATTE,NE,UNITED STATES,69101,308-534-8210,308-532-4738,P.O. BOX 1070,,NORTH PLATTE,NE,UNITED STATES,69103,Approved,9/2/2009,3/18/2010,Y,WWW.PROFINADV.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"32,030,577.00","233,286.00","32,263,863.00",325,1,326,Y,Y,N,N,Y,Y,Y,N,N,Y,SEMINARS; FOUNDATION CONSULTING SERVICES,251-500,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104987,801-27280,LEAVITT CAPITAL MANAGEMENT INC,LEAVITT FINANCIAL CONSULTANTS INC,3000 DUNDEE RD STE 101,,NORTHBROOK,IL,UNITED STATES,60062,847-205-1300,847-205-1350,,,,,,,Approved,7/3/1986,3/18/2010,Y,WWW.LEAVITTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,FAMILY PARTNERSHIPS AND OTHER ESTATE PLANNING VEHICLES,Y,Y,N,Y,N,N,N,,Y,"285,092,161.00","71,176,602.00","356,268,763.00",375,42,417,Y,Y,N,N,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,129123,801-70015,"PORTFOLIO EVALUATIONS, INC.","PORTFOLIO EVALUATIONS, INC.",15 INDEPENDENCE BOULEVARD,,WARREN,NJ,UNITED STATES,7059,973-538-4347,973-538-0935,,,,,,,Approved,3/30/2009,3/18/2010,Y,WWW.PORTEVAL.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,101-250,0,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,150275,801-70250,CLOUD CAPITAL LLC,CLOUD CAPITAL LLC,"5314 SOUTH YALE, UNIT606",,TULSA,OK,UNITED STATES,74135,918-492-1080,918-492-0880,,,,,,,Approved,6/3/2009,3/26/2010,Y,WWW.CLOUD-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"203,000,000.00",0,"203,000,000.00","5,200",0,"5,200",Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106913,801-50326,HFR INVESTMENT ADVISORY SERVICES,REILLY HERBERT FAULKNER III,,,,,,,518-346-8189,518-346-9981,,,,,,,Approved,10/6/1995,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"107,581,875.00",0,"107,581,875.00",267,0,267,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,136907,801-70920,"MILLRACE ASSET GROUP, INC.","MILLRACE ASSET GROUP, INC.",1205 WESTLAKES DRIVE,SUITE 375,BERWYN,PA,UNITED STATES,19312,610-251-2820,610-251-2830,,,,,,,Approved,1/12/2010,12/23/2009,Y,WWW.MILLRACEASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,GENERAL PARTNER RECEIVES PERFORMANCE ALLOCATION,Y,"48,500,000.00",0,"48,500,000.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,122728,801-67351,"FPC INVESTMENT ADVISORY, INC","FPC INVESTMENT ADVISORY, INC","205 KELLER STREET, SUITE 103",,PETALUMA,CA,USA,94952,(707) 763-3418,(707) 763-5087,P.O. BOX 520,,PETALUMA,CA,USA,94953,Approved,12/14/2006,12/23/2009,Y,WWW.FPCINVESTMENTADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"38,072,881.00",0,"38,072,881.00",215,0,215,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,131569,801-65067,"HMS FINANCIAL SERVICES, LLC","HMS FINANCIAL SERVICES, LLC",4 MONCKTON BLVD.,,COLUMBIA,SC,UNITED STATES,29206,803-790-6113,803-787-9180,POST OFFICE BOX 6965,,COLUMBIA,SC,UNITED STATES,29260-6965,Approved,1/23/2006,3/26/2010,Y,WWW.HMSFS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,SC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,11-25 percent,11-25 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"63,139,037.00","395,997.00","63,535,034.00",254,12,266,N,Y,N,Y,N,N,N,N,N,N,,0,,Y,Y,N,Y,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104581,801-48401,PALISADE CAPITAL MANAGEMENT LLC,PALISADE CAPITAL MANAGEMENT LLC,1 BRIDGE PLAZA,SUITE 695,FORT LEE,NJ,UNITED STATES,07024-7102,(201) 585-7733,(201) 585-7552,,,,,,,Approved,2/7/1995,3/26/2010,Y,WWW.PALISADECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,500,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,957,237,461.00",0,"2,957,237,461.00",520,0,520,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,151993,801-70745,"WILLOW GROVE ADVISORS, LLC","WILLOW GROVE ADVISORS, LLC",,,,,,,510-589-1217,402-721-2619,,,,,,,Approved,11/13/2009,3/26/2010,Y,WWW.WILLOWGROVEADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"34,500,000.00",0,"34,500,000.00",65,0,65,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,133692,801-64262,"SENTINEL ASSET MANAGEMENT, INC.","SENTINEL ASSET MANAGEMENT, INC.",,,,,,,858-356-9860,858-481-5341,P.O. BOX 3069,,DEL MAR,CA,UNITED STATES,92014-6069,Approved,11/4/2005,12/23/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"33,787,273.00",0,"33,787,273.00",12,0,12,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,127290,801-62188,ABS INVESTMENT MANAGEMENT,ABS INVESTMENT MANAGEMENT LLC,55 RAILROAD AVE,,GREENWICH,CT,USA,6830,203-618-3700,203-622-4889,,,,,,,Approved,7/1/2003,3/26/2010,Y,WWW.ABSINV.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,513,000,000.00","359,000,000.00","2,872,000,000.00",8,3,11,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR HEDGE FUNDS.,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,N,N,N,N,Y,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106964,801-48362,SCHULTZ COLLINS LAWSON CHAMBERS,SCHULTZ COLLINS LAWSON CHAMBERS INC,455 MARKET STREET,SUITE 1450,SAN FRANCISCO,CA,USA,94105-2420,(415) 291-3000,(415) 291-3015,,,,,,,Approved,1/3/1995,3/26/2010,Y,SCHULTZCOLLINS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"1,286,146,711.00","1,286,146,711.00",0,195,195,Y,Y,N,Y,Y,Y,Y,N,N,Y,EXPERT WITNESS SERVICES,0,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111010,801-60320,SRM ADVISORS,STRATEGIC RESEARCH & MANAGEMENT CORP.,6600 SW 92ND AVENUE,SUITE 140,PORTLAND,OR,USA,97223,503-244-8905,503-863-5963,,,,,,,Approved,6/1/2001,3/26/2010,Y,WWW.SRMADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"72,000,000.00","1,000,000.00","73,000,000.00",400,35,435,Y,Y,N,Y,Y,Y,Y,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107810,801-56974,PACIFIC INVESTMENT ADVISORS LLC,PACIFIC INVESTMENT ADVISORS LLC,1211 SW FIFTH AVE,STE 1050,PORTLAND,OR,UNITED STATES,97204,503-221-7595,503-294-4378,,,,,,,Approved,11/23/1999,3/26/2010,Y,WWW.PIA-INVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OR,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"128,516,000.00","20,277,000.00","148,793,000.00",497,23,520,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,146324,801-68866,"VALLEY WEALTH, INC.","VALLEY WEALTH, INC.",1101 SYLVAN AVE.,NO. B6,MODESTO,CA,UNITED STATES,95350,209-579-5900,(209) 579-2773,,,,,,,Approved,2/28/2008,3/26/2010,Y,WWW.VALLEYWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,Y,Y,Y,Y,N,,Y,"35,033,899.00","56,607,595.00","91,641,494.00",430,30,460,Y,Y,N,Y,Y,Y,N,N,N,Y,INVESTMENT ADVICE TO INDIVIDUAL PARTICIPANTS OF CORPORATE RETIREMENT PLANS SUCH AS 401(K) AND PROFIT SHARING PLANS,26-50,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,120374,801-61416,"LEISURE CAPITAL MANAGEMENT, INC.","LEISURE CAPITAL MANAGEMENT, INC.",650 TOWN CENTER DR.,SUITE 670,COSTA MESA,CA,USA,92626-1989,714-384-4050,714-384-4051,,,,,,,Approved,8/28/2002,3/26/2010,Y,WWW.LEISURECAPITAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"251,050,996.00","15,702,559.00","266,753,555.00",372,19,391,N,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,199,801-45761,D.A. DAVIDSON & CO.,D.A. DAVIDSON & CO.,8 THIRD STREET NORTH,,GREAT FALLS,MT,USA,59401,406-727-4200,406-791-7380,,,,,,,Approved,2/8/1994,12/23/2009,Y,WWW.DADCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MT,UNITED STATES,More than 1000,"1,000",51-250,0,501-1000,0,5-Jan,0,More than 500,"15,000",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"3,769,206,360.00","833,557,536.00","4,602,763,896.00","16,165","2,961","19,126",Y,Y,N,Y,Y,Y,Y,N,N,N,,101-250,,Y,Y,Y,N,N,N,Y,N,Y,INTRODUCING BROKER WITH COMM. FUTURES TRADING COMM,Y,N,Y,N,N,Y,N,Y,N,N,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,N,N,N
ARO,141407,801-67159,"SILVERBACK ASSET MANAGEMENT, LLC","SILVERBACK ASSET MANAGEMENT, LLC",1414 RALEIGH ROAD,SUITE 250,CHAPEL HILL,NC,USA,27517,919-969-9300,919-969-9828,,,,,,,Approved,10/2/2006,3/26/2010,Y,WWW.SILVERBACKASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"552,813,000.00",0,"552,813,000.00",7,0,7,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107655,801-46772,SMITH WHILEY & CO,SMITH WHILEY & CO,242 TRUMBULL ST,,HARTFORD,CT,UNITED STATES,6103,860-548-2513,860-548-2518,,,,,,,Approved,7/26/1994,3/26/2010,Y,WWW.SMITHWHILEY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,25-Nov,0,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,26-50 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,COLLEGE ENDOWMENT AND PENSION FUND,Y,N,N,N,N,Y,N,,Y,"110,478,183.00",0,"110,478,183.00",17,0,17,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,118915,801-61520,"SIERRA FINANCIAL ADVISORS, LLC","SIERRA FINANCIAL ADVISORS, LLC",4800 COLLEGE BOULEVARD,,OVERLAND PARK,KS,UNITED STATES,66211,913-327-1567,913-327-7617,,,,,,,Approved,10/11/2002,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KS,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"20,354,130.00","5,227,836.00","25,581,966.00",138,35,173,Y,Y,N,N,N,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,Y,N,Y,N,Y,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N
NYRO,145682,801-71211,"RED LIGHTHOUSE INVESTMENT MANAGEMENT, LLC","RED LIGHTHOUSE INVESTMENT MANAGEMENT, LLC",,,,,,,917-660-0980,503-635-2955,,,,,,,Approved,3/15/2010,3/26/2010,Y,WWW.REDLIGHTHOUSEINVESTMENTMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"35,000,000.00","600,000.00","35,600,000.00",37,1,38,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,141602,801-67281,TRUEMAN BROWN,"TRUEMAN BROWN, LLC",1600 GOLF ROAD,SUITE 1200,ROLLING MEADOWS,IL,USA,60008,847-228-1968,847-228-6167,,,,,,,Approved,11/13/2006,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"62,528,272.00",0,"62,528,272.00",298,0,298,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,109146,801-31041,WOODMONT REALTY ADVISORS INC,WOODMONT REALTY ADVISORS INC,1050 RALSTON AVE,,BELMONT,CA,UNITED STATES,94002,650-592-3960,650-591-4577,,,,,,,Approved,12/4/1987,3/26/2010,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,112231,801-57365,JONATHAN SMITH & CO.,JONATHAN SMITH & CO. INVESTMENT COUNSEL LLC,128 EAST FISHER AVE,,GREENSBORO,NC,USA,27401-2034,336-272-9488,336-272-2654,,,,,,,Approved,4/28/2000,3/26/2010,Y,WWW.JONATHANSMITH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"23,732,091.00","1,904,917.00","25,637,008.00",254,8,262,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,111852,801-21129,THE DELTA GROUP,DELTA ADVISORS INC,5050 EL CAMINO REAL,STE. 100,LOS ALTOS,CA,USA,94022,650-988-0490,650-988-8821,,,,,,,Approved,4/25/1984,12/23/2009,Y,WWW.DELTAADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"30,865,692.00","9,198,057.00","40,063,749.00",34,21,55,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,Y,N,Y,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108664,801-56025,STERLING FINANCIAL PLANNING INC,STERLING FINANCIAL PLANNING INC,"60 BLUE HERON ROAD, SUITE 201",,SPARTA,NJ,USA,07871-2608,973-729-1234,973-729-8079,,,,,,,Approved,11/10/1998,3/26/2010,Y,WWW.STERLINGADVICE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,251-500,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"243,325,956.00","243,325,956.00",0,351,351,Y,Y,N,Y,N,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,26-50,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,116251,801-63498,"RAINEY & RANDALL INVESTMENT MANAGEMENT, INC.","RAINEY & RANDALL INVESTMENT MANAGEMENT, INC.",1301 66TH STREET NORTH,,ST. PETERSBURG,FL,UNITED STATES,33710,727-344-7711,866-422-3227,P.O. BOX 2070,,AUBURNDALE,FL,UNITED STATES,33823,Approved,9/16/2004,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"78,184,754.00",0,"78,184,754.00",272,0,272,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106981,801-2423,"ARGUS INVESTORS' COUNSEL, INC.","ARGUS INVESTORS' COUNSEL, INC.",HOLLY POND PLAZA,"1281 EAST MAIN STREET, FIRST FLOOR",STAMFORD,CT,UNITED STATES,6902,203-316-9000,203-356-0513,,,,,,,Approved,12/16/1960,12/24/2009,Y,WWW.ARGUSINVEST.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,26-50 percent,11-25 percent,11-25 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"245,804,675.00",0,"245,804,675.00",14,0,14,N,Y,Y,Y,N,N,N,N,N,Y,"PLEASE SEE THE ""MISCELLANEOUS"" SECTION OF SCHEDULE D.",0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,108183,801-55829,VAHANIAN & ASSOCIATES FINANCIAL PLANNING INC,VAHANIAN & ASSOCIATES FINANCIAL PLANNING INC,60 RAILROAD PL,STE 104,SARATOGA SPRINGS,NY,USA,12866,518-583-0891,518-583-1617,,,,,,,Approved,8/31/1998,3/31/2010,Y,WWW.VAHANIAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"78,799,511.00",0,"78,799,511.00",128,0,128,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106758,801-33850,"THE HOGAN-KNOTTS FINANCIAL GROUP, INC.","THE HOGAN-KNOTTS FINANCIAL GROUP, INC.",298 BROAD ST,,RED BANK,NJ,UNITED STATES,7701,732-842-7400,,,,,,,,Approved,2/10/1989,3/31/2010,Y,WWW.HKFG.BIZ,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"119,315,372.00",0,"119,315,372.00",563,0,563,Y,Y,N,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,104916,801-5680,ROBERT D. BROWN INVESTMENT COUNSEL INC,ROBERT D. BROWN INVESTMENT COUNSEL INC,"2777 ALLEN PKWY., STE 977",,HOUSTON,TX,USA,77019,713-524-3018,713-524-0947,,,,,,,Approved,6/2/1969,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"59,044,926.00","19,949,674.00","78,994,600.00",37,6,43,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112020,801-57723,MEAG NEW YORK CORPORATION,MEAG NEW YORK CORPORATION,540 MADISON AVENUE,6TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-583-4800,212-583-0882,,,,,,,Approved,7/13/2000,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"42,600,631,541.00",0,"42,600,631,541.00",123,0,123,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,110785,801-28640,FREEDOM FUNDS MANAGEMENT CO,FREEDOM FUNDS MANAGEMENT CO,1200 17TH ST,STE 850,DENVER,CO,UNITED STATES,80202-5835,303-572-6990,303-572-6995,,,,,,,Approved,1/16/1987,12/24/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"794,628,742.00",0,"794,628,742.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,139534,801-67553,"THE COASTAL ADVISORY GROUP, LLC","THE COASTAL ADVISORY GROUP, LLC",602 MAIN STREET,SUITE 801,CINCINNATI,OH,UNITED STATES,45202,513-619-1100,513-619-1190,,,,,,,Approved,2/16/2007,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"66,150,000.00",0,"66,150,000.00",350,0,350,Y,Y,N,Y,N,Y,Y,N,N,Y,GENERAL CONSULTATION SERVICES,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106006,801-241,BABSON CAPITAL MANAGEMENT LLC,BABSON CAPITAL MANAGEMENT LLC,INDEPENDENCE WHARF,470 ATLANTIC AVENUE,BOSTON,MA,UNITED STATES,2210,617-761-3800,617-226-3801,,,,,,,Approved,11/1/1940,3/31/2010,Y,WWW.BABSONCAPITAL.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,501-1000,0,51-250,0,Nov-50,0,5-Jan,0,101-250,0,0 percent,0 percent,Up to 10 percent,11-25 percent,Up to 10 percent,51-75 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,Y,PERCENTAGE OF OUTSTANDING LOAN BALANCES,Y,"85,835,000.00","3,976,000.00","89,811,000.00",108,15,123,N,Y,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR INVESTMENT FUNDS EXEMPT FROM REGISTRATION AS PRIVATE INVESTMENT COMPANIES.,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
BRO,105426,801-4611,BARING ASSET MANAGEMENT INC,BARING ASSET MANAGEMENT INC,INDEPENDENCE WHARF,470 ATLANTIC AVENUE,BOSTON,MA,UNITED STATES,02210-2208,617-946-5200,617-946-5400,,,,,,,Approved,12/3/1967,3/31/2010,Y,HTTP://WWW.BARINGS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,0,0,25-Nov,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,"INSURANCE, ENDOWMENTS",Y,N,N,N,N,N,N,,Y,"6,027,152,861.00",0,"6,027,152,861.00",19,0,19,N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
CHRO,137053,801-64694,"THE OXFORD PRIVATE CLIENT GROUP, LLC","THE OXFORD PRIVATE CLIENT GROUP, LLC","125 W. LAKE STREET, STE 200",,WAYZATA,MN,UNITED STATES,55391,612-435-7008,612-435-7002,,,,,,,Approved,10/12/2005,3/31/2010,Y,WWW.OXFORDPCG.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,10-Jun,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"15,315,778.00","1,000,000.00","16,315,778.00",41,4,45,Y,Y,Y,Y,N,Y,Y,N,N,N,,10-Jan,,N,Y,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,108897,801-40532,"AST INVESTMENT SERVICES, INC.","AST INVESTMENT SERVICES, INC.",ONE CORPORATE DRIVE,,SHELTON,CT,UNITED STATES,6484,203-926-1888,203-402-3253,,,,,,,Approved,1/10/1992,3/31/2010,Y,WWW.PRUDENTIALANNUITIES.COM/INVESTOR,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,26-100,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"53,014,338,000.00",0,"53,014,338,000.00",60,0,60,N,N,Y,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N
SFRO,122459,801-61442,"FALCON POINT CAPITAL, LLC","FALCON POINT CAPITAL, LLC",TWO EMBARCADERO CENTER,SUITE 1300,SAN FRANCISCO,CA,UNITED STATES,94111,415-782-9600,415-782-9694,,,,,,,Approved,9/19/2002,3/31/2010,Y,WWW.FALCONPOINTCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"109,000,000.00",0,"109,000,000.00",13,0,13,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109481,801-56466,"AVIVA INVESTORS NORTH AMERICA, INC.","AVIVA INVESTORS NORTH AMERICA, INC.",699 WALNUT STREET,SUITE 1700,DES MOINES,IA,UNITED STATES,50309,515-362-3600,515-557-2421,,,,,,,Approved,4/26/1999,3/31/2010,Y,WWW.AVIVAINVESTORS.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IA,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"46,277,050,794.00","4,760,112,628.00","51,037,163,422.00",198,109,307,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,Y,N,Y,N,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,110818,801-18150,CIRCLE ADVISERS INC,CIRCLE ADVISERS INC,2 PARK AVENUE,SUITE 302,NEW YORK,NY,UNITED STATES,10016,212-885-4200,212-885-4242,,,,,,,Approved,1/5/1983,12/24/2009,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"233,287,548.00","233,287,548.00",0,695,695,Y,Y,N,N,N,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,135958,801-66563,NARWHAL CAPITAL MANAGEMENT,"NARWHAL CAPITAL MANAGMENT, LLC",531 ROSELANE STREET,SUITE 420,MARIETTA,GA,UNITED STATES,30060,770-344-0172,770-344-0175,,,,,,,Approved,5/2/2006,3/31/2010,Y,WWW.NARWHALCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"348,353,495.00",0,"348,353,495.00",32,0,32,Y,Y,N,Y,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,128443,801-67330,"PEGAESUS ADVISORS, INC.","PEGAESUS ADVISORS, INC.",237 LEXINGTON STREET,SUITE 201,WOBURN,MA,UNITED STATES,1801,781.938.9200,781.938.9250,,,,,,,Approved,12/7/2006,3/31/2010,Y,WWW.PEGAESUSADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE OF ADVISED ASSETS,Y,"54,000,000.00",0,"54,000,000.00",359,0,359,Y,Y,N,Y,Y,Y,N,N,N,N,,26-50,,N,N,N,N,N,N,Y,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,105724,801-15160,BARING INTERNATIONAL INVESTMENT LTD,BARING INTERNATIONAL INVESTMENT LTD,155 BISHOPSGATE,,LONDON ENGLAND,,UNITED KINGDOM,EC2M 3XY,+44(0)20-7628-6000,+44(0)20-7638-7928,,,,,,,Approved,4/15/1980,3/31/2010,Y,HTTP://WWW.BARINGS.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,251-500,0,51-250,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,11-25 percent,26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,"INSURANCE COMPANY, ENDOWMENT",Y,N,N,N,N,Y,N,,Y,"9,327,129,695.00",0,"9,327,129,695.00",68,0,68,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
MIRO,106299,801-39323,INGHAM RETIREMENT GROUP,INGHAM RUSSELL INVESTMENT ADVISORS INC,"9155 S. DADELAND BLVD., SUITE 1512",,MIAMI,FL,UNITED STATES,33156,305-671-2200,305-670-6745,,,,,,,Approved,6/27/1991,3/31/2010,Y,WWW.INGHAM.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"112,507,161.00","772,474,331.00","884,981,492.00",201,231,432,Y,Y,N,Y,Y,N,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111845,801-57734,"AVENUE CAPITAL MANAGEMENT II, L.P.","AVENUE CAPITAL MANAGEMENT II, L.P.","535 MADISON AVENUE, 15TH FLOOR",,NEW YORK,NY,UNITED STATES,10022,212-878-3520,212-486-1843,,,,,,,Approved,7/17/2000,3/31/2010,Y,WWW.AVENUECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"11,769,100,000.00",0,"11,769,100,000.00",22,0,22,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110812,801-26943,MATRIX PLANNING INC,MATRIX PLANNING INC,3015 MAIN STREET,SUITE 403,SANTA MONICA,CA,UNITED STATES,90405,310-399-0457,310-399-0625,,,,,,,Approved,5/15/1986,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,N,Y,N,Y,N,N,Y,A NEGOTIATED MONTHLY RETAINER,Y,"58,190,000.00","35,350,000.00","93,540,000.00",89,87,176,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,141422,801-67361,"KINGSROAD FINANCIAL INSURANCE SERVICES, INC.","KINGSROAD FINANCIAL INSURANCE SERVICES, INC.",5405 MOREHOUSE DRIVE,SUITE 230,SAN DIEGO,CA,UNITED STATES,92121,858-452-4930,858-452-3742,,,,,,,Approved,1/8/2007,3/31/2010,Y,WWW.KINGSROADINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"24,115,447.00","1,220,701.00","25,336,148.00",124,15,139,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,Y,"LIFE, HEALTH, ACCIDENT INSURANCE SALES",Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106226,801-47995,BLUM CAPITAL PARTNERS LP,BLUM CAPITAL PARTNERS LP,909 MONTGOMERY STREET,SUITE 400,SAN FRANCISCO,CA,UNITED STATES,94133-4652,415-434-1111,415-434-3130,,,,,,,Approved,10/31/1994,3/31/2010,Y,WWW.BLUMCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,More than 75 percent,PRIVATELY PLACED INVESTMENT FUNDS,Y,N,N,N,N,Y,N,,Y,"2,633,277,845.00",0,"2,633,277,845.00",17,0,17,N,N,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR LIMITED PARTNERSHIPS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,104724,801-5445,INVESTORS MANAGEMENT SERVICES INC,INVESTORS MANAGEMENT SERVICES INC,21012 MACK AVE.,,GROSSE POINTE,MI,UNITED STATES,48236,313-886-1020,313-886-3693,,,,,,,Approved,2/5/1969,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"80,074,899.00","339,922.00","80,414,821.00",164,1,165,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,131937,801-63319,"AVENUE EUROPE INTERNATIONAL MANAGEMENT, L.P.","AVENUE EUROPE INTERNATIONAL MANAGEMENT, L.P.",535 MADISON AVENUE,15TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-878-3520,212-486-1843,,,,,,,Approved,7/2/2004,3/31/2010,Y,WWW.AVENUECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,793,500,000.00",0,"3,793,500,000.00",12,0,12,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,N,N,N,N,Y,Y,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,132336,801-69817,"MASSEY, JOSHUA","MASSEY, JOSHUA",205 WILLOW ST,,HAMILTON,MA,UNITED STATES,1982,978-468-2579,978-468-3247,,,,,,,Approved,1/12/2009,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"49,400,000.00",0,"49,400,000.00",210,0,210,Y,Y,N,N,Y,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N
CHRO,116900,801-60702,"PENSIONTREND INVESTMENT ADVISERS, LLC","PENSIONTREND INVESTMENT ADVISERS, LLC",2149 JOLLY RD SUITE 200,,OKEMOS,MI,USA,48864,517-349-2149,517-349-5455,,,,,,,Approved,11/13/2001,3/31/2010,Y,WWW.PTADVISERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,10-Jun,0,251-500,0,26-50 percent,Up to 10 percent,0 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,VARYING FEES FOR EDUCATIONAL WORKSHOPS,Y,"63,455,137.00","402,544,862.00","465,999,999.00",17,322,339,Y,Y,N,Y,Y,Y,N,N,N,Y,"CONSULTATION SERVICES, EDUCATIONAL WORKSHOPS",0,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,112861,801-66610,STATE STREET GLOBAL ADVISORS LIMITED,STATE STREET GLOBAL ADVISORS LIMITED,20 CHURCHILL PLACE,CANARY WHARF,LONDON,,UNITED KINGDOM,E14 5HJ,44-207-698-6000,44-207-698-6331,,,,,,,Approved,5/19/2006,3/31/2010,Y,WWW.SSGA.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),UK LIMITED COMPANY,,UNITED KINGDOM,251-500,0,Nov-50,0,0,0,10-Jun,0,251-500,0,0 percent,0 percent,Up to 10 percent,Up to 10 percent,26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"298,881,214,309.00",0,"298,881,214,309.00",315,0,315,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,113246,801-60414,"AVENUE ASIA CAPITAL MANAGEMENT, L.P.","AVENUE ASIA CAPITAL MANAGEMENT, L.P.","535 MADISON AVENUE, 15TH FLOOR",,NEW YORK CITY,NY,UNITED STATES,10022,212-878-3520,212-486-1843,,,,,,,Approved,7/13/2001,3/31/2010,Y,WWW.AVENUECAPITAL.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,849,900,000.00",0,"2,849,900,000.00",8,0,8,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,N,N,N,N,Y,Y,N,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,143882,801-68254,"12TH AVENUE MANAGEMENT, L.P.","12TH AVENUE MANAGEMENT, L.P.","535 MADISON AVENUE, 15TH FL",,NEW YORK,NY,UNITED STATES,10022,212-878-3520,212-486-1843,,,,,,,Approved,8/9/2007,3/31/2010,Y,WWW.AVENUECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"220,300,000.00",0,"220,300,000.00",2,0,2,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,Y,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108456,801-57630,SKOWRUP C E & CO,SKOWRUP C E & CO,32107 LINDERO CANYON ROAD,SUITE 211,WESTLAKE VILLAGE,CA,UNITED STATES,91361-4282,818-865-3680,818-865-3605,,,,,,,Approved,5/26/2000,3/31/2010,Y,CESKOWRUPCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"76,659,154.00","76,659,154.00",0,39,39,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,146761,801-69256,PLUSCIOS MANAGEMENT LLC,PLUSCIOS MANAGEMENT LLC,1603 ORRINGTON AVE,SUITE 750,EVANSTON,IL,UNITED STATES,60201,224-420-7040,224-420-7041,,,,,,,Approved,6/17/2008,3/31/2010,Y,WWW.PLUSCIOS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"65,519,697.00",0,"65,519,697.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR FUNDS OF HEDGE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,108212,801-49135,FOGEL CAPITAL MANAGEMENT INC,FOGEL CAPITAL MANAGEMENT INC,453 RIVERSIDE DRIVE,,STUART,FL,USA,34994,772-223-9686,772-223-3453,,,,,,,Approved,5/31/1995,3/31/2010,Y,FOGELCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,NON-PROFIT ORGANIZATION,Y,N,N,N,N,N,N,,Y,"208,000,000.00",0,"208,000,000.00",265,0,265,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,139158,801-69465,"COGO WOLF ASSET MANAGEMENT, LLC","COGO WOLF ASSET MANAGEMENT, LLC",ONE EMBARCADERO CENTER,SUITE 1140,SAN FRANCISCO,CA,UNITED STATES,94111,(415) 438-1700,(415) 438-1703,,,,,,,Approved,7/25/2008,3/31/2010,Y,COGOWOLF.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"45,000,000.00",0,"45,000,000.00",18,0,18,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,105169,801-15057,PACIFIC LIFE FUND ADVISORS LLC,PACIFIC LIFE FUND ADVISORS LLC,700 NEWPORT CENTER DRIVE,,NEWPORT BEACH,CA,UNITED STATES,92660-6397,949-219-3852,949-219-3706,P.O. BOX 9000,,NEWPORT BEACH,CA,UNITED STATES,92658-9030,Approved,2/8/1980,3/31/2010,Y,WWW.PACIFICLIFE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,0,0,More than 500,"473,500",More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"51,011,995,883.00",0,"51,011,995,883.00",2,0,2,N,N,Y,Y,N,Y,N,N,N,Y,PORTFOLIO OPTIMIZATION (ASSET ALLOCATION) SERVICE,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,Y,N,N,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111229,801-60239,ANCHIN WEALTH MANAGEMENT LLC,ANCHIN WEALTH MANAGEMENT LLC,1375 BROADWAY,,NEW YORK,NY,UNITED STATES,10018,212-840-3456,212-840-7066,,,,,,,Approved,5/4/2001,1/4/2010,Y,WWW.ANCHINWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"400,000,000.00",0,"400,000,000.00",50,0,50,Y,Y,N,Y,Y,Y,Y,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106916,801-22681,"CHARLES STEPHEN AND COMPANY, INC.","CHARLES STEPHEN AND COMPANY, INC.",5951 JEFFERSON COURT NE,SUITE D,ALBUQUERQUE,NM,UNITED STATES,87109,505-884-0451,505-881-1333,P.O. BOX 35370,,ALBUQUERQUE,NM,UNITED STATES,87176-5370,Approved,11/23/1984,3/31/2010,Y,CHARLESSTEPHEN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NM,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"100,000,000.00","70,000,000.00","170,000,000.00",250,150,400,Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,Y,Y,Y,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,135903,801-68285,"GMB CAPITAL MANAGEMENT, L.L.C.","GMB CAPITAL MANAGEMENT, L.L.C.",225 FRANKLIN STREET,26TH FLOOR,BOSTON,MA,UNITED STATES,2110,617-517-4010,617-674-2484,,,,,,,Approved,8/29/2007,3/31/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"344,900,000.00",0,"344,900,000.00",7,0,7,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,112254,801-26539,"CAMBRIDGE FINANCIAL GROUP, INC.","CAMBRIDGE FINANCIAL GROUP, INC.","4100 HORIZONS DRIVE, SUITE 200",,COLUMBUS,OH,USA,43220,614-457-1530,614-457-1931,,,,,,,Approved,3/14/1986,3/31/2010,Y,WWW.CFGINC.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,More than 500,"2,800",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"719,709,600.00",0,"719,709,600.00","2,762",0,"2,762",N,Y,N,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,7178,801-9388,MONTROSE PRIVATE CLIENTS,BOSTON INVESTING CORPORATION,505 PARK AVENUE,20TH FLOOR,NEW YORK,NY,UNITED STATES,10022-1106,212-888-5252,212-888-4018,,,,,,,Approved,8/8/1973,3/31/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"705,370.00","3,013,600.00","3,718,970.00",5,3,8,Y,N,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,149002,801-69793,"STOCKBRIDGE CAPITAL GROUP, LLC","STOCKBRIDGE CAPITAL GROUP, LLC",FOUR EMBARCADERO CENTER,SUITE 3300,SAN FRANCISCO,CA,UNITED STATES,94111,415-658-3300,415-658-3400,,,,,,,Approved,1/8/2009,3/31/2010,Y,WWW.SBFUND.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,Y,Y,ACQUISITION FEES; FINANCING FEES,Y,"642,539,046.00","741,228,497.00","1,383,767,543.00",11,5,16,N,Y,N,Y,N,N,N,N,N,Y,MANAGEMENT OF PRIVATE INVESTMENT FUNDS; CONSULTING,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106073,801-5363,STONEBRIDGE CAPITAL MANAGEMENT INC,STONEBRIDGE CAPITAL MANAGEMENT INC,1801 CENTURY PARK EAST,SUITE 1800,LOS ANGELES,CA,UNITED STATES,90067,310-277-1450,310-277-1456,,,,,,,Approved,1/6/1969,3/31/2010,Y,WWW.STONEBRIDGECAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"255,030,069.00","121,525,542.00","376,555,611.00",250,220,470,N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,131967,801-63237,"WEST GATE ADVISORS, LLC","WEST GATE ADVISORS, LLC",865 S. FIGUEROA STREET,SUITE 1800,LOS ANGELES,CA,UNITED STATES,90017-2593,213-244-1050,213-244-0985,,,,,,,Approved,6/9/2004,3/31/2010,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"17,706,522.00",0,"17,706,522.00",5,0,5,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N
BRO,111403,801-52546,LINCOLN MANAGEMENT,TOP O THE HILL CO LLC,531 CURVE STREET,,CARLISLE,MA,USA,1741,978-369-9283,978-371-2315,P.O. BOX 824,,CARLISLE,MA,USA,1741,Approved,7/15/1996,3/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"7,064,117.00","50,109,964.00","57,174,081.00",10,61,71,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,143420,801-67719,"EXETER FINANCIAL, LLC","EXETER FINANCIAL, LLC",7001 N. SCOTTSDALE ROAD,SUITE 2020,SCOTTSDALE,AZ,UNITED STATES,85253-3644,480-588-0830,480-991-3168,,,,,,,Approved,4/5/2007,3/31/2010,Y,HTTP://WWW.EXETERFINANCIAL.COM/,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"105,000,000.00","15,000,000.00","120,000,000.00",412,49,461,Y,Y,N,Y,N,Y,Y,N,N,N,,51-100,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108988,801-56829,MCCARTHY J MICHAEL FINANCIAL ADVISOR INC,MCCARTHY J MICHAEL FINANCIAL ADVISOR INC,,,,,,,770-396-5038,678-302-6409,,,,,,,Approved,10/27/1999,1/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,GA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"50,102,886.00",0,"50,102,886.00",43,0,43,N,Y,N,Y,N,Y,N,N,N,Y,FINANCIAL CONSULTING-BUSINESS,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,116447,801-63198,"CORNERSTONE INVESTMENT ADVISORS, LLC","CORNERSTONE INVESTMENT ADVISORS, LLC",1728 SIXTEENTH STREET,SUITE 201,BOULDER,CO,UNITED STATES,80302-6357,303-545-5400,303-545-5640,,,,,,,Approved,6/3/2004,3/26/2010,Y,WWW..CSTONEINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,RETAINER,Y,"73,963,944.00","52,768,451.00","126,732,395.00",297,164,461,Y,Y,N,Y,Y,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,146030,801-68744,STABLERIVER CAPITAL MANAGEMENT LLC,STABLERIVER CAPITAL MANAGEMENT LLC,50 HURT PLAZA,SUITE 1400,ATLANTA,GA,UNITED STATES,30303,404-581-1589,404-575-2978,,,,,,,Approved,1/25/2008,3/26/2010,Y,WWW.STABLERIVER.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,101-250,0,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,26-50 percent,11-25 percent,11-25 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"28,223,059,098.00",0,"28,223,059,098.00",362,0,362,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,146025,801-68741,SILVANT CAPITAL MANAGEMENT LLC,SILVANT CAPITAL MANAGEMENT LLC,50 HURT PLAZA,SUITE 1500,ATLANTA,GA,UNITED STATES,30303,404-581-1589,404-575-2978,,,,,,,Approved,1/25/2008,3/26/2010,Y,WWW.SILVANTCAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,0 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,Up to 10 percent,51-75 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"3,818,031,606.00",0,"3,818,031,606.00",101,0,101,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,118588,801-68644,SMS FINANCIAL & INVESTMENT MANAGEMENT,STREETER MOORE & STIPE LLC,4111 S. DARLINGTON,SUITE 120,TULSA,OK,USA,74135,918-481-6262,918-481-6211,,,,,,,Approved,1/7/2008,1/4/2010,Y,WWW.STREETERMOORESTIPE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,0,"93,956,071.00","93,956,071.00",0,346,346,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,116057,801-62973,"MILLENNIUM ADVISORY SERVICES, INC.","MILLENNIUM ADVISORY SERVICES, INC.",5340 TWIN HICKORY ROAD,,GLEN ALLEN,VA,USA,23059,804-346-1040,804-346-1044,,,,,,,Approved,4/7/2004,3/26/2010,Y,WWW.MCMVA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,10-Jun,0,10-Jun,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"38,384,469.00",0,"38,384,469.00",448,0,448,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105971,801-17169,"LCG ASSOCIATES, INC.","LCG ASSOCIATES, INC.",400 GALLERIA PARKWAY,SUITE 1800,ATLANTA,GA,UNITED STATES,30339-5953,770-644-0100,770-644-0105,,,,,,,Approved,5/17/1982,3/26/2010,Y,WWW.LCGASSOCIATES.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,0 percent,26-50 percent,11-25 percent,Up to 10 percent,11-25 percent,NUCLEAR DECOMMISSIONING TRUSTS,Y,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,Y,GIVE INVESTMENT ADVICE BASED ON EACH CLIENT'S NEEDS. DO NOT EXERCISE DISCRETION OR ARRANGE FOR PURCHASE OR SALE OF SECURITIES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,153195,801-71248,"SUMMIT PARTNERS CREDIT ADVISORS, L.P.","SUMMIT PARTNERS CREDIT ADVISORS, L.P.",222 BERKELEY STREET,18TH FLOOR,BOSTON,MA,UNITED STATES,2116,617-824-1000,624-824-1100,,,,,,,Approved,4/1/2010,3/26/2010,Y,WWW.SUMMITPARTNERS.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,INVESTMENT ADVISER TO PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,143674,801-67822,"PARTNERS GROUP REAL ESTATE, LLC","PARTNERS GROUP REAL ESTATE, LLC",150 SPEAR STREET,SUITE 1850,SAN FRANCISCO,CA,UNITED STATES,94105,415-537-8585,415-537-8558,,,,,,,Approved,5/3/2007,3/26/2010,Y,WWW.PARTNERSGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,Nov-50,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"777,678,229.00",0,"777,678,229.00",6,0,6,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,Y,SEPARATE ACCOUNT AND LIMITED PARTNERSHIP INTERESTS,N,,N,N,Y,Y,N,N,N,N,N,Y,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104589,801-55911,CLAREMONT INVESTMENT PARTNERS LLC,CLAREMONT INVESTMENT PARTNERS LLC,104 SUMMIT AVE.,,SUMMIT,NJ,UNITED STATES,07902-0080,(908)273-5440,(908)273-8762,104 SUMMIT AVE,P.O. BOX 80,SUMMIT,NJ,UNITED STATES,07902-0080,Approved,10/22/1998,3/26/2010,Y,WWW.CLAREMONT.NET,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,10-Jan,0,51-75 percent,0 percent,0 percent,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"17,730,839.00",0,"17,730,839.00",2,0,2,N,N,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,107870,801-55175,JOSEY BRETT WEALTH MANAGEMENT INC,JOSEY BRETT WEALTH MANAGEMENT INC,"401 EDWARDS STREET, SUITE 824",,SHREVEPORT,LA,UNITED STATES,71101-5510,318-226-9999,318-226-9997,,,,,,,Approved,1/13/1998,1/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,LA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"46,931,664.00",0,"46,931,664.00",22,0,22,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106133,801-47690,PASCO INVESTMENT ADVISORS INC,PASCO INVESTMENT ADVISORS INC,509 EAST BROAD ST.,,WESTFIELD,NJ,UNITED STATES,07090-2115,908-518-1888,908-518-1889,,,,,,,Approved,10/24/1994,1/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"93,400,939.00",0,"93,400,939.00",117,0,117,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110841,801-58237,"WELLS FARGO FUNDS MANAGEMENT, LLC","WELLS FARGO FUNDS MANAGEMENT, LLC","525 MARKET STREET, 12TH FL.",,SAN FRANCISCO,CA,UNITED STATES,94105-2720,415-396-6122,415-979-0195,,,,,,,Approved,12/22/2000,3/26/2010,Y,HTTP://WWW.WELLSFARGOADVANTAGEFUNDS.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,251-500,0,51-250,0,51-250,0,0,0,More than 500,"10,500",More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"184,538,789,858.00",0,"184,538,789,858.00","10,605",0,"10,605",N,Y,Y,Y,N,Y,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126236,801-61977,"HENNION & WALSH ASSET MANAGEMENT, INC.","HENNION & WALSH ASSET MANAGEMENT, INC.",2001 ROUTE 46,WATERVIEW PLAZA,PARSIPPANY,NJ,USA,7054,973-299-8989,973-299-0692,,,,,,,Approved,5/2/2003,1/4/2010,Y,WWW.SMARTGROWTHFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,251-500,0,11-25 percent,26-50 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"112,809,000.00",0,"112,809,000.00",489,0,489,Y,Y,Y,Y,Y,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N
BRO,133452,801-64243,"OCEAN STATE ASSET MANAGEMENT, LLC","OCEAN STATE ASSET MANAGEMENT, LLC",101 DYER STREET,,PROVIDENCE,RI,USA,02903-3908,401-455-0030,401-455-0090,,,,,,,Approved,5/19/2005,1/4/2010,Y,WWW.OSAMLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,RI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"255,129,855.00",0,"255,129,855.00",31,0,31,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N
LARO,108618,801-55484,RNC GENTER CAPITAL MANAGEMENT,RNC CAPITAL MANAGEMENT LLC,"11601 WILSHIRE BLVD., 25TH FLOOR",,LOS ANGELES,CA,UNITED STATES,90025,310-477-6543,310-479-2901,,,,,,,Approved,4/1/1998,3/26/2010,Y,RNCGENTER.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,10-Jun,0,More than 500,"3,000",26-50 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,"ENDOWMENTS, FOUNDATIONS, CHARITABLE TRUSTS, ETC.",Y,N,N,N,N,N,Y,ONE TIME INITIAL SET-UP FEE OF $250.,Y,"2,847,582,067.00",0,"2,847,582,067.00","3,057",0,"3,057",N,Y,Y,Y,N,N,N,N,N,Y,PROVIDE MODEL PORTFOLIO RECOMMENDATIONS TO OTHER INVESTMENT ADVISERS.,,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,122328,801-66289,"GIBRALTAR CAPITAL MANAGEMENT, INC.","GIBRALTAR CAPITAL MANAGEMENT, INC.","11114 SOUTH YALE AVE.,",STE. B,TULSA,OK,UNITED STATES,74137,918-492-4209,918-518-5416,,,,,,,Approved,3/28/2006,3/26/2010,Y,WWW.GIBRALTAR-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"143,451,748.00","6,774,739.00","150,226,487.00",162,1,163,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,113916,801-60408,GENTER ADVISORS LLC,GENTER ADVISORS LLC,"11601 WILSHIRE BLVD., 25TH FL.",,LOS ANGELES,CA,UNITED STATES,90025,310-477-6543,310-479-2901,,,,,,,Approved,7/6/2001,3/26/2010,Y,GENTERADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,51-250,0,Nov-50,0,5-Jan,0,Nov-50,0,More than 500,"1,000",51-75 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,"GIFT TO MINOR, CHARITABLE TRUST, REVOCABLE TRUST",Y,N,N,N,N,N,Y,ONE-TIME INITIAL SET UP FEE OF $250.00,Y,"156,333,248.00",0,"156,333,248.00",896,0,896,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107857,801-37179,SHOKER INVESTMENT COUNSEL INC,SHOKER INVESTMENT COUNSEL INC.,,,,,,,513-524-1776,513-524-1775,,,,,,,Approved,8/17/1990,3/26/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"100,532,049.00","3,095,645.00","103,627,694.00",121,13,134,Y,Y,N,Y,N,N,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,108144,801-56893,"C. VICTOR COATES, C.P.A.",COATES CARL VICTOR,1223 E HIGHLAND,SUITE 314,PONCA CITY,OK,UNITED STATES,74601,580-762-7537,580-762-1708,,,,,,,Approved,12/2/1999,1/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,OK,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"32,235,702.00",0,"32,235,702.00",134,0,134,Y,Y,N,Y,Y,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106739,801-53717,HARRIGAN & HOWARD FINANCIAL ADVISORS LLC,HARRIGAN & HOWARD FINANCIAL ADVISORS LLC,"4299 MACARTHUR BLVD., SUITE 100",,NEWPORT BEACH,CA,UNITED STATES,92660,949-253-1510,949-476-2790,,,,,,,Approved,1/28/1997,3/26/2010,Y,HARRIGANHOWARDFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"44,833,585.00",0,"44,833,585.00",211,0,211,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,104940,801-22796,JOHNSTON REID & MITCHELL INC,JOHNSTON REID & MITCHELL INC,81 WASHINGTON ST,,PORTSMOUTH,NH,UNITED STATES,3802,603-433-3003,603-433-3005,P O BOX 6549,,PORTSMOUTH,NH,UNITED STATES,03802-6549,Approved,11/16/1984,1/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"58,371,406.00","22,328,448.00","80,699,854.00",6,42,48,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,129475,801-63273,"JP WEALTH MANAGEMENT, INC.","JP WEALTH MANAGEMENT, INC.",3401 SALTERBECK COURT,SUITE 202,MT. PLEASANT,SC,USA,29466-7117,866-562-6969,,,,,,,,Approved,6/24/2004,3/26/2010,Y,WWW.JPWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"154,443,717.00",0,"154,443,717.00",240,0,240,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108668,801-54906,"GRESHAM PARTNERS, LLC","GRESHAM PARTNERS, LLC",333 W. WACKER DRIVE,SUITE 700,CHICAGO,IL,UNITED STATES,60606,312-960-0200,312-960-0204,,,,,,,Approved,9/25/1997,3/26/2010,Y,WWW.GRESHAMPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"1,655,786,017.00","430,401,045.00","2,086,187,062.00",17,"2,148","2,165",Y,N,N,N,N,Y,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES AND ASSET ALLOCATION,51-100,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,126825,801-67158,"JURIKA, MILLS & KEIFER, LLC","JURIKA, MILLS & KEIFER, LLC","2101 WEBSTER STREET, SUITE 1550",,OAKLAND,CA,UNITED STATES,94612,(510) 625-0199,(510) 625-0171,,,,,,,Approved,9/22/2006,3/26/2010,Y,WWW.THECOUNTERPOINTFUNDS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,51-75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"23,768,000.00",0,"23,768,000.00",21,0,21,Y,Y,Y,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108937,801-57435,"THOMAS PROPERTIES GROUP ADVISOR, LLC",THOMAS PROPERTIES GROUP ADVISOR LLC,515 SOUTH FLOWER STREET,SUITE 600,LOS ANGELES,CA,UNITED STATES,90071,213-613-1900,213-633-4760,,,,,,,Approved,4/7/2000,3/26/2010,Y,WWW.TPGRE.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,Y,N,N,N,,Y,Y,Y,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,108886,801-30601,FREDRIC E. RUSSELL INVESTMENT MANAGEMENT CO.,XXEC INC,1924 SOUTH UTICA AVENUE,SUITE 1202,TULSA,OK,UNITED STATES,74104,918-743-5959,918-743-0302,,,,,,,Approved,9/2/1987,5/20/2010,Y,WWW.FREDRICERUSSELL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OK,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"42,402,191.00",0,"42,402,191.00",145,0,145,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,107845,801-17043,HERITAGE CAPITAL MANAGEMENT INC,HERITAGE CAPITAL MANAGEMENT INC,WAINWRIGHT BANK BUILDING,"63 FRANKLIN STREET, 5TH FLOOR",BOSTON,MA,UNITED STATES,2110,617-423-0379,617-423-9535,,,,,,,Approved,4/26/1982,5/20/2010,Y,WWW.HERITAGE-CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"185,652,821.00","1,104,361.00","186,757,182.00",116,1,117,Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,147268,801-70667,"U.S. ONE, INC.","U.S. ONE, INC.",9190 DOUBLE DIAMOND PKWY,,RENO,NV,UNITED STATES,89521,775-329-5500,775-201-7612,P.O. BOX 17073,,RENO,NV,UNITED STATES,89511,Approved,4/7/2010,5/20/2010,Y,WWW.USONE.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NV,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,532,000.00",0,"2,532,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,153603,801-71370,"ARMATURA CAPITAL MANAGEMENT, LLC","ARMATURA CAPITAL MANAGEMENT, LLC",8333 DOUGLAS AVENUE,SUITE 1250,DALLAS,TX,UNITED STATES,75225,214-989-3031,,,,,,,,120-Day Approval,4/23/2010,5/20/2010,Y,WWW.ARMATURACAP.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,PERFORMANCE ALLOCATION,Y,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,111184,801-33583,"KBW ASSET MANAGEMENT, INC.",KBW ASSET MANAGEMENT INC,787 SEVENTH AVENUE,SIXTH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-887-2000,212-541-6767,,,,,,,Approved,1/27/1989,5/20/2010,Y,WWW.KBWAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,AN ACCOUNT OF A DEPARTMENT OF THE UNITED STATES FEDERAL GOVERNMENT,Y,N,N,Y,N,Y,N,,Y,"89,585,735.00",2,"89,585,737.00",4,1,5,N,N,N,Y,N,N,N,N,N,Y,(A) PRIVATE INVESTMENT FUNDS. (B) ADVISE AN ACCOUNT OF A DEPT. OF THE U.S. FEDERAL GOVERNMENT,0,,N,N,N,N,N,N,N,N,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,114674,801-63115,"LARAWAY FINANCIAL ADVISORS, INC.","LARAWAY FINANCIAL ADVISORS, INC.",1219 33RD STREET SOUTH,,ST. CLOUD,MN,USA,56301,320.253.2490,320.259.0557,,,,,,,Approved,5/14/2004,5/20/2010,Y,WWW.LARAWAYFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"60,881,363.00",0,"60,881,363.00",225,0,225,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,124414,801-62397,"RANGER INVESTMENT MANAGEMENT,L.P.","RANGER INVESTMENT MANAGEMENT,L.P.","300 CRESCENT COURT,",SUITE 1100,DALLAS,TX,UNITED STATES,75201,214-871-5200,214-871-5201,,,,,,,Approved,10/23/2003,5/20/2010,Y,WWW.RANGERINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,51-75 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,024,869,890.00",0,"1,024,869,890.00",28,0,28,N,Y,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,115639,801-71408,"CALVERT FINANCIAL ADVISORY, INC.","CALVERT FINANCIAL ADVISORY, INC.",3175 WEST WARD ROAD,SUITE 120,DUNKIRK,MD,UNITED STATES,20754,301-812-1550,410-286-3180,P.O. BOX 1227,,DUNKIRK,MD,UNITED STATES,20754,Approved,5/6/2010,5/20/2010,Y,WWW.CALVERTFINANCIALADVISORY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"33,137,232.00",0,"33,137,232.00",246,0,246,Y,Y,N,N,N,N,N,N,N,Y,CONSULTING,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,147269,801-69220,"MEYERS CAPITAL MANAGEMENT GROUP, LLC","MEYERS CAPITAL MANAGEMENT GROUP, LLC",,,,,,,614-442-0384,614-442-0384,,,,,,,Approved,5/28/2008,5/20/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,600,000.00",0,"2,600,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,104729,801-31678,GREENHAVEN ASSOCIATES INC,GREENHAVEN ASSOCIATES INC,THREE MANHATTANVILLE ROAD,,PURCHASE,NY,USA,10577-2130,914-253-9350,914-253-9176,,,,,,,Approved,3/18/1988,1/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"2,661,000,000.00",0,"2,661,000,000.00",146,0,146,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,148540,801-71488,"TECHNICAL MANAGEMENT GROUP, INC.","TECHNICAL MANAGEMENT GROUP, INC.",,,,,,,971-218-4053,503-339-7546,,,,,,,Approved,6/18/2010,5/20/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OR,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"32,262,916.00",0,"32,262,916.00",172,0,172,Y,Y,N,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,109880,801-57415,VAN RENSSELAER LTD,VAN RENSSELAER LTD,,,,,,,609-466-8500,609-466-0046,,,,,,,Approved,3/24/2000,5/20/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"6,195,348.00","12,391,630.00","18,586,978.00",31,5,36,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,139485,801-66340,CHIRIN CAPITAL LIMITED,CHIRIN CAPITAL LIMITED,P.O. BOX 309,,GEORGE TOWN,,CAYMAN ISLANDS,,-13809,-8900,30 WATLING STREET,,LONDON,,UK,EC4M 9BR,Approved,3/14/2006,1/4/2010,Y,WWW.CHIRINCAPITAL.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,CAYMAN ISLANDS,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"24,460,000.00",0,"24,460,000.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,HEDGE FUND MANAGER,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,137877,801-64976,MERRITT CAPITAL INVESTMENT ADVISORS LLC,MERRITT CAPITAL INVESTMENT ADVISORS LLC,9 OLD KINGS HIGHWAY SOUTH,SUITE 300,DARIEN,CT,USA,06820-4505,203-656-2677,203-656-2656,,,,,,,Approved,11/29/2005,1/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"175,000,000.00",0,"175,000,000.00",95,0,95,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,145736,801-69811,"MERIT NATIONAL FUND ADVISORS, LLC","MERIT NATIONAL FUND ADVISORS, LLC",357 LANGDON STREET,,SOMERSET,KY,UNITED STATES,42503,606-679-1231,606-416-5554,PO BOX 3308,,WEST SOMERSET,KY,UNITED STATES,42564,Approved,3/10/2009,5/20/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"35,631,926.00","332,588.00","35,964,514.00",228,1,229,Y,Y,N,Y,N,N,Y,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
FWRO,116048,801-66250,"TRUE NORTH ADVISORS, LLC","TRUE NORTH ADVISORS, LLC",8350 NORTH CENTRAL EXPRESSWAY,SUITE 725,DALLAS,TX,USA,75206,214-360-7300,214-360-7301,,,,,,,Approved,2/21/2006,5/20/2010,Y,WWW.TRUENORTHADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,500,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"786,852,835.00","138,143,611.00","924,996,446.00","3,438",11,"3,449",N,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,152011,801-71015,"THE WESTERN WEALTH GROUP, INC.","THE WESTERN WEALTH GROUP, INC.",26 WEST DRY CREEK CIRCLE,SUITE 500,LITTLETON,CO,UNITED STATES,80120,(303) 880-5675,(303) 997-1847,,,,,,,120-Day Approval,1/22/2010,5/20/2010,Y,WWW.WESTERNWEALTHGROUP.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"8,185,270.00","7,033,710.00","15,218,980.00",28,35,63,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,152154,801-71489,"PACIFIC RIDGE CAPITAL PARTNERS, LLC","PACIFIC RIDGE CAPITAL PARTNERS, LLC",4949 SW MEADOWS ROAD,SUITE 125,LAKE OSWEGO,OR,UNITED STATES,97035,503-482-9080,,,,,,,,120-Day Approval,6/9/2010,5/20/2010,Y,HTTP://WWW.PACRIDGECAP.COM/,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,134731,801-68919,"OSBON CAPITAL MANAGEMENT, LLC","OSBON CAPITAL MANAGEMENT, LLC",225 FRANKLIN STREET,26TH FLOOR,BOSTON,MA,UNITED STATES,2110,617-217-2772,617-217-2712,,,,,,,Approved,3/13/2008,5/20/2010,Y,WWW.OSBONCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"38,202,919.00","1,660,666.00","39,863,585.00",55,2,57,N,Y,N,Y,N,Y,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,138538,801-65234,"MARBLE HARBOR INVESTMENT COUNSEL, LLC","MARBLE HARBOR INVESTMENT COUNSEL, LLC",101 FEDERAL STREET,SUITE 2210,BOSTON,MA,UNITED STATES,2110,617-956-6710,617-956-6711,,,,,,,Approved,1/11/2006,5/20/2010,Y,WWW.MARBLEHARBORIC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"290,339,409.00","2,653,679.00","292,993,088.00",250,1,251,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,149155,801-69980,DEANS KNIGHT CAPITAL MANAGEMENT,DEANS KNIGHT CAPITAL MANAGEMENT,730 - 999 WEST HASTINGS STREET,,VANCOUVER,,CANADA,V6C 2W2,604-669-0212,604-669-0238,,,,,,,Approved,2/26/2009,7/7/2010,Y,HTTP://WWW.DEANSKNIGHT.COM/,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),LTD - CORPORATION,,CANADA,Nov-50,0,5-Jan,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,26-50 percent,0 percent,11-25 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,154,326,161.00","239,659,343.00","1,393,985,504.00",289,1,290,N,Y,N,Y,Y,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,147353,801-69478,"NATIXIS CASPIAN PRIVATE EQUITY, LLC","NATIXIS CASPIAN PRIVATE EQUITY, LLC","745 FIFTH AVENUE, 28TH FLOOR",,NEW YORK,NY,UNITED STATES,10151,212-703-0300,212-703-0310,,,,,,,Approved,8/29/2008,7/7/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"650,000,000.00",0,"650,000,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,111144,801-11685,FIRST FIDUCIARY INVESTMENT COUNSEL INC,FIRST FIDUCIARY INVESTMENT COUNSEL INC,6100 OAK TREE BLVD.  SUITE 185,,CLEVELAND,OH,UNITED STATES,44131,216-643-9100,216-643-9200,,,,,,,Approved,7/1/1976,1/4/2010,Y,WWW.FIRSTFIDUCIARY.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"219,000,000.00",0,"219,000,000.00",276,0,276,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,152832,801-71032,CLEARPATH RETIREMENT PARTNERS,"CLEARPATH RETIREMENT PARTNERS, INC.",9980 PARK MEADOWS DR.,SUITE 214,LONE TREE,CO,UNITED STATES,80124,303-658-9868,303-658-9866,,,,,,,Approved,2/2/2010,7/7/2010,Y,WWW.CLEARPATHRP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,"61,000,000.00","61,000,000.00",0,5,5,N,N,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,106769,801-39554,"WESTPEAK GLOBAL ADVISORS, L.P.","WESTPEAK GLOBAL ADVISORS, L.P.",1470 WALNUT STREET,,BOULDER,CO,UNITED STATES,80302-5333,303-786-7700,303-786-7411,,,,,,,Approved,7/25/1991,7/7/2010,Y,WWW.WESTPEAK.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,Nov-50,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,51-75 percent,INSURANCE COMPANIES & TRUST COMPANIES,Y,N,N,N,N,Y,N,,Y,"341,545,748.00",0,"341,545,748.00",3,0,3,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,Y,Y,Y,Y,N,N,Y,N,Y,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,149343,801-70963,"SPIDER MANAGEMENT COMPANY, LLC","SPIDER MANAGEMENT COMPANY, LLC",6806 PARAGON PLACE,SUITE 290,RICHMOND,VA,UNITED STATES,23230,804-289-6010,804-289-6011,,,,,,,Approved,1/5/2010,1/4/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,VA,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,26-50 percent,ENDOWMENTS,Y,N,N,N,N,Y,N,,Y,"2,175,729,875.00",0,"2,175,729,875.00",2,0,2,N,N,N,Y,N,Y,N,N,N,Y,INVESTMENT ADVICE TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,125951,801-68409,"SARASOTA CAPITAL STRATEGIES,INC.","SARASOTA CAPITAL STRATEGIES,INC.",460 SOUTH TAMIAMI TRAIL,,OSPREY,FL,USA,34229,941-918-2255,941-966-0448,,,,,,,Approved,10/12/2007,7/7/2010,Y,WWW.SARASOTACAPITALSTRATEGIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"61,000,000.00",0,"61,000,000.00",158,0,158,N,Y,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,Y,N,N,,Y,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153645,801-71390,"FINANCIAL FIDUCIARIES, LLC","FINANCIAL FIDUCIARIES, LLC",510 NORTH 17TH AVE,SUITE C,WAUSAU,WI,UNITED STATES,54401,715-848-8110,715-848-2648,,,,,,,120-Day Approval,5/7/2010,7/7/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105597,801-13942,"JOHN W. BRISTOL & CO., INC.","JOHN W. BRISTOL & CO., INC.",48 WALL STREET,,NEW YORK,NY,UNITED STATES,10005-2937,212-389-5880,212-389-5885,,,,,,,Approved,6/30/1978,7/7/2010,Y,WWW.JWBRISTOL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,26-100,0,0 percent,26-50 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,ASBESTOS SETTLEMENT TRUST,Y,N,N,N,N,N,N,,Y,"5,492,087,278.00",0,"5,492,087,278.00",89,0,89,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,154200,801-71678,GOSSELIN CONSULTING GROUP LLC,GOSSELIN CONSULTING GROUP LLC,25 BRAINTREE HILL OFFICE PARK,SUITE 200,BRAINTREE,MA,UNITED STATES,2184,781-930-3301,781-380-3650,,,,,,,120-Day Approval,7/20/2010,7/7/2010,Y,WWW.GOSSELINCONSULTINGGROUP.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,401(K) PLAN SPONSORS,N,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,N,N,Y,N,N,N,N,Y,"INVESTMENT RESEARCH FOR INVESTMENT FIRMS, 401(K) PLAN SPONSOR INVESTMENT CONSULTING",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,3870,801-23151,LINCOLN FINANCIAL SECURITIES CORPORATION,LINCOLN FINANCIAL SECURITIES CORPORATION,ONE GRANITE PL,,CONCORD,NH,UNITED STATES,3301,603-226-5000,603-226-5035,,,,,,,Approved,2/7/1985,7/7/2010,Y,LFSECURITIES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NH,UNITED STATES,501-1000,0,501-1000,0,501-1000,0,5-Jan,0,More than 500,"5,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"121,071,708.00","684,239,294.00","805,311,002.00",862,"3,726","4,588",Y,Y,N,Y,Y,Y,Y,N,N,N,,More than 500,1000,Y,N,Y,N,N,N,Y,N,N,,N,,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
CHRO,106838,801-34910,UBS GLOBAL ASSET MANAGEMENT (AMERICAS) INC.,UBS GLOBAL ASSET MANAGEMENT (AMERICAS) INC.,ONE NORTH WACKER DRIVE,,CHICAGO,IL,UNITED STATES,60606,312-525-7100,312-525-7199,,,,,,,Approved,9/11/1989,7/7/2010,Y,WWW.UBS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,251-500,0,51-250,0,51-250,0,5-Jan,0,More than 500,500,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"135,755,207,991.00","8,495,952,954.00","144,251,160,945.00","7,906",11,"7,917",N,Y,Y,Y,Y,Y,N,N,N,N,,0,,Y,Y,N,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,Y,N,N,N,Y,N,Y,N,Y,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N
FWRO,154002,801-71680,"RANGER INTERNATIONAL MANAGEMENT (TX), LP","RANGER INTERNATIONAL MANAGEMENT (TX), LP",300 CRESCENT COURT,SUITE 1100,DALLAS,TX,UNITED STATES,75201,(214) 871-5207,(214) 871-5201,,,,,,,Approved,7/20/2010,7/7/2010,Y,WWW.RANGER-INTERNATIONAL.COM,N,N,N,N,N,N,N,Y,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,0,0,0,0,5-Jan,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"10,000,000.00",0,"10,000,000.00",1,0,1,N,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,116387,801-60788,"ALLISON SPIELMAN ADVISORS, LLC","ALLISON SPIELMAN ADVISORS, LLC",1380 112TH AVE. NE,SUITE 306,BELLEVUE,WA,UNITED STATES,98004,425-889-7848,425-889-0828,,,,,,,Approved,12/18/2001,7/7/2010,Y,ALLISONSPIELMAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,Y,N,N,,Y,"40,800,117.00","10,281,690.00","51,081,807.00",85,27,112,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,107332,801-50347,MERCATOR ASSET MANAGEMENT LP,MERCATOR ASSET MANAGEMENT LP,5200 TOWN CENTER CIRCLE,SUITE 550,BOCA RATON,FL,USA,33486-1018,561-361-1079,561-368-8010,,,,,,,Approved,11/9/1995,7/7/2010,Y,WWW.MERCATORASSET.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,0 percent,0 percent,11-25 percent,51-75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"6,207,436,145.00",0,"6,207,436,145.00",32,0,32,N,N,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,129202,801-64869,"KARMA CAPITAL MANAGEMENT, L.L.C.","KARMA CAPITAL MANAGEMENT, L.L.C.",,,,,,,203 621-3229,203 621-3229,,,,,,,Approved,3/17/2006,1/4/2010,Y,WWW.KARMACAPITAL.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"32,750,000.00",0,"32,750,000.00",3,0,3,N,N,N,N,N,N,N,N,N,Y,INVESTMENT MANAGER FOR THREE PRIVATE INVESTMENT FUNDS THAT FOCUS ON EMERGING MARKET EQUITIES.,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,110767,801-28092,ADVANCE CAPITAL MANAGEMENT INC,ADVANCE CAPITAL MANAGEMENT INC,ONE TOWNE SQUARE,SUITE 444,SOUTHFIELD,MI,USA,48076,248-350-8543,248-350-0115,,,,,,,Approved,10/9/1986,7/7/2010,Y,WWW.ACFUNDS.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,5-Jan,0,More than 500,"6,000",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,024,256,624.00",0,"1,024,256,624.00","1,024",0,"1,024",Y,Y,Y,Y,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,150670,801-70320,CACHE EQUITY LLC,CACHE EQUITY LLC,6303 OWENSMOUTH AVENUE,10TH FLOOR,WOODLAND HILLS,CA,UNITED STATES,91367,818-575-6955,818-936-0111,,,,,,,Approved,7/15/2009,7/7/2010,Y,CACHEEQUITY.COM,N,N,N,N,N,N,N,N,N,Y,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,Y,N,,N,0,0,0,0,0,0,Y,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,Y,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,16164,801-38618,"TRANSAMERICA FINANCIAL ADVISORS, INC.","TRANSAMERICA FINANCIAL ADVISORS, INC.",570 CARILLON PARKWAY,,ST PETERSBURG,FL,UNITED STATES,33716-1202,727-299-1800,800-660-3702,PO BOX 9053,,CLEARWATER,FL,UNITED STATES,33758-9053,Approved,5/16/1991,7/7/2010,Y,WWW.TFA.TRANSAMERICA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,501-1000,0,501-1000,0,501-1000,0,5-Jan,0,More than 500,"14,500",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"135,504,135.00","1,814,249,985.00","1,949,754,120.00","1,147","15,395","16,542",Y,Y,N,Y,N,Y,N,N,N,Y,FINANCIAL CONSULTING SERVICES,101-250,,Y,Y,Y,N,N,N,Y,N,N,,N,,Y,Y,Y,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N
CHRO,151476,801-70606,COPPER BEECH WEALTH MANAGEMENT,COPPER BEECH TREE LLC,33 BLOOMFIELD HILLS PARKWAY,SUITE 100,BLOOMFIELD HILLS,MI,UNITED STATES,48304,248-203-2030,248-203-2031,,,,,,,Approved,9/30/2009,7/7/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,10-Jun,0,10-Jun,0,10-Jun,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"40,740,974.00","12,422,770.00","53,163,744.00",63,137,200,Y,Y,N,N,Y,Y,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,146571,801-69065,"PCA ADVISORS, LLLP","PCA ADVISORS, LLLP",5915 FARRINGTON ROAD,SUITE 202,CHAPEL HILL,NC,USA,27517,919-401-4949,919-489-9500,,,,,,,Approved,5/14/2008,7/7/2010,Y,WWW.PARISHCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED LIABILITY LIMITED PARTNERSHIP,NC,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"1,711,433,466.00",0,"1,711,433,466.00",10,0,10,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,Y,Y,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,121993,801-62418,"SCHULTZ INVESTMENT ADVISORS, INC.","SCHULTZ INVESTMENT ADVISORS, INC.",1099 E. GRAND RIVER RD.,SUITE 2,WILLIAMSTON,MI,UNITED STATES,48895,517-655-4130,517-655-4138,,,,,,,Approved,10/15/2003,7/7/2010,Y,WWW.SCHULTZINVESTMENTADVISORS.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,MI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"4,683,822.00",0,"4,683,822.00",55,0,55,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123475,801-67369,"PCA INVESTMENT ADVISORY SERVICES, INC.","PCA INVESTMENT ADVISORY SERVICES, INC.",2133 LURAY AVENUE,,CINCINNATI,OH,UNITED STATES,45206,513.281.3366,513.281.3389,,,,,,,Approved,12/15/2006,1/4/2010,Y,WWW.PENCORP.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,Nov-50,0,5-Jan,0,10-Jun,0,0,0,26-100,0,51-75 percent,0 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,Y,MUTUAL FUND REIMBURSEMENTS (SUB TA FEE),Y,0,"346,535,452.00","346,535,452.00",0,94,94,N,Y,N,N,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,N,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,134522,801-67102,"BANES CAPITAL MANAGEMENT, LLC","BANES CAPITAL MANAGEMENT, LLC",6410 POPLAR AVENUE,SUITE 320,MEMPHIS,TN,UNITED STATES,38119-4836,901-261-5900,901-261-5999,,,,,,,Approved,8/25/2006,7/7/2010,Y,WWW.BANESCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,Y,GENERAL PARTNER PERFORMANCE FEE,Y,"221,330,922.00",0,"221,330,922.00",2,0,2,N,N,N,N,N,N,N,N,N,Y,PRIVATE INVESTMENT FUND,0,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,138165,801-65028,"TRADEPATH ADVISORS, LLC","TRIBUTARY CAPITAL MANAGEMENT., LLC",150 EAST 42ND STREET,15TH FLOOR,NEW YORK,NY,UNITED STATES,10017,917-612-1896,917-591-8586,,,,,,,Approved,2/2/2006,7/7/2010,Y,STRUCTUREDPRODUCTS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,N,0,0,0,0,0,0,N,N,Y,Y,N,N,N,N,N,Y,STRUCTURING DERIVATIVES BASED INVESTMENTS,0,,N,N,N,N,N,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,18217,801-30405,"SPECTRUM ASSET MANAGEMENT, INC.","SPECTRUM ASSET MANAGEMENT, INC.",2 HIGH RIDGE PARK,2ND FLOOR,STAMFORD,CT,UNITED STATES,6905,203-322-0189,203-968-1455,,,,,,,Approved,9/28/1987,7/7/2010,Y,WWW.SAMIPFD.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CT,UNITED STATES,Nov-50,0,10-Jun,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,26-50 percent,0 percent,11-25 percent,INSURANCE COMPANIES,Y,N,N,N,N,N,N,,Y,"6,780,503,554.00","2,372,457,604.00","9,152,961,158.00",25,20,45,N,N,N,Y,N,N,N,N,N,N,,,,N,Y,Y,N,Y,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,N,Y,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,145961,801-68660,SENSUS INVESTMENT MANAGEMENT,SENSUS INVESTMENT MANAGEMENT GROUP LLC,THE GRAYBAR BUILDING,420 LEXINGTON AVENUE SUITE 2446,NEW YORK,NY,UNITED STATES,10170,888-736-7871,212-203-4168,,,,,,,Approved,1/3/2008,7/7/2010,Y,WWW.SENSUSGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,11-25 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,"59,000,000.00",0,"59,000,000.00",40,0,40,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,Y,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,131650,801-63186,"MANHATTAN WEALTH ADVISORS, INC.","MANHATTAN WEALTH ADVISORS, INC.",1230 ROSECRANS AVENUE #620,MANHATTAN TOWERS,MANHATTAN BEACH,CA,UNITED STATES,90266,310-536-8208,310-536-8209,,,,,,,Approved,5/21/2004,7/7/2010,Y,WWW.MANHATTANWEALTHADVISORS.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"10,000,000.00",0,"10,000,000.00",100,0,100,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,129683,801-63824,"ZEPHYR MANAGEMENT, L.P.","ZEPHYR MANAGEMENT, L.P.",320 PARK AVENUE,28TH FLOOR,NEW YORK,NY,USA,10022,212-508-9400,212-508-9494,,,,,,,Approved,1/14/2005,7/7/2010,Y,WWW.PLIMSOLLMARKCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,NY,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"604,903,031.00","217,668,648.00","822,571,679.00",192,3,195,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,133318,801-63642,"PRASADA CAPITAL, LLC","PRASADA CAPITAL, LLC",,,,,,,888-424-0466,,,,,,,,Approved,11/12/2004,7/7/2010,Y,WWW.PRASADACAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"48,440,000.00",0,"48,440,000.00",116,0,116,N,Y,N,Y,N,N,N,N,N,Y,CONSULTING (INVESTMENT/NON-INVESTMENT),,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,118192,801-61885,COMPREHENSIVE PERSONAL FINANCIAL ADVISORS,"CPFA, LLC",5299 DTC BLVD,SUITE 320,GREENWOOD VILLAGE,CO,UNITED STATES,80111-3323,303/770-0154,303/770-1807,,,,,,,Approved,3/27/2003,7/7/2010,Y,WWW.CPFALLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PROJECT-BASED FEES,Y,"137,000,000.00","1,000,000.00","138,000,000.00",55,1,56,Y,Y,N,N,N,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,111320,801-54265,STOKER OSTLER MEMBER HARRIS WEALTH ADVISORS,"STOKER OSTLER WEALTH ADVISORS, INC.",4900 N. SCOTTSDALE ROAD,SUITE 2600,SCOTTSDALE,AZ,UNITED STATES,85251,480-890-8088,480-890-8770,,,,,,,Approved,4/14/1997,7/7/2010,Y,WWW.STOKEROSTLER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,AZ,UNITED STATES,Nov-50,0,Nov-50,0,0,0,10-Jun,0,251-500,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"615,259,232.00","13,129,133.00","628,388,365.00","1,886",65,"1,951",Y,Y,N,N,N,Y,Y,N,N,N,,251-500,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,N,Y,Y,Y,N,N,Y,N,N,Y,Y,N,N,N,N,Y,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,138615,801-65110,"OBS FINANCIAL SERVICES, INC.","OBS FINANCIAL SERVICES, INC.",10200 WATERVILLE STREET,,WHITEHOUSE,OH,UNITED STATES,43571,419-482-4500,419-482-4598,,,,,,,Approved,2/1/2006,7/7/2010,Y,WWW.OBSFINANCIALSERVICES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,5-Jan,0,More than 500,"3,500",Up to 10 percent,26-50 percent,11-25 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,"457,392,765.00","457,392,765.00",0,"3,352","3,352",Y,Y,N,Y,N,N,N,N,N,N,,25-Nov,,N,N,Y,N,N,N,N,N,N,,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,142529,801-69842,J.C. FLOWERS & CO. LLC,J.C. FLOWERS & CO. LLC,717 FIFTH AVENUE,26TH FLOOR,NEW YORK,NY,UNITED STATES,10022,212-404-6800,212-404-6899,,,,,,,Approved,1/8/2009,7/7/2010,Y,WWW.JCFCO.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,0 percent,0 percent,,N,N,N,N,N,N,Y,MANAGEMENT FEES; ADVISORY AND OTHER TRANSACTION-RELATED FEES,Y,"10,545,503,516.00",0,"10,545,503,516.00",17,0,17,N,N,N,N,N,N,N,N,N,Y,"PORTFOLIO MANAGEMENT FOR PRIVATE POOLED INVESTMENT VEHICLES, TRANSACTION ADVISORY SERVICES",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,Y,N,N,Y,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110790,801-17932,"HARRINGTON INVESTMENTS, INC.","HARRINGTON INVESTMENTS, INCORPORATED",1001 SECOND STREET,SUITE 325,NAPA,CA,UNITED STATES,94559-3030,707-252-6166,707-257-7923,PO BOX 6108,,NAPA,CA,UNITED STATES,94581-1108,Approved,11/24/1982,8/12/2010,Y,WWW.HARRINGTONINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,EVEREST ASSET MANAGEMENT AG,Y,Y,N,N,N,N,N,,Y,"151,004,939.00",0,"151,004,939.00",155,0,155,N,Y,N,Y,N,N,N,N,N,Y,"CONSULTING SERVICES. SUB ADVISORY SERVICES TO EVEREST ASSET MANAGEMENT, AG",,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107794,801-56440,PARTHENON LLC,PARTHENON LLC,9900 CORPORATE CAMPUS DR,STE 2100,LOUISVILLE,KY,UNITED STATES,40223,502-327-5660,502-327-6232,,,,,,,Approved,4/16/1999,1/7/2010,Y,WWW.PARTHENONLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"387,771,148.00",0,"387,771,148.00",120,0,120,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR A HEDGE FUND,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,148343,801-69604,"OLD WEST INVESTMENT MANAGEMENT, LLC","OLD WEST INVESTMENT MANAGEMENT, LLC",601 SOUTH FIGUEROA STREET,SUITE 2250,LOS ANGELES,CA,UNITED STATES,90017,(213) 943-1740,(213) 943-1741,,,,,,,Approved,10/15/2008,8/12/2010,Y,WWW.OLDWESTIM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"78,541,405.00",0,"78,541,405.00",144,0,144,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110887,801-41265,CUMBERLAND ASSOCIATES INVESTMENT COUNSEL INC.,CUMBERLAND ASSOCIATES INVESTMENT COUNSEL INC.,"99 YORKVILLE AVENUE, 3F",,TORONTO ONTARIO,,CANADA,M5R 3K5,416-482-5337,416-929-0943,,,,,,,Approved,4/28/1992,8/12/2010,Y,WWW.CUMBERLANDCOUNSEL.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,"ONTARIO, CANADA",5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"11,226,000.00",0,"11,226,000.00",3,0,3,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153830,801-71447,"FULL CIRCLE ADVISORS, LLC","FULL CIRCLE ADVISORS, LLC",800 WESTCHESTER AV.,SUITE S-620,RYE BROOK,NY,UNITED STATES,10573-1328,914-220-6300,914-220-6301,,,,,,,120-Day Approval,6/15/2010,8/12/2010,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,112161,801-19420,WALTER SCOTT & PARTNERS LIMITED,WALTER SCOTT & PARTNERS LIMITED,"ONE CHARLOTTE SQUARE,",,EDINBURGH,,UNITED KINGDOM,EH2 4DR,44-131-225-1357,44-131-225-7997,,,,,,,Approved,9/29/1983,8/12/2010,Y,WWW.WALTERSCOTT.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,51-250,0,Nov-50,0,5-Jan,0,Nov-50,0,101-250,0,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,51-75 percent,COLLECTIVE INVESTMENT VEHICLES,Y,N,N,N,N,Y,N,,Y,"32,052,400,000.00",0,"32,052,400,000.00",160,0,160,N,N,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,Y,Y,N,N,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,151829,801-70684,PNC CAPITAL ADVISORS LLC,PNC CAPITAL ADVISORS LLC,TWO HOPKINS PLAZA,,BALTIMORE,MD,UNITED STATES,21201,410-237-5672,410-237-5523,,,,,,,Approved,9/29/2009,8/12/2010,Y,WWW.PNCCAPITALADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,51-250,0,Nov-50,0,5-Jan,0,More than 500,550,0 percent,11-25 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,11-25 percent,Up to 10 percent,TAFT-HARTLEY,Y,N,N,Y,N,Y,N,,Y,"33,456,294,702.00",0,"33,456,294,702.00","4,452",0,"4,452",N,Y,Y,Y,N,Y,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,Y,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,106405,801-49599,"LONGWOOD INVESTMENT ADVISORS, INC.",LONGWOOD INVESTMENT ADVISORS INC,,,,,,,617-669-5401,617-426-6368,PO BOX 2492,,DUXBURY,MA,UNITED STATES,2331,Approved,7/17/1995,1/7/2010,Y,N/A,N,N,N,N,N,N,N,N,N,N,N,N,Y,Corporation,,PA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,26-50 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"4,000,000.00",0,"4,000,000.00",5,0,5,N,Y,N,N,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110931,801-12851,PRING TURNER CAPITAL GROUP,"PRING/TURNER CAPITAL GROUP, INC.","1600 S. MAIN STREET, #375",,WALNUT CREEK,CA,USA,94596-5397,(925) 287-8527,(925) 287-8653,,,,,,,Approved,4/20/1977,1/7/2010,Y,WWW.PRINGTURNER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"86,460,398.00",0,"86,460,398.00",210,0,210,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,135084,801-68643,ALPHASTREAM CAPITAL MANAGEMENT LLC,ALPHASTREAM CAPITAL MANAGEMENT LLC,2413 WEBB AVE. UNIT C,,ALAMEDA,CA,UNITED STATES,94501,510-749-4999,510-749-9975,,,,,,,Approved,12/19/2007,1/7/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,0 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"17,693,260.00",0,"17,693,260.00",3,0,3,N,Y,Y,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105702,801-33527,SCHMITZ CAPITAL PARTNERS,SCHMITZ STEVEN JOSEPH,655 REDWOOD HWY,STE 109,MILL VALLEY,CA,UNITED STATES,94941,415-381-9075,415-381-2917,,,,,,,Approved,12/23/1988,8/12/2010,Y,WWW.SSCHMITZANDASSOCIATES.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,Y,Y,N,N,N,,Y,0,"43,454,380.00","43,454,380.00",0,139,139,Y,Y,N,Y,Y,N,Y,N,N,N,,10-Jan,,N,Y,N,Y,N,N,Y,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,17575,801-44465,"TAYLOR SECURITIES, INC.","TAYLOR SECURITIES, INC.",100 WINNERS CIRCLE,SUITE 100,BRENTWOOD,TN,UNITED STATES,37027,615-373-4111,615-371-9870,,,,,,,Approved,7/30/1993,1/7/2010,Y,HTTP://WWW.TAYLORCOS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,Y,N,N,,Y,0,"71,737,084.00","71,737,084.00",0,40,40,N,Y,N,N,N,N,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,N,Y,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,119209,801-62598,APPLETON GROUP WEALTH MANAGEMENT LLC,APPLETON GROUP WEALTH MANAGEMENT LLC,100 W. LAWRENCE ST,THIRD FLOOR,APPLETON,WI,USA,54911,920/993-7727,920/993-7779,,,,,,,Approved,12/4/2003,1/7/2010,Y,HTTP://WWW.APPLETONGROUPONLINE.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,WI,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,N,Y,ROYALTY INCOME FROM SALE OF BOOKS,Y,"134,420,000.00",0,"134,420,000.00",413,0,413,Y,Y,Y,Y,Y,N,N,N,N,Y,BOOK PUBLICATION,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109667,801-47676,WADE FINANCIAL GROUP INC,WADE FINANCIAL GROUP INC,5500 WAYZATA BLVD,STE 190,MINNEAPOLIS,MN,UNITED STATES,55416,763-797-9577,763-545-7401,,,,,,,Approved,10/24/1994,1/7/2010,Y,WWW.WADEFINANCIALGROUP.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,More than 500,693,26-50 percent,26-50 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"177,434,388.00","75,325,156.00","252,759,544.00",561,161,722,Y,Y,Y,Y,N,N,Y,N,N,Y,"TAX ADVICE, ESTATE PLANNING ADVICE",101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,106331,801-45470,HUBER FINANCIAL,HUBER FINANCIAL GROUP LTD,975 WEILAND ROAD,SUITE 150,BUFFALO GROVE,IL,UNITED STATES,60089,847-541-6888,847-541-6984,,,,,,,Approved,12/16/1993,8/12/2010,Y,WWW.HUBERFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IL,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,More than 500,500,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"386,401,823.00",0,"386,401,823.00","2,092",0,"2,092",Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,105369,801-18378,WEALTH PLANNING CORP,WEALTH PLANNING CORP,"3801 SHARON PARK LANE, SUITE 125",,CINCINNATI,OH,USA,45241,513-733-1750,513-733-4960,,,,,,,Approved,2/18/1983,1/7/2010,Y,WWW.WEALTHP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,OH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"83,500,000.00",0,"83,500,000.00",241,0,241,Y,Y,N,N,N,N,N,N,N,N,,25-Nov,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,154641,801-71769,"DYREK, JOHN EDWARD","DYREK, JOHN EDWARD",770 W. COLLINS,STE 203,CASPER,WY,UNITED STATES,82601,307-258-5991,307-265-5308,,,,,,,Approved,8/24/2010,8/12/2010,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,WY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,0,0,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,N,Y,N,N,,Y,0,"2,000,000.00","2,000,000.00",0,50,50,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,Y,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,138261,801-64991,"TRADEWINDS INVESTMENT MANAGEMENT, L.P.","TRADEWINDS INVESTMENT MANAGEMENT, L.P.",THREE HARBOR DRIVE,SUITE 213,SAUSALITO,CA,USA,94965,415-289-0500,415-289-0503,,,,,,,Approved,1/23/2006,8/12/2010,Y,TRADEWINDSINVESTMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"87,000,000.00",0,"87,000,000.00",5,0,5,N,N,N,N,N,N,N,N,N,Y,POOLED INVESTMENT VEHICLES (HEDGE FUNDS),0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,144994,801-68330,MACKEY KOMARA & DANKOVICH LLC,MACKEY KOMARA & DANKOVICH LLC,"691 N. SQUIRREL ROAD, SUITE 240",,AUBURN HILLS,MI,UNITED STATES,48326,248-418-5100,248-418-5105,,,,,,,Approved,9/25/2007,8/12/2010,Y,WWW.MACKEYKOMARA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"159,547,151.00",0,"159,547,151.00","1,089",0,"1,089",Y,Y,N,N,Y,N,N,N,N,N,,51-100,,Y,Y,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N
FWRO,151671,801-70707,"PER STIRLING CAPITAL MANAGEMENT, LLC","PER STIRLING CAPITAL MANAGEMENT, LLC",4800 BEE CAVES ROAD,,AUSTIN,TX,UNITED STATES,78748,512-576-8764,512-551-0050,,,,,,,Approved,10/28/2009,1/7/2010,Y,WWW.PERSTIRLING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,11-25 percent,RIA FIRMS,Y,Y,N,N,N,N,N,,Y,"45,462,691.00",0,"45,462,691.00",151,0,151,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,145687,801-68615,PORTFOLIO ASSET MANAGEMENT,"PORTFOLIO, LLC",2500 LOUISIANA BLVD. NE,SUITE 508,ALBUQUERQUE,NM,UNITED STATES,87110,505-884-3445,505-884-3505,,,,,,,Approved,1/2/2008,8/12/2010,Y,WWW.PORTFOLIOLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NM,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,Y,A PERCENTAGE OF ASSETS UNDER REVIEW,Y,"99,500,000.00","500,000.00","100,000,000.00",100,1,101,Y,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO REVIEW SERVICES FOR INDIVIDUAL,0,,Y,Y,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,120288,801-71444,STANFORD WEALTH MANAGEMENT,"STANFORD WEALTH MANAGEMENT, LLC",,,,,,,775-832-5440,,"774 MAYS BLVD, SUITE 10",,INCLINE VILLAGE,NV,UNITED STATES,89451,Approved,5/14/2010,8/12/2010,Y,WWW.STANFORDWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NV,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"30,000,000.00",0,"30,000,000.00",127,0,127,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,109065,801-60022,"BKS ADVISORS, LLC",BKS ADVISORS LLC,28411 NORTHWESTERN HWY.,SUITE 200,SOUTHFIELD,MI,UNITED STATES,48034,248-358-6500,248-358-5825,,,,,,,Approved,2/9/2001,8/12/2010,Y,WWW.BKSADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MI,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,51-75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"103,149,190.00","2,900,000.00","106,049,190.00",838,3,841,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,147588,801-69349,"GROSS DOMESTIC PRODUCT, INC","GROSS DOMESTIC PRODUCT, INC",1500 ROSECRANS AVE.,SUITE 500,MANHATTAN BEACH,CA,UNITED STATES,90266,310-341-2890,,,,,,,,Approved,7/25/2008,8/12/2010,Y,WWW.GDPWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"22,254,435.00","5,368,083.00","27,622,518.00",139,4,143,Y,Y,N,N,Y,Y,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,Y,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,141200,801-71001,"PRESIDIO CAPITAL INVESTMENTS, LLC","PRESIDIO CAPITAL INVESTMENTS, LLC",1777 BOREL PLACE,SUITE 415,SAN MATEO,CA,UNITED STATES,94402,650-341-1019,650-341-1037,,,,,,,Approved,1/15/2010,1/7/2010,Y,HTTP://WWW.PRESIDIO-CAP.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,25-Nov,0,0 percent,11-25 percent,0 percent,51-75 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"20,000,000.00","15,000,000.00","35,000,000.00",75,50,125,N,Y,Y,N,N,Y,N,N,N,Y,INVESTMENT PARTNERSHIP,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,104885,801-1669,VAN KAMPEN ASSET MANAGEMENT,VAN KAMPEN ASSET MANAGEMENT,11 GREENWAY PLAZA,SUITE 2500,HOUSTON,TX,UNITED STATES,77046-1173,713-214-1919,713-993-9890,,,,,,,Approved,4/6/1958,8/12/2010,Y,WWW.VANKAMPEN.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Other (specify),STATUTORY TRUST,DE,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,0,0,More than 500,"2,000",0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"13,877,302,129.00",0,"13,877,302,129.00","2,334",0,"2,334",N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
NYRO,154842,801-71766,"AQUA INVESTMENT MANAGEMENT, LLC","AQUA INVESTMENT MANAGEMENT, LLC",1412 BROADWAY,SUITE 2102,NEW YORK,NY,UNITED STATES,10018,212-381-7608,734-661-0392,,,,,,,120-Day Approval,8/17/2010,8/12/2010,Y,WWW.AQUAINV.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,Y,PERCENTAGE OF FAIR MARKET VALUE OF ADVISED ASSETS,Y,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,Y,CONSULTING ON CMBS AND DEBT RELATED SECURITIES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,153872,801-71632,"WNY ASSET MANAGEMENT, LLC","WNY ASSET MANAGEMENT, LLC","350 ESSJAY ROAD, SUITE 305",,WILLIAMSVILLE,NY,UNITED STATES,14221,716-626-0060,716-635-0958,,,,,,,Approved,7/9/2010,8/12/2010,Y,WWW.WNYASSET.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,Nov-50,0,5-Jan,0,5-Jan,0,Nov-50,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"28,000,000.00",0,"28,000,000.00",85,0,85,Y,Y,N,N,N,N,N,N,N,N,,26-50,,N,N,N,N,N,N,N,N,N,,Y,N,N,Y,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,154084,801-71514,"ADVANCED PRACTICE ADVISORS, LLC","ADVANCED PRACTICE ADVISORS, LLC",12250 EL CAMINO REAL,STE 160,SAN DIEGO,CA,UNITED STATES,92130,858-436-3862,858-436-3881,,,,,,,120-Day Approval,6/3/2010,8/12/2010,Y,WWW.ADVANCEDPRACTICEADVISORS.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,11-25 percent,26-50 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,PERCENTAGE OF NET WORTH,Y,0,0,0,0,0,0,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110445,801-52674,"CHARLES FISH INVESTMENTS, INC.",FISH CHARLES INVESTMENTS INC,2010 MAIN STREET,SUITE 130,IRVINE,CA,UNITED STATES,92614,949-296-3970,949-296-3974,,,,,,,Approved,8/13/1996,1/7/2010,Y,WWW.CHARLESFISHINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,51-75 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"397,115,546.00","156,370,604.00","553,486,150.00",67,4,71,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,132493,801-63558,PARADIGM CAPITAL CORPORATION,PARADIGM CAPITAL CORPORATION,100 THROCKMORTON STREET,SUITE 700,FORT WORTH,TX,UNITED STATES,76102,817-335-1145,817-335-1822,,,,,,,Approved,10/5/2004,1/7/2010,Y,WWW.PARADIGMCAPITALCORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"95,637,412.00",0,"95,637,412.00",1,0,1,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,151292,801-70503,"SIERRA WEALTH GROUP, LLC","SIERRA WEALTH GROUP, LLC",11925 WILSHIRE BLVD.,SUITE 300,LOS ANGELES,CA,UNITED STATES,90025,760-918-0304 EXT 111,760-918-0404,1947 CAMINO VIDA ROBLE,SUITE 108,CALSBAD,CA,UNITED STATES,92008,Approved,8/20/2009,1/7/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,% OF PLAN ASSETS UNDER ADVISEMENT,Y,"32,500,000.00",0,"32,500,000.00",72,0,72,Y,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,131240,801-69484,NORTH POINT ADVISORS,NORTH POINT ADVISORS,2603 CAMINO RAMON,SUITE 200,SAN RAMON,CA,UNITED STATES,94583,510-910-4071,510-777-9555,,,,,,,Approved,8/27/2008,1/7/2010,Y,WWW.NPADV.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,11-25 percent,51-75 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"120,000,000.00","120,000,000.00",0,1,1,N,N,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,113492,801-58254,"PLAN AHEAD, INC.","PLAN AHEAD, INC.","400 PINE STREET, SUITE 1050",,ABILENE,TX,USA,79601,325-672-7212,325-672-7310,,,,,,,Approved,1/9/2001,1/8/2010,Y,WWW.PLANAHEADINC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"52,152,984.00",0,"52,152,984.00",123,0,123,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,Y,LIFE SETTLEMENTS,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,148322,801-70508,"MOHLMAN ASSET MANAGEMENT, LLC","MOHLMAN ASSET MANAGEMENT, LLC",,,,,,,260 402 5511,,,,,,,,Approved,9/14/2009,1/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,26-50 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"58,500,000.00","25,100,000.00","83,600,000.00",51,4,55,Y,Y,N,Y,Y,N,Y,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,152174,801-70799,RWN3 LLC,RWN3 LLC,561 GARDEN DR.,UNIT B,WINDSOR,CO,UNITED STATES,80550,970-672-7606,,,,,,,,Approved,11/18/2009,1/8/2010,Y,WWW.RWN3.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,CO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,11-25 percent,26-50 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,Y,Y,N,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,122986,801-63966,PATRIOT MULLARE ASSOCIATES,PATRIOT MULLARE ASSOCIATES,188 WHITING STREET,,HINGHAM,MA,USA,2043,781-740-1000,781-740-1062,,,,,,,Approved,4/4/2005,1/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,101-250,0,51-75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,HEALTH AND WELFARE FUND,Y,N,N,N,N,N,N,,Y,"34,042,256.00",0,"34,042,256.00",122,0,122,N,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,148237,801-69570,RED HOOK MANAGEMENT,RED HOOK MANAGEMENT LLC,65 MADISON AVENUE,SUITE 230,MORRISTOWN,NJ,UNITED STATES,7960,973-998-6345,973-695-1420,,,,,,,Approved,8/1/2008,1/8/2010,Y,WWW.REDHOOKMGMT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"92,422,344.00","7,555,000.00","99,977,344.00",92,6,98,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,143880,801-67874,BALTER CAPITAL MANAGEMENT LLC,BALTER CAPITAL MANAGEMENT LLC,15 BROAD STREET,7TH FLOOR,BOSTON,MA,USA,2109,617-742-4226,617-742-4224,,,,,,,Approved,4/30/2007,1/8/2010,Y,WWW.BALTERCAP.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,51-75 percent,0 percent,0 percent,0 percent,11-25 percent,11-25 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,PERFORMANCE BASED COMPENSATION,Y,"75,000,000.00","200,000,000.00","275,000,000.00",5,14,19,N,Y,N,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,25-Nov,,N,N,N,N,Y,N,N,N,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,124194,801-66806,"NORTHSTAR FINANCIAL ADVISORS, INC.","NORTHSTAR FINANCIAL ADVISORS, INC.",,,,,,,973-228-9330,973-228-7456,,,,,,,Approved,6/8/2006,1/8/2010,Y,NORTHSTAR@NFAI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NJ,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"17,968,895.00","16,011,105.00","33,980,000.00",33,101,134,Y,Y,N,Y,N,N,N,N,N,Y,ADVICE ON MATTERS NOT INVOLVING SECURITIES.,26-50,,N,N,N,N,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137325,801-64823,"OLIVER PRESS PARTNERS, LLC","OLIVER PRESS PARTNERS, LLC",152 WEST 57TH STREET,46TH FLOOR,NEW YORK,NY,UNITED STATES,10019,212-277-5654,347-328-1825,,,,,,,Approved,11/10/2005,1/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"54,000,000.00",0,"54,000,000.00",3,0,3,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,105634,801-15225,PETERSON INVESTMENT MANAGEMENT INC,PETERSON INVESTMENT MANAGEMENT INC,"421 W RIVERSIDE AVE, STE 315",,SPOKANE,WA,USA,99201-0402,509-838-4438,509-838-1992,,,,,,,Approved,5/16/1980,1/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"54,111,825.00",0,"54,111,825.00",73,0,73,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,134574,801-64342,GIORDANO ASSET MANAGEMENT LLC,GIORDANO ASSET MANAGEMENT LLC,2530 RIVA ROAD,SUITE 312,ANNAPOLIS,MD,USA,21401-7414,410-266-9110,410-224-4522,,,,,,,Approved,7/13/2005,1/8/2010,N,,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"2,000,000.00",0,"2,000,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,N,N,N,,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,149134,801-69852,STRATEGIC WEALTH PLANNING,"BLUM FINANCIAL, LP",14900 LANDMARK BLVD.,SUITE 650,DALLAS,TX,UNITED STATES,75254,214-727-6000,866-913-8315,,,,,,,Approved,1/8/2009,1/8/2010,Y,WWW.AWEALTHPLAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Partnership,,TX,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,Y,SHARES IN THIRD PARTY REFERRAL FEES,Y,"16,000,000.00","30,000,000.00","46,000,000.00",125,30,155,Y,Y,N,Y,Y,Y,N,N,N,Y,ESTATE PLANNING & MANAGEMENT SERVICES; BUSINESS PLANNING & MANAGEMENT SERVICES,25-Nov,,Y,Y,N,N,N,N,Y,N,N,,Y,Y,Y,N,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,105036,801-17763,CFW CAPITAL MANAGEMENT INCORPORATED,CFW CAPITAL MANAGEMENT INC,"1900 WEST 75TH STREET, SUITE 220",,PRAIRIE VILLAGE,KS,UNITED STATES,66208,913-432-5600,913-432-5692,,,,,,,Approved,10/18/1982,1/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MO,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"52,233,494.00",0,"52,233,494.00",33,0,33,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,137194,801-65375,ALPINE ASSOCIATES ADVISORS,"ZOELLNER, ROBERT EMIL",100 UNION AVENUE,,CRESSKILL,NJ,UNITED STATES,7626,201-871-0866,201-894-5400,,,,,,,Approved,2/1/2006,6/21/2010,Y,WWW.ALPINEASSOCIATESADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,NJ,UNITED STATES,10-Jun,0,5-Jan,0,0,0,10-Jun,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,More than 75 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"486,666,355.00","1,262,270,195.00","1,748,936,550.00",7,2,9,N,N,N,N,N,N,N,N,N,Y,ALPINE ASSOCIATES ADVISORS PROVIDES INVESTMENT ADVISORY SERVICES TO HEDGE FUNDS AND MANAGED ACCOUNTS,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,N,N,Y,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
PLRO,137958,801-71584,"ACKERMAN ASSET MANAGEMENT, LLC","ACKERMAN ASSET MANAGEMENT, LLC",,,,,,,301-230-2088,240-599-1184,,,,,,,Approved,6/24/2010,6/21/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MD,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"33,797,923.00",0,"33,797,923.00",119,0,119,N,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,0,,N,N,N,Y,N,N,Y,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,148066,801-69638,"ICG ADVISORS, LLC","ICG ADVISORS, LLC",11111 SANTA MONICA BOULEVARD,STE. 2100,LOS ANGELES,CA,UNITED STATES,90025,424-270-8900,424-270-8921,,,,,,,Approved,10/6/2008,6/21/2010,Y,WWW.ICGADVISORS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,"2,100,000,000.00","2,100,000,000.00",0,85,85,N,Y,N,Y,N,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,143442,801-67763,COPPERWYND FINANCIAL,"COPPERWYND FINANCIAL, LLC",8560 E. SHEA BLVD.,SUITE 140,SCOTTSDALE,AZ,UNITED STATES,85260,480-348-2100,480-348-2107,,,,,,,Approved,4/13/2007,6/21/2010,Y,WWW.COPPERWYNDFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,AZ,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"69,440,056.00","4,953,120.00","74,393,176.00",454,70,524,Y,Y,N,N,N,Y,N,N,N,N,,0,,Y,Y,N,Y,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,134090,801-63870,"ATHERTON LANE ADVISERS, LLC","ATHERTON LANE ADVISERS, LLC",3000 SAND HILL ROAD,"BLDG. 1, SUITE 170",MENLO PARK,CA,UNITED STATES,94025,650-233-1200,650-233-1201,,,,,,,Approved,1/28/2005,6/21/2010,Y,ATHERTONLANE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,More than 500,500,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,Y,A FLAT ANNUAL RETAINER FEE,Y,"1,768,970,451.00","132,497,091.00","1,901,467,542.00",609,76,685,Y,Y,N,Y,N,Y,Y,N,N,N,,More than 500,500,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,118364,801-60871,CASTLE WEALTH MANAGEMENT,P.F.S. ADVISORS L.C.,420 COLUMBIA DRIVE,SUITE 107,WEST PALM BEACH,FL,UNITED STATES,33409,561-686-9604,561-584-5080,,,,,,,Approved,1/22/2002,6/21/2010,Y,WWW.CASTLEWM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"108,525,056.00","386,439.00","108,911,495.00",320,6,326,Y,Y,N,Y,N,Y,N,N,N,Y,CONSULTING,51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,107611,801-50916,"LITMAN/GREGORY ASSET MANAGEMENT, LLC","LITMAN/GREGORY ASSET MANAGEMENT, LLC",4 ORINDA WAY,SUITE 200-D,ORINDA,CA,UNITED STATES,94563-2526,925-254-8999,925-254-0335,,,,,,,Approved,12/29/1995,6/21/2010,Y,WWW.LGINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,251-500,0,11-25 percent,51-75 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,MODEL PORTFOLIO SERVICES,Y,N,N,Y,N,N,N,,Y,"986,958,434.00","2,852,274,071.00","3,839,232,505.00",903,5,908,Y,Y,N,Y,N,Y,N,N,N,Y,THE REGISTRANT ALSO PROVIDES MODEL PORTFOLIO SERVICES TO BANKING INSTITUTIONS AND OTHER TURNKEY ASSET MANAGEMENT PLATFORMS.,10-Jan,,N,N,N,N,Y,N,N,N,N,,N,,N,N,Y,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,154345,801-71613,"ARCAS CAPITAL MANAGEMENT, LLC","ARCAS CAPITAL MANAGEMENT, LLC",18 CROW CANYON CT.,SUITE 300,SAN RAMON,CA,UNITED STATES,94583-1786,925-705-8075,925-855-4630,,,,,,,120-Day Approval,6/29/2010,6/21/2010,Y,WWW.ARCASCAPITAL.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,0,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106557,801-8851,REPS FRANCIS MICHAEL,REPS FRANCIS MICHAEL,,,,,,,360-671-0068,360-671-7778,,,,,,,Approved,9/27/1972,1/8/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,WA,UNITED STATES,5-Jan,0,0,0,0,0,0,0,25-Nov,0,11-25 percent,11-25 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"59,061,402.00",0,"59,061,402.00",13,0,13,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,138466,801-65247,ERMITAGE ASSET MANAGEMENT JERSEY LIMITED,ERMITAGE ASSET MANAGEMENT JERSEY LIMITED,1ST FLOOR,47 THE ESPLANADE,ST HELIER,,JERSEY,JE1 9LB,011-44-1534-615-500,011-44-1534-615-520,,,,,,,Approved,2/1/2006,6/22/2010,Y,WWW.ERMITAGEGROUP.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,JERSEY,Nov-50,0,Nov-50,0,5-Jan,0,5-Jan,0,25-Nov,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,275,000,000.00",0,"1,275,000,000.00",19,0,19,N,N,N,Y,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR PRIVATE INVESTMENT FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,105098,801-23126,"WEAVER C. BARKSDALE & ASSOCIATES, INC.","WEAVER C. BARKSDALE & ASSOCIATES, INC.","ONE BURTON HILLS BLVD, SUITE 100",,NASHVILLE,TN,UNITED STATES,37215-6104,615-665-1085,615-665-1087,,,,,,,Approved,12/27/1984,6/22/2010,Y,HTTP://WWW.WCBARKSDALE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,TN,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,10-Jun,0,26-100,0,0 percent,11-25 percent,0 percent,0 percent,11-25 percent,0 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"3,435,737,448.00",0,"3,435,737,448.00",94,0,94,N,Y,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,143464,801-67697,47 DEGREES NORTH CAPITAL MANAGEMENT LTD,47 DEGREES NORTH CAPITAL MANAGEMENT LTD,CHURERSTRASSE 77,,PFAEFFIKON,,SWITZERLAND,8808,41 55 645 0000,41 55 645 0001,,,,,,,Approved,4/16/2007,6/22/2010,Y,WWW.47N.COM,N,Y,N,Y,N,N,N,N,N,N,N,N,N,Other (specify),CAYMAN LIMITED COMPANY,,CAYMAN ISLANDS,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,11-25 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"225,000,000.00","10,000,000.00","235,000,000.00",3,1,4,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,107366,801-45262,CORNERSTONE,CORNERSTONE CAPITAL MANAGEMENT INC,"7101 WEST 78TH STREET, SUITE 201",,BLOOMINGTON,MN,UNITED STATES,55439,(952) 229-8100,(952) 229-8109,,,,,,,Approved,12/10/1993,6/22/2010,Y,WWW.CORNERSTONECAPITAL.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,MN,UNITED STATES,Nov-50,0,10-Jun,0,0,0,0,0,26-100,0,0 percent,More than 75 percent,0 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"1,427,441,502.00","2,453,876.00","1,429,895,378.00",190,52,242,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,148738,801-70058,TITANIUM ASSET MANAGEMENT CORP,TITANIUM ASSET MANAGEMENT CORP,777 EAST WISCONSIN AVENUE,SUITE 2350,MILWAUKEE,WI,UNITED STATES,53202,414-765-1980,414-765-1999,,,,,,,Approved,4/16/2009,6/22/2010,Y,WWW.TI-AM.COM,N,Y,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"341,000,000.00",0,"341,000,000.00",2,0,2,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,Y,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,123318,801-70142,"SHELTON FINANCIAL GROUP, INC.","SHELTON FINANCIAL GROUP, INC.",7617 WEST JEFFERSON BOULEVARD,,FORT WAYNE,IN,UNITED STATES,46804,260-436-7006,260-436-5452,,,,,,,Approved,5/26/2009,6/22/2010,Y,WWW.SHELTONFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,IN,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"100,506,000.00",0,"100,506,000.00",848,0,848,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110987,801-49530,SILCHESTER INTERNATIONAL INVESTORS,SILCHESTER INTERNATIONAL INVESTORS LTD,"TIME & LIFE BUILDING, 5TH FLOOR",1 BRUTON STREET,LONDON,,UNITED KINGDOM,W1J 6TL,011-44207-518-7100,011-44207-491-7495,,,,,,,Approved,4/28/1995,6/22/2010,Y,WWW.SILCHESTER.COM,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,Nov-50,0,10-Jun,0,0,0,0,0,10-Jan,0,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"22,892,342,703.00",0,"22,892,342,703.00",8,0,8,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT MANAGEMENT OF POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,110509,801-29606,BANK OF IRELAND ASSET MANAGEMENT (U.S.) LTD.,BANK OF IRELAND ASSET MANAGEMENT (U.S.) LTD.,40 MESPIL ROAD,,DUBLIN 4,,IRELAND,,011 3531 637 8000,011 3531 637 8100,,,,,,,Approved,6/3/1987,6/22/2010,N,,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Other (specify),IRISH INCORPORATED LIMITED LIABILITY COMPANY,,IRELAND ,51-250,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,11-25 percent,11-25 percent,26-50 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"198,828,596.00",2,"198,828,598.00",4,1,5,N,N,Y,Y,N,N,N,N,N,Y,NON DISCRETIONARY INVESTMENT ADVICE,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,Y,N,Y,N,N,Y,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,106628,801-36371,"ULLICO INVESTMENT ADVISORS, INC.","ULLICO INVESTMENT ADVISORS, INC.","1625 EYE STREET, NW",5TH FLOOR,WASHINGTON,DC,UNITED STATES,20006,202-682-7927,202-682-7897,,,,,,,Approved,4/20/1990,6/22/2010,Y,ULLICO.COM,Y,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,26-100,0,0 percent,0 percent,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,Up to 10 percent,INSURANCE COMPANY,Y,N,N,N,N,N,N,,Y,"1,408,091,457.00",0,"1,408,091,457.00",28,0,28,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,119696,801-61940,"COLMAN KNIGHT ADVISORY GROUP, LLC","COLMAN KNIGHT ADVISORY GROUP, LLC",18 AUDUBON LANE,,CARLISLE,MA,UNITED STATES,01741-1500,978-371-2015,978-369-1504,,,,,,,Approved,4/16/2003,6/22/2010,Y,WWW.COLMANKNIGHT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,N,N,Y,N,N,N,,Y,0,"83,417,439.00","83,417,439.00",0,282,282,Y,Y,N,Y,Y,Y,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,145468,801-68570,"12 METER MANAGEMENT, LP","12 METER MANAGEMENT, LP","49 GREENWICH AVENUE, FLOOR 3",,GREENWICH,CT,UNITED STATES,6830,203-661-2220,203-661-2213,P.O.  BOX 1648,,GREENWICH,CT,UNITED STATES,6836,Approved,11/15/2007,6/22/2010,Y,WWW.SELECTMGT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,26-50 percent,0 percent,0 percent,26-50 percent,26-50 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"50,000,000.00",0,"50,000,000.00",6,0,6,N,Y,N,Y,N,N,N,N,N,Y,INVESTMENT ADVICE TO POOLED INVESTMENT VEHICLES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,135915,801-64505,ATLANTIC EQUITIES LLP,ATLANTIC EQUITIES LLP,15 ST. HELEN'S PLACE,,LONDON,,UNITED KINGDOM,EC3A 6DE,011-44-207-382-2900,011-44-207-382-2901,,,,,,,Approved,7/19/2005,6/22/2010,Y,WWW.ATLANTIC-EQUITIES.COM,Y,N,N,Y,N,N,N,N,N,N,N,N,N,Limited Liability Partnership,,,UNITED KINGDOM,Nov-50,0,Nov-50,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,More than 75 percent,Up to 10 percent,0 percent,,N,N,N,Y,Y,N,N,,N,0,0,0,0,0,0,N,N,N,N,N,N,N,N,N,Y,PUBLISHED RESEARCH REPORTS ON SECURITIES,0,,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,129656,801-67272,"CORNERSTONE FINANCIAL PLANNING, LLC","CORNERSTONE FINANCIAL PLANNING, LLC",,,,,,,603-431-1133,603-431-1139,,,,,,,Approved,11/2/2006,6/22/2010,Y,WWW.CORNERSTONEPLANNING.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NH,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,"48,740,069.00","48,740,069.00",0,304,304,Y,Y,N,Y,Y,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,117936,801-70424,"THE INSIGHT GROUP, INC.","THE INSIGHT GROUP, INC.",3115 E. LION LANE,SUITE 100,SALT LAKE CITY,UT,UNITED STATES,84121,801-944-7702,801-944-7708,,,,,,,Approved,7/27/2009,6/22/2010,Y,WWW.INSIGHTGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,UT,UNITED STATES,10-Jun,0,10-Jun,0,0,0,0,0,251-500,0,11-25 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"132,600,369.00","30,009,255.00","162,609,624.00",599,132,731,Y,Y,N,Y,Y,Y,N,N,N,Y,CONSULTING ON INV. AND NON SECURITIES MATTERS,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,135287,801-64581,"ASPEN PARTNERS, LTD.","ASPEN PARTNERS, LTD.",4200 NORTHSIDE PARKWAY,"BUILDING 11, SUITE 200",ATLANTA,GA,UNITED STATES,30327,404-879-5126,404-879-5128,,,,,,,Approved,8/18/2005,6/22/2010,Y,WWW.ASPENPARTNERS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),S-CORPORATION,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"109,117,216.00",0,"109,117,216.00",3,0,3,N,N,N,Y,N,Y,N,N,N,N,,,,N,N,N,N,Y,N,N,N,N,,Y,N,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,104973,801-21122,WELLS CAPITAL MANAGEMENT INC,WELLS CAPITAL MANAGEMENT INCORPORATED,525 MARKET ST,10TH FLOOR,SAN FRANCISCO,CA,USA,94105,415-396-8000,415-975-7621,,,,,,,Approved,4/27/1984,1/8/2010,Y,WWW.WELLSCAP.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,501-1000,0,51-250,0,Nov-50,0,5-Jan,0,More than 500,"1,500",0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,11-25 percent,26-50 percent,Up to 10 percent,Up to 10 percent,BROKERAGE/WRAP,Y,N,N,Y,N,Y,N,,Y,"251,178,452,974.00",0,"251,178,452,974.00","1,734",0,"1,734",N,Y,Y,Y,N,N,Y,N,N,N,,,,N,Y,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,146457,801-69000,"AMUNDI INVESTMENT ADVISORS USA, INC.","AMUNDI INVESTMENT ADVISORS USA, INC.",1301 AVENUE OF THE AMERICAS,,NEW YORK,NY,UNITED STATES,10019-6022,212-603-5080,212-603-5002,,,,,,,Approved,4/8/2008,6/22/2010,Y,WWW.AMUNDI.COM  APPLICANT WILL BE REFERENCED ON WEBSITE OF PARENT COMPANY AMUNDI,N,N,N,N,N,N,N,Y,N,N,N,N,N,Corporation,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,N,0,0,0,0,0,0,N,N,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,Y,N,N,Y,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y
NYRO,105136,801-31670,CURTIS & BISSONETTE INC,CURTIS & BISSONETTE INC,"1992 SARANAC AVENUE - SUITE 2, CRESTVIEW PLAZA",,LAKE PLACID,NY,UNITED STATES,12946,518-523-2443,518-523-4665,P.O. BOX 311,,LAKE PLACID,NY,UNITED STATES,12946,Approved,3/17/1988,1/8/2010,Y,WWW.CURTISANDBISSONETTE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"25,040,944.00","13,856,406.00","38,897,350.00",79,9,88,Y,Y,N,Y,Y,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,12963,801-39736,MONEY CONCEPTS CAPITAL CORP,MONEY CONCEPTS CAPITAL CORP,11440 NORTH JOG ROAD,,PALM BEACH GARDENS,FL,USA,33418-3764,561-472-2000,561-472-2055,,,,,,,Approved,10/7/1991,6/22/2010,Y,WWW.MONEYCONCEPTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,251-500,0,More than 500,"7,246",More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"651,607,550.00",0,"651,607,550.00","7,246",0,"7,246",Y,N,N,N,N,N,N,N,N,N,,More than 500,7246,N,N,Y,N,N,N,N,N,N,,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,N,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,N,N,N,N,N,Y,Y
NYRO,150265,801-70591,"QFR CAPITAL MANAGEMENT, L.P.","QFR CAPITAL MANAGEMENT, L.P.",489 FIFTH AVENUE,31ST FLOOR,NEW YORK,NY,UNITED STATES,10017,212.209.2150,212.209.2140,,,,,,,Approved,9/24/2009,6/22/2010,Y,WWW.QFRCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Other (specify),LIMITED PARTNERSHIP,DE,UNITED STATES,Nov-50,0,Nov-50,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,650,000,000.00",0,"1,650,000,000.00",3,0,3,N,N,N,Y,N,N,N,N,N,Y,INVESTMENT ADVICE TO AFFILIATED PRIVATE FUNDS,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,120573,801-61797,ADAMS ASSET ADVISORS LLC,ADAMS ASSET ADVISORS LLC,8150 N. CENTRAL EXPWY.,SUITE M1120,DALLAS,TX,UNITED STATES,75225,214-360-7410,214-360-7415,,,,,,,Approved,2/7/2003,1/11/2010,N,,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"913,064,947.00","261,043,260.00","1,174,108,207.00",119,64,183,N,Y,Y,Y,N,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,Y,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,132962,801-67368,STOLPER ASSET MANAGEMENT,THE STOLPER COMPANY LLC,1924 S UTICA AVE STE 805,,TULSA,OK,USA,74104-6516,918-745-6060,918-745-6583,,,,,,,Approved,1/3/2007,1/11/2010,Y,WWW.STOLPERASSETMANAGEMENT.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,OK,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"44,916,294.00",0,"44,916,294.00",118,0,118,N,Y,N,Y,N,N,Y,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,145898,801-68669,"KENSINGTON AMI, LLC","KENSINGTON AMI, LLC",12725 VENTURA BLVD.,SUITE D,STUDIO CITY,CA,UNITED STATES,91604,(818) 505-9551,(818) 972-9898,,,,,,,Approved,1/15/2008,1/11/2010,Y,WWW.KENSINGTONAMI.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"1,894,135.00","23,442,143.00","25,336,278.00",2,77,79,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,108856,801-57615,"BEY-DOUGLAS, LLC INVESTMENT COUNSEL","BEY-DOUGLAS, LLC",1640 POWERS FERRY RD.,"BLDG. 22, STE. 200",MARIETTA,GA,UNITED STATES,30067,770-858-0001,770-858-0005,,,,,,,Approved,6/5/2000,1/11/2010,Y,HTTP://BEY-DOUGLAS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,GA,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,Y,N,N,,Y,"41,000,000.00","500,000.00","41,500,000.00",125,10,135,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,Y,N,N,Y,N,N,,N,N,N,Y,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,113319,801-61164,"DWMC II, L.L.C","DWMC II, L.L.C",1 SOUTH MAIN STREET,8TH FLOOR,SALT LAKE CITY,UT,UNITED STATES,84133,801-524-8939,801-524-8941,,,,,,,Approved,5/23/2002,1/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,Up to 10 percent,More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"25,400,000.00",0,"25,400,000.00",11,0,11,N,N,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,Y,Y,Y,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,108824,801-57479,BUNTING CAPITAL MANAGEMENT INC,BUNTING CAPITAL MANAGEMENT INC,"5700 CLEVELAND STREET, SUITE 329",,VIRGINIA BEACH,VA,USA,23462,757-456-2200,757-456-9854,,,,,,,Approved,4/21/2000,1/11/2010,Y,WWW.BUNTINGCAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,VA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"46,700,000.00",0,"46,700,000.00",570,0,570,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,129435,801-62582,"LANDMARK FINANCIAL ADVISORS, LLC","LANDMARK FINANCIAL ADVISORS, LLC",911 COLLEGE STREET,SUITE 301,BOWLING GREEN,KY,UNITED STATES,42101,270-782-9222,270-782-5196,,,,,,,Approved,1/2/2004,1/11/2010,Y,WWW.LANDMARKFA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,KY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,101-250,0,51-75 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,SELECTION OF ADVISORS,Y,"99,433,390.00","915,132.00","100,348,522.00",514,36,550,Y,Y,N,Y,N,Y,N,N,N,N,,25-Nov,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,Y
CHRO,116543,801-66503,"TRADEMARK FINANCIAL MANAGEMENT, LLC","TRADEMARK FINANCIAL MANAGEMENT, LLC",7301 OHMS LANE,#535,EDINA,MN,USA,55439,952-358-3395,952-844-0563,,,,,,,Approved,4/26/2006,1/11/2010,Y,WWW.TRADEMARKFINANCIAL.US,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MN,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"54,043,673.00",0,"54,043,673.00",490,0,490,N,Y,N,Y,N,N,N,N,N,Y,ADVISORY CONSULTING SERVICES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,150091,801-70212,CAPITAL STRATEGIES INVESTMENT GROUP LLC,CAPITAL STRATEGIES INVESTMENT GROUP LLC,ONE PARKVIEW PLAZA,SUITE 620,OAKBROOK TERRACE,IL,UNITED STATES,60181,630-320-5100,630-320-5107,,,,,,,Approved,5/26/2009,8/31/2010,Y,WWW.CAPSTRATIG.COM,N,N,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,5-Jan,0,0,0,0,0,26-100,0,0 percent,Up to 10 percent,0 percent,0 percent,More than 75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,N,,Y,"13,169,522.00",0,"13,169,522.00",2,0,2,Y,Y,N,Y,Y,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,112357,801-66586,"FINANCIAL PLANNING ASSOCIATES,INC.","FINANCIAL PLANNING ASSOCIATES, INC.",141 TOMPKINS AVENUE,3RD FLOOR,PLEASANTVILLE,NY,UNITED STATES,10570,914-347-8800,914-347-8816,,,,,,,Approved,4/27/2006,8/31/2010,Y,WWW.FPAINC-ONLINE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,251-500,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"55,471,760.00","3,361,605.00","58,833,365.00",401,62,463,Y,Y,N,N,Y,Y,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,Y,Y,Y,N,Y,N,N,N,Y,N,N,Y,Y,Y,N,Y,N,N,Y,Y,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126411,801-64150,"FINANCIAL PLANNING CONCEPTS OF AMERICA, INC.","FINANCIAL PLANNING CONCEPTS OF AMERICA, INC.",1110 SOUTH AVENUE SUITE 301,,STATEN ISLAND,NY,UNITED STATES,10314,718-667-5050,718-874-0049,,,,,,,Approved,5/11/2005,8/31/2010,Y,WWW.FPCAMERICA.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"44,000,000.00",0,"44,000,000.00",310,0,310,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,Y,N,N,Y,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110329,801-9755,NEEDELMAN ASSET MANAGEMENT INC,NEEDELMAN ASSET MANAGEMENT INC,111 PACIFICA,SUITE 140,IRVINE,CA,UNITED STATES,92618,949-453-1333,949-453-8333,,,,,,,Approved,2/25/1974,8/31/2010,Y,WWW.NEEDELMAN.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"51,262,495.00","29,643,370.00","80,905,865.00",52,1,53,Y,Y,N,Y,N,N,N,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,148989,801-70193,ESSEX ASSET MANAGEMENT LLC,ESSEX ASSET MANAGEMENT LLC,819 BEACHLAND BLVD,,VERO BEACH,FL,UNITED STATES,32963,772-234-6455,772-231-5187,,,,,,,Approved,6/3/2009,8/31/2010,Y,WWW.ESSEX.US.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,Up to 10 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"52,117,708.00","1,042,872.00","53,160,580.00",64,1,65,N,Y,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,139372,801-66272,RIDGEWAY CONGER ADVISORY SERVICES,"RIDGEWAY CONGER ADVISORY SERVICES, INC",2123 MAIN STREET,,NEW WOODSTOCK,NY,UNITED STATES,13122,315-662-7807,315-662-7198,P.O. BOX 156,,NEW WOODSTOCK,NY,UNITED STATES,13122,Approved,2/28/2006,8/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,5-Jan,0,5-Jan,0,Nov-50,0,0,0,251-500,0,26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"46,212,121.00","1,469,332.00","47,681,453.00",321,11,332,Y,Y,N,Y,N,Y,N,N,N,N,,10-Jan,,Y,Y,N,N,N,N,N,N,N,,N,,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,Y,Y,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
MIRO,128742,801-64120,MARJORIE A MEYER,MEYER MARJORIE ANN,8106 DUKES WOOD CT,,UNIVERSITY PARK,FL,UNITED STATES,34201,941-552-8466,,,,,,,,Approved,4/8/2005,1/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Sole Proprietorship,,FL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"34,859,000.00",0,"34,859,000.00",205,0,205,Y,Y,N,N,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
FWRO,145814,801-68824,"5151 ADVISORS, LLC","5151 ADVISORS, LLC","5151 SAN FELIPE, 17TH  FLOOR",,HOUSTON,TX,UNITED STATES,77056,713-693-1655,281-664-3066,,,,,,,Approved,2/5/2008,8/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,TX,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,11-25 percent,51-75 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"124,100,125.00",0,"124,100,125.00",124,0,124,N,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR A FOUNDATION,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,108352,801-54274,ESSEX LLC,ESSEX LLC,21805 FIELD PARKWAY,SUITE 250,DEER PARK,IL,UNITED STATES,60010,847-777-7800,847-777-7810,,,,,,,Approved,4/11/1997,1/11/2010,Y,WWW.ESSEXLLC.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"92,500,000.00","5,380,000.00","97,880,000.00",626,113,739,Y,Y,N,Y,N,Y,Y,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,110516,801-16281,MH & ASSOCIATES SECURITIES MANAGEMENT CORPORATION,MH & ASSOCIATES SECURITIES MANAGEMENT CORP,234 N EL MOLINO AVE,ST 201,PASADENA,CA,UNITED STATES,91101-1675,626-440-9694,626-440-9799,,,,,,,Approved,8/19/1981,8/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"73,878,435.00",0,"73,878,435.00",144,0,144,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,108517,801-30528,AL FRANK ASSET MANAGEMENT INC,AL FRANK ASSET MANAGEMENT INC,32392 COAST HIGHWAY,SUITE 260,LAGUNA BEACH,CA,UNITED STATES,92651-6784,949-499-3215,949-499-3218,,,,,,,Approved,7/31/1987,8/31/2010,Y,WWW.BUCKINGHAMREPORT.SQUARESPACE.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,Nov-50,0,Nov-50,0,10-Jun,0,5-Jan,0,More than 500,"1,000",Up to 10 percent,51-75 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,Y,N,N,N,N,,Y,"404,509,193.00",0,"404,509,193.00",674,0,674,N,Y,Y,Y,N,N,Y,N,N,N,,0,,N,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,118203,801-60813,361 CAPITAL LLC,361 CAPITAL LLC,4643 SOUTH ULSTER STREET,SUITE 1020,DENVER,CO,UNITED STATES,80237,720-346-0086,720-529-4427,,,,,,,Approved,1/23/2002,8/31/2010,Y,WWW.361CAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,10-Jun,0,0,0,5-Jan,0,10-Jan,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,11-25 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"86,582,890.00","86,391,242.00","172,974,132.00",5,3,8,N,Y,N,Y,N,Y,N,N,N,Y,PORTFOLIO MANAGEMENT FOR POOLED INVESTMENT VEHICLES.,,,N,N,N,N,N,N,N,N,N,,N,,Y,N,N,N,N,N,N,N,N,N,N,Y,Y,N,Y,Y,N,Y,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,103857,801-68276,USA FINANCIAL SECURITIES CORPORATION,USA FINANCIAL SECURITIES CORPORATION,6020 EAST FULTON STREET,,ADA,MI,UNITED STATES,49301,888-407-8198,888-532-4757,,,,,,,Approved,8/24/2007,1/11/2010,Y,HTTP://WWW.USAFINANCIAL.NET,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MI,UNITED STATES,51-250,0,51-250,0,51-250,0,51-250,0,101-250,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"17,011,952.00","24,304,469.00","41,316,421.00",237,306,543,Y,N,N,N,N,N,N,N,N,N,,101-250,,Y,Y,Y,N,N,N,N,N,N,,N,N,Y,N,N,Y,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N
BRO,118113,801-63038,"ARLEN CAPITAL, LLC","ARLEN CAPITAL, LLC",117 METRO CENTER BOULEVARD,SUITE 2006,WARWICK,RI,UNITED STATES,2286,401-854-3506,401-854-3509,,,,,,,Approved,4/14/2004,8/31/2010,Y,WWW.ARLENCORP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,RI,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,101-250,0,Up to 10 percent,51-75 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,Y,N,N,Y,VARYING FEES FOR SEMINARS AND EDUCATIONAL WORKSHOPS,Y,"138,397,781.00",0,"138,397,781.00",541,0,541,Y,Y,N,Y,N,Y,N,N,N,Y,"WEALTH PLANNING, SEMINARS AND EDUCATIONAL WORKSHOPS",51-100,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,105131,801-33969,"GEORGE W. LAUB & ASSOCIATES, LLC",LAUB GEORGE WESLEY,424 MAIN STREET,LIBERTY BUILDING SUITE 515,BUFFALO,NY,UNITED STATES,14202,716-852-2725,716-852-2725,,,,,,,Approved,2/27/1989,1/11/2010,Y,GEORGEWLAUB.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,25-Nov,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"46,088,896.00",0,"46,088,896.00",33,0,33,N,Y,N,N,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT FOR RETIREES,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107689,801-8268,"ROYCE & ASSOCIATES, LLC","ROYCE & ASSOCIATES, LLC",745 FIFTH AVENUE,,NEW YORK,NY,UNITED STATES,10151,212-508-4500,212-223-8478,,,,,,,Approved,12/14/1971,8/31/2010,Y,WWW.ROYCEFUNDS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,Nov-50,0,5-Jan,0,26-100,0,0 percent,0 percent,0 percent,51-75 percent,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"33,446,021,000.00",0,"33,446,021,000.00",56,0,56,N,N,Y,Y,N,N,N,N,N,Y,PORTFOLIO MANAGEMENT - PRIVATE INVESTMENT LP'S AND LLC'S,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,N,N,N,Y,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,120666,801-69985,"SC&H FINANCIAL ADVISORS, INC.","SC&H FINANCIAL ADVISORS, INC.",910 RIDGEBROOK ROAD,,SPARKS,MD,UNITED STATES,21152-9390,410-403-1512,410-403-1570,,,,,,,Approved,3/16/2009,8/31/2010,Y,WWW.SCANDH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,26-50 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"72,000,000.00","48,000,000.00","120,000,000.00",425,40,465,Y,Y,N,N,N,N,N,N,N,N,,101-250,,N,N,N,N,N,N,N,N,N,,N,N,Y,N,N,N,N,N,Y,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,121658,801-61324,"FUND EVALUATION GROUP, LLC","FUND EVALUATION GROUP, LLC",201 EAST FIFTH STREET,SUITE 1600,CINCINNATI,OH,UNITED STATES,45202,513-977-4400,513-977-4430,,,,,,,Approved,6/30/2002,8/31/2010,Y,WWW.FEG.COM,N,Y,N,N,N,N,Y,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,51-250,0,Nov-50,0,0,0,5-Jan,0,More than 500,"1,000",Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,26-50 percent,Up to 10 percent,Up to 10 percent,0 percent,,Y,N,N,Y,N,Y,N,,Y,"1,410,350,721.00",0,"1,410,350,721.00",738,0,738,N,Y,N,Y,Y,Y,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,Y,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153880,801-71660,"HEFTY WEALTH PARTNERS, INC.","HEFTY WEALTH PARTNERS, INC.",112 EAST 7TH STREET,,AUBURN,IN,UNITED STATES,46706,260-927-1830,260-927-1865,,,,,,,120-Day Approval,7/26/2010,8/31/2010,Y,WWW.CORNERSTONEWEALTHMGT.COM,N,N,N,N,N,N,N,N,Y,N,N,N,N,Other (specify),S-CORPORATION,IN,UNITED STATES,10-Jun,0,5-Jan,0,10-Jun,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,0,0,0,0,0,0,Y,Y,N,Y,N,N,Y,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,121863,801-69518,"AMPER FINANCIAL SERVICES, LLC","AMPER FINANCIAL SERVICES, LLC",750 ROUTE 202 SOUTH,SUITE 410,BRIDGEWATER,NJ,USA,8807,908-429-0025,908-429-5530,,,,,,,Approved,8/14/2008,8/31/2010,Y,WWW.AMPER.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NJ,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,251-500,0,Up to 10 percent,51-75 percent,0 percent,0 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,Y,SOLICITOR/REFERRAL FEES,Y,"122,838,310.00","10,944,919.00","133,783,229.00",408,19,427,Y,Y,N,Y,N,Y,N,N,N,N,,251-500,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,N,N,N,Y,N,Y,N,N,N,N,N,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y
MIRO,136302,801-68191,"HOLLAND ADVISORY SERVICES, INC.","HOLLAND ADVISORY SERVICES, INC.",700 W. GRANADA BLVD.,,ORMOND BEACH,FL,UNITED STATES,32174,386-671-7526,386-671-7026,,,,,,,Approved,7/31/2007,8/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,FL,UNITED STATES,Nov-50,0,Nov-50,0,0,0,5-Jan,0,251-500,0,More than 75 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"42,356,969.00","135,161.00","42,492,130.00",315,2,317,Y,Y,N,N,N,N,N,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,118404,801-60852,"SEAMANS CAPITAL MANAGEMENT, LLC","SEAMANS CAPITAL MANAGEMENT, LLC","950 WINTER STREET, SUITE 1400",,WALTHAM,MA,UNITED STATES,2451,781-890-5225,781-890-5279,,,,,,,Approved,6/19/2002,1/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,MA,UNITED STATES,10-Jun,0,5-Jan,0,0,0,5-Jan,0,101-250,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"603,000,000.00",0,"603,000,000.00",56,0,56,N,Y,N,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
DRO,120894,801-62331,"GENEOS WEALTH MANAGEMENT, INC.","GENEOS WEALTH MANAGEMENT, INC.",9055 E. MINERAL CIRCLE,SUITE 200,CENTENNIAL,CO,UNITED STATES,80112,303-785-8470,303-785-8482,,,,,,,Approved,8/20/2003,1/11/2010,Y,WWW.GENEOSWEALTH.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CO,UNITED STATES,51-250,0,51-250,0,51-250,0,0,0,More than 500,"4,500",26-50 percent,26-50 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"839,674,338.00","3,672,192.00","843,346,530.00","4,418",15,"4,433",Y,Y,N,Y,Y,Y,N,N,N,N,,101-250,,Y,Y,Y,N,N,N,N,N,N,,N,,Y,Y,N,Y,N,N,Y,Y,Y,Y,Y,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,N,N,,N,N,N,N,N,N,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
CHRO,149499,801-70047,"CEDARPOINT INVESTMENT ADVISORS, INC.","CEDARPOINT INVESTMENT ADVISORS, INC.",524 MILWAUKEE ST.,SUITE 300,DELAFIELD,WI,UNITED STATES,53018,2623034503,2623034325,,,,,,,Approved,4/7/2009,8/31/2010,Y,WWW.CEDARPOINTINVESTMENTS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,WI,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,5-Jan,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,,Y,Y,N,N,N,N,N,,Y,"56,473,478.00","6,374,680.00","62,848,158.00",273,41,314,Y,Y,N,Y,N,Y,N,N,N,N,,26-50,,N,N,N,Y,N,N,Y,N,N,,Y,N,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,106386,801-37038,"LEWIS & MATHEWS INVESTMENT MANAGEMENT, INC.","LEWIS & MATHEWS INVESTMENT MANAGEMENT, INC.","830 MENLO AVENUE, SUITE 210",,MENLO PARK,CA,UNITED STATES,94025,650-329-8800,650-325-9244,,,,,,,Approved,7/27/1990,1/11/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"244,000,000.00",0,"244,000,000.00",89,0,89,Y,Y,N,Y,N,Y,Y,N,N,N,,51-100,,N,N,N,N,N,N,N,N,N,,Y,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,154003,801-71496,"ALTEGRIS ADVISORS, LLC","ALTEGRIS ADVISORS, LLC",1200 PROSPECT STREET,SUITE 550,LA JOLLA,CA,UNITED STATES,92037,858-875-8750,858-459-0819,,,,,,,120-Day Approval,6/9/2010,8/31/2010,Y,WWW.ALTEGRISFUNDS.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,DE,UNITED STATES,Nov-50,0,10-Jun,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,N,0,0,0,0,0,0,N,N,Y,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,Y,N,Y,Y,N,N,N,N,N,N,Y,Y,N,N,N,N,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N
NYRO,105992,801-10733,MANNING & NAPIER ADVISORS INC,MANNING & NAPIER ADVISORS INC,290 WOODCLIFF DRIVE,,FAIRPORT,NY,USA,14450,585-325-6880,585-325-3266,,,,,,,Approved,6/4/1975,8/31/2010,Y,WWW.MANNING-NAPIER.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,251-500,0,51-250,0,51-250,0,Nov-50,0,More than 500,"3,000",26-50 percent,26-50 percent,Up to 10 percent,Up to 10 percent,11-25 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,INVESTMENT ADVISERS / UNION (NON PENSION / P/S),Y,N,N,N,N,Y,Y,M&N MAY NEGOTIATE THE FEE FOR CUSTOMIZED PORTFOLIOS AND SERVICES,Y,"28,106,032,271.00","1,523,162.00","28,107,555,433.00","8,730",1,"8,731",Y,Y,Y,Y,Y,Y,N,N,N,Y,SEE SCHEDULE D,101-250,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,150261,801-70189,"KAPLAN, ROBERT MARSHALL","KAPLAN, ROBERT MARSHALL",,,,,,,415-492-1990,415-472-4188,,,,,,,120-Day Approval,6/2/2009,8/31/2010,N,,N,N,N,N,N,N,N,N,N,N,N,N,Y,Sole Proprietorship,,CA,UNITED STATES,5-Jan,0,0,0,5-Jan,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,N,Y,N,N,N,N,N,,Y,0,0,0,0,0,0,Y,N,N,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
BRO,129327,801-69388,"LIFELINE FINANCIAL, LLC","LIFELINE FINANCIAL, LLC",151 NEW PARK AVENUE,SUITE 108,HARTFORD,CT,UNITED STATES,06106-2174,860-282-1780,,,,,,,,Approved,7/10/2008,8/31/2010,N,,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CT,UNITED STATES,5-Jan,0,5-Jan,0,0,0,0,0,26-100,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"34,646,101.00",0,"34,646,101.00",180,0,180,Y,Y,N,Y,N,N,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,106652,801-37236,MANNING & NAPIER ADVISORY ADVANTAGE CORPORATION,MANNING & NAPIER ADVISORY ADVANTAGE CORPORATION,290 WOODCLIFF DRIVE,,FAIRPORT,NY,UNITED STATES,14450,585-325-6880,585-232-9079,,,,,,,Approved,8/17/1990,8/31/2010,Y,WWW.ADVISORYADVANTAGE.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,NY,UNITED STATES,Nov-50,0,Nov-50,0,Nov-50,0,Nov-50,0,More than 500,"3,500",More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,Up to 10 percent,INVESTMENT ADVISERS / UNION (NON PENSION / P/S),Y,Y,N,N,N,N,N,,Y,"2,279,782,053.00",0,"2,279,782,053.00","4,710",0,"4,710",N,Y,N,Y,N,Y,N,N,N,Y,SEE SCHEDULE D,0,,N,N,N,N,N,N,N,N,N,,N,N,Y,Y,Y,Y,N,Y,N,N,Y,N,N,N,N,N,Y,Y,N,Y,Y,Y,Y,Y,Y,N,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
ARO,149970,801-70811,"CARITAS CAPITAL, LLC","CARITAS CAPITAL, LLC",5950 FAIRVIEW ROAD,SUITE 610-A,CHARLOTTE,NC,UNITED STATES,28210,704-553-8778,704-552-8757,,,,,,,Approved,11/13/2009,1/11/2010,Y,WWW.CARITASCAPITAL.COM,N,N,N,N,Y,N,N,N,N,N,N,N,N,Limited Liability Company,,NC,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,10-Jun,0,0,0,0 percent,0 percent,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"5,000.00",0,"5,000.00",1,0,1,N,N,Y,N,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,N,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
HQ,135960,801-64725,J.P. MORGAN ASSET MANAGEMENT,JPMORGAN ASSET MANAGEMENT (UK) LIMITED,125 LONDON WALL,,LONDON,,UNITED KINGDOM,EC2Y 5AJ,44-20-7742-6000,44-22-7742-8719,245 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10167,Approved,9/29/2005,8/31/2010,Y,WWW.JPMORGAN.COM,Y,Y,N,Y,Y,N,N,N,N,N,N,N,N,Corporation,,,UNITED KINGDOM,More than 1000,"1,072",51-250,0,0,0,0,0,10-Jan,0,0 percent,0 percent,0 percent,26-50 percent,11-25 percent,11-25 percent,11-25 percent,11-25 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,"153,074,995.00",0,"153,074,995.00",4,0,4,N,Y,Y,Y,N,N,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,N,,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,N
MIRO,112097,801-71238,"JHS CAPITAL ADVISORS, INC.","JHS CAPITAL ADVISORS, INC.",4800 T-REX AVENUE,SUITE 100,BOCA RATON,FL,UNITED STATES,33431,561-208-4460,561-300-3471,,,,,,,Approved,3/29/2010,8/31/2010,Y,WWW.POINTECAPITAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,10-Jun,0,5-Jan,0,5-Jan,0,0,0,26-100,0,Up to 10 percent,11-25 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"26,197,200.00",0,"26,197,200.00",50,0,50,N,Y,N,N,N,Y,N,N,N,N,,,,N,N,Y,N,N,N,N,N,N,,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,Y,N,N,N,N,N,Y,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,126818,801-71316,EISNER WEALTH PLANNING LLC,EISNER WEALTH PLANNING LLC,750 THIRD AVE,16TH FLOOR,NEW YORK,NY,UNITED STATES,10017,212-891-6022,917-286-8679,,,,,,,Approved,4/28/2010,8/31/2010,Y,WWW.EISNERRS.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,NY,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,25-Nov,0,0 percent,More than 75 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"36,900,000.00","13,600,000.00","50,500,000.00",10,4,14,Y,Y,N,N,N,Y,N,N,N,N,,10-Jan,,N,N,N,N,N,N,Y,N,N,,N,,Y,N,N,Y,N,N,Y,N,Y,Y,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,Y,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,114025,801-71250,"JSF FINANCIAL, LLC","JSF FINANCIAL, LLC",6300 WILSHIRE BLVD.,SUITE 700,LOS ANGELES,CA,UNITED STATES,90048,323-866-0833,323-866-0838,,,,,,,Approved,3/30/2010,8/31/2010,Y,WWW.JSFFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,0,0,101-250,0,11-25 percent,More than 75 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,Y,N,N,,Y,"20,000,000.00","120,000,000.00","140,000,000.00",5,170,175,Y,Y,N,Y,N,Y,N,N,N,N,,101-250,,Y,Y,N,Y,N,N,Y,N,N,,Y,N,Y,Y,N,Y,N,N,N,N,Y,N,N,N,Y,N,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
PLRO,104513,801-18801,FINANCIAL SERVICES ADVISORY INC,FINANCIAL SERVICES ADVISORY INC,"ONE CHURCH STREET, #901",,ROCKVILLE,MD,UNITED STATES,20850,301-949-7300,301-949-7034,,,,,,,Approved,4/21/1983,8/31/2010,Y,WWW.FSAINVEST.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Corporation,,MD,UNITED STATES,Nov-50,0,5-Jan,0,0,0,5-Jan,0,More than 500,"1,000",11-25 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,Y,N,,Y,"491,000,000.00",0,"491,000,000.00","1,896",0,"1,896",N,Y,N,Y,N,N,N,N,N,Y,RETIREMENT PLANNING AND ADVISING,,,N,N,N,N,N,N,N,N,N,,N,N,N,N,N,Y,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,Y,Y,N,N,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,152016,801-70848,ASCENT INVESTMENT MANAGEMENT COMPANY LLC,ASCENT INVESTMENT MANAGEMENT COMPANY LLC,555 WEST 5TH STREET,SUITE 3000,LOS ANGELES,CA,UNITED STATES,90013,213-785-3790,866-389-2774,,,,,,,120-Day Approval,11/24/2009,8/31/2010,Y,WWW.ASCENTINVESTCO.COM,N,N,N,N,N,N,N,N,N,N,N,N,Y,Limited Liability Company,,DE,UNITED STATES,10-Jun,0,5-Jan,0,0,0,0,0,0,0,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,N,N,N,N,Y,N,,Y,0,0,0,0,0,0,N,Y,N,Y,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,Y,N,N,N,N,Y,Y,Y,Y,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
SFRO,110552,801-10883,"DAVIDSON INVESTMENT ADVISORS, INC.","DAVIDSON INVESTMENT ADVISORS, INC.",8 THIRD STREET NORTH,,GREAT FALLS,MT,USA,59401,406-727-6111,406-791-7385,,,,,,,Approved,8/8/1975,8/31/2010,Y,WWW.DADCO.COM,N,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,Nov-50,0,10-Jun,0,10-Jun,0,5-Jan,0,More than 500,"1,500",More than 75 percent,Up to 10 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,N,N,N,N,N,N,,Y,"950,614,332.00","35,059,538.00","985,673,870.00","2,063",9,"2,072",N,Y,Y,Y,N,N,N,N,N,N,,0,,Y,Y,N,N,N,N,N,N,N,,N,N,Y,Y,Y,Y,N,Y,N,N,Y,Y,N,N,N,Y,Y,Y,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
CHRO,153690,801-71384,"JLTD ADVISORS, LLC","JLTD ADVISORS, LLC",937 W. RANDOLPH STREET,SUITE 2E,CHICAGO,IL,UNITED STATES,60607,312-243-0155,312-243-0651,,,,,,,120-Day Approval,5/3/2010,8/31/2010,Y,WWW.JLTDGROUP.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,IL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,26-100,0,26-50 percent,26-50 percent,0 percent,0 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,N,N,N,Y,SHARE IN THIRD PARTY ADVISER FEES,Y,"18,796,625.00","10,551,716.00","29,348,341.00",33,73,106,Y,Y,N,Y,Y,Y,N,N,N,N,,0,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
NYRO,107038,801-21011,J.P. MORGAN ASSET MANAGEMENT,J.P. MORGAN INVESTMENT MANAGEMENT INC.,245 PARK AVENUE,,NEW YORK,NY,UNITED STATES,10167,212-648-1999,212-648-1790,,,,,,,Approved,4/4/1984,8/31/2010,Y,WWW.JPMORGAN.COM,Y,Y,N,N,Y,N,N,N,N,N,N,N,N,Corporation,,DE,UNITED STATES,More than 1000,"1,119",251-500,0,51-250,0,5-Jan,0,More than 500,"16,955",More than 75 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,FOREIGN GOVERNMENT,Y,N,N,Y,N,Y,Y,REVENUE (REAL ESTATE),Y,"492,382,843,521.00","6,739,700,317.00","499,122,543,838.00","18,381",77,"18,458",N,Y,Y,Y,N,N,N,N,N,N,,,,N,Y,N,N,Y,N,N,N,N,,N,,Y,Y,Y,Y,Y,Y,N,N,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,Y,N,N,N,N,N,N,N,Y,N,Y,Y,N,Y,N,Y,Y,N,Y,N,N,N,N,Y,Y,N,Y
MIRO,134675,801-71009,"FAIRWAY FINANCIAL, LLC","FAIRWAY FINANCIAL, LLC",529 VERSAILLES DR.,STE. 205,MAITLAND,FL,UNITED STATES,32751,407-628-0850,407-628-1482,,,,,,,Approved,1/21/2010,1/11/2010,Y,WWW.MYFAIRWAYFINANCIAL.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,FL,UNITED STATES,5-Jan,0,5-Jan,0,5-Jan,0,0,0,101-250,0,More than 75 percent,11-25 percent,0 percent,0 percent,Up to 10 percent,0 percent,0 percent,0 percent,0 percent,0 percent,,Y,Y,N,Y,N,N,N,,Y,"53,590,000.00",0,"53,590,000.00",296,0,296,Y,Y,N,N,Y,N,N,N,N,N,,101-250,,N,N,N,Y,N,N,Y,N,N,,N,,Y,Y,N,N,N,N,N,N,Y,N,N,N,N,N,Y,N,N,N,N,Y,Y,N,N,Y,N,N,N,N,N,N,,Y,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
LARO,106897,801-24292,FORTUNA ASSET MANAGEMENT LLC,FORTUNA ASSET MANAGEMENT LLC,1300 BRISTOL STREET NORTH,SUITE 100,NEWPORT BEACH,CA,UNITED STATES,92660,949-476-2872,949-476-3098,PO BOX 9109,,NEWPORT BEACH,CA,UNITED STATES,92658,Approved,6/13/1985,8/31/2010,Y,WWW.INVESTFAM.COM,N,Y,N,N,N,N,N,N,N,N,N,N,N,Limited Liability Company,,CA,UNITED STATES,5-Jan,0,5-Jan,0,0,0,5-Jan,0,26-100,0,Up to 10 percent,51-75 percent,0 percent,0 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,Up to 10 percent,0 percent,0 percent,,Y,Y,N,Y,N,Y,N,,Y,"86,967,179.00","1,700,932.00","88,668,111.00",74,4,78,N,Y,N,N,N,N,N,N,N,N,,,,N,N,N,N,N,N,N,N,N,,Y,N,Y,N,N,N,N,N,N,N,N,N,N,N,Y,N,Y,N,N,Y,N,Y,Y,Y,Y,Y,N,Y,Y,Y,N,N,,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N,N
